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

Institutional Holders (2014Q2)
Portfolio Summary: 30 Institutional holders with a total value of $26,823,509.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 824,311 7,048,000 26.28%
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 616,488 5,271,000 19.65%
3 WELLS FARGO & COMPANY/MN 290,296 2,482,000 9.25%
4 Shaker Financial Services, LLC 179,485 1,535,000 5.72%
5 Essex Financial Services, Inc. 169,635 1,450,000 5.41%
6 BANK OF AMERICA CORP /DE/ 154,535 1,321,000 4.92%
7 SG Americas Securities, LLC 140,525 1,201,000 4.48%
8 VSR Financial Services, Inc. 133,664 1,143,000 4.26%
9 1607 Capital Partners, LLC 96,911 829,000 3.09%
10 ROYAL BANK OF CANADA 71,136 609,000 2.27%
11 First Allied Advisory Services, Inc. 66,805 572,000 2.13%
12 STIFEL FINANCIAL CORP 57,236 489,000 1.82%
13 Thomas J. Herzfeld Advisors, Inc. 44,026 376,000 1.40%
14 Commonwealth Equity Services, Inc 41,444 354,000 1.32%
15 DOLIVER ADVISORS, LP 35,565 304,000 1.13%
16 HL FINANCIAL SERVICES LLC 34,410 294,000 1.10%
17 WOLVERINE ASSET MANAGEMENT LLC 28,284 241,000 0.90%
18 Concert Wealth Management Inc. 26,946 223,000 0.83%
19 Point View Wealth Management, Inc. 25,752 220,000 0.82%
20 Mraz, Amerine & Associates, Inc. 20,807 178,000 0.66%
21 UBS AG 19,405 166,000 0.62%
22 LPL Financial LLC 12,963 111,000 0.41%
23 Arbiter Partners Capital Management LLC 11,859 101,000 0.38%
24 LADENBURG THALMANN FINANCIAL SERVICES INC. 11,778 101,000 0.38%
25 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 7,989 68,000 0.25%
26 SIGNATUREFD, LLC 5,063 43,000 0.16%
27 AMERICAN INTERNATIONAL GROUP, INC. 4,387 37,509 0.14%
28 MSI Financial Services Inc 4,319 37,000 0.14%
29 Tower Research Capital LLC (TRC) 2,238 19,000 0.07%
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.