| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 1,154,388 | 27,013,000 | 36.27% | PRN | |
| 2 | BANK OF AMERICA CORP /DE/ | 415,061 | 9,712,000 | 13.04% | ||
| 3 | MORGAN STANLEY | 372,511 | 8,717,000 | 11.70% | ||
| 4 | ROYAL BANK OF CANADA | 199,760 | 4,674,000 | 6.28% | ||
| 5 | Invesco Ltd. | 167,782 | 3,926,000 | 5.27% | ||
| 6 | WELLS FARGO & COMPANY/MN | 166,350 | 3,893,000 | 5.23% | ||
| 7 | DOLIVER ADVISORS, LP | 105,886 | 2,485,000 | 3.34% | ||
| 8 | UBS Group AG | 84,674 | 1,981,000 | 2.66% | ||
| 9 | RAYMOND JAMES & ASSOCIATES | 74,286 | 1,738,000 | 2.33% | ||
| 10 | USCA RIA LLC | 70,960 | 1,660,000 | 2.23% | ||
| 11 | ASHFORD CAPITAL MANAGEMENT INC | 50,767 | 1,188,000 | 1.59% | ||
| 12 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 42,558 | 957,000 | 1.28% | ||
| 13 | CONNING INC. | 37,462 | 877,000 | 1.18% | ||
| 14 | COHEN & STEERS, INC. | 36,676 | 858,000 | 1.15% | ||
| 15 | Commonwealth Equity Services, Inc | 19,893 | 466,000 | 0.63% | ||
| 16 | Raymond James Financial Services Advisors, Inc. | 17,641 | 413,000 | 0.55% | ||
| 17 | BB&T SECURITIES, LLC | 17,250 | 403,000 | 0.54% | ||
| 18 | TFS CAPITAL LLC | 16,106 | 377,000 | 0.51% | ||
| 19 | MARINER INDEPENDENT ADVISOR NETWORK, LLC | 15,460 | 361,000 | 0.48% | ||
| 20 | LPL Financial LLC | 14,812 | 349,000 | 0.47% | ||
| 21 | Sigma Planning Corp | 14,768 | 346,000 | 0.46% | ||
| 22 | SignalPoint Asset Management, LLC | 14,537 | 340,000 | 0.46% | ||
| 23 | Virtu KCG Holdings LLC | 13,119 | 307,000 | 0.41% | ||
| 24 | King Wealth Management Group | 13,073 | 306,000 | 0.41% | ||
| 25 | Janney Montgomery Scott LLC | 11,199 | 262,000 | 0.35% | ||
| 26 | STIFEL FINANCIAL CORP | 10,933 | 256,000 | 0.34% | ||
| 27 | Atria Investments, Inc | 10,500 | 248,000 | 0.33% | ||
| 28 | CITIGROUP INC | 5,056 | 118,000 | 0.16% | ||
| 29 | DEUTSCHE BANK AG\ | 3,600 | 83,000 | 0.11% | ||
| 30 | WESTPORT RESOURCES MANAGEMENT INC | 2,939 | 69,000 | 0.09% | ||
| 31 | MSI Financial Services Inc | 1,300 | 30,000 | 0.04% | ||
| 32 | MOSAIC FAMILY WEALTH, LLC | 1,132 | 27,000 | 0.04% | ||
| 33 | NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | 505 | 12,000 | 0.02% | ||
| 34 | BENJAMIN F. EDWARDS & COMPANY, INC. | 500 | 12,000 | 0.02% | ||
| 35 | Creative Planning | 300 | 7,000 | 0.01% | ||
| 36 | ADVISOR GROUP, INC. | 230 | 5,000 | 0.01% | ||
| 37 | GENEOS WEALTH MANAGEMENT INC. | 225 | 5,000 | 0.01% | ||
| 38 | PENSERRA CAPITAL MANAGEMENT LLC | 186 | 4,000 | 0.01% | ||
| 39 | WOLVERINE TRADING LP /BD | 23 | 534 | 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.
