| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 1,154,388 | 24,739,000 | 37.74% | PRN | |
| 2 | BANK OF AMERICA CORP /DE/ | 466,548 | 9,998,000 | 15.25% | ||
| 3 | MORGAN STANLEY | 346,026 | 7,416,000 | 11.31% | ||
| 4 | WELLS FARGO & COMPANY/MN | 240,442 | 5,152,000 | 7.86% | ||
| 5 | Invesco Ltd. | 206,205 | 4,419,000 | 6.74% | ||
| 6 | ROYAL BANK OF CANADA | 153,404 | 3,288,000 | 5.02% | ||
| 7 | UBS Group AG | 89,409 | 1,916,000 | 2.92% | ||
| 8 | RAYMOND JAMES & ASSOCIATES | 71,351 | 1,529,000 | 2.33% | ||
| 9 | ASHFORD CAPITAL MANAGEMENT INC | 46,261 | 991,000 | 1.51% | ||
| 10 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 38,498 | 828,000 | 1.26% | ||
| 11 | USCA RIA LLC | 37,530 | 804,000 | 1.23% | ||
| 12 | CONNING INC. | 35,451 | 760,000 | 1.16% | ||
| 13 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 30,613 | 656,000 | 1.00% | ||
| 14 | Raymond James Financial Services Advisors, Inc. | 19,601 | 420,000 | 0.64% | ||
| 15 | BB&T SECURITIES, LLC | 16,500 | 353,000 | 0.54% | ||
| 16 | COHEN & STEERS, INC. | 16,141 | 346,000 | 0.53% | ||
| 17 | LPL Financial LLC | 15,416 | 333,000 | 0.51% | ||
| 18 | SignalPoint Asset Management, LLC | 14,331 | 307,000 | 0.47% | ||
| 19 | DEUTSCHE BANK AG\ | 14,266 | 305,000 | 0.47% | ||
| 20 | King Wealth Management Group | 13,173 | 282,000 | 0.43% | ||
| 21 | Sigma Planning Corp | 11,589 | 248,000 | 0.38% | ||
| 22 | Virtu KCG Holdings LLC | 11,234 | 241,000 | 0.37% | ||
| 23 | Creative Planning | 3,335 | 71,000 | 0.11% | ||
| 24 | CITIGROUP INC | 3,242 | 69,000 | 0.11% | ||
| 25 | MSI Financial Services Inc | 1,300 | 28,000 | 0.04% | ||
| 26 | Tower Research Capital LLC (TRC) | 1,200 | 26,000 | 0.04% | ||
| 27 | BENJAMIN F. EDWARDS & COMPANY, INC. | 500 | 11,000 | 0.02% | ||
| 28 | HOWE & RUSLING INC | 400 | 9,000 | 0.01% | PRN | |
| 29 | AMERICAN INTERNATIONAL GROUP, INC. | 230 | 5,000 | 0.01% |
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.
