Dark
Light
System
Security
Sprott Focus Trust
Sprott Focus Trust. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 34 Institutional holders with a total value of $25,165,100.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 956,153 6,951,000 27.62%
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 633,579 4,606,000 18.30%
3 Shaker Financial Services, LLC 298,331 2,169,000 8.62%
4 WELLS FARGO & COMPANY/MN 292,244 2,124,000 8.44%
5 BANK OF AMERICA CORP /DE/ 167,993 1,221,000 4.85%
6 Essex Financial Services, Inc. 166,116 1,208,000 4.80%
7 SG Americas Securities, LLC 144,571 1,051,000 4.18%
8 VSR Financial Services, Inc. 124,664 911,000 3.62%
9 1607 Capital Partners, LLC 96,911 705,000 2.80%
10 ROYAL BANK OF CANADA 91,118 663,000 2.63%
11 STIFEL FINANCIAL CORP 74,223 540,000 2.15%
12 First Allied Advisory Services, Inc. 73,584 535,000 2.13%
13 Thomas J. Herzfeld Advisors, Inc. 44,962 327,000 1.30%
14 Commonwealth Equity Services, Inc 38,646 281,000 1.12%
15 HL FINANCIAL SERVICES LLC 34,868 253,000 1.01%
16 Concert Wealth Management Inc. 30,887 225,000 0.89%
17 UBS Group AG 26,005 189,000 0.75%
18 Point View Wealth Management, Inc. 25,752 187,000 0.74%
19 DOLIVER ADVISORS, LP 24,221 176,000 0.70%
20 WOLVERINE ASSET MANAGEMENT LLC 21,101 153,000 0.61%
21 Mraz, Amerine & Associates, Inc. 20,807 151,000 0.60%
22 LPL Financial LLC 12,618 92,000 0.37%
23 Arbiter Partners Capital Management LLC 11,963 87,000 0.35%
24 Virtu KCG Holdings LLC 10,362 75,000 0.30%
25 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 9,555 69,000 0.27%
26 LADENBURG THALMANN FINANCIAL SERVICES INC. 6,759 49,000 0.19%
27 SIGNATUREFD, LLC 5,270 38,000 0.15%
28 AMERICAN INTERNATIONAL GROUP, INC. 4,566 33,195 0.13%
29 MSI Financial Services Inc 4,440 32,000 0.13%
30 NATIONAL PLANNING CORP 3,459 24,905 0.10%
31 SEARLE & CO. 2,552 18,000 0.07%
32 Tower Research Capital LLC (TRC) 2,065 15,000 0.06%
33 HUNTINGTON NATIONAL BANK 861 6,000 0.02% PRN
34 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.