| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | UBS Group AG | 1,258,621 | 11,604,000 | 13.77% | ||
| 2 | MORGAN STANLEY | 1,074,640 | 9,909,000 | 11.76% | ||
| 3 | CREDIT SUISSE AG/ | 818,628 | 7,548,000 | 8.96% | ||
| 4 | Advisors Asset Management, Inc. | 818,361 | 7,545,000 | 8.95% | ||
| 5 | DEUTSCHE BANK AG\ | 624,701 | 5,759,000 | 6.83% | ||
| 6 | TAM Capital Management Inc. | 587,634 | 5,417,000 | 6.43% | ||
| 7 | STEELHEAD PARTNERS LLC | 586,529 | 5,408,000 | 6.42% | ||
| 8 | PVG Asset Management | 474,156 | 4,371,726 | 5.19% | ||
| 9 | RIVERNORTH CAPITAL MANAGEMENT, LLC | 437,770 | 4,036,000 | 4.79% | ||
| 10 | MANGROVE PARTNERS IM, LLC | 401,285 | 3,700,000 | 4.39% | ||
| 11 | KEMPER Corp | 390,000 | 3,596,000 | 4.27% | ||
| 12 | JPMORGAN CHASE & CO | 271,319 | 2,502,000 | 2.97% | ||
| 13 | Trishield Capital Management LLC | 240,135 | 2,214,000 | 2.63% | ||
| 14 | Muzinich & Co., Inc. | 221,136 | 2,039,000 | 2.42% | ||
| 15 | BB&T SECURITIES, LLC | 121,750 | 1,122,000 | 1.33% | ||
| 16 | BOSTON PROVIDENT, L.P. | 96,227 | 887,000 | 1.05% | ||
| 17 | ROYAL BANK OF CANADA | 91,700 | 845,000 | 1.00% | ||
| 18 | Yorktown Management & Research Co Inc | 81,200 | 749,000 | 0.89% | ||
| 19 | BRINKER CAPITAL INC | 51,244 | 472,000 | 0.56% | ||
| 20 | HOTCHKIS & WILEY CAPITAL MANAGEMENT LLC | 49,347 | 455,000 | 0.54% | ||
| 21 | GOLDMAN SACHS GROUP INC | 45,927 | 423,000 | 0.50% | ||
| 22 | GUGGENHEIM CAPITAL LLC | 45,220 | 417,000 | 0.49% | ||
| 23 | GSA CAPITAL PARTNERS LLP | 41,607 | 384,000 | 0.46% | ||
| 24 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 33,438 | 308,000 | 0.37% | ||
| 25 | PORTLAND INVESTMENT COUNSEL INC. | 32,247 | 297,000 | 0.35% | SH | |
| 26 | NORTHERN TRUST CORP | 28,500 | 263,000 | 0.31% | ||
| 27 | MILLENNIUM MANAGEMENT LLC | 23,853 | 220,000 | 0.26% | ||
| 28 | BESSEMER GROUP INC | 22,957 | 212,000 | 0.25% | ||
| 29 | BARCLAYS PLC | 22,604 | 203,000 | 0.24% | ||
| 30 | B. Riley Wealth Management, Inc. | 19,900 | 183,000 | 0.22% | ||
| 31 | STIFEL FINANCIAL CORP | 18,855 | 174,000 | 0.21% | ||
| 32 | CITIGROUP INC | 17,413 | 160,000 | 0.19% | ||
| 33 | FOUNDERS FINANCIAL SECURITIES LLC | 13,538 | 125,000 | 0.15% | ||
| 34 | Freestone Capital Holdings, LLC | 11,285 | 104,000 | 0.12% | ||
| 35 | PNC FINANCIAL SERVICES GROUP, INC. | 10,000 | 92,000 | 0.11% | ||
| 36 | Fiera Capital Corp | 10,000 | 92,000 | 0.11% | ||
| 37 | BANK OF AMERICA CORP /DE/ | 9,762 | 90,000 | 0.11% | ||
| 38 | WELLS FARGO & COMPANY/MN | 9,466 | 88,000 | 0.10% | ||
| 39 | WESTPORT RESOURCES MANAGEMENT INC | 7,600 | 70,000 | 0.08% | ||
| 40 | Tower Research Capital LLC (TRC) | 6,736 | 62,000 | 0.07% | ||
| 41 | SIGNATUREFD, LLC | 5,000 | 46,000 | 0.05% | ||
| 42 | Edge Wealth Management LLC | 3,300 | 31,000 | 0.04% | ||
| 43 | AMERICAN INTERNATIONAL GROUP, INC. | 2,000 | 18,440 | 0.02% | ||
| 44 | Red Rocks Capital LLC | 1,291 | 12,000 | 0.01% | ||
| 45 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 1,000 | 9,000 | 0.01% | ||
| 46 | Regal Investment Advisors LLC | 950 | 8,000 | 0.01% | ||
| 47 | Hudock, Inc. | 450 | 4,000 | 0.00% | ||
| 48 | US BANCORP \DE\ | 200 | 2,000 | 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.
