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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
801 Oakworth Capital, Inc. 272 23,000 0.00%
802 MONETARY MANAGEMENT GROUP INC 250 22,000 0.00%
803 EMPIRICAL FINANCE, LLC 252 22,000 0.00%
804 PROFICIO CAPITAL PARTNERS LLC 236 21,000 0.00%
805 VERSANT CAPITAL MANAGEMENT, INC 230 20,000 0.00%
806 INTEGRATED WEALTH COUNSEL, LLC 216 19,000 0.00%
807 D'Orazio & Associates, Inc. 209 18,000 0.00%
808 Tarbox Family Office, Inc. 212 18,000 0.00%
809 Hanson & Doremus Investment Management 200 17,448 0.00%
810 CENTERSTAR FUND, LLC 16,700 17,000 0.00% Put PRN
811 DEUTSCHE BANK AG\ 200 17,000 0.00% Call
812 M&R CAPITAL MANAGEMENT INC 200 17,000 0.00%
813 Baystate Wealth Management LLC 170 15,000 0.00%
814 ADIRONDACK TRUST CO 175 15,000 0.00%
815 Winfield Associates, Inc. 170 15,000 0.00%
816 ZIONS BANCORPORATION 172 15,000 0.00%
817 Parkside Financial Bank & Trust 177 15,000 0.00%
818 RPG FAMILY WEALTH ADVISORY, LLC 163 14,220 0.00%
819 SUTTON WEALTH ADVISORS INC. 161 14,046 0.00%
820 VALLEY NATIONAL ADVISERS INC 164 14,000 0.00%
821 Tortoise Investment Management, LLC 166 14,000 0.00%
822 IHT WEALTH MANAGEMENT, LLC 160 14,000 0.00%
823 SMITH ASSET MANAGEMENT GROUP LP 160 14,000 0.00%
824 Cornerstone Advisors, Inc. 164 14,000 0.00%
825 Manchester Capital Management LLC 150 13,000 0.00%
826 PEOPLES FINANCIAL SERVICES CORP. 200 13,000 0.00%
827 ENTERPRISE FINANCIAL SERVICES CORP 150 13,000 0.00%
828 AGF INVESTMENTS LLC 146 13,000 0.00%
829 Sandy Spring Bank 150 13,000 0.00%
830 CITY HOLDING CO 134 12,000 0.00%
831 BENJAMIN F. EDWARDS & COMPANY, INC. 135 12,000 0.00%
832 CUTLER GROUP LLC / CA 6,300 11,000 0.00% Put
833 THOMPSON DAVIS & CO., INC. 126 11,000 0.00%
834 Perkins Coie Trust Co 120 10,000 0.00%
835 PACIFIC CENTER FOR FINANCIAL SERVICES 100 9,000 0.00%
836 Spot Trading L.L.C 100 9,000 0.00% Put
837 Mitsubishi UFJ Securities Holdings Co., Ltd. 100 9,000 0.00%
838 GLOBAL RETIREMENT PARTNERS, LLC 103 9,000 0.00%
839 FINANCIAL ADVISORS NETWORK, INC. 97 8,648 0.00%
840 OMNIA FAMILY WEALTH, LLC 87 8,000 0.00%
841 BELLWETHER INVESTMENT GROUP, LLC 90 8,000 0.00%
842 WFG Advisors, LP 87 8,000 0.00%
843 WASHINGTON TRUST BANK 97 8,000 0.00%
844 MINICHMACGREGOR WEALTH MANAGEMENT, LLC 88 7,000 0.00%
845 DAVIDSON INVESTMENT ADVISORS 91 7,000 0.00%
846 Ruggie Capital Group 77 7,000 0.00%
847 Sunbelt Securities, Inc. 70 6,107 0.00%
848 DELPHI PRIVATE ADVISORS LLC 65 6,000 0.00%
849 MASCOMA WEALTH MANAGEMENT LLC 70 6,000 0.00%
850 HOWE & RUSLING INC 65 6,000 0.00%
Page 17 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.