Ascent Capital Group, Inc. - 043632108
Detailed investor-level table based on 13F positions.
Early Q3 2018 data: only 1 institutional holders reported so far. The full shareholder list will grow as more funds file with the SEC.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| GAMCO INVESTORS, INC. ET AL | History | Reduced | 926,368 | 61,150 | 0.32% | 0.38% | 1 | -14,790 | -1.57% | Q2 2014 | Aug 06, 2014 |
| BROWN ADVISORY INC | History | Added to | 856,978 | 56,569 | 0.18% | 0.17% | 2 | +131,939 | 18.2% | Q2 2014 | Aug 08, 2014 |
| VANGUARD GROUP INC | History | Reduced | 772,910 | 51,019 | 0.0% | 0.0% | 3 | -13,120 | -1.67% | Q2 2014 | Aug 11, 2014 |
| DIMENSIONAL FUND ADVISORS LP | History | Added to | 574,639 | 37,931 | 0.03% | 0.03% | 4 | +16,899 | 3.03% | Q2 2014 | Aug 08, 2014 |
| River Road Asset Management, LLC | History | Reduced | 468,913 | 30,953 | 0.41% | 0.4% | 5 | -21,141 | -4.31% | Q2 2014 | Aug 08, 2014 |
| BlackRock Institutional Trust Company, N.A. | History | Reduced | 381,544 | 25,186 | 0.0% | 0.01% | 6 | -11,858 | -3.01% | Q2 2014 | Aug 06, 2014 |
| BlackRock Fund Advisors | History | Reduced | 309,369 | 20,421 | 0.01% | 0.01% | 7 | -48,333 | -13.51% | Q2 2014 | Aug 06, 2014 |
| KIRR MARBACH & CO LLC /IN/ | History | Added to | 256,673 | 16,943 | 3.03% | 3.41% | 8 | +530 | 0.21% | Q2 2014 | Jul 24, 2014 |
| GABELLI FUNDS LLC | History | Added to | 212,400 | 14,021 | 0.07% | 0.08% | 9 | +3,200 | 1.53% | Q2 2014 | Aug 06, 2014 |
| Teton Advisors, Inc. | History | Added to | 198,679 | 13,115 | 0.87% | 0.94% | 10 | +14,679 | 7.98% | Q2 2014 | Aug 06, 2014 |
| OPPENHEIMER FUNDS INC | History | Added to | 198,534 | 13,105 | 0.01% | 0.01% | 11 | +37,910 | 23.6% | Q2 2014 | Aug 08, 2014 |
| VNBTrust, National Association | History | Added to | 113,820 | 7,513 | 3.72% | 3.26% | 12 | +25,315 | 28.6% | Q2 2014 | Jul 18, 2014 |
| PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. | History | Reduced | 106,814 | 7,051 | 0.95% | 1.11% | 13 | -773 | -0.72% | Q2 2014 | Jul 10, 2014 |
| WEATHERBIE CAPITAL, LLC | History | Reduced | 104,500 | 6,898 | 0.61% | 0.9% | 14 | -21,886 | -17.32% | Q2 2014 | Aug 08, 2014 |
| S&CO INC | History | Added to | 86,400 | 5,703 | 0.79% | 0.95% | 15 | +2,000 | 2.37% | Q2 2014 | Jul 24, 2014 |
| CREDIT SUISSE AG/ | History | Added to | 78,863 | 5,206 | 0.0% | 0.0% | 16 | +21,106 | 36.54% | Q2 2014 | Aug 11, 2014 |
| IRONWOOD INVESTMENT MANAGEMENT LLC | History | Reduced | 70,865 | 4,678 | 0.75% | 0.88% | 17 | -9,369 | -11.68% | Q2 2014 | Jul 25, 2014 |
| SCHWAB CHARLES INVESTMENT MANAGEMENT INC | History | Reduced | 69,648 | 4,598 | 0.01% | 0.01% | 18 | -2,130 | -2.97% | Q2 2014 | Jul 30, 2014 |
| MASON STREET ADVISORS, LLC | History | No change | 47,100 | 3,060 | 0.02% | 0.03% | 19 | 0 | 0.0% | Q2 2014 | Aug 05, 2014 |
| BlackRock Investment Management, LLC | History | Reduced | 43,409 | 2,865 | 0.0% | 0.01% | 20 | -3,533 | -7.53% | Q2 2014 | Aug 06, 2014 |
| Ancora Advisors, LLC | History | Added to | 38,582 | 2,547 | 0.33% | 0.4% | 21 | +1,200 | 3.21% | Q2 2014 | Jul 31, 2014 |
| CENTRAL SECURITIES CORP | History | New | 27,600 | 1,822 | 0.38% | — | 22 | +27,600 | New | Q2 2014 | Aug 11, 2014 |
| RHUMBLINE ADVISERS | History | Reduced | 19,979 | 1,319 | 0.0% | 0.0% | 23 | -130 | -0.65% | Q2 2014 | Aug 06, 2014 |
| Swiss National Bank | History | No change | 13,800 | 911 | 0.0% | 0.0% | 24 | 0 | 0.0% | Q2 2014 | Aug 06, 2014 |
| TFS CAPITAL LLC | History | Added to | 13,741 | 907 | 0.07% | 0.06% | 25 | +871 | 6.77% | Q2 2014 | Jul 21, 2014 |
| STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM | History | Added to | 13,328 | 880 | 0.0% | 0.0% | 26 | +676 | 5.34% | Q2 2014 | Aug 07, 2014 |
| Nationwide Fund Advisors | History | New | 12,201 | 805 | 0.0% | — | 27 | +12,201 | New | Q2 2014 | Aug 11, 2014 |
| BlackRock Group LTD | History | Reduced | 11,438 | 755 | 0.0% | 0.0% | 28 | -3,829 | -25.08% | Q2 2014 | Aug 06, 2014 |
| METROPOLITAN LIFE INSURANCE CO/NY | History | Reduced | 10,525 | 695 | 0.0% | 0.01% | 29 | -672 | -6.0% | Q2 2014 | Jul 31, 2014 |
| AMERICAN INTERNATIONAL GROUP INC | History | Reduced | 9,080 | 599 | 0.0% | 0.0% | 30 | -534 | -5.55% | Q2 2014 | Aug 08, 2014 |
| BLACKROCK ADVISORS LLC | History | Reduced | 8,011 | 529 | 0.0% | 20.21% | 31 | -1,442 | -15.25% | Q2 2014 | Aug 06, 2014 |
| ProShare Advisors LLC | History | Reduced | 6,681 | 441 | 0.01% | 0.01% | 32 | -7,610 | -53.25% | Q2 2014 | Aug 08, 2014 |
| Airain ltd | History | New | 4,919 | 325 | 0.03% | — | 33 | +4,919 | New | Q2 2014 | Aug 05, 2014 |
| Stanley-Laman Group, Ltd. | History | Reduced | 4,148 | 274 | 0.05% | 0.06% | 34 | -263 | -5.96% | Q2 2014 | Jul 02, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | Added to | 2,613 | 172 | 0.0% | 0.0% | 35 | +201 | 8.33% | Q2 2014 | Aug 08, 2014 |
| PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO | History | No change | 2,030 | 134 | 0.0% | 0.0% | 36 | 0 | 0.0% | Q2 2014 | Jul 16, 2014 |
| Bartlett & Co. LLC | History | No change | 1,320 | 87 | 0.0% | 0.0% | 37 | 0 | 0.0% | Q2 2014 | Aug 01, 2014 |
| RidgeWorth Capital Management LLC | History | New | 1,185 | 78 | 0.0% | — | 38 | +1,185 | New | Q2 2014 | Jul 31, 2014 |
| GREAT WEST LIFE ASSURANCE CO /CAN/ | History | No change | 803 | 53 | 0.0% | 0.0% | 39 | 0 | 0.0% | Q2 2014 | Aug 06, 2014 |
| TEACHER RETIREMENT SYSTEM OF TEXAS | History | No change | 462 | 30 | 0.0% | 0.0% | 40 | 0 | 0.0% | Q2 2014 | Aug 05, 2014 |
| BlackRock Inc. | History | Reduced | 418 | 27 | 0.0% | 0.0% | 41 | -36 | -7.93% | Q2 2014 | Aug 06, 2014 |
| SYNOVUS FINANCIAL CORP | History | No change | 261 | 17 | 0.0% | 0.0% | 42 | 0 | 0.0% | Q2 2014 | Aug 01, 2014 |
| MARKSTON INTERNATIONAL LLC | History | No change | 198 | 13 | 0.0% | 0.0% | 43 | 0 | 0.0% | Q2 2014 | Jul 29, 2014 |
| Winslow, Evans & Crocker, Inc. | History | No change | 101 | 6 | 0.0% | 0.0% | 44 | 0 | 0.0% | Q2 2014 | Jul 16, 2014 |
| WESTPORT RESOURCES MANAGEMENT INC | History | No change | 33 | 2 | 0.0% | 0.0% | 45 | 0 | 0.0% | Q2 2014 | Jul 31, 2014 |
| WHITTIER TRUST CO OF NEVADA INC | History | No change | 24 | 2 | 0.0% | 0.0% | 46 | 0 | 0.0% | Q2 2014 | Aug 04, 2014 |
| WealthTrust-Arizona, LLC | History | No change | 28 | 2 | 0.0% | 0.0% | 47 | 0 | 0.0% | Q2 2014 | Jul 22, 2014 |
| ENTERPRISE FINANCIAL SERVICES CORP | History | No change | 11 | 1 | 0.0% | 0.0% | 48 | 0 | 0.0% | Q2 2014 | Jul 24, 2014 |
| WHITTIER TRUST CO | History | No change | 12 | 1 | 0.0% | 0.0% | 49 | 0 | 0.0% | Q2 2014 | Aug 04, 2014 |
| BOSTON PRIVATE BANK & TRUST CO | History | No change | 12 | 1 | 0.0% | 0.0% | 50 | 0 | 0.0% | Q2 2014 | Jul 15, 2014 |
| Carroll Financial Associates, Inc. | History | No change | 10 | 1 | 0.0% | 0.0% | 51 | 0 | 0.0% | Q2 2014 | Aug 08, 2014 |
| BNP PARIBAS ARBITRAGE, SA | History | Closed out | 0 | 0 | — | 0.37% | — | -5,000,000 | -100.0% | Q1 2014 | May 13, 2014 |
| PRICE T ROWE ASSOCIATES INC /MD/ | History | Closed out | 0 | 0 | — | 0.02% | — | -959,040 | -100.0% | Q1 2014 | May 15, 2014 |
| JPMORGAN CHASE & CO | History | Closed out | 0 | 0 | — | 0.02% | — | -826,375 | -100.0% | Q1 2014 | May 15, 2014 |
| PRINCIPAL FINANCIAL GROUP INC | History | Closed out | 0 | 0 | — | 0.11% | — | -784,901 | -100.0% | Q1 2014 | May 13, 2014 |
| 12 West Capital Management LP | History | Closed out | 0 | 0 | — | 6.85% | — | -567,177 | -100.0% | Q1 2014 | May 15, 2014 |
| Horizon Kinetics LLC | History | Closed out | 0 | 0 | — | 0.35% | — | -365,046 | -100.0% | Q1 2014 | May 14, 2014 |
| DEUTSCHE BANK AG\ | History | Closed out | 0 | 0 | — | 0.01% | — | -258,527 | -100.0% | Q1 2014 | May 15, 2014 |
| STATE STREET CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -257,557 | -100.0% | Q1 2014 | May 15, 2014 |
| STALEY CAPITAL ADVISERS INC | History | Closed out | 0 | 0 | — | 2.12% | — | -221,000 | -100.0% | Q1 2014 | May 07, 2014 |
| JANUS CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -208,127 | -100.0% | Q1 2014 | May 15, 2014 |
| RENAISSANCE TECHNOLOGIES LLC | History | Closed out | 0 | 0 | — | 0.04% | — | -198,700 | -100.0% | Q1 2014 | May 14, 2014 |
| NORTHERN TRUST CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -183,600 | -100.0% | Q1 2014 | May 14, 2014 |
| Wallace Capital Management Inc. | History | Closed out | 0 | 0 | — | 2.96% | — | -179,296 | -100.0% | Q1 2014 | May 15, 2014 |
| LOOMIS SAYLES & CO L P | History | Closed out | 0 | 0 | — | 0.03% | — | -160,038 | -100.0% | Q1 2014 | May 15, 2014 |
| COURAGE CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 4.13% | — | -100,478 | -100.0% | Q1 2014 | May 14, 2014 |
| AMERIPRISE FINANCIAL INC | History | Closed out | 0 | 0 | — | 0.0% | — | -90,719 | -100.0% | Q1 2014 | May 14, 2014 |
| EAGLE CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -87,618 | -100.0% | Q1 2014 | May 15, 2014 |
| Clearbridge Investments, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -79,582 | -100.0% | Q1 2014 | May 15, 2014 |
| STEINBERG ASSET MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.34% | — | -76,519 | -100.0% | Q1 2014 | May 15, 2014 |
| GEODE CAPITAL MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -72,420 | -100.0% | Q1 2014 | May 14, 2014 |
| Bank of New York Mellon Corp | History | Closed out | 0 | 0 | — | 0.0% | — | -70,408 | -100.0% | Q1 2014 | May 14, 2014 |
| WEITZ INVESTMENT MANAGEMENT, INC. | History | Closed out | 0 | 0 | — | 0.17% | — | -70,000 | -100.0% | Q1 2014 | May 14, 2014 |
| TIAA CREF INVESTMENT MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -63,990 | -100.0% | Q1 2014 | May 13, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Closed out | 0 | 0 | — | 0.0% | — | -52,707 | -100.0% | Q1 2014 | May 15, 2014 |
| NGAM ADVISORS, L.P. | History | Closed out | 0 | 0 | — | 0.06% | — | -49,500 | -100.0% | Q1 2014 | May 13, 2014 |
| WELLS FARGO & COMPANY/MN | History | Closed out | 0 | 0 | — | 0.0% | — | -45,056 | -100.0% | Q1 2014 | May 15, 2014 |
| MESIROW FINANCIAL INVESTMENT MANAGEMENT US VALUE EQUITY | History | Closed out | 0 | 0 | — | 0.79% | — | -43,700 | -100.0% | Q1 2014 | Apr 22, 2014 |
| HARBER ASSET MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 3.36% | — | -35,913 | -100.0% | Q1 2014 | May 15, 2014 |
| AlphaOne Investment Services, LLC | History | Closed out | 0 | 0 | — | 0.57% | — | -32,274 | -100.0% | Q1 2014 | May 15, 2014 |
| PANAGORA ASSET MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.01% | — | -32,238 | -100.0% | Q1 2014 | May 15, 2014 |
| RUDMAN ERROL M | History | Closed out | 0 | 0 | — | 1.25% | — | -28,400 | -100.0% | Q1 2014 | May 14, 2014 |
| CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM | History | Closed out | 0 | 0 | — | 0.01% | — | -25,687 | -100.0% | Q1 2014 | May 08, 2014 |
| PARAMETRIC PORTFOLIO ASSOCIATES LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -25,340 | -100.0% | Q1 2014 | May 13, 2014 |
| ALLIANCEBERNSTEIN L.P. | History | Closed out | 0 | 0 | — | 0.0% | — | -23,754 | -100.0% | Q1 2014 | May 13, 2014 |
| ZEKE LP /PA | History | Closed out | 0 | 0 | — | 2.29% | — | -22,500 | -100.0% | Q1 2014 | May 20, 2014 |
| MAD RIVER INVESTORS | History | Closed out | 0 | 0 | — | 1.26% | — | -21,860 | -100.0% | Q1 2014 | May 06, 2014 |
| TEACHERS ADVISORS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -20,691 | -100.0% | Q1 2014 | May 13, 2014 |
| Liberty Mutual Group Asset Management Inc. | History | Closed out | 0 | 0 | — | 0.05% | — | -20,538 | -100.0% | Q1 2014 | May 14, 2014 |
| TWO SIGMA ADVISERS, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -18,991 | -100.0% | Q1 2014 | May 15, 2014 |
| FIRST MANHATTAN CO | History | Closed out | 0 | 0 | — | 0.01% | — | -18,239 | -100.0% | Q1 2014 | May 16, 2014 |
| GOLDMAN SACHS GROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -17,646 | -100.0% | Q1 2014 | May 15, 2014 |
| D. E. Shaw & Co., Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -17,100 | -100.0% | Q1 2014 | May 15, 2014 |
| CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | History | Closed out | 0 | 0 | — | 0.0% | — | -14,900 | -100.0% | Q1 2014 | Apr 18, 2014 |
| ING INVESTMENT MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -11,607 | -100.0% | Q1 2014 | May 15, 2014 |
| BRIDGEWAY CAPITAL MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.02% | — | -11,500 | -100.0% | Q1 2014 | May 15, 2014 |
| PUTNAM INVESTMENTS LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -11,284 | -100.0% | Q1 2014 | May 15, 2014 |
| Invesco Ltd. | History | Closed out | 0 | 0 | — | 0.0% | — | -11,226 | -100.0% | Q1 2014 | May 15, 2014 |
| JACOBS LEVY EQUITY MANAGEMENT, INC | History | Closed out | 0 | 0 | — | 0.01% | — | -11,200 | -100.0% | Q1 2014 | May 15, 2014 |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE | History | Closed out | 0 | 0 | — | 0.0% | — | -11,070 | -100.0% | Q1 2014 | May 15, 2014 |
| BAMCO INC /NY/ | History | Closed out | 0 | 0 | — | 0.0% | — | -10,900 | -100.0% | Q1 2014 | May 15, 2014 |
| LOS ANGELES CAPITAL MANAGEMENT & EQUITY RESEARCH INC | History | Closed out | 0 | 0 | — | 0.01% | — | -9,520 | -100.0% | Q1 2014 | May 12, 2014 |
| BARCLAYS PLC | History | Closed out | 0 | 0 | — | 0.0% | — | -8,686 | -100.0% | Q1 2014 | May 15, 2014 |
| SYMPHONY ASSET MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.06% | — | -8,381 | -100.0% | Q1 2014 | May 15, 2014 |
| TWO SIGMA INVESTMENTS LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -8,380 | -100.0% | Q1 2014 | May 15, 2014 |
| MILLENNIUM MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -8,273 | -100.0% | Q1 2014 | May 15, 2014 |
| Old West Investment Management, LLC | History | Closed out | 0 | 0 | — | 0.35% | — | -7,444 | -100.0% | Q1 2014 | May 14, 2014 |
| PDT Partners, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -7,214 | -100.0% | Q1 2014 | May 15, 2014 |
| CITADEL ADVISORS LLC | History | Closed out | 0 | 0 | — | 0.75% | — | -6,857 | -100.0% | Q1 2014 | Aug 08, 2014 |
| OMERS ADMINISTRATION Corp | History | Closed out | 0 | 0 | — | 0.01% | — | -6,000 | -100.0% | Q1 2014 | May 08, 2014 |
| A.R.T. Advisors, LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -5,903 | -100.0% | Q1 2014 | May 15, 2014 |
| AQR CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -5,851 | -100.0% | Q1 2014 | May 15, 2014 |
| CITIGROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -5,575 | -100.0% | Q1 2014 | May 15, 2014 |
| Bares Capital Management, Inc. | History | Closed out | 0 | 0 | — | 0.03% | — | -4,931 | -100.0% | Q1 2014 | May 16, 2014 |
| UBS GLOBAL ASSET MANAGEMENT AMERICAS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -4,100 | -100.0% | Q1 2014 | May 23, 2014 |
| MORGAN STANLEY | History | Closed out | 0 | 0 | — | 0.0% | — | -3,558 | -100.0% | Q1 2014 | May 13, 2014 |
| KEYBANK NATIONAL ASSOCIATION/OH | History | Closed out | 0 | 0 | — | 0.0% | — | -3,265 | -100.0% | Q1 2014 | May 14, 2014 |
| Gotham Asset Management, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -3,203 | -100.0% | Q1 2014 | May 15, 2014 |
| PALLADIUM PARTNERS LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -2,030 | -100.0% | Q1 2014 | Apr 17, 2014 |
| US BANCORP \DE\ | History | Closed out | 0 | 0 | — | 0.0% | — | -1,037 | -100.0% | Q1 2014 | May 14, 2014 |
| UBS AG | History | Closed out | 0 | 0 | — | 0.0% | — | -829 | -100.0% | Q1 2014 | May 16, 2014 |
| Tower Research Capital LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -589 | -100.0% | Q1 2014 | May 02, 2014 |
| CENTRAL BANK & TRUST CO | History | Closed out | 0 | 0 | — | 0.01% | — | -215 | -100.0% | Q1 2014 | Apr 07, 2014 |
| WFG Advisors, LP | History | Closed out | 0 | 0 | — | 0.0% | — | -209 | -100.0% | Q1 2014 | Apr 24, 2014 |
| ROYAL BANK OF CANADA | History | Closed out | 0 | 0 | — | 0.0% | — | -185 | -100.0% | Q1 2014 | May 15, 2014 |
| Creative Planning | History | Closed out | 0 | 0 | — | 0.0% | — | -63 | -100.0% | Q1 2014 | Apr 11, 2014 |
| GLENMEDE TRUST CO NA | History | Closed out | 0 | 0 | — | 0.0% | — | -36 | -100.0% | Q1 2014 | May 07, 2014 |
| Legg Mason Investment Counsel, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -15 | -100.0% | Q1 2014 | May 15, 2014 |
| TRUST DEPARTMENT MB FINANCIAL BANK N A | History | Closed out | 0 | 0 | — | 0.0% | — | -11 | -100.0% | Q1 2014 | Apr 17, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | Closed out | 0 | 0 | — | 0.0% | — | -7 | -100.0% | Q1 2014 | May 15, 2014 |
| JFS WEALTH ADVISORS, LLC | History | New | 4 | 0 | — | — | — | +4 | New | Q2 2014 | Jul 29, 2014 |
| LORING WOLCOTT & COOLIDGE FIDUCIARY ADVISORS LLP/MA | History | Closed out | 0 | 0 | — | — | — | -3 | -100.0% | Q1 2014 | Apr 28, 2014 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | New | 2 | 0 | — | — | — | +2 | New | Q2 2014 | Aug 05, 2014 |
| First City Capital Management, Inc. | History | Closed out | 0 | 0 | — | — | — | -1 | -100.0% | Q1 2014 | May 19, 2014 |
| CENTRAL TRUST & INVESTMENT CO | History | No change | 5 | 0 | — | — | — | 0 | 0.0% | Q2 2014 | Jul 09, 2014 |
| NEW ENGLAND SECURITIES CORP /MA/ | History | No change | 2 | 0 | — | — | — | 0 | 0.0% | Q2 2014 | Aug 04, 2014 |