| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | UBS Group AG | 248,369 | 3,589,000 | 28.10% | ||
| 2 | Advisors Asset Management, Inc. | 185,289 | 2,677,000 | 20.96% | ||
| 3 | MORGAN STANLEY | 110,313 | 1,594,000 | 12.48% | ||
| 4 | GUGGENHEIM CAPITAL LLC | 86,092 | 1,244,000 | 9.74% | ||
| 5 | Invesco Ltd. | 84,141 | 1,216,000 | 9.52% | ||
| 6 | LPL Financial LLC | 25,912 | 375,000 | 2.94% | ||
| 7 | WELLS FARGO & COMPANY/MN | 22,178 | 320,000 | 2.51% | ||
| 8 | Tradewinds Capital Management, LLC | 19,600 | 283,000 | 2.22% | ||
| 9 | BANK OF AMERICA CORP /DE/ | 18,936 | 273,000 | 2.14% | ||
| 10 | ROYAL BANK OF CANADA | 18,195 | 263,000 | 2.06% | ||
| 11 | AQR ARBITRAGE LLC | 15,292 | 221,000 | 1.73% | ||
| 12 | DOLIVER ADVISORS, LP | 12,940 | 187,000 | 1.46% | ||
| 13 | Bank of New York Mellon Corp | 11,942 | 172,000 | 1.35% | ||
| 14 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 11,597 | 168,000 | 1.32% | ||
| 15 | Allworth Financial LP | 5,325 | 77,000 | 0.60% | ||
| 16 | HOERTKORN RICHARD CHARLES | 3,000 | 43,000 | 0.34% | ||
| 17 | CITIGROUP INC | 1,584 | 23,000 | 0.18% | ||
| 18 | AMERICAN INTERNATIONAL GROUP, INC. | 1,364 | 19,710 | 0.15% | ||
| 19 | D.A. DAVIDSON & CO. | 1,000 | 14,000 | 0.11% | ||
| 20 | BOSTON PRIVATE BANK & TRUST CO | 600 | 9,000 | 0.07% | ||
| 21 | Community Financial Services Group, LLC | 250 | 4,000 | 0.03% |
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.
