| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | RIVERNORTH CAPITAL MANAGEMENT, LLC | 656,667 | 8,964,000 | 15.88% | ||
| 2 | GUGGENHEIM CAPITAL LLC | 446,941 | 6,093,000 | 10.80% | ||
| 3 | PRIVATE MANAGEMENT GROUP INC | 372,081 | 5,079,000 | 9.00% | ||
| 4 | Invesco Ltd. | 337,769 | 4,611,000 | 8.17% | ||
| 5 | UBS AG | 295,636 | 4,035,000 | 7.15% | ||
| 6 | LPL Financial LLC | 257,120 | 3,510,000 | 6.22% | ||
| 7 | WELLS FARGO & COMPANY/MN | 242,423 | 3,309,000 | 5.86% | ||
| 8 | COHEN & STEERS, INC. | 160,615 | 2,189,000 | 3.88% | ||
| 9 | Advisors Asset Management, Inc. | 160,271 | 2,184,000 | 3.87% | ||
| 10 | Thomas J. Herzfeld Advisors, Inc. | 122,607 | 1,674,000 | 2.97% | ||
| 11 | MORGAN STANLEY | 103,010 | 1,406,000 | 2.49% | ||
| 12 | WHITEBOX ADVISORS LLC | 100,000 | 1,365,000 | 2.42% | ||
| 13 | AQR CAPITAL MANAGEMENT LLC | 99,642 | 1,360,000 | 2.41% | ||
| 14 | TFS CAPITAL LLC | 89,604 | 1,223,000 | 2.17% | ||
| 15 | Apriem Advisors | 89,493 | 1,222,000 | 2.17% | ||
| 16 | ROYAL BANK OF CANADA | 65,906 | 900,000 | 1.59% | ||
| 17 | Global Endowment Management, LP | 62,000 | 845,000 | 1.50% | ||
| 18 | BANK OF AMERICA CORP /DE/ | 47,945 | 654,000 | 1.16% | ||
| 19 | Tradewinds Capital Management, LLC | 42,027 | 574,000 | 1.02% | ||
| 20 | Montecito Bank & Trust | 32,316 | 441,000 | 0.78% | ||
| 21 | Karpus Management, Inc. | 31,387 | 428,000 | 0.76% | ||
| 22 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 27,894 | 381,000 | 0.68% | ||
| 23 | Tortoise Investment Management, LLC | 27,594 | 377,000 | 0.67% | ||
| 24 | LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | 23,196 | 317,000 | 0.56% | ||
| 25 | OTA LLC | 19,704 | 268,000 | 0.47% | ||
| 26 | RAYMOND JAMES & ASSOCIATES | 18,874 | 258,000 | 0.46% | ||
| 27 | SECURITY NATIONAL TRUST CO | 18,764 | 256,000 | 0.45% | ||
| 28 | First Allied Advisory Services, Inc. | 18,410 | 251,000 | 0.44% | ||
| 29 | Raymond James Financial Services Advisors, Inc. | 17,200 | 235,000 | 0.42% | ||
| 30 | WEDBUSH SECURITIES INC | 16,330 | 223,000 | 0.40% | ||
| 31 | DOLIVER ADVISORS, LP | 13,694 | 187,000 | 0.33% | ||
| 32 | WOLVERINE ASSET MANAGEMENT LLC | 13,606 | 185,000 | 0.33% | ||
| 33 | Virtu KCG Holdings LLC | 12,345 | 168,000 | 0.30% | ||
| 34 | Cetera Advisor Networks LLC | 11,919 | 165,000 | 0.29% | ||
| 35 | OPPENHEIMER & CO INC | 12,013 | 164,000 | 0.29% | ||
| 36 | STONEBRIDGE CAPITAL MANAGEMENT INC | 11,895 | 162,000 | 0.29% | ||
| 37 | BOSTON ADVISORS LLC | 11,272 | 154,000 | 0.27% | ||
| 38 | STIFEL FINANCIAL CORP | 10,923 | 149,000 | 0.26% | ||
| 39 | Pure Financial Advisors, LLC | 10,187 | 139,000 | 0.25% | ||
| 40 | Edge Wealth Management LLC | 5,400 | 74,000 | 0.13% | ||
| 41 | AMERICAN INTERNATIONAL GROUP, INC. | 5,114 | 69,806 | 0.12% | ||
| 42 | MUFG Americas Holdings Corp | 3,914 | 53,000 | 0.09% | ||
| 43 | WHITTIER TRUST CO | 3,203 | 44,000 | 0.08% | ||
| 44 | Efficient Market Advisors, LLC | 2,023 | 28,000 | 0.05% | ||
| 45 | CITIGROUP INC | 1,935 | 26,000 | 0.05% | ||
| 46 | Gemmer Asset Management LLC | 1,023 | 14,000 | 0.02% | ||
| 47 | OPTIMUM INVESTMENT ADVISORS | 1,025 | 14,000 | 0.02% | ||
| 48 | Tower Research Capital LLC (TRC) | 309 | 4,000 | 0.01% | ||
| 49 | Creative Planning | 200 | 3,000 | 0.01% | ||
| 50 | Carroll Financial Associates, Inc. | 51 | 1,000 | 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.
