Dark
Light
System
Security
SPROTT FOCUS TR INC
SPROTT FOCUS TR INC. Institutional holdings reported to the SEC.

Institutional Holders (2015Q1)
Portfolio Summary: 29 Institutional holders with a total value of $25,110,149.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 923,861 6,707,000 26.71%
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 633,579 4,600,000 18.32%
3 Shaker Financial Services, LLC 559,749 4,064,000 16.18%
4 WELLS FARGO & COMPANY/MN 289,439 2,101,000 8.37%
5 BANK OF AMERICA CORP /DE/ 173,905 1,263,000 5.03%
6 WOLVERINE ASSET MANAGEMENT LLC 163,199 1,184,000 4.72%
7 1607 Capital Partners, LLC 98,611 716,000 2.85%
8 ROYAL BANK OF CANADA 91,998 668,000 2.66%
9 First Allied Advisory Services, Inc. 80,540 586,000 2.33%
10 SG Americas Securities, LLC 76,771 557,000 2.22%
11 STIFEL FINANCIAL CORP 67,828 492,000 1.96%
12 SHUFRO ROSE & CO LLC 64,001 464,000 1.85%
13 Thomas J. Herzfeld Advisors, Inc. 44,962 326,000 1.30%
14 UBS Group AG 30,994 225,000 0.90%
15 Commonwealth Equity Services, Inc 30,823 224,000 0.89%
16 HL FINANCIAL SERVICES LLC 29,998 218,000 0.87%
17 CORNERSTONE ADVISORS INC 25,305 184,000 0.73%
18 AQR ARBITRAGE LLC 12,837 93,000 0.37%
19 Arbiter Partners Capital Management LLC 11,963 87,000 0.35%
20 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 10,916 79,000 0.31%
21 Virtu KCG Holdings LLC 10,644 77,000 0.31%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 8,625 63,000 0.25%
23 SIGNATUREFD, LLC 5,270 38,000 0.15%
24 AMERICAN INTERNATIONAL GROUP, INC. 4,566 33,149 0.13%
25 MSI Financial Services Inc 3,270 24,000 0.10%
26 SEARLE & CO. 2,552 18,000 0.07%
27 Tower Research Capital LLC (TRC) 1,857 13,000 0.05%
28 HUNTINGTON NATIONAL BANK 861 6,000 0.02%
29 DEUTSCHE BANK AG\ 24 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.