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MANAGED DURATION INVT GRD FU
MANAGED DURATION INVT GRD FU. Institutional holdings reported to the SEC.

Institutional Holders (2017Q1)
Portfolio Summary: 24 Institutional holders with a total value of $20,620,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Tower Research Capital LLC (TRC) 237 3,000 0.01%
2 Creative Planning 305 4,000 0.02%
3 Highlander Capital Management, LLC 414 5,000 0.02%
4 IFP ADVISORS, INC 434 6,000 0.03%
5 TOMPKINS FINANCIAL CORP 750 10,000 0.05%
6 ADVISOR GROUP, INC. 2,000 26,000 0.13%
7 Commonwealth Equity Services, Inc 10,112 133,000 0.65%
8 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 11,662 153,000 0.74%
9 RAYMOND JAMES & ASSOCIATES 17,308 228,000 1.11%
10 Sigma Planning Corp 22,795 301,000 1.46%
11 Horizon Kinetics LLC 23,293 307,000 1.49%
12 BANK OF AMERICA CORP /DE/ 29,847 394,000 1.91%
13 Tradewinds Capital Management, LLC 32,596 430,000 2.09%
14 ROYAL BANK OF CANADA 57,561 760,000 3.69%
15 Advisors Asset Management, Inc. 57,756 762,000 3.70%
16 PNC FINANCIAL SERVICES GROUP, INC. 83,400 1,100,000 5.33%
17 UBS Group AG 84,992 1,122,000 5.44%
18 MORGAN STANLEY 95,030 1,255,000 6.09%
19 NWAM LLC 101,071 1,334,000 6.47%
20 Fiera Capital Corp 118,762 1,568,000 7.60%
21 ASHFORD CAPITAL MANAGEMENT INC 129,241 1,706,000 8.27%
22 WELLS FARGO & COMPANY/MN 133,389 1,761,000 8.54%
23 SIT INVESTMENT ASSOCIATES INC 159,737 2,109,000 10.23%
24 RIVERNORTH CAPITAL MANAGEMENT, LLC 389,645 5,143,000 24.94%

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.