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COMPASS EMP FDS TR
COMPASS EMP FDS TR. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 11 Institutional holders with a total value of $17,031,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 LPL Financial LLC 180,858 6,453,000 37.89%
2 STIFEL FINANCIAL CORP 90,095 3,197,000 18.77%
3 LADENBURG THALMANN FINANCIAL SERVICES INC. 57,516 2,041,000 11.98%
4 SUSQUEHANNA INTERNATIONAL GROUP, LLP 42,596 1,509,000 8.86%
5 JANE STREET GROUP, LLC 42,034 1,492,000 8.76%
6 AMERIPRISE FINANCIAL INC 34,895 1,238,000 7.27%
7 First Heartland Consultants, Inc. 13,593 482,000 2.83%
8 ADVANTAGE INVESTMENT MANAGEMENT, LLC 7,535 267,000 1.57%
9 NEXT Financial Group, Inc 6,444 228,000 1.34%
10 ROYAL BANK OF CANADA 2,228 79,000 0.46%
11 VICTORY CAPITAL MANAGEMENT INC 1,268 45,000 0.26%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.