| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 80,809 | 867,000 | 35.47% | ||
| 2 | UBS Group AG | 38,390 | 412,000 | 16.86% | ||
| 3 | MSI Financial Services Inc | 35,228 | 378,000 | 15.47% | ||
| 4 | Cetera Advisors LLC | 23,173 | 248,000 | 10.15% | ||
| 5 | IFC Holdings Incorporated/FL | 14,330 | 154,000 | 6.30% | ||
| 6 | MORGAN STANLEY | 12,574 | 135,000 | 5.52% | ||
| 7 | LPL Financial LLC | 10,267 | 110,000 | 4.50% | ||
| 8 | ROYAL BANK OF CANADA | 6,823 | 73,000 | 2.99% | ||
| 9 | ARROW FINANCIAL CORP | 2,000 | 21,000 | 0.86% | ||
| 10 | BANK OF AMERICA CORP /DE/ | 1,702 | 18,000 | 0.74% | ||
| 11 | TOMPKINS FINANCIAL CORP | 999 | 11,000 | 0.45% | ||
| 12 | Tower Research Capital LLC (TRC) | 750 | 8,000 | 0.33% | ||
| 13 | People's United Financial, Inc. | 500 | 5,000 | 0.20% | ||
| 14 | GENEOS WEALTH MANAGEMENT INC. | 379 | 4,000 | 0.16% | ||
| 15 | WELLS FARGO & COMPANY/MN | 1 | 0 | 0.00% |
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.
