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COMPASS EMP FDS TR
COMPASS EMP FDS TR. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 8 Institutional holders with a total value of $10,430,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 LPL Financial LLC 197,117 6,387,000 61.24%
2 LADENBURG THALMANN FINANCIAL SERVICES INC. 70,849 2,255,000 21.62%
3 JANE STREET GROUP, LLC 37,186 1,185,000 11.36%
4 First Heartland Consultants, Inc. 16,051 511,000 4.90%
5 VICTORY CAPITAL MANAGEMENT INC 1,006 32,000 0.31%
6 NEXT Financial Group, Inc 980 31,000 0.30%
7 ADVANTAGE INVESTMENT MANAGEMENT, LLC 458 15,000 0.14%
8 ROYAL BANK OF CANADA 447 14,000 0.13%

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.