| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | SIT INVESTMENT ASSOCIATES INC | 3,514,354 | 53,313,000 | 69.93% | ||
| 2 | CREDIT SUISSE AG/ | 616,160 | 9,347,000 | 12.26% | ||
| 3 | Yakira Capital Management, Inc. | 235,072 | 3,566,000 | 4.68% | SH | |
| 4 | RIVERNORTH CAPITAL MANAGEMENT, LLC | 208,054 | 3,156,000 | 4.14% | ||
| 5 | NINE MASTS CAPITAL Ltd | 88,993 | 1,350,000 | 1.77% | ||
| 6 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 80,612 | 1,223,000 | 1.60% | ||
| 7 | AMERIPRISE FINANCIAL INC | 67,949 | 1,031,000 | 1.35% | ||
| 8 | Creative Planning | 48,759 | 740,000 | 0.97% | ||
| 9 | RAYMOND JAMES & ASSOCIATES | 32,188 | 488,000 | 0.64% | ||
| 10 | LPL Financial LLC | 27,615 | 419,000 | 0.55% | ||
| 11 | CSS LLC/IL | 23,134 | 351,000 | 0.46% | ||
| 12 | B. Riley Wealth Advisors, Inc. | 19,595 | 298,000 | 0.39% | ||
| 13 | ADVISOR GROUP, INC. | 17,547 | 267,000 | 0.35% | ||
| 14 | Private Advisor Group, LLC | 15,907 | 239,000 | 0.31% | ||
| 15 | Cetera Advisors LLC | 12,795 | 194,000 | 0.25% | ||
| 16 | IFP ADVISORS, INC | 3,183 | 48,000 | 0.06% | ||
| 17 | MSI Financial Services Inc | 2,390 | 36,000 | 0.05% | ||
| 18 | GENEOS WEALTH MANAGEMENT INC. | 2,283 | 34,000 | 0.04% | ||
| 19 | UBS Group AG | 2,050 | 31,000 | 0.04% | ||
| 20 | PNC FINANCIAL SERVICES GROUP, INC. | 2,000 | 30,000 | 0.04% | ||
| 21 | MORGAN STANLEY | 1,332 | 20,000 | 0.03% | ||
| 22 | Thomas J. Herzfeld Advisors, Inc. | 855 | 13,000 | 0.02% | ||
| 23 | CITIGROUP INC | 800 | 12,000 | 0.02% | ||
| 24 | BELLWETHER INVESTMENT GROUP, LLC | 554 | 8,000 | 0.01% | ||
| 25 | FIFTH THIRD BANCORP | 395 | 6,000 | 0.01% | ||
| 26 | NEXT Financial Group, Inc | 300 | 5,000 | 0.01% | ||
| 27 | D. SCOTT NEAL, INC. | 300 | 5,000 | 0.01% | ||
| 28 | WELLS FARGO & COMPANY/MN | 239 | 4,000 | 0.01% | ||
| 29 | D.A. DAVIDSON & CO. | 193 | 2,000 | 0.00% | ||
| 30 | ROYAL BANK OF CANADA | 116 | 2,000 | 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.
