| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 343,109 | 4,841,000 | 18.74% | ||
| 2 | UBS AG | 175,814 | 2,481,000 | 9.61% | ||
| 3 | Invesco Ltd. | 168,365 | 2,376,000 | 9.20% | PRN | |
| 4 | MORGAN STANLEY | 132,153 | 1,865,000 | 7.22% | ||
| 5 | BANK OF AMERICA CORP /DE/ | 129,615 | 1,829,000 | 7.08% | ||
| 6 | MARINER INVESTMENT GROUP LLC | 96,545 | 1,362,000 | 5.27% | ||
| 7 | PARAMETRIC PORTFOLIO ASSOCIATES LLC | 71,647 | 1,011,000 | 3.91% | ||
| 8 | Tradewinds Capital Management, LLC | 67,237 | 949,000 | 3.67% | ||
| 9 | BANK OF MONTREAL /CAN/ | 62,800 | 886,000 | 3.43% | ||
| 10 | RAYMOND JAMES & ASSOCIATES | 54,232 | 765,000 | 2.96% | ||
| 11 | LPL Financial LLC | 52,404 | 739,000 | 2.86% | ||
| 12 | ROYAL BANK OF CANADA | 50,325 | 710,000 | 2.75% | ||
| 13 | GOODWIN DANIEL L | 45,070 | 636,000 | 2.46% | ||
| 14 | WELLS FARGO & COMPANY/MN | 42,799 | 604,000 | 2.34% | ||
| 15 | STIFEL FINANCIAL CORP | 35,825 | 505,000 | 1.96% | ||
| 16 | NATIONAL PLANNING CORP | 34,450 | 486,000 | 1.88% | ||
| 17 | Argentus Capital Management, LLC | 30,253 | 427,000 | 1.65% | ||
| 18 | Capital Investment Advisors, LLC | 29,799 | 420,000 | 1.63% | ||
| 19 | Robert W. Baird & Co. Inc | 24,908 | 351,000 | 1.36% | ||
| 20 | VAN ECK ASSOCIATES CORP | 24,021 | 339,000 | 1.31% | ||
| 21 | United Asset Strategies, Inc. | 23,878 | 329,000 | 1.27% | ||
| 22 | Regent Investment Management LLC | 19,440 | 274,000 | 1.06% | ||
| 23 | Commonwealth Equity Services, Inc | 18,038 | 255,000 | 0.99% | ||
| 24 | CONNING INC. | 16,977 | 240,000 | 0.93% | ||
| 25 | Investors Capital Advisory Services | 16,835 | 237,000 | 0.92% | ||
| 26 | NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | 13,055 | 184,000 | 0.71% | ||
| 27 | CITIGROUP INC | 12,640 | 178,000 | 0.69% | ||
| 28 | Private Advisor Group, LLC | 12,530 | 177,000 | 0.69% | ||
| 29 | OPPENHEIMER & CO INC | 12,425 | 175,000 | 0.68% | ||
| 30 | US BANCORP \DE\ | 3,907 | 55,000 | 0.21% | ||
| 31 | PNC FINANCIAL SERVICES GROUP, INC. | 3,600 | 50,000 | 0.19% | ||
| 32 | DEUTSCHE BANK AG\ | 2,542 | 35,000 | 0.14% | ||
| 33 | AMERIPRISE FINANCIAL INC | 1,685 | 24,000 | 0.09% | ||
| 34 | Ledyard National Bank | 1,010 | 14,000 | 0.05% | ||
| 35 | FIFTH THIRD BANCORP | 923 | 13,000 | 0.05% | ||
| 36 | Tower Research Capital LLC (TRC) | 127 | 2,000 | 0.01% | ||
| 37 | NORTHERN TRUST CORP | 17,190 | 2,000 | 0.01% | ||
| 38 | MUFG Americas Holdings Corp | 36 | 1,000 | 0.00% | ||
| 39 | Creative Planning | 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.
