| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD | 423,059 | 5,986,000 | 24.71% | ||
| 2 | MORGAN STANLEY | 328,924 | 4,655,000 | 19.21% | ||
| 3 | MARINER INVESTMENT GROUP LLC | 167,165 | 2,365,000 | 9.76% | ||
| 4 | Intersect Capital LLC | 177,694 | 2,246,000 | 9.27% | ||
| 5 | Yorktown Management & Research Co Inc | 110,000 | 1,557,000 | 6.43% | ||
| 6 | UBS Group AG | 99,918 | 1,414,000 | 5.84% | ||
| 7 | JPMORGAN CHASE & CO | 77,553 | 1,097,000 | 4.53% | ||
| 8 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 61,944 | 877,000 | 3.62% | ||
| 9 | Invesco Ltd. | 55,207 | 781,000 | 3.22% | ||
| 10 | BANK OF AMERICA CORP /DE/ | 28,648 | 405,000 | 1.67% | ||
| 11 | GUGGENHEIM CAPITAL LLC | 25,911 | 366,000 | 1.51% | ||
| 12 | LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | 24,599 | 348,000 | 1.44% | ||
| 13 | LPL Financial LLC | 23,500 | 332,000 | 1.37% | ||
| 14 | Cetera Advisor Networks LLC | 20,580 | 292,000 | 1.21% | ||
| 15 | BOOTHBAY FUND MANAGEMENT, LLC | 19,666 | 278,000 | 1.15% | ||
| 16 | AQR ARBITRAGE LLC | 15,240 | 216,000 | 0.89% | ||
| 17 | RELATIVE VALUE PARTNERS GROUP, LLC | 14,313 | 203,000 | 0.84% | ||
| 18 | USCA RIA LLC | 13,750 | 195,000 | 0.80% | ||
| 19 | Cambridge Investment Research Advisors, Inc. | 11,050 | 156,000 | 0.64% | ||
| 20 | PNC FINANCIAL SERVICES GROUP, INC. | 9,350 | 132,000 | 0.54% | ||
| 21 | WELLS FARGO & COMPANY/MN | 8,754 | 124,000 | 0.51% | ||
| 22 | ROYAL BANK OF CANADA | 4,675 | 66,000 | 0.27% | ||
| 23 | SIGNATUREFD, LLC | 3,750 | 53,000 | 0.22% | ||
| 24 | Creative Planning | 2,095 | 30,000 | 0.12% | ||
| 25 | Thomas J. Herzfeld Advisors, Inc. | 1,471 | 21,000 | 0.09% | ||
| 26 | WFG Advisors, LP | 1,000 | 14,000 | 0.06% | ||
| 27 | GUPTA WEALTH MANAGEMENT LLC | 1,000 | 14,000 | 0.06% | ||
| 28 | CITIGROUP INC | 369 | 5,000 | 0.02% |
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.
