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Sprott Focus Trust
Sprott Focus Trust. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 30 Institutional holders with a total value of $23,525,921.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 718,229 5,717,000 24.30%
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 614,488 4,891,000 20.79%
3 WELLS FARGO & COMPANY/MN 286,542 2,281,000 9.70%
4 Essex Financial Services, Inc. 168,967 1,345,000 5.72%
5 Shaker Financial Services, LLC 161,478 1,285,000 5.46%
6 BANK OF AMERICA CORP /DE/ 139,539 1,111,000 4.72%
7 SG Americas Securities, LLC 138,876 1,103,000 4.69%
8 VSR Financial Services, Inc. 133,664 1,064,000 4.52%
9 1607 Capital Partners, LLC 96,911 771,000 3.28%
10 First Allied Advisory Services, Inc. 66,805 533,000 2.27%
11 ROYAL BANK OF CANADA 63,754 507,000 2.16%
12 STIFEL FINANCIAL CORP 60,361 480,000 2.04%
13 Thomas J. Herzfeld Advisors, Inc. 47,928 382,000 1.62%
14 Commonwealth Equity Services, Inc 42,381 337,000 1.43%
15 HL FINANCIAL SERVICES LLC 37,289 297,000 1.26%
16 DOLIVER ADVISORS, LP 31,742 253,000 1.08%
17 Concert Wealth Management Inc. 26,938 211,000 0.90%
18 Point View Wealth Management, Inc. 26,206 209,000 0.89%
19 Mraz, Amerine & Associates, Inc. 20,807 166,000 0.71%
20 UBS AG 13,694 109,000 0.46%
21 LPL Financial LLC 12,817 102,000 0.43%
22 Arbiter Partners Capital Management LLC 11,859 94,000 0.40%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 11,778 94,000 0.40%
24 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 7,652 61,000 0.26%
25 SIGNATUREFD, LLC 5,063 40,000 0.17%
26 AMERICAN INTERNATIONAL GROUP, INC. 4,387 34,921 0.15%
27 MSI Financial Services Inc 4,294 34,000 0.14%
28 Tower Research Capital LLC (TRC) 845 7,000 0.03%
29 Creative Planning 854 7,000 0.03%
30 DEUTSCHE BANK AG\ 12 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.