| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 1,177,888 | 25,219,000 | 34.60% | PRN | |
| 2 | BANK OF AMERICA CORP /DE/ | 455,651 | 9,756,000 | 13.39% | ||
| 3 | SIT INVESTMENT ASSOCIATES INC | 338,575 | 7,249,000 | 9.95% | ||
| 4 | MORGAN STANLEY | 248,618 | 5,323,000 | 7.30% | ||
| 5 | Invesco Ltd. | 152,771 | 3,271,000 | 4.49% | ||
| 6 | WELLS FARGO & COMPANY/MN | 132,416 | 2,835,000 | 3.89% | ||
| 7 | RAYMOND JAMES & ASSOCIATES | 122,505 | 2,623,000 | 3.60% | ||
| 8 | UBS Group AG | 76,281 | 1,633,000 | 2.24% | ||
| 9 | USCA RIA LLC | 70,605 | 1,512,000 | 2.07% | ||
| 10 | DOLIVER ADVISORS, LP | 64,321 | 1,377,000 | 1.89% | ||
| 11 | 1607 Capital Partners, LLC | 63,104 | 1,351,000 | 1.85% | ||
| 12 | ASHFORD CAPITAL MANAGEMENT INC | 57,511 | 1,231,000 | 1.69% | ||
| 13 | STIFEL FINANCIAL CORP | 49,425 | 1,057,000 | 1.45% | ||
| 14 | ROYAL BANK OF CANADA | 48,636 | 1,041,000 | 1.43% | ||
| 15 | CONNING INC. | 38,119 | 816,000 | 1.12% | ||
| 16 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 38,562 | 814,000 | 1.12% | ||
| 17 | Karpus Management, Inc. | 35,250 | 755,000 | 1.04% | ||
| 18 | CITIGROUP INC | 30,851 | 661,000 | 0.91% | ||
| 19 | LPL Financial LLC | 22,566 | 483,000 | 0.66% | ||
| 20 | Weiss Asset Management LP | 21,065 | 451,000 | 0.62% | ||
| 21 | BB&T SECURITIES, LLC | 17,250 | 401,000 | 0.55% | ||
| 22 | Janney Montgomery Scott LLC | 16,182 | 346,000 | 0.47% | ||
| 23 | Sigma Planning Corp | 16,042 | 343,000 | 0.47% | ||
| 24 | MARINER INDEPENDENT ADVISOR NETWORK, LLC | 15,460 | 331,000 | 0.45% | ||
| 25 | SignalPoint Asset Management, LLC | 14,548 | 311,000 | 0.43% | ||
| 26 | Squarepoint Ops LLC | 13,100 | 280,000 | 0.38% | ||
| 27 | King Wealth Management Group | 13,073 | 280,000 | 0.38% | ||
| 28 | Raymond James Financial Services Advisors, Inc. | 12,528 | 268,000 | 0.37% | ||
| 29 | PARK NATIONAL CORP /OH/ | 12,000 | 257,000 | 0.35% | ||
| 30 | Commonwealth Equity Services, Inc | 11,810 | 253,000 | 0.35% | ||
| 31 | COHEN & STEERS, INC. | 4,487 | 96,000 | 0.13% | ||
| 32 | MANUFACTURERS LIFE INSURANCE COMPANY, THE | 3,000 | 64,000 | 0.09% | ||
| 33 | DEUTSCHE BANK AG\ | 2,500 | 53,000 | 0.07% | ||
| 34 | FIFTH THIRD BANCORP | 2,000 | 43,000 | 0.06% | ||
| 35 | MSI Financial Services Inc | 1,300 | 28,000 | 0.04% | ||
| 36 | MOSAIC FAMILY WEALTH, LLC | 1,132 | 24,000 | 0.03% | ||
| 37 | NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | 750 | 16,000 | 0.02% | ||
| 38 | BENJAMIN F. EDWARDS & COMPANY, INC. | 500 | 11,000 | 0.02% | ||
| 39 | Creative Planning | 300 | 6,000 | 0.01% | ||
| 40 | PENSERRA CAPITAL MANAGEMENT LLC | 281 | 6,000 | 0.01% | ||
| 41 | ADVISOR GROUP, INC. | 230 | 5,000 | 0.01% | ||
| 42 | NEXT Financial Group, Inc | 200 | 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.
