| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 169,283 | 2,915,000 | 44.07% | ||
| 2 | Invesco Ltd. | 78,762 | 1,348,000 | 20.38% | ||
| 3 | Focused Wealth Management, Inc | 38,544 | 660,000 | 9.98% | ||
| 4 | MORGAN STANLEY | 22,721 | 389,000 | 5.88% | ||
| 5 | UBS Group AG | 21,750 | 372,000 | 5.62% | ||
| 6 | Cambridge Investment Research Advisors, Inc. | 17,205 | 295,000 | 4.46% | ||
| 7 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 14,181 | 243,000 | 3.67% | ||
| 8 | MSI Financial Services Inc | 14,026 | 240,000 | 3.63% | ||
| 9 | WELLS FARGO & COMPANY/MN | 4,049 | 69,000 | 1.04% | ||
| 10 | ADVISOR GROUP, INC. | 2,100 | 36,000 | 0.54% | ||
| 11 | BANK OF AMERICA CORP /DE/ | 2,003 | 34,000 | 0.51% | ||
| 12 | CITIGROUP INC | 800 | 14,000 | 0.21% |
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.
