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CAPITAL ONE FINL CORP
CAPITAL ONE FINL CORP. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 868 Institutional holders with a total value of $38,276,432,618.
#
Manager Name
Shares
Value ($)
%
Options
Notes
101 Ledyard National Bank 846 74,000 0.00%
102 BNP PARIBAS FINANCIAL MARKETS 1,291 75,848 0.00% Put
103 WealthTrust-Arizona, LLC 885 77,000 0.00%
104 WESTSIDE INVESTMENT MANAGEMENT, INC. 879 78,354 0.00%
105 MOTCO 925 81,000 0.00%
106 Carroll Financial Associates, Inc. 938 81,000 0.00%
107 NORWAY SAVINGS BANK 974 85,000 0.00%
108 ALPHA OMEGA WEALTH MANAGEMENT LLC 970 85,000 0.00%
109 WELLS FARGO & COMPANY/MN 111,000 86,000 0.00% Put
110 FLORENCE CAPITAL ADVISORS, LLC 1,000 87,000 0.00%
111 Hartford Financial Management Inc. 1,025 89,000 0.00%
112 CWM, LLC 1,031 90,000 0.00%
113 BB&T INVESTMENT SERVICES, INC. 1,034 92,000 0.00%
114 BRONFMAN E.L. ROTHSCHILD, L.P. 1,064 93,000 0.00%
115 ACADIAN ASSET MANAGEMENT LLC 1,065 93,000 0.00%
116 SALEM INVESTMENT COUNSELORS INC 1,099 96,000 0.00%
117 Nelson Capital Management, LLC 1,110 97,000 0.00%
118 Point72 Hong Kong Ltd 1,110 97,000 0.00%
119 Evercore Wealth Management, LLC 1,161 101,000 0.00%
120 Jacobus Wealth Management, Inc. 1,177 103,000 0.00%
121 Psagot Value Holdings Ltd. 1,200 105,000 0.00%
122 EDGE ADVISORS, LLC 1,249 107,000 0.00%
123 CAPITAL GUARDIAN TRUST CO 1,230 107,000 0.00%
124 ClariVest Asset Management LLC 1,241 108,000 0.00%
125 ANCHOR INVESTMENT MANAGEMENT, LLC 1,243 108,439 0.00%
126 ADVANTAGE INVESTMENT MANAGEMENT, LLC 1,284 112,000 0.00%
127 QUADRANT CAPITAL GROUP LLC 1,436 119,000 0.00%
128 INTEGRATED INVESTMENT CONSULTANTS, LLC 1,375 120,000 0.00%
129 ISRAEL DISCOUNT BANK OF NEW YORK 1,415 123,000 0.00%
130 Joel Isaacson & Co., LLC 1,427 124,000 0.00%
131 Johnson Financial Group, Inc. 1,456 127,000 0.00%
132 Plante Moran Financial Advisors, LLC 1,761 154,000 0.00%
133 Welch Group, LLC 1,773 155,000 0.00% SH
134 Endurance Wealth Management, Inc. 1,837 161,000 0.00%
135 GUARDIAN LIFE INSURANCE CO OF AMERICA 1,849 161,000 0.00%
136 WHITTIER TRUST CO OF NEVADA INC 1,918 167,000 0.00%
137 SRS CAPITAL ADVISORS, INC. 1,963 171,000 0.00% SH
138 PARALLEL ADVISORS, LLC 1,977 172,000 0.00%
139 PAYDEN & RYGEL 1,969 172,000 0.00%
140 SRB CORP 2,059 180,000 0.00%
141 BLUEPORT CAPITAL, L.P. 2,066 180,000 0.00%
142 TLP GROUP LLC 2,154 188,000 0.00%
143 SECOR Capital Advisors, LP 2,200 192,000 0.00% Call
144 Focused Wealth Management, Inc 2,215 193,000 0.00%
145 Capital Investment Advisors, LLC 2,289 200,000 0.00%
146 SECOR Capital Advisors, LP 2,300 201,000 0.00% Put
147 Argent Trust Co 2,313 201,000 0.00%
148 FUKOKU MUTUAL LIFE INSURANCE CO 2,300 201,000 0.00%
149 Connor, Clark & Lunn Investment Management Ltd. 2,300 201,000 0.00%
150 NBT BANK N A /NY 2,341 204,000 0.00%
Page 3 of 18

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.