Dark
Light
System
Security
MANAGED DURATION INVT GRD FU
MANAGED DURATION INVT GRD FU. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 22 Institutional holders with a total value of $15,671,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SIT INVESTMENT ASSOCIATES INC 169,737 2,227,000 14.21%
2 MORGAN STANLEY 168,050 2,205,000 14.07%
3 ASHFORD CAPITAL MANAGEMENT INC 128,520 1,686,000 10.76%
4 Fiera Capital Corp 119,373 1,566,000 9.99%
5 WELLS FARGO & COMPANY/MN 105,055 1,378,000 8.79%
6 Advisors Asset Management, Inc. 104,656 1,373,000 8.76%
7 PNC FINANCIAL SERVICES GROUP, INC. 83,400 1,095,000 6.99%
8 RIVERNORTH CAPITAL MANAGEMENT, LLC 64,861 851,000 5.43%
9 ROYAL BANK OF CANADA 52,544 689,000 4.40%
10 UBS Group AG 39,818 523,000 3.34%
11 Tradewinds Capital Management, LLC 32,596 428,000 2.73%
12 Horizon Kinetics LLC 31,893 418,000 2.67%
13 BANK OF AMERICA CORP /DE/ 29,864 392,000 2.50%
14 Sigma Planning Corp 22,795 299,000 1.91%
15 RAYMOND JAMES & ASSOCIATES 17,308 227,000 1.45%
16 Janney Montgomery Scott LLC 10,730 141,000 0.90%
17 Commonwealth Equity Services, Inc 10,012 131,000 0.84%
18 ADVISOR GROUP, INC. 2,000 26,000 0.17%
19 IFP ADVISORS, INC 434 6,000 0.04%
20 Highlander Capital Management, LLC 414 5,000 0.03%
21 Creative Planning 305 4,000 0.03%
22 Tower Research Capital LLC (TRC) 100 1,000 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.