| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 1,154,388 | 23,723,000 | 35.02% | PRN | |
| 2 | BANK OF AMERICA CORP /DE/ | 546,617 | 11,233,000 | 16.58% | ||
| 3 | MORGAN STANLEY | 360,914 | 7,417,000 | 10.95% | ||
| 4 | WELLS FARGO & COMPANY/MN | 275,326 | 5,658,000 | 8.35% | ||
| 5 | Invesco Ltd. | 220,346 | 4,529,000 | 6.68% | ||
| 6 | ROYAL BANK OF CANADA | 136,771 | 2,811,000 | 4.15% | ||
| 7 | UBS Group AG | 119,795 | 2,462,000 | 3.63% | ||
| 8 | SIT INVESTMENT ASSOCIATES INC | 105,119 | 2,160,000 | 3.19% | ||
| 9 | RAYMOND JAMES & ASSOCIATES | 89,807 | 1,846,000 | 2.72% | ||
| 10 | CONNING INC. | 34,778 | 715,000 | 1.06% | ||
| 11 | ASHFORD CAPITAL MANAGEMENT INC | 32,850 | 675,000 | 1.00% | ||
| 12 | USCA RIA LLC | 30,630 | 629,000 | 0.93% | ||
| 13 | LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | 23,932 | 492,000 | 0.73% | ||
| 14 | MARINER INVESTMENT GROUP LLC | 20,969 | 431,000 | 0.64% | ||
| 15 | SignalPoint Asset Management, LLC | 17,681 | 396,000 | 0.58% | ||
| 16 | LPL Financial LLC | 19,190 | 394,000 | 0.58% | ||
| 17 | BB&T SECURITIES, LLC | 17,248 | 354,000 | 0.52% | ||
| 18 | Janney Montgomery Scott LLC | 16,589 | 340,904 | 0.50% | ||
| 19 | DOLIVER ADVISORS, LP | 16,538 | 340,000 | 0.50% | ||
| 20 | COHEN & STEERS, INC. | 13,341 | 274,000 | 0.40% | ||
| 21 | King Wealth Management Group | 13,150 | 270,000 | 0.40% | ||
| 22 | Sigma Planning Corp | 11,330 | 233,000 | 0.34% | ||
| 23 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 6,050 | 124,000 | 0.18% | ||
| 24 | WOLVERINE ASSET MANAGEMENT LLC | 4,894 | 100,000 | 0.15% | ||
| 25 | DEUTSCHE BANK AG\ | 2,500 | 51,000 | 0.08% | ||
| 26 | CITIGROUP INC | 2,242 | 46,000 | 0.07% | ||
| 27 | MSI Financial Services Inc | 1,300 | 27,000 | 0.04% | ||
| 28 | Tower Research Capital LLC (TRC) | 665 | 14,000 | 0.02% | ||
| 29 | AMERICAN INTERNATIONAL GROUP, INC. | 230 | 4,727 | 0.01% | ||
| 30 | BlackRock Investment Management, LLC | 4 | 0 | 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.
