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CUSHING ROYALTY & INC FD
CUSHING ROYALTY & INC FD. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 26 Institutional holders with a total value of $7,629,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 136,452 1,074,000 14.08%
2 TFS CAPITAL LLC 102,972 810,000 10.62%
3 MORGAN STANLEY 99,565 784,000 10.28%
4 RIVERNORTH CAPITAL MANAGEMENT, LLC 93,820 738,000 9.67%
5 NWQ INVESTMENT MANAGEMENT COMPANY, LLC 79,390 624,000 8.18%
6 STIFEL FINANCIAL CORP 54,262 427,000 5.60%
7 ROYAL BANK OF CANADA 49,417 389,000 5.10%
8 UBS Group AG 45,914 361,000 4.73%
9 OPPENHEIMER & CO INC 45,267 356,000 4.67%
10 LPL Financial LLC 44,079 347,000 4.55%
11 Robert W. Baird & Co. Inc 36,880 290,000 3.80%
12 Cambridge Investment Research Advisors, Inc. 36,245 285,000 3.74%
13 ACG Wealth 28,017 220,000 2.88%
14 Virtu KCG Holdings LLC 25,206 198,000 2.60%
15 Private Advisor Group, LLC 25,159 198,000 2.60%
16 BANK OF AMERICA CORP /DE/ 19,300 152,000 1.99%
17 JANE STREET GROUP, LLC 17,124 135,000 1.77%
18 CUSHING ASSET MANAGEMENT, LP dba NXG INVESTMENT MANAGEMENT 11,903 94,000 1.23%
19 US BANCORP \DE\ 6,200 49,000 0.64%
20 WELLS FARGO & COMPANY/MN 3,200 25,000 0.33%
21 Pinnacle Summer Investments, Inc. 3,675 23,000 0.30%
22 THOMPSON DAVIS & CO., INC. 2,650 21,000 0.28%
23 B. Riley Wealth Management, Inc. 1,355 10,000 0.13%
24 Exchange Capital Management, Inc. 1,000 9,000 0.12%
25 BANK OF MONTREAL /CAN/ 700 6,000 0.08%
26 LADENBURG THALMANN FINANCIAL SERVICES INC. 526 4,000 0.05%

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.