| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | MORGAN STANLEY | 821,657 | 13,278,000 | 24.95% | ||
| 2 | RIVERNORTH CAPITAL MANAGEMENT, LLC | 791,041 | 12,783,000 | 24.02% | ||
| 3 | CREDIT SUISSE AG/ | 522,036 | 8,436,000 | 15.85% | ||
| 4 | GUGGENHEIM CAPITAL LLC | 335,607 | 5,423,000 | 10.19% | ||
| 5 | WELLS FARGO & COMPANY/MN | 263,269 | 4,254,000 | 7.99% | ||
| 6 | GEODE CAPITAL MANAGEMENT, LLC | 110,288 | 1,782,000 | 3.35% | PRN | |
| 7 | UBS AG | 95,885 | 1,550,000 | 2.91% | ||
| 8 | BANK OF AMERICA CORP /DE/ | 95,886 | 1,550,000 | 2.91% | ||
| 9 | DOLIVER ADVISORS, LP | 59,973 | 969,000 | 1.82% | ||
| 10 | ROYAL BANK OF CANADA | 37,035 | 598,000 | 1.12% | ||
| 11 | BARCLAYS PLC | 31,545 | 505,000 | 0.95% | ||
| 12 | HighTower Advisors, LLC | 27,430 | 443,000 | 0.83% | ||
| 13 | LPL Financial LLC | 25,909 | 419,000 | 0.79% | ||
| 14 | MSI Financial Services Inc | 25,645 | 414,000 | 0.78% | ||
| 15 | MARINER INVESTMENT GROUP LLC | 24,019 | 388,000 | 0.73% | ||
| 16 | Winfield Associates, Inc. | 12,900 | 208,000 | 0.39% | ||
| 17 | B. Riley Wealth Advisors, Inc. | 4,500 | 72,720 | 0.14% | ||
| 18 | Creative Planning | 3,225 | 52,000 | 0.10% | ||
| 19 | ENVESTNET ASSET MANAGEMENT INC | 2,000 | 32,000 | 0.06% | ||
| 20 | US BANCORP \DE\ | 1,500 | 24,000 | 0.05% | ||
| 21 | DEUTSCHE BANK AG\ | 1,170 | 18,000 | 0.03% | ||
| 22 | CITIGROUP INC | 1,051 | 17,000 | 0.03% | ||
| 23 | AMERIPRISE FINANCIAL INC | 200 | 3,000 | 0.01% | ||
| 24 | B. Riley Wealth Management, Inc. | 200 | 3,000 | 0.01% |
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.
