| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | Tower Research Capital LLC (TRC) | 111 | 2,000 | 0.03% | ||
| 2 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 1,400 | 20,000 | 0.35% | ||
| 3 | ADVISOR GROUP, INC. | 3,018 | 43,000 | 0.75% | ||
| 4 | UBS Group AG | 5,319 | 77,000 | 1.34% | ||
| 5 | ARROW FINANCIAL CORP | 6,000 | 86,000 | 1.50% | ||
| 6 | BANK OF AMERICA CORP /DE/ | 7,822 | 113,000 | 1.97% | ||
| 7 | ROYAL BANK OF CANADA | 8,000 | 115,000 | 2.00% | ||
| 8 | WELLS FARGO & COMPANY/MN | 9,780 | 141,000 | 2.45% | ||
| 9 | MORGAN STANLEY | 23,433 | 338,000 | 5.88% | ||
| 10 | CETERA INVESTMENT ADVISERS | 31,747 | 456,000 | 7.93% | ||
| 11 | GUGGENHEIM CAPITAL LLC | 302,832 | 4,358,000 | 75.80% |
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.
