| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | BANK OF AMERICA CORP /DE/ | 2,003 | 35,000 | 0.54% | ||
| 2 | ADVISOR GROUP, INC. | 2,100 | 36,000 | 0.56% | ||
| 3 | WELLS FARGO & COMPANY/MN | 4,049 | 70,000 | 1.09% | ||
| 4 | MSI Financial Services Inc | 11,135 | 193,000 | 2.99% | ||
| 5 | UBS Group AG | 13,929 | 241,000 | 3.74% | ||
| 6 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 14,181 | 245,000 | 3.80% | ||
| 7 | Cambridge Investment Research Advisors, Inc. | 17,181 | 297,000 | 4.61% | ||
| 8 | MORGAN STANLEY | 22,721 | 393,000 | 6.09% | ||
| 9 | Focused Wealth Management, Inc | 38,528 | 667,000 | 10.34% | ||
| 10 | Invesco Ltd. | 101,989 | 1,765,000 | 27.37% | ||
| 11 | GUGGENHEIM CAPITAL LLC | 144,923 | 2,507,000 | 38.87% |
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.
