Cornerstone Strategic Investment Fund, Inc. - CLM
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Alpine Global Management, LLC | History | No change | 6,833,682 | 51,662 | 8.4% | 8.4% | 1 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| BOOTHBAY FUND MANAGEMENT, LLC | History | No change | 6,736,737 | 50,929 | 0.67% | 0.67% | 2 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| PFG Investments, LLC | History | No change | 4,492,919 | 33,966 | 1.32% | 1.32% | 3 | 0 | 0.0% | Q2 2026 | Jul 23, 2026 |
| Quarry LP | History | No change | 3,476,236 | 26,280 | 2.18% | 2.18% | 4 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Sculptor Capital LP | History | No change | 3,325,694 | 25,142 | 0.2% | 0.2% | 5 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| OSAIC HOLDINGS, INC. | History | No change | 3,016,078 | 22,801 | 0.03% | 0.03% | 6 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| LPL Financial LLC | History | No change | 2,586,106 | 19,550 | 0.0% | 0.0% | 7 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| Warberg Asset Management LLC | History | Added to | 2,174,887 | 13,919 | 1.84% | 2.52% | 8 | +338,306 | 18.42% | Q3 2026 | Nov 02, 2026 |
| Cetera Investment Advisers | History | No change | 1,558,231 | 11,780 | 0.01% | 0.01% | 9 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Cable Car Capital, LP | History | No change | 1,274,106 | 9,632 | 0.21% | 0.21% | 10 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Reduced | 1,031,838 | 6,604 | 0.01% | 0.02% | 11 | -61,461 | -5.62% | Q3 2026 | Nov 02, 2026 |
| Almitas Capital LLC | History | No change | 661,789 | 5,003 | 1.2% | 1.2% | 12 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| COHEN & STEERS, INC. | History | No change | 629,931 | 4,762 | 0.01% | 0.01% | 13 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| MORGAN STANLEY | History | No change | 560,243 | 4,235 | 0.0% | 0.0% | 14 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| WJ Financial Advisors LLC | History | No change | 503,994 | 3,810 | 2.8% | 2.8% | 15 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Perennial Investment Advisors, LLC | History | No change | 484,530 | 3,663 | 0.24% | 0.24% | 16 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | No change | 388,773 | 2,939 | 0.0% | 0.0% | 17 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Stratos Wealth Partners, LTD. | History | No change | 333,993 | 2,524 | 0.03% | 0.03% | 18 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Yakira Capital Management, Inc. | History | No change | 311,396 | 2,354 | 0.67% | 0.67% | 19 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 310,281 | 1,985 | 0.0% | 0.0% | 20 | -8,928 | -2.8% | Q3 2026 | Nov 02, 2026 |
| Kovack Advisors, Inc. | History | No change | 233,414 | 1,759 | 0.08% | 0.08% | 21 | 0 | 0.0% | Q2 2026 | Jul 28, 2026 |
| J.W. COLE ADVISORS, INC. | History | No change | 211,424 | 1,598 | 0.03% | 0.03% | 22 | 0 | 0.0% | Q2 2026 | Jul 21, 2026 |
| Creative Planning | History | Reduced | 240,286 | 1,537 | 0.0% | 0.0% | 23 | -36,827 | -13.29% | Q3 2026 | Nov 02, 2026 |
| Baird Financial Group, Inc. | History | No change | 178,155 | 1,346 | 0.0% | 0.0% | 24 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| StoneX Group Inc. | History | Added to | 198,840 | 1,272 | 0.05% | 0.05% | 25 | +46,920 | 30.88% | Q3 2026 | Nov 03, 2026 |
| THRIVENT FINANCIAL FOR LUTHERANS | History | No change | 145,939 | 1,103 | 0.0% | 0.0% | 26 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| CREATIVE FINANCIAL DESIGNS INC /ADV | History | No change | 132,993 | 1,005 | 0.05% | 0.05% | 27 | 0 | 0.0% | Q2 2026 | Jul 28, 2026 |
| WINEBRENNER CAPITAL MANAGEMENT LLC | History | Reduced | 135,754 | 868 | 0.56% | 0.73% | 28 | -22,246 | -14.08% | Q3 2026 | Oct 07, 2026 |
| Aptus Capital Advisors, LLC | History | No change | 110,719 | 837 | 0.01% | 0.01% | 29 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Marex Group Ltd | History | No change | 109,968 | 831 | 0.0% | 0.0% | 30 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Savvy Advisors, Inc. | History | No change | 107,590 | 813 | 0.02% | 0.02% | 31 | 0 | 0.0% | Q2 2026 | Aug 03, 2026 |
| Advisory Solutions Group, LLC | History | Added to | 122,369 | 783 | 0.17% | 0.25% | 32 | +24,490 | 25.02% | Q3 2026 | Oct 14, 2026 |
| INDEPENDENT FINANCIAL GROUP, LLC | History | Reduced | 109,942 | 703 | 0.01% | 0.02% | 33 | -1,959 | -1.75% | Q3 2026 | Oct 13, 2026 |
| AE Wealth Management LLC | History | No change | 92,708 | 700 | 0.0% | 0.0% | 34 | 0 | 0.0% | Q2 2026 | Aug 03, 2026 |
| XTX Topco Ltd | History | No change | 88,603 | 669 | 0.01% | 0.01% | 35 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Focus Partners Wealth | History | No change | 83,516 | 631 | 0.0% | 0.0% | 36 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| CreativeOne Wealth, LLC | History | No change | 79,026 | 597 | 0.01% | 0.01% | 37 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Encompass More Asset Management | History | Added to | 89,893 | 575 | 0.08% | 0.1% | 38 | +387 | 0.43% | Q3 2026 | Oct 16, 2026 |
| BENJAMIN EDWARDS INC | History | No change | 74,406 | 562 | 0.01% | 0.01% | 39 | 0 | 0.0% | Q2 2026 | Jul 24, 2026 |
| Garden State Investment Advisory Services LLC | History | No change | 65,260 | 493 | 0.09% | 0.09% | 40 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Private Advisor Group, LLC | History | No change | 62,116 | 469 | 0.0% | 0.0% | 41 | 0 | 0.0% | Q2 2026 | Jul 27, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | No change | 59,467 | 449 | 0.0% | 0.0% | 42 | 0 | 0.0% | Q2 2026 | Sep 23, 2026 |
| HighTower Advisors, LLC | History | No change | 59,049 | 446 | 0.0% | 0.0% | 43 | 0 | 0.0% | Q2 2026 | Aug 05, 2026 |
| STIFEL FINANCIAL CORP | History | No change | 58,350 | 441 | 0.0% | 0.0% | 44 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Prospera Financial Services Inc | History | No change | 54,917 | 415 | 0.01% | 0.01% | 45 | 0 | 0.0% | Q2 2026 | Jul 15, 2026 |
| TORONTO DOMINION BANK | History | No change | 50,000 | 378 | 0.0% | 0.0% | 46 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Gladstone Institutional Advisory LLC | History | No change | 49,081 | 371 | 0.01% | 0.01% | 47 | 0 | 0.0% | Q2 2026 | Jul 27, 2026 |
| Dynamic Advisor Solutions LLC | History | Added to | 54,680 | 349 | 0.01% | 0.01% | 48 | +555 | 1.03% | Q3 2026 | Oct 13, 2026 |
| Kestra Advisory Services, LLC | History | Added to | 53,457 | 342 | 0.0% | 0.0% | 49 | +1,565 | 3.02% | Q3 2026 | Nov 02, 2026 |
| OneAscent Family Office, LLC | History | No change | 44,268 | 334 | 0.17% | 0.17% | 50 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| SeaCrest Wealth Management, LLC | History | Added to | 50,322 | 322 | 0.04% | 0.03% | 51 | +11,161 | 28.5% | Q3 2026 | Oct 21, 2026 |
| BlackRock, Inc. | History | No change | 41,258 | 311 | 0.0% | 0.0% | 52 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| INTEGRITY ALLIANCE, LLC. | History | Added to | 44,639 | 285 | 0.01% | 0.0% | 53 | +27,946 | 167.41% | Q3 2026 | Oct 29, 2026 |
| FIRETHORN WEALTH PARTNERS, LLC | History | Added to | 44,393 | 284 | 0.09% | 0.1% | 54 | +2,236 | 5.3% | Q3 2026 | Oct 14, 2026 |
| MGO ONE SEVEN LLC | History | Added to | 42,449 | 271 | 0.0% | 0.0% | 55 | +7,176 | 20.34% | Q3 2026 | Oct 28, 2026 |
| Meridian Wealth Management, LLC | History | No change | 35,062 | 265 | 0.01% | 0.01% | 56 | 0 | 0.0% | Q2 2026 | Aug 05, 2026 |
| Pathstone Holdings, LLC | History | No change | 33,089 | 250 | 0.0% | 0.0% | 57 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Mariner, LLC | History | No change | 32,449 | 245 | 0.0% | 0.0% | 58 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Chicago Partners Investment Group LLC | History | Added to | 38,849 | 233 | 0.0% | 0.0% | 59 | +13,826 | 55.25% | Q3 2026 | Oct 26, 2026 |
| FOUNDATIONS INVESTMENT ADVISORS, LLC | History | No change | 30,479 | 230 | 0.0% | 0.0% | 60 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| EP Wealth Advisors, LLC | History | No change | 28,733 | 217 | 0.0% | 0.0% | 61 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| AMERIFLEX GROUP, INC. | History | No change | 27,500 | 207 | 0.08% | 0.08% | 62 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | History | Added to | 31,804 | 205 | 0.0% | 0.0% | 63 | +8,271 | 35.15% | Q3 2026 | Oct 13, 2026 |
| Rockefeller Capital Management L.P. | History | No change | 26,634 | 201 | 0.0% | 0.0% | 64 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Concurrent Investment Advisors, LLC | History | New | 29,513 | 188 | 0.0% | — | 65 | +29,513 | New | Q3 2026 | Oct 16, 2026 |
| Koshinski Asset Management, Inc. | History | New | 28,497 | 182 | 0.01% | — | 66 | +28,497 | New | Q3 2026 | Oct 29, 2026 |
| Virtu Financial LLC | History | No change | 23,328 | 176 | 0.01% | 0.01% | 67 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| BECKER CAPITAL MANAGEMENT INC | History | No change | 22,847 | 172 | 0.0% | 0.0% | 68 | 0 | 0.0% | Q2 2026 | Jul 31, 2026 |
| HF Advisory Group, LLC | History | Added to | 26,642 | 170 | 0.05% | 0.06% | 69 | +1,158 | 4.54% | Q3 2026 | Oct 09, 2026 |
| KESTRA PRIVATE WEALTH SERVICES, LLC | History | Reduced | 25,877 | 165 | 0.0% | 0.0% | 70 | -451 | -1.71% | Q3 2026 | Oct 30, 2026 |
| LANARK FINANCIAL, INC. | History | No change | 25,205 | 161 | 0.01% | 0.01% | 71 | 0 | 0.0% | Q3 2026 | Oct 26, 2026 |
| Sequoia Financial Advisors, LLC | History | No change | 21,400 | 161 | 0.0% | 0.0% | 72 | 0 | 0.0% | Q2 2026 | Jul 17, 2026 |
| Bison Wealth, LLC | History | New | 23,615 | 156 | 0.01% | — | 73 | +23,615 | New | Q3 2026 | Oct 13, 2026 |
| Clear Street Group Inc. | History | No change | 20,493 | 154 | 0.0% | 0.0% | 74 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Larson Financial Group LLC | History | No change | 20,083 | 151 | 0.0% | 0.0% | 75 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Sanctuary Advisors, LLC | History | No change | 20,084 | 151 | 0.0% | 0.0% | 76 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Marshall Financial Group, LLC | History | No change | 20,000 | 151 | 0.02% | 0.02% | 77 | 0 | 0.0% | Q2 2026 | Jul 17, 2026 |
| UBS Group AG | History | No change | 18,476 | 139 | 0.0% | 0.0% | 78 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| NewEdge Advisors, LLC | History | No change | 18,101 | 136 | 0.0% | 0.0% | 79 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Clearstead Advisors, LLC | History | No change | 17,880 | 135 | 0.0% | 0.0% | 80 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| World Investment Advisors | History | No change | 17,670 | 134 | 0.0% | 0.0% | 81 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Summit Financial, LLC | History | No change | 17,754 | 134 | 0.0% | 0.0% | 82 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | No change | 16,550 | 125 | 0.0% | 0.0% | 83 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| AMERIPRISE FINANCIAL INC | History | No change | 15,916 | 120 | 0.0% | 0.0% | 84 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Strategic Financial Concepts, LLC | History | No change | 15,700 | 118 | 0.04% | 0.04% | 85 | 0 | 0.0% | Q2 2026 | Jul 27, 2026 |
| Capital CS Group, LLC | History | Added to | 17,823 | 114 | 0.08% | 0.1% | 86 | +386 | 2.21% | Q3 2026 | Oct 29, 2026 |
| CoreCap Advisors, LLC | History | Reduced | 17,392 | 111 | 0.0% | 0.01% | 87 | -42,458 | -70.94% | Q3 2026 | Oct 08, 2026 |
| Accurate Wealth Management, LLC | History | Added to | 16,188 | 107 | 0.01% | 0.01% | 88 | +2,025 | 14.3% | Q3 2026 | Oct 20, 2026 |
| MOSAIC FAMILY WEALTH PARTNERS, LLC | History | No change | 14,008 | 105 | 0.01% | 0.01% | 89 | 0 | 0.0% | Q2 2026 | Aug 05, 2026 |
| BLUEDOOR PRIVATE WEALTH, LLC | History | No change | 13,916 | 105 | 0.04% | 0.04% | 90 | 0 | 0.0% | Q2 2026 | Jul 16, 2026 |
| Vise Technologies, Inc. | History | New | 16,188 | 103 | 0.0% | — | 91 | +16,188 | New | Q3 2026 | Oct 28, 2026 |
| TWO SIGMA SECURITIES, LLC | History | No change | 13,184 | 99 | 0.01% | 0.01% | 92 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Integrated Wealth Concepts LLC | History | No change | 12,912 | 97 | 0.0% | 0.0% | 93 | 0 | 0.0% | Q2 2026 | Sep 08, 2026 |
| PRIVATE TRUST CO NA | History | No change | 14,514 | 92 | 0.01% | 0.01% | 94 | 0 | 0.0% | Q3 2026 | Oct 20, 2026 |
| Allworth Financial LP | History | No change | 11,910 | 90 | 0.0% | 0.0% | 95 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| A4 Wealth Advisors LLC | History | No change | 14,022 | 89 | 0.06% | 0.07% | 96 | 0 | 0.0% | Q3 2026 | Oct 20, 2026 |
| Redhawk Wealth Advisors, Inc. | History | Added to | 13,773 | 88 | 0.01% | 0.01% | 97 | +710 | 5.44% | Q3 2026 | Oct 14, 2026 |
| Evergreen Wealth Partners LLC | History | No change | 11,531 | 87 | 0.05% | 0.05% | 98 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Corient Private Wealth LP | History | No change | 11,424 | 86 | 0.0% | 0.0% | 99 | 0 | 0.0% | Q2 2026 | Aug 27, 2026 |
| Kingsview Wealth Management, LLC | History | No change | 11,128 | 84 | 0.0% | 0.0% | 100 | 0 | 0.0% | Q2 2026 | Aug 18, 2026 |
| DAVENPORT & Co LLC | History | No change | 12,773 | 81 | 0.0% | 0.0% | 101 | 0 | 0.0% | Q3 2026 | Oct 14, 2026 |
| OneDigital Investment Advisors LLC | History | No change | 10,760 | 81 | 0.0% | 0.0% | 102 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| Lido Advisors, LLC | History | No change | 10,482 | 79 | 0.0% | 0.0% | 103 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| OPPENHEIMER & CO INC | History | New | 12,000 | 76 | 0.0% | — | 104 | +12,000 | New | Q3 2026 | Oct 26, 2026 |
| Valmark Advisers, Inc. | History | No change | 10,016 | 75 | 0.0% | 0.0% | 105 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| HARBOR INVESTMENT ADVISORY, LLC | History | No change | 11,204 | 71 | 0.0% | 0.01% | 106 | 0 | 0.0% | Q3 2026 | Oct 13, 2026 |
| B. Riley Wealth Advisors, Inc. | History | New | 10,850 | 69 | 0.0% | — | 107 | +10,850 | New | Q3 2026 | Oct 13, 2026 |
| Taylor Securities Services, Inc. | History | Added to | 10,555 | 67 | 0.03% | 0.03% | 108 | +68 | 0.65% | Q3 2026 | Oct 20, 2026 |
| SMITH CHAS P & ASSOCIATES PA CPAS | History | Reduced | 10,000 | 61 | 0.0% | 0.01% | 109 | -5,663 | -36.16% | Q3 2026 | Oct 21, 2026 |
| Highland Investment Advisors LLC | History | No change | 8,161 | 61 | 0.03% | 0.03% | 110 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| US BANCORP \DE\ | History | No change | 6,500 | 49 | 0.0% | 0.0% | 111 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Atlantic Union Bankshares Corp | History | No change | 5,500 | 41 | 0.0% | 0.0% | 112 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Farther Finance Advisors, LLC | History | Added to | 5,379 | 34 | 0.0% | 0.0% | 113 | +2,693 | 100.26% | Q3 2026 | Oct 08, 2026 |
| Fortis Group Advisors, LLC | History | No change | 3,630 | 27 | 0.0% | 0.0% | 114 | 0 | 0.0% | Q2 2026 | Jul 24, 2026 |
| Corsicana & Co. | History | No change | 3,700 | 27 | 0.01% | 0.01% | 115 | 0 | 0.0% | Q2 2026 | Jul 24, 2026 |
| JPMORGAN CHASE & CO | History | No change | 3,387 | 25 | 0.0% | 0.0% | 116 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Ascentis Independent Advisors | History | New | 3,610 | 23 | 0.0% | — | 117 | +3,610 | New | Q3 2026 | Nov 03, 2026 |
| TSFG, LLC | History | Added to | 3,025 | 19 | 0.0% | 0.0% | 118 | +169 | 5.92% | Q3 2026 | Oct 23, 2026 |
| SHP Wealth Management | History | No change | 2,500 | 18 | 0.0% | 0.0% | 119 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Aventura Private Wealth, LLC | History | No change | 2,500 | 18 | 0.01% | 0.01% | 120 | 0 | 0.0% | Q2 2026 | Jul 15, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | No change | 1,908 | 14 | 0.0% | 0.0% | 121 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Arax Advisory Partners | History | No change | 1,923 | 14 | 0.0% | 0.0% | 122 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| ASSETMARK, INC | History | Added to | 2,123 | 13 | 0.0% | 0.0% | 123 | +867 | 69.03% | Q3 2026 | Oct 21, 2026 |
| Spire Wealth Management | History | Added to | 1,863 | 11 | 0.0% | 0.0% | 124 | +104 | 5.91% | Q3 2026 | Oct 30, 2026 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 1,250 | 9 | 0.0% | 0.0% | 125 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| HANTZ FINANCIAL SERVICES, INC. | History | No change | 1,164 | 9 | 0.0% | 0.0% | 126 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Thomas J. Herzfeld Advisors, Inc. | History | No change | 1,187 | 8 | 0.0% | 0.0% | 127 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| Roble, Belko & Company, Inc | History | No change | 898 | 7 | 0.0% | 0.0% | 128 | 0 | 0.0% | Q2 2026 | Jul 24, 2026 |
| Avalon Trust Co | History | No change | 1,000 | 7 | 0.0% | 0.0% | 129 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| GODSEY & GIBB, INC | History | No change | 1,000 | 6 | 0.0% | 0.0% | 130 | 0 | 0.0% | Q3 2026 | Oct 14, 2026 |
| DUNCKER STREETT & CO INC | History | No change | 1,000 | 6 | 0.0% | 0.0% | 131 | 0 | 0.0% | Q3 2026 | Oct 27, 2026 |
| HARBOUR INVESTMENTS, INC. | History | No change | 407 | 3 | 0.0% | 0.0% | 132 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| HIGHLINE WEALTH PARTNERS LLC | History | No change | 400 | 2 | 0.0% | 0.0% | 133 | 0 | 0.0% | Q3 2026 | Oct 19, 2026 |
| FIRST HORIZON CORP | History | No change | 200 | 1 | 0.0% | 0.0% | 134 | 0 | 0.0% | Q3 2026 | Oct 26, 2026 |
| WELLS FARGO & COMPANY/MN | History | No change | 204 | 1 | 0.0% | 0.0% | 135 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Tower Research Capital LLC (TRC) | History | No change | 232 | 1 | 0.0% | 0.0% | 136 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Mirador Capital Partners LP | History | Closed out | 0 | 0 | — | 0.07% | — | -78,738 | -100.0% | Q3 2026 | Oct 09, 2026 |
| Buska Wealth Management, LLC | History | Closed out | 0 | 0 | — | 0.08% | — | -30,596 | -100.0% | Q3 2026 | Oct 07, 2026 |
| BIP Wealth, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -20,898 | -100.0% | Q3 2026 | Oct 22, 2026 |
| WEDBUSH SECURITIES INC | History | Closed out | 0 | 0 | — | 0.0% | — | -17,850 | -100.0% | Q3 2026 | Oct 22, 2026 |
| Secure Asset Management, LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -17,065 | -100.0% | Q3 2026 | Oct 19, 2026 |
| EVOLUTION WEALTH MANAGEMENT INC. | History | Closed out | 0 | 0 | — | 0.06% | — | -14,568 | -100.0% | Q3 2026 | Oct 28, 2026 |
| NWF Advisory Services Inc. | History | Closed out | 0 | 0 | — | 0.01% | — | -13,500 | -100.0% | Q3 2026 | Oct 19, 2026 |
| RMR Wealth Builders | History | Closed out | 0 | 0 | — | 0.01% | — | -12,560 | -100.0% | Q3 2026 | Oct 22, 2026 |
| EVERETT HARRIS & CO /CA/ | History | Closed out | 0 | 0 | — | 0.0% | — | -10,205 | -100.0% | Q3 2026 | Oct 28, 2026 |
| COMPASS FINANCIAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -6,960 | -100.0% | Q3 2026 | Oct 30, 2026 |
| LifeSteps Financial, Inc. | History | Closed out | 0 | 0 | — | 0.01% | — | -3,000 | -100.0% | Q3 2026 | Oct 15, 2026 |
| New England Capital Financial Advisors LLC | History | Closed out | 0 | 0 | — | — | — | -1,358 | -100.0% | Q3 2026 | Nov 03, 2026 |
| GoalVest Advisory LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -928 | -100.0% | Q3 2026 | Oct 02, 2026 |
| ALBION FINANCIAL GROUP /UT | History | Closed out | 0 | 0 | — | 0.0% | — | -530 | -100.0% | Q3 2026 | Oct 21, 2026 |
| GILL CAPITAL PARTNERS, LLC | History | Closed out | 0 | 0 | — | — | — | -29 | -100.0% | Q3 2026 | Oct 13, 2026 |
| Steward Partners Investment Advisory, LLC | History | No change | 1 | 0 | — | — | — | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Walsh & Associates, LLC | History | No change | 11 | 0 | — | — | — | 0 | 0.0% | Q2 2026 | Jul 21, 2026 |