| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 118,824 | 1,744,000 | 38.30% | ||
| 2 | Invesco Ltd. | 89,345 | 1,312,000 | 28.81% | ||
| 3 | Focused Wealth Management, Inc | 33,708 | 495,000 | 10.87% | ||
| 4 | Cambridge Investment Research Advisors, Inc. | 16,704 | 245,000 | 5.38% | ||
| 5 | MORGAN STANLEY | 15,723 | 231,000 | 5.07% | ||
| 6 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 11,681 | 171,000 | 3.75% | ||
| 7 | UBS Group AG | 10,450 | 153,000 | 3.36% | ||
| 8 | CITIGROUP INC | 5,288 | 77,000 | 1.69% | ||
| 9 | WELLS FARGO & COMPANY/MN | 4,049 | 59,000 | 1.30% | ||
| 10 | BANK OF AMERICA CORP /DE/ | 2,557 | 38,000 | 0.83% | ||
| 11 | MSI Financial Services Inc | 2,000 | 29,000 | 0.64% |
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.
