Dark
Light
System
Security
CM FIN INC COM
CM FIN INC COM. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 11 Institutional holders with a total value of $7,804,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 RAYMOND JAMES & ASSOCIATES 176,700 2,755,000 35.30%
2 UBS AG 97,810 1,525,000 19.54%
3 VANGUARD GROUP INC 97,605 1,522,000 19.50%
4 STIFEL FINANCIAL CORP 45,668 712,000 9.12%
5 STEPHENS INC /AR/ 37,132 579,000 7.42%
6 CONFLUENCE INVESTMENT MANAGEMENT LLC 20,000 312,000 4.00%
7 OPPENHEIMER & CO INC 14,200 221,000 2.83%
8 BANQUE PICTET & CIE SA 10,955 171,000 2.19%
9 Tower Research Capital LLC (TRC) 200 3,000 0.04%
10 BARCLAYS PLC 200 3,000 0.04%
11 MORGAN STANLEY 95 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.