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WESTERN ASSET GLOBAL CP DEFINE
WESTERN ASSET GLOBAL CP DEFINE. Institutional holdings reported to the SEC.

Institutional Holders (2017Q2)
Portfolio Summary: 41 Institutional holders with a total value of $78,955,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 STEWARD PARTNERS INVESTMENT ADVISORY, LLC 54 0 0.00%
2 PENSERRA CAPITAL MANAGEMENT LLC 232 4,000 0.01%
3 IFP ADVISORS, INC 300 5,000 0.01%
4 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 836 15,000 0.02%
5 D.A. DAVIDSON & CO. 1,000 17,000 0.02%
6 TCI Wealth Advisors, Inc. 1,412 25,000 0.03%
7 AllSquare Wealth Management LLC 2,000 36,000 0.05%
8 CITIGROUP INC 2,380 42,000 0.05%
9 ADVISOR GROUP, INC. 5,263 93,000 0.12%
10 TRUST CO OF VERMONT 5,350 95,000 0.12%
11 Advisors Asset Management, Inc. 7,140 127,000 0.16%
12 SG Americas Securities, LLC 9,545 170,000 0.22%
13 PNC FINANCIAL SERVICES GROUP, INC. 11,467 204,000 0.26%
14 STIFEL FINANCIAL CORP 11,684 209,000 0.26%
15 STRATEGIC FINANCIAL GROUP, LLC 16,000 285,000 0.36% PRN
16 Karpus Management, Inc. 26,141 466,000 0.59%
17 Raymond James Financial Services Advisors, Inc. 26,510 472,000 0.60%
18 Clear Harbor Asset Management, LLC 27,470 492,000 0.62%
19 OPPENHEIMER & CO INC 27,762 494,000 0.63%
20 Aviance Capital Partners, LLC 28,219 503,000 0.64%
21 Koshinski Asset Management, Inc. 33,650 599,000 0.76%
22 Shaker Financial Services, LLC 35,422 631,000 0.80%
23 PROFICIO CAPITAL PARTNERS LLC 39,353 715,000 0.91%
24 AMERIPRISE FINANCIAL INC 42,943 765,000 0.97%
25 McGowan Group Asset Management, Inc. 53,032 944,000 1.20%
26 LADENBURG THALMANN FINANCIAL SERVICES INC. 53,903 960,000 1.22%
27 RAYMOND JAMES & ASSOCIATES 56,875 1,013,000 1.28%
28 HL FINANCIAL SERVICES LLC 58,066 1,034,000 1.31%
29 PARAMETRIC PORTFOLIO ASSOCIATES LLC 71,661 1,276,000 1.62%
30 SIT INVESTMENT ASSOCIATES INC 82,555 1,470,000 1.86%
31 UBS Group AG 89,161 1,588,000 2.01%
32 COHEN & STEERS, INC. 97,989 1,745,000 2.21%
33 ROYAL BANK OF CANADA 123,537 2,200,000 2.79%
34 GUGGENHEIM CAPITAL LLC 123,958 2,208,000 2.80%
35 RIVERNORTH CAPITAL MANAGEMENT, LLC 162,856 2,900,000 3.67%
36 Invesco Ltd. 233,238 4,154,000 5.26%
37 FCA CORP /TX 251,837 4,485,000 5.68%
38 MORGAN STANLEY 435,956 7,765,000 9.83%
39 BANK OF AMERICA CORP /DE/ 456,225 8,126,000 10.29%
40 1607 Capital Partners, LLC 471,548 8,398,000 10.64%
41 WELLS FARGO & COMPANY/MN 1,247,915 22,225,000 28.15%

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.