Cornerstone Strategic Investment Fund, Inc. - CLM
Detailed investor-level table based on 13F positions.
Early Q1 2026 data: only 27 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| SIT INVESTMENT ASSOCIATES INC | History | Reduced | 4,640,226 | 38,792 | 47.57% | 1.0% | 1 | -1,336,818 | -22.37% | Q4 2025 | Feb 25, 2026 |
| OSAIC HOLDINGS, INC. | History | Reduced | 3,371,147 | 28,182 | 0.04% | 0.04% | 2 | -113,519 | -3.26% | Q4 2025 | Feb 17, 2026 |
| PFG Investments, LLC | History | Added to | 2,997,808 | 25,061 | 1.18% | 0.02% | 3 | +2,958,789 | 7582.94% | Q4 2025 | Jan 26, 2026 |
| Sculptor Capital LP | History | Added to | 2,967,736 | 24,810 | 0.26% | 0.27% | 4 | +155,286 | 5.52% | Q4 2025 | Feb 13, 2026 |
| LPL Financial LLC | History | Added to | 1,802,318 | 15,067 | 0.0% | 0.0% | 5 | +350,079 | 24.11% | Q4 2025 | Feb 11, 2026 |
| BOOTHBAY FUND MANAGEMENT, LLC | History | Reduced | 1,285,340 | 10,745 | 0.16% | 0.77% | 6 | -5,123,212 | -79.94% | Q4 2025 | Feb 17, 2026 |
| Quarry LP | History | Added to | 1,235,307 | 10,327 | 1.62% | 0.49% | 7 | +962,972 | 353.6% | Q4 2025 | Feb 13, 2026 |
| Cetera Investment Advisers | History | Added to | 1,200,246 | 10,034 | 0.01% | 0.01% | 8 | +133,163 | 12.48% | Q4 2025 | Feb 17, 2026 |
| Alpine Global Management, LLC | History | Reduced | 1,139,813 | 9,528 | 2.05% | 11.74% | 9 | -5,853,967 | -83.7% | Q4 2025 | Feb 26, 2026 |
| Cable Car Capital, LP | History | Added to | 661,683 | 5,531 | 0.18% | 2.35% | 10 | +69 | 0.01% | Q4 2025 | Feb 17, 2026 |
| COHEN & STEERS, INC. | History | Reduced | 654,931 | 5,475 | 0.01% | 0.01% | 11 | -15,000 | -2.24% | Q4 2025 | Feb 13, 2026 |
| Stratos Wealth Partners, LTD. | History | Added to | 626,085 | 5,234 | 0.06% | 0.05% | 12 | +117,607 | 23.13% | Q4 2025 | Jan 20, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Added to | 561,577 | 4,695 | 0.01% | 0.01% | 13 | +36,309 | 6.91% | Q4 2025 | Feb 05, 2026 |
| MORGAN STANLEY | History | Added to | 558,877 | 4,672 | 0.0% | 0.0% | 14 | +57,973 | 11.57% | Q4 2025 | Feb 13, 2026 |
| Yakira Capital Management, Inc. | History | Reduced | 487,207 | 4,073 | 1.37% | 2.96% | 15 | -534,446 | -52.31% | Q4 2025 | Feb 13, 2026 |
| Perennial Investment Advisors, LLC | History | Added to | 465,564 | 3,892 | 0.31% | 0.31% | 16 | +10,661 | 2.34% | Q4 2025 | Feb 17, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Added to | 367,470 | 3,072 | 0.0% | 0.0% | 17 | +21,892 | 6.33% | Q4 2025 | Feb 18, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Added to | 284,559 | 2,378 | 0.0% | 0.0% | 18 | +28,405 | 11.09% | Q4 2025 | Feb 12, 2026 |
| WJ Financial Advisors LLC | History | Added to | 263,015 | 2,198 | 1.96% | 1.21% | 19 | +112,116 | 74.3% | Q4 2025 | Feb 02, 2026 |
| J.W. COLE ADVISORS, INC. | History | Reduced | 219,637 | 1,809 | 0.04% | 0.04% | 20 | -4,515 | -2.01% | Q4 2025 | Feb 11, 2026 |
| Kovack Advisors, Inc. | History | New | 211,213 | 1,765 | 0.08% | — | 21 | +211,213 | New | Q4 2025 | Feb 17, 2026 |
| Aptus Capital Advisors, LLC | History | Added to | 201,751 | 1,686 | 0.01% | 0.01% | 22 | +2,684 | 1.35% | Q4 2025 | Feb 13, 2026 |
| JANE STREET GROUP, LLC | History | Added to | 180,282 | 1,507 | 0.0% | 0.0% | 23 | +112,742 | 166.93% | Q4 2025 | Feb 12, 2026 |
| Creative Planning | History | Reduced | 178,086 | 1,488 | 0.0% | 0.0% | 24 | -20,858 | -10.48% | Q4 2025 | Feb 17, 2026 |
| Baird Financial Group, Inc. | History | Added to | 160,360 | 1,340 | 0.0% | 0.0% | 25 | +43,980 | 37.79% | Q4 2025 | Feb 13, 2026 |
| THRIVENT FINANCIAL FOR LUTHERANS | History | No change | 145,939 | 1,220 | 0.0% | 0.0% | 26 | 0 | 0.0% | Q4 2025 | Feb 05, 2026 |
| StoneX Group Inc. | History | Reduced | 142,949 | 1,195 | 0.05% | 0.06% | 27 | -16,133 | -10.14% | Q4 2025 | Feb 12, 2026 |
| WINEBRENNER CAPITAL MANAGEMENT LLC | History | Added to | 136,754 | 1,143 | 0.76% | 0.8% | 28 | +3,000 | 2.24% | Q4 2025 | Jan 07, 2026 |
| Savvy Advisors, Inc. | History | New | 108,760 | 909 | 0.03% | — | 29 | +108,760 | New | Q4 2025 | Jan 20, 2026 |
| CREATIVE FINANCIAL DESIGNS INC /ADV | History | Added to | 91,109 | 761 | 0.05% | 0.05% | 30 | +7,673 | 9.2% | Q4 2025 | Feb 06, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Added to | 87,877 | 734 | 0.0% | 0.0% | 31 | +47,915 | 119.9% | Q4 2025 | Feb 17, 2026 |
| Prospera Financial Services Inc | History | Added to | 87,691 | 733 | 0.01% | 0.01% | 32 | +5,026 | 6.08% | Q4 2025 | Feb 09, 2026 |
| Encompass More Asset Management | History | Reduced | 80,973 | 676 | 0.12% | 0.13% | 33 | -2,853 | -3.4% | Q4 2025 | Feb 03, 2026 |
| BENJAMIN EDWARDS INC | History | Reduced | 77,735 | 649 | 0.01% | 0.01% | 34 | -12,097 | -13.47% | Q4 2025 | Feb 02, 2026 |
| CreativeOne Wealth, LLC | History | Added to | 76,189 | 636 | 0.02% | 0.01% | 35 | +7,109 | 10.29% | Q4 2025 | Feb 13, 2026 |
| AE Wealth Management LLC | History | Added to | 71,903 | 601 | 0.0% | 0.0% | 36 | +4,286 | 6.34% | Q4 2025 | Jan 26, 2026 |
| HighTower Advisors, LLC | History | Reduced | 60,900 | 509 | 0.0% | 0.0% | 37 | -7,868 | -11.44% | Q4 2025 | Feb 06, 2026 |
| Private Advisor Group, LLC | History | Added to | 53,982 | 451 | 0.0% | 0.0% | 38 | +3,010 | 5.91% | Q4 2025 | Feb 17, 2026 |
| Garden State Investment Advisory Services LLC | History | Added to | 52,080 | 435 | 0.1% | 0.09% | 39 | +2,841 | 5.77% | Q4 2025 | Feb 17, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Added to | 50,276 | 420 | 0.0% | 0.0% | 40 | +4,844 | 10.66% | Q4 2025 | Feb 10, 2026 |
| TORONTO DOMINION BANK | History | No change | 50,000 | 418 | 0.0% | 0.0% | 41 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| STIFEL FINANCIAL CORP | History | Reduced | 46,859 | 391 | 0.0% | 0.0% | 42 | -3,672 | -7.27% | Q4 2025 | Feb 13, 2026 |
| Dynamic Advisor Solutions LLC | History | Added to | 44,746 | 374 | 0.01% | 0.01% | 43 | +5,799 | 14.89% | Q4 2025 | Jan 09, 2026 |
| CoreCap Advisors, LLC | History | Added to | 42,400 | 354 | 0.01% | 0.01% | 44 | +767 | 1.84% | Q4 2025 | Jan 13, 2026 |
| BlackRock, Inc. | History | Added to | 41,258 | 344 | 0.0% | 0.0% | 45 | +12,054 | 41.28% | Q4 2025 | Feb 12, 2026 |
| MGO ONE SEVEN LLC | History | Added to | 35,471 | 296 | 0.01% | 0.01% | 46 | +88 | 0.25% | Q4 2025 | Feb 03, 2026 |
| MARK SHEPTOFF FINANCIAL PLANNING, LLC | History | No change | 34,913 | 291 | 0.14% | 0.14% | 47 | 0 | 0.0% | Q4 2025 | Feb 12, 2026 |
| WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | History | Added to | 34,039 | 287 | 0.0% | 0.0% | 48 | +4,890 | 16.78% | Q4 2025 | Jan 08, 2026 |
| OneAscent Family Office, LLC | History | No change | 34,000 | 284 | 0.19% | 0.23% | 49 | 0 | 0.0% | Q4 2025 | Feb 11, 2026 |
| Kestra Advisory Services, LLC | History | Added to | 33,841 | 282 | 0.0% | 0.0% | 50 | +653 | 1.97% | Q4 2025 | Feb 13, 2026 |
| Pathstone Holdings, LLC | History | New | 33,089 | 276 | 0.0% | — | 51 | +33,089 | New | Q4 2025 | Feb 13, 2026 |
| SeaCrest Wealth Management, LLC | History | Reduced | 29,922 | 252 | 0.03% | 0.03% | 52 | -568 | -1.86% | Q4 2025 | Jan 12, 2026 |
| EP Wealth Advisors, LLC | History | New | 28,732 | 240 | 0.0% | — | 53 | +28,732 | New | Q4 2025 | Feb 18, 2026 |
| Buska Wealth Management, LLC | History | Added to | 28,633 | 239 | 0.09% | 0.07% | 54 | +316 | 1.12% | Q4 2025 | Jan 22, 2026 |
| AMERIFLEX GROUP, INC. | History | Reduced | 28,000 | 234 | 0.12% | 0.2% | 55 | -36,600 | -56.66% | Q4 2025 | Feb 18, 2026 |
| Rockefeller Capital Management L.P. | History | Reduced | 26,634 | 222 | 0.0% | 0.0% | 56 | -522 | -1.92% | Q4 2025 | Mar 16, 2026 |
| Chicago Partners Investment Group LLC | History | Reduced | 25,432 | 211 | 0.01% | 0.01% | 57 | -804 | -3.06% | Q4 2025 | Jan 28, 2026 |
| KESTRA PRIVATE WEALTH SERVICES, LLC | History | Reduced | 24,909 | 208 | 0.0% | 0.0% | 58 | -1,847 | -6.9% | Q4 2025 | Jan 29, 2026 |
| HF Advisory Group, LLC | History | Added to | 23,575 | 197 | 0.07% | 0.07% | 59 | +830 | 3.65% | Q4 2025 | Jan 23, 2026 |
| Sequoia Financial Advisors, LLC | History | No change | 21,400 | 178 | 0.0% | 0.0% | 60 | 0 | 0.0% | Q4 2025 | Feb 03, 2026 |
| Mariner, LLC | History | Added to | 20,890 | 174 | 0.0% | 0.0% | 61 | +7,196 | 52.55% | Q4 2025 | Feb 13, 2026 |
| Pasadena Private Wealth, LLC | History | Added to | 20,457 | 171 | 0.02% | 0.02% | 62 | +6,343 | 44.94% | Q4 2025 | Feb 10, 2026 |
| FIRETHORN WEALTH PARTNERS, LLC | History | Added to | 19,762 | 165 | 0.06% | 0.06% | 63 | +1,837 | 10.25% | Q4 2025 | Jan 08, 2026 |
| World Investment Advisors | History | New | 19,654 | 164 | 0.0% | — | 64 | +19,654 | New | Q4 2025 | Mar 12, 2026 |
| Sanctuary Advisors, LLC | History | Added to | 19,615 | 163 | 0.0% | 0.0% | 65 | +615 | 3.24% | Q4 2025 | Jan 29, 2026 |
| Meridian Wealth Management, LLC | History | Added to | 19,459 | 162 | 0.01% | 0.0% | 67 | +4,176 | 27.32% | Q4 2025 | Feb 04, 2026 |
| Summit Financial, LLC | History | Reduced | 19,427 | 162 | 0.0% | 0.0% | 68 | -2,360 | -10.83% | Q4 2025 | Feb 13, 2026 |
| BECKER CAPITAL MANAGEMENT INC | History | Added to | 19,471 | 162 | 0.0% | 0.0% | 66 | +1,841 | 10.44% | Q4 2025 | Feb 13, 2026 |
| EVOLUTION WEALTH MANAGEMENT INC. | History | No change | 19,425 | 162 | 0.13% | 0.16% | 69 | 0 | 0.0% | Q4 2025 | Feb 10, 2026 |
| NBC SECURITIES, INC. | History | No change | 18,455 | 154 | 0.01% | 0.01% | 70 | 0 | 0.0% | Q4 2025 | Jan 29, 2026 |
| UBS Group AG | History | Reduced | 17,634 | 147 | 0.0% | 0.0% | 72 | -5,756 | -24.61% | Q4 2025 | Jan 29, 2026 |
| INTEGRITY ALLIANCE, LLC. | History | Reduced | 17,642 | 147 | 0.01% | 0.01% | 71 | -2,320 | -11.62% | Q4 2025 | Feb 09, 2026 |
| WEDBUSH SECURITIES INC | History | No change | 17,150 | 143 | 0.0% | 0.0% | 73 | 0 | 0.0% | Q4 2025 | Feb 12, 2026 |
| Vantage Financial Partners, LLC | History | Reduced | 16,927 | 141 | 0.03% | 0.04% | 75 | -4,348 | -20.44% | Q4 2025 | Feb 03, 2026 |
| NewEdge Advisors, LLC | History | Added to | 16,919 | 141 | 0.0% | 0.0% | 74 | +4,237 | 33.41% | Q4 2025 | Feb 18, 2026 |
| Capital CS Group, LLC | History | Added to | 16,539 | 138 | 0.21% | 0.21% | 76 | +252 | 1.55% | Q4 2025 | Jan 09, 2026 |
| A4 Wealth Advisors LLC | History | Reduced | 15,972 | 133 | 0.12% | 0.19% | 78 | -11,772 | -42.43% | Q4 2025 | Feb 13, 2026 |
| AMERIPRISE FINANCIAL INC | History | Reduced | 15,916 | 133 | 0.0% | 0.0% | 77 | -14 | -0.09% | Q4 2025 | Feb 17, 2026 |
| Corient Private Wealth LLC | History | New | 15,177 | 126 | 0.0% | — | 79 | +15,177 | New | Q4 2025 | Mar 09, 2026 |
| GOLDMAN SACHS GROUP INC | History | New | 15,000 | 125 | 0.0% | — | 80 | +15,000 | New | Q4 2025 | Mar 25, 2026 |
| DAVENPORT & Co LLC | History | No change | 12,773 | 106 | 0.0% | 0.0% | 81 | 0 | 0.0% | Q4 2025 | Jan 12, 2026 |
| NWF Advisory Services Inc. | History | New | 12,500 | 104 | 0.01% | — | 83 | +12,500 | New | Q4 2025 | Mar 03, 2026 |
| MOSAIC FAMILY WEALTH PARTNERS, LLC | History | Added to | 12,516 | 104 | 0.01% | 0.01% | 82 | +653 | 5.5% | Q4 2025 | Feb 13, 2026 |
| Larson Financial Group LLC | History | Added to | 12,077 | 100 | 0.0% | 0.0% | 84 | +499 | 4.31% | Q4 2025 | Feb 06, 2026 |
| Redhawk Wealth Advisors, Inc. | History | Reduced | 11,892 | 99 | 0.01% | 0.02% | 85 | -12,862 | -51.96% | Q4 2025 | Jan 14, 2026 |
| Allworth Financial LP | History | New | 11,910 | 99 | 0.0% | — | 86 | +11,910 | New | Q4 2025 | Feb 05, 2026 |
| HARBOR INVESTMENT ADVISORY, LLC | History | No change | 11,204 | 93 | 0.01% | 0.01% | 87 | 0 | 0.0% | Q4 2025 | Jan 07, 2026 |
| OneDigital Investment Advisors LLC | History | Added to | 10,760 | 89 | 0.0% | 0.0% | 88 | +500 | 4.87% | Q4 2025 | Feb 13, 2026 |
| MONEY CONCEPTS CAPITAL CORP | History | Reduced | 10,601 | 88 | 0.0% | 0.01% | 89 | -5,300 | -33.33% | Q4 2025 | Feb 04, 2026 |
| MILLENNIUM MANAGEMENT LLC | History | Reduced | 10,171 | 85 | 0.0% | 0.0% | 90 | -16,403 | -61.73% | Q4 2025 | Feb 17, 2026 |
| Focus Partners Wealth | History | New | 10,189 | 85 | 0.0% | — | 91 | +10,189 | New | Q4 2025 | Feb 13, 2026 |
| Valmark Advisers, Inc. | History | No change | 10,000 | 83 | 0.0% | 0.0% | 92 | 0 | 0.0% | Q4 2025 | Jan 26, 2026 |
| Kingsview Wealth Management, LLC | History | No change | 10,000 | 83 | 0.0% | 0.0% | 93 | 0 | 0.0% | Q4 2025 | Feb 09, 2026 |
| Marshall Financial Group, LLC | History | No change | 10,000 | 83 | 0.02% | 0.02% | 94 | 0 | 0.0% | Q4 2025 | Jan 09, 2026 |
| ASSETMARK, INC | History | Added to | 7,960 | 66 | 0.0% | 0.0% | 95 | +5,989 | 303.86% | Q4 2025 | Jan 23, 2026 |
| US BANCORP \DE\ | History | No change | 6,505 | 54 | 0.0% | 0.0% | 96 | 0 | 0.0% | Q4 2025 | Jan 30, 2026 |
| Anfield Capital Management, LLC | History | No change | 6,528 | 54 | 0.02% | 0.02% | 97 | 0 | 0.0% | Q4 2025 | Feb 03, 2026 |
| Farther Finance Advisors, LLC | History | Added to | 5,804 | 48 | 0.0% | 0.0% | 98 | +1,000 | 20.82% | Q4 2025 | Jan 23, 2026 |
| Atlantic Union Bankshares Corp | History | No change | 5,500 | 45 | 0.0% | 0.0% | 99 | 0 | 0.0% | Q4 2025 | Feb 04, 2026 |
| Sound Income Strategies, LLC | History | No change | 4,864 | 40 | 0.0% | 0.0% | 100 | 0 | 0.0% | Q4 2025 | Jan 21, 2026 |
| BANK OF AMERICA CORP /DE/ | History | New | 3,895 | 32 | 0.0% | — | 101 | +3,895 | New | Q4 2025 | Feb 17, 2026 |
| Arax Advisory Partners | History | Added to | 3,731 | 31 | 0.0% | 0.0% | 102 | +1,808 | 94.02% | Q4 2025 | Feb 13, 2026 |
| Spire Wealth Management | History | New | 3,572 | 29 | 0.0% | — | 103 | +3,572 | New | Q4 2025 | Jan 14, 2026 |
| JPMORGAN CHASE & CO | History | New | 3,032 | 25 | 0.0% | — | 104 | +3,032 | New | Q4 2025 | Feb 11, 2026 |
| TSFG, LLC | History | Added to | 2,552 | 21 | 0.0% | 0.0% | 105 | +133 | 5.5% | Q4 2025 | Feb 04, 2026 |
| Garton & Associates Financial Advisors LLC | History | New | 2,500 | 20 | 0.01% | — | 107 | +2,500 | New | Q4 2025 | Feb 18, 2026 |
| Aventura Private Wealth, LLC | History | Added to | 2,500 | 20 | 0.01% | 0.0% | 106 | +1,000 | 66.67% | Q4 2025 | Jan 07, 2026 |
| Parallel Advisors, LLC | History | New | 1,941 | 16 | 0.0% | — | 108 | +1,941 | New | Q4 2025 | Feb 11, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | Reduced | 1,908 | 15 | 0.0% | 0.0% | 109 | -3,739 | -66.21% | Q4 2025 | Feb 10, 2026 |
| Sunbelt Securities, Inc. | History | Added to | 1,463 | 12 | 0.0% | 0.0% | 110 | +76 | 5.48% | Q4 2025 | Feb 20, 2026 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 1,250 | 10 | 0.0% | 0.0% | 111 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| Thomas J. Herzfeld Advisors, Inc. | History | Reduced | 1,060 | 8 | 0.0% | 0.03% | 115 | -8,479 | -88.89% | Q4 2025 | Feb 13, 2026 |
| ROYAL BANK OF CANADA | History | New | 1,000 | 8 | 0.0% | — | 113 | +1,000 | New | Q4 2025 | Feb 17, 2026 |
| Roble, Belko & Company, Inc | History | New | 898 | 8 | 0.0% | — | 116 | +898 | New | Q4 2025 | Jan 12, 2026 |
| GODSEY & GIBB, INC | History | No change | 1,000 | 8 | 0.0% | 0.0% | 112 | 0 | 0.0% | Q4 2025 | Jan 27, 2026 |
| DUNCKER STREETT & CO INC | History | No change | 1,000 | 8 | 0.0% | 0.0% | 114 | 0 | 0.0% | Q4 2025 | Jan 27, 2026 |
| Avalon Trust Co | History | No change | 1,000 | 8 | 0.0% | 0.0% | 117 | 0 | 0.0% | Q4 2025 | Feb 09, 2026 |
| GoalVest Advisory LLC | History | No change | 928 | 7 | 0.0% | 0.0% | 118 | 0 | 0.0% | Q4 2025 | Jan 05, 2026 |
| MAI Capital Management | History | Reduced | 600 | 5 | 0.0% | 0.0% | 119 | -359 | -37.43% | Q4 2025 | Feb 13, 2026 |
| HIGHLINE WEALTH PARTNERS LLC | History | No change | 400 | 3 | 0.0% | 0.0% | 120 | 0 | 0.0% | Q4 2025 | Jan 15, 2026 |
| CWM, LLC | History | New | 165 | 1 | 0.0% | — | 121 | +165 | New | Q4 2025 | Jan 26, 2026 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.48% | — | -1,011,315 | -100.0% | Q3 2025 | Nov 14, 2025 |
| Strategic Financial Concepts, LLC | History | Closed out | 0 | 0 | — | 0.08% | — | -66,200 | -100.0% | Q3 2025 | Nov 13, 2025 |
| Virtu Financial LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -26,536 | -100.0% | Q3 2025 | Nov 14, 2025 |
| Fisher Asset Management, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -25,604 | -100.0% | Q3 2025 | Nov 12, 2025 |
| CITADEL ADVISORS LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -25,111 | -100.0% | Q3 2025 | Nov 14, 2025 |
| Empirical Financial Services, LLC d.b.a. Empirical Wealth Management | History | Closed out | 0 | 0 | — | 0.0% | — | -12,100 | -100.0% | Q3 2025 | Nov 10, 2025 |
| Integrated Wealth Concepts LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -11,805 | -100.0% | Q3 2025 | Nov 14, 2025 |
| Newbridge Financial Services Group, Inc. | History | Closed out | 0 | 0 | — | 0.01% | — | -10,000 | -100.0% | Q3 2025 | Nov 13, 2025 |
| GPS Wealth Strategies Group, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -8,010 | -100.0% | Q3 2025 | Nov 03, 2025 |
| IFP Advisors, Inc | History | Closed out | 0 | 0 | — | 0.0% | — | -2,000 | -100.0% | Q3 2025 | Feb 06, 2026 |
| Ameritas Advisory Services, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -1,234 | -100.0% | Q3 2025 | Nov 06, 2025 |
| Keener Financial Planning LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -1,150 | -100.0% | Q3 2025 | Nov 07, 2025 |
| PRINCIPAL SECURITIES, INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -700 | -100.0% | Q3 2025 | Nov 12, 2025 |
| SALEM INVESTMENT COUNSELORS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -700 | -100.0% | Q3 2025 | Oct 07, 2025 |
| Tower Research Capital LLC (TRC) | History | Closed out | 0 | 0 | — | 0.0% | — | -206 | -100.0% | Q3 2025 | Nov 14, 2025 |
| Parvin Asset Management, LLC | History | New | 67 | 0 | — | — | — | +67 | New | Q4 2025 | Feb 17, 2026 |
| TUCKER ASSET MANAGEMENT LLC | History | New | 14 | 0 | — | — | — | +14 | New | Q4 2025 | Feb 05, 2026 |
| WELLS FARGO & COMPANY/MN | History | Reduced | 2 | 0 | — | — | — | -3 | -60.0% | Q4 2025 | Feb 13, 2026 |
| DANSKE BANK A/S | History | No change | 2 | 0 | — | — | — | 0 | 0.0% | Q4 2025 | Feb 02, 2026 |
| HARBOUR INVESTMENTS, INC. | History | No change | 38 | 0 | — | — | — | 0 | 0.0% | Q4 2025 | Feb 09, 2026 |
| Steward Partners Investment Advisory, LLC | History | No change | 1 | 0 | — | — | — | 0 | 0.0% | Q4 2025 | Feb 12, 2026 |