| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | CREDIT SUISSE AG/ | 292,000 | 4,354,000 | 33.10% | ||
| 2 | NINE MASTS CAPITAL Ltd | 164,170 | 2,448,000 | 18.61% | ||
| 3 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 79,129 | 1,180,000 | 8.97% | ||
| 4 | ING GROEP NV | 57,000 | 844,000 | 6.42% | ||
| 5 | Creative Planning | 50,727 | 756,000 | 5.75% | ||
| 6 | AMERIPRISE FINANCIAL INC | 32,852 | 490,000 | 3.73% | ||
| 7 | TFS CAPITAL LLC | 26,843 | 400,000 | 3.04% | ||
| 8 | Fort Point Capital Partners LLC | 22,000 | 328,000 | 2.49% | ||
| 9 | WEDBUSH SECURITIES INC | 21,791 | 325,000 | 2.47% | ||
| 10 | B. Riley Wealth Advisors, Inc. | 18,676 | 279,000 | 2.12% | ||
| 11 | RAYMOND JAMES & ASSOCIATES | 18,323 | 273,000 | 2.08% | ||
| 12 | LPL Financial LLC | 18,091 | 268,000 | 2.04% | ||
| 13 | Cetera Advisors LLC | 12,795 | 191,000 | 1.45% | ||
| 14 | ADVISOR GROUP, INC. | 12,618 | 189,000 | 1.44% | ||
| 15 | Commonwealth Equity Services, Inc | 12,263 | 183,000 | 1.39% | ||
| 16 | Private Advisor Group, LLC | 11,041 | 164,000 | 1.25% | ||
| 17 | SIT INVESTMENT ASSOCIATES INC | 10,005 | 149,000 | 1.13% | ||
| 18 | PNC FINANCIAL SERVICES GROUP, INC. | 7,148 | 107,000 | 0.81% | ||
| 19 | MSI Financial Services Inc | 4,041 | 60,000 | 0.46% | ||
| 20 | IFP ADVISORS, INC | 2,180 | 33,000 | 0.25% | ||
| 21 | GENEOS WEALTH MANAGEMENT INC. | 2,194 | 32,000 | 0.24% | ||
| 22 | MORGAN STANLEY | 1,382 | 21,000 | 0.16% | ||
| 23 | D.A. DAVIDSON & CO. | 1,039 | 15,000 | 0.11% | ||
| 24 | UBS Group AG | 859 | 13,000 | 0.10% | ||
| 25 | Thomas J. Herzfeld Advisors, Inc. | 809 | 12,000 | 0.09% | ||
| 26 | CITIGROUP INC | 800 | 12,000 | 0.09% | ||
| 27 | Tower Research Capital LLC (TRC) | 660 | 10,000 | 0.08% | ||
| 28 | FIFTH THIRD BANCORP | 395 | 6,000 | 0.05% | ||
| 29 | NEXT Financial Group, Inc | 300 | 4,000 | 0.03% | ||
| 30 | WELLS FARGO & COMPANY/MN | 239 | 4,000 | 0.03% | ||
| 31 | ROYAL BANK OF CANADA | 111 | 2,000 | 0.02% | ||
| 32 | Gradient Investments LLC | 149 | 2,000 | 0.02% |
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.
