| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 1,154,388 | 24,612,000 | 40.25% | PRN | |
| 2 | BANK OF AMERICA CORP /DE/ | 387,365 | 8,258,000 | 13.50% | ||
| 3 | MORGAN STANLEY | 267,296 | 5,699,000 | 9.32% | ||
| 4 | WELLS FARGO & COMPANY/MN | 244,904 | 5,221,000 | 8.54% | ||
| 5 | Invesco Ltd. | 192,183 | 4,097,000 | 6.70% | ||
| 6 | ROYAL BANK OF CANADA | 164,468 | 3,506,000 | 5.73% | ||
| 7 | RAYMOND JAMES & ASSOCIATES | 80,986 | 1,727,000 | 2.82% | ||
| 8 | UBS Group AG | 67,529 | 1,440,000 | 2.35% | ||
| 9 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 42,427 | 926,000 | 1.51% | ||
| 10 | ASHFORD CAPITAL MANAGEMENT INC | 38,305 | 817,000 | 1.34% | ||
| 11 | USCA RIA LLC | 38,030 | 811,000 | 1.33% | ||
| 12 | CONNING INC. | 36,120 | 770,000 | 1.26% | ||
| 13 | BB&T SECURITIES, LLC | 17,250 | 367,000 | 0.60% | ||
| 14 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 16,712 | 356,000 | 0.58% | ||
| 15 | COHEN & STEERS, INC. | 16,141 | 344,000 | 0.56% | ||
| 16 | Raymond James Financial Services Advisors, Inc. | 15,918 | 339,000 | 0.55% | ||
| 17 | LPL Financial LLC | 14,216 | 311,000 | 0.51% | ||
| 18 | SignalPoint Asset Management, LLC | 14,338 | 306,000 | 0.50% | ||
| 19 | King Wealth Management Group | 13,173 | 281,000 | 0.46% | ||
| 20 | Sigma Planning Corp | 11,599 | 247,000 | 0.40% | ||
| 21 | PINNACLE FINANCIAL PARTNERS INC | 11,365 | 242,000 | 0.40% | ||
| 22 | STIFEL FINANCIAL CORP | 9,450 | 201,000 | 0.33% | ||
| 23 | DEUTSCHE BANK AG\ | 3,600 | 76,000 | 0.12% | ||
| 24 | CITIGROUP INC | 3,242 | 69,000 | 0.11% | ||
| 25 | MSI Financial Services Inc | 1,300 | 28,000 | 0.05% | ||
| 26 | MOSAIC FAMILY WEALTH, LLC | 1,132 | 24,000 | 0.04% | ||
| 27 | REILLY FINANCIAL ADVISORS, LLC | 1,000 | 21,000 | 0.03% | ||
| 28 | BENJAMIN F. EDWARDS & COMPANY, INC. | 1,000 | 21,000 | 0.03% | ||
| 29 | HOWE & RUSLING INC | 400 | 9,000 | 0.01% | PRN | |
| 30 | Tower Research Capital LLC (TRC) | 400 | 9,000 | 0.01% | ||
| 31 | Creative Planning | 300 | 6,000 | 0.01% | ||
| 32 | AMERICAN INTERNATIONAL GROUP, INC. | 230 | 5,000 | 0.01% | ||
| 33 | PENSERRA CAPITAL MANAGEMENT LLC | 199 | 4,000 | 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.
