DOW 30SM ENHANCED PREM & INC - 260537105
Detailed investor-level table based on 13F positions.
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WELLS FARGO & COMPANY/MN | History | No change | 440,760 | 5,906 | 0.0% | 0.0% | 1 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Invesco Ltd. | History | No change | 416,992 | 5,587 | 0.0% | 0.0% | 2 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| GUGGENHEIM CAPITAL LLC | History | No change | 401,351 | 5,379 | 0.02% | 0.02% | 3 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| RAYMOND JAMES & ASSOCIATES | History | No change | 250,682 | 3,359 | 0.02% | 0.02% | 4 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| Advisors Asset Management, Inc. | History | No change | 230,653 | 3,091 | 0.05% | 0.05% | 5 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| MORGAN STANLEY | History | No change | 214,625 | 2,876 | 0.0% | 0.0% | 6 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| BANK OF AMERICA CORP /DE/ | History | No change | 200,583 | 2,688 | 0.0% | 0.0% | 7 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| UBS AG | History | No change | 189,870 | 2,544 | 0.0% | 0.0% | 8 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| LPL Financial LLC | History | Added to | 161,360 | 2,217 | 0.01% | 0.01% | 9 | +8,013 | 5.23% | Q2 2014 | Aug 05, 2014 |
| Aviance Capital Partners, LLC | History | Added to | 134,975 | 1,855 | 0.72% | 0.64% | 10 | +22,850 | 20.38% | Q2 2014 | Aug 01, 2014 |
| BBK Capital Partners, LLC | History | No change | 130,748 | 1,749 | 1.22% | 1.22% | 11 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Concert Wealth Management Inc. | History | Added to | 68,439 | 919 | 0.11% | 0.11% | 12 | +48 | 0.07% | Q2 2014 | Jul 31, 2014 |
| Puplava Financial Services, Inc. | History | Added to | 59,900 | 823 | 0.32% | 0.33% | 13 | +2,350 | 4.08% | Q2 2014 | Jul 23, 2014 |
| Benchmark Capital Advisors | History | No change | 47,000 | 646 | 0.4% | 0.44% | 14 | 0 | 0.0% | Q2 2014 | Aug 06, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | No change | 38,520 | 517 | 0.02% | 0.02% | 15 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Cambridge Investment Research Advisors, Inc. | History | Reduced | 30,907 | 425 | 0.01% | 0.02% | 16 | -1,809 | -5.53% | Q2 2014 | Jul 25, 2014 |
| Shaker Financial Services, LLC | History | New | 30,710 | 422 | 0.26% | — | 17 | +30,710 | New | Q2 2014 | Aug 04, 2014 |
| First Allied Advisory Services, Inc. | History | No change | 29,100 | 387 | 0.03% | 0.03% | 18 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | Added to | 23,883 | 328 | 0.01% | 0.01% | 19 | +5,242 | 28.12% | Q2 2014 | Aug 05, 2014 |
| KEYBANK NATIONAL ASSOCIATION/OH | History | No change | 24,410 | 327 | 0.0% | 0.0% | 20 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| ROYAL BANK OF CANADA | History | No change | 22,588 | 303 | 0.0% | 0.0% | 21 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| BNP PARIBAS ARBITRAGE, SA | History | No change | 21,817 | 294 | 0.0% | 0.0% | 22 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| Commonwealth Equity Services, Inc | History | Added to | 15,771 | 217 | 0.0% | 0.0% | 23 | +1,574 | 11.09% | Q2 2014 | Jul 23, 2014 |
| FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. | History | No change | 14,435 | 198 | 0.0% | 0.0% | 24 | 0 | 0.0% | Q2 2014 | Aug 11, 2014 |
| AMERICAN INTERNATIONAL GROUP INC | History | Added to | 13,369 | 183 | 0.0% | 0.0% | 25 | +8,019 | 149.89% | Q2 2014 | Aug 08, 2014 |
| National Planning Corp | History | No change | 13,100 | 180 | 0.01% | 0.02% | 26 | 0 | 0.0% | Q2 2014 | Jul 16, 2014 |
| GOLDMAN SACHS GROUP INC | History | No change | 10,665 | 143 | 0.0% | 0.0% | 27 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| MetLife Securities, Inc | History | Reduced | 7,155 | 98 | 0.01% | 0.02% | 28 | -5,510 | -43.51% | Q2 2014 | Aug 04, 2014 |
| CITIGROUP INC | History | No change | 6,079 | 81 | 0.0% | 0.0% | 29 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| SECURITY NATIONAL TRUST CO | History | No change | 4,475 | 62 | 0.02% | 0.02% | 30 | 0 | 0.0% | Q2 2014 | Jul 14, 2014 |
| BANK OF MONTREAL /CAN/ | History | No change | 2,223 | 30 | 0.0% | 0.0% | 31 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| WESTPORT RESOURCES MANAGEMENT INC | History | No change | 1,500 | 21 | 0.01% | 0.01% | 32 | 0 | 0.0% | Q2 2014 | Jul 31, 2014 |
| EDELMAN FINANCIAL GROUP INC. | History | No change | 1,449 | 20 | 0.0% | 0.0% | 33 | 0 | 0.0% | Q2 2014 | Aug 08, 2014 |
| Creative Planning | History | No change | 1,167 | 16 | 0.0% | 0.0% | 34 | 0 | 0.0% | Q1 2014 | Apr 11, 2014 |
| Partnervest Advisory Services LLC | History | No change | 1,020 | 14 | 0.01% | 0.01% | 35 | 0 | 0.0% | Q1 2014 | May 12, 2014 |
| NEW ENGLAND SECURITIES CORP /MA/ | History | Reduced | 825 | 11 | 0.0% | 0.01% | 36 | -750 | -47.62% | Q2 2014 | Aug 04, 2014 |
| Tower Research Capital LLC | History | No change | 270 | 4 | 0.0% | 0.0% | 37 | 0 | 0.0% | Q1 2014 | May 02, 2014 |
| Fisher Asset Management, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -12,900 | -100.0% | Q2 2014 | Jul 25, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -1,530 | -100.0% | Q2 2014 | Aug 08, 2014 |
| Sanctuary Wealth Advisors, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -1,041 | -100.0% | Q2 2014 | Jul 29, 2014 |