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ABERDEEN AUSTRALIA EQUITY FD
ABERDEEN AUSTRALIA EQUITY FD. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 32 Institutional holders with a total value of $20,570,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 1607 Capital Partners, LLC 1,302,085 7,057,000 34.31%
2 WELLS FARGO & COMPANY/MN 1,117,530 6,057,000 29.45%
3 GUGGENHEIM CAPITAL LLC 302,969 1,642,000 7.98%
4 LPL Financial LLC 206,685 1,137,000 5.53%
5 Trust Asset Management LLC 207,889 1,127,000 5.48%
6 CORNERSTONE ADVISORS INC 149,477 810,000 3.94%
7 SUSQUEHANNA INTERNATIONAL GROUP, LLP 90,900 497,000 2.42%
8 MORGAN STANLEY 90,405 490,000 2.38%
9 Commonwealth Equity Services, Inc 45,978 249,000 1.21%
10 GIRARD SECURITIES, INC. 34,762 188,000 0.91%
11 US BANCORP \DE\ 33,068 179,000 0.87%
12 Concert Wealth Management Inc. 31,012 170,000 0.83%
13 Alpine Global Management, LLC 27,440 149,000 0.72%
14 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 17,957 133,000 0.65%
15 M&T BANK CORP 18,079 98,000 0.48%
16 RB CAPITAL MANAGEMENT, LLC 17,462 95,000 0.46%
17 WEDBUSH SECURITIES INC 14,843 80,000 0.39%
18 UBS Group AG 12,509 68,000 0.33%
19 FIFTH THIRD BANCORP 11,601 63,000 0.31%
20 DOLIVER ADVISORS, LP 11,566 63,000 0.31%
21 ADVISOR GROUP, INC. 10,100 55,000 0.27%
22 BANK OF AMERICA CORP /DE/ 6,693 36,000 0.18%
23 Financial Management Professionals, Inc. 5,468 29,000 0.14%
24 Financial Architects, Inc 5,000 27,000 0.13%
25 ROYAL BANK OF CANADA 4,871 26,000 0.13%
26 IFP ADVISORS, INC 4,457 24,000 0.12%
27 NEXT Financial Group, Inc 2,350 13,000 0.06%
28 LADENBURG THALMANN FINANCIAL SERVICES INC. 833 5,000 0.02%
29 THOMPSON SIEGEL & WALMSLEY LLC 100 1,000 0.00%
30 Creative Planning 200 1,000 0.00%
31 GENEOS WEALTH MANAGEMENT INC. 350 1,000 0.00%
32 GLOBAL RETIREMENT PARTNERS, LLC 90 0 0.00%

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.