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

Institutional Holders (2014Q3)
Portfolio Summary: 29 Institutional holders with a total value of $25,606,935.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 999,156 7,864,000 30.71%
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 633,579 4,986,000 19.47%
3 WELLS FARGO & COMPANY/MN 270,647 2,130,000 8.32%
4 Essex Financial Services, Inc. 166,534 1,311,000 5.12%
5 BANK OF AMERICA CORP /DE/ 162,567 1,280,000 5.00%
6 SG Americas Securities, LLC 142,457 1,121,000 4.38%
7 Shaker Financial Services, LLC 128,659 1,013,000 3.96%
8 VSR Financial Services, Inc. 124,664 981,000 3.83%
9 1607 Capital Partners, LLC 96,911 763,000 2.98%
10 ROYAL BANK OF CANADA 93,324 734,000 2.87%
11 STIFEL FINANCIAL CORP 75,168 592,000 2.31%
12 First Allied Advisory Services, Inc. 69,601 547,000 2.14%
13 Thomas J. Herzfeld Advisors, Inc. 44,434 350,000 1.37%
14 Commonwealth Equity Services, Inc 38,588 304,000 1.19%
15 HL FINANCIAL SERVICES LLC 34,629 273,000 1.07%
16 Concert Wealth Management Inc. 26,938 213,000 0.83%
17 Point View Wealth Management, Inc. 25,752 203,000 0.79%
18 UBS AG 21,889 173,000 0.68%
19 Mraz, Amerine & Associates, Inc. 20,807 164,000 0.64%
20 DOLIVER ADVISORS, LP 16,188 127,000 0.50%
21 LPL Financial LLC 13,758 107,000 0.42%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 11,883 94,000 0.37%
23 Arbiter Partners Capital Management LLC 11,859 93,000 0.36%
24 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 7,989 63,000 0.25%
25 SIGNATUREFD, LLC 5,123 40,000 0.16%
26 AMERICAN INTERNATIONAL GROUP, INC. 4,439 34,935 0.14%
27 MSI Financial Services Inc 4,376 34,000 0.13%
28 Tower Research Capital LLC (TRC) 1,569 12,000 0.05%
29 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.