| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | Advisors Asset Management, Inc. | 99,751 | 1,394,000 | 25.46% | ||
| 2 | GUGGENHEIM CAPITAL LLC | 95,728 | 1,337,000 | 24.42% | ||
| 3 | BANK OF AMERICA CORP /DE/ | 35,638 | 498,000 | 9.09% | ||
| 4 | UBS Group AG | 24,188 | 338,000 | 6.17% | ||
| 5 | Horizon Kinetics LLC | 23,600 | 330,000 | 6.03% | ||
| 6 | WELLS FARGO & COMPANY/MN | 23,150 | 323,000 | 5.90% | ||
| 7 | HighTower Advisors, LLC | 17,550 | 245,000 | 4.47% | ||
| 8 | Tradewinds Capital Management, LLC | 17,000 | 237,000 | 4.33% | ||
| 9 | MORGAN STANLEY | 14,742 | 206,000 | 3.76% | ||
| 10 | OPPENHEIMER & CO INC | 14,500 | 203,000 | 3.71% | ||
| 11 | PNC FINANCIAL SERVICES GROUP, INC. | 7,000 | 98,000 | 1.79% | ||
| 12 | NEW ENGLAND SECURITIES CORP /MA/ | 5,280 | 74,000 | 1.35% | ||
| 13 | BENJAMIN F. EDWARDS & COMPANY, INC. | 4,750 | 66,000 | 1.21% | ||
| 14 | ROYAL BANK OF CANADA | 3,014 | 42,000 | 0.77% | ||
| 15 | MSI Financial Services Inc | 1,650 | 23,000 | 0.42% | ||
| 16 | REILLY FINANCIAL ADVISORS, LLC | 1,400 | 20,000 | 0.37% | ||
| 17 | FIFTH THIRD BANCORP | 1,400 | 20,000 | 0.37% | ||
| 18 | Creative Planning | 1,000 | 14,000 | 0.26% | ||
| 19 | CITIGROUP INC | 538 | 8,000 | 0.15% |
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.
