| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 1,154,388 | 26,840,000 | 34.77% | PRN | |
| 2 | BANK OF AMERICA CORP /DE/ | 449,930 | 10,461,000 | 13.55% | ||
| 3 | MORGAN STANLEY | 393,399 | 9,147,000 | 11.85% | ||
| 4 | ROYAL BANK OF CANADA | 224,624 | 5,371,000 | 6.96% | ||
| 5 | Invesco Ltd. | 159,471 | 3,708,000 | 4.80% | ||
| 6 | MARINER INDEPENDENT ADVISOR NETWORK, LLC | 15,460 | 3,594,000 | 4.66% | ||
| 7 | WELLS FARGO & COMPANY/MN | 152,082 | 3,536,000 | 4.58% | ||
| 8 | UBS Group AG | 91,144 | 2,119,000 | 2.75% | ||
| 9 | RAYMOND JAMES & ASSOCIATES | 91,007 | 2,116,000 | 2.74% | ||
| 10 | USCA RIA LLC | 70,105 | 1,630,000 | 2.11% | ||
| 11 | ASHFORD CAPITAL MANAGEMENT INC | 65,658 | 1,527,000 | 1.98% | ||
| 12 | DOLIVER ADVISORS, LP | 57,703 | 1,342,000 | 1.74% | ||
| 13 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 42,216 | 1,002,000 | 1.30% | ||
| 14 | CONNING INC. | 38,119 | 886,000 | 1.15% | ||
| 15 | Commonwealth Equity Services, Inc | 23,625 | 549,000 | 0.71% | ||
| 16 | LPL Financial LLC | 19,658 | 453,000 | 0.59% | ||
| 17 | Raymond James Financial Services Advisors, Inc. | 17,348 | 403,000 | 0.52% | ||
| 18 | BB&T SECURITIES, LLC | 17,250 | 401,000 | 0.52% | ||
| 19 | Janney Montgomery Scott LLC | 16,177 | 376,000 | 0.49% | ||
| 20 | Sigma Planning Corp | 16,029 | 373,000 | 0.48% | ||
| 21 | STIFEL FINANCIAL CORP | 14,758 | 343,000 | 0.44% | ||
| 22 | SignalPoint Asset Management, LLC | 14,544 | 338,000 | 0.44% | ||
| 23 | King Wealth Management Group | 13,073 | 304,000 | 0.39% | ||
| 24 | COHEN & STEERS, INC. | 4,487 | 104,000 | 0.13% | ||
| 25 | CITIGROUP INC | 3,649 | 85,000 | 0.11% | ||
| 26 | DEUTSCHE BANK AG\ | 2,500 | 58,000 | 0.08% | ||
| 27 | MSI Financial Services Inc | 1,300 | 30,000 | 0.04% | ||
| 28 | NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | 1,278 | 30,000 | 0.04% | ||
| 29 | MOSAIC FAMILY WEALTH, LLC | 1,132 | 26,000 | 0.03% | ||
| 30 | BENJAMIN F. EDWARDS & COMPANY, INC. | 500 | 12,000 | 0.02% | ||
| 31 | Creative Planning | 300 | 7,000 | 0.01% | ||
| 32 | WESTPORT RESOURCES MANAGEMENT INC | 264 | 6,000 | 0.01% | ||
| 33 | NEXT Financial Group, Inc | 200 | 5,000 | 0.01% | ||
| 34 | PENSERRA CAPITAL MANAGEMENT LLC | 250 | 5,000 | 0.01% | ||
| 35 | ADVISOR 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.
