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FUND

Sprott Focus Trust

Name Holding Trade Value Shares
Change
Change in
Stake
1CP
1
1607 Capital Partners
Virginia
$9.07M
RCM
2
Rivernorth Capital Management
Florida
$7.59M -$361K -54,361 -5%
Wells Fargo
3
Wells Fargo
California
$4.4M +$768K +115,770 +22%
COLIM
4
City of London Investment Management
United Kingdom
$3.89M -$7 -1 -0%
Northwestern Mutual Wealth Management
5
Northwestern Mutual Wealth Management
Wisconsin
$2.38M +$820K +123,564 +55%
FAAS
6
First Allied Advisory Services
California
$1.65M -$280K -42,150 -15%
Bank of America
7
Bank of America
North Carolina
$1.51M -$124K -18,744 -8%
Stifel Financial
8
Stifel Financial
Missouri
$1.37M -$28.7K -4,320 -2%
UBS Group
9
UBS Group
Switzerland
$1.08M +$479K +72,283 +85%
Geode Capital Management
10
Geode Capital Management
Massachusetts
$1.07M +$513K +77,418 +97%
Morgan Stanley
11
Morgan Stanley
New York
$874K +$149K +22,517 +21%
SFS
12
Shaker Financial Services
Virginia
$752K -$1.58M -238,358 -68%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$650K -$20.8K -3,131 -3%
SI
14
Sprott Inc
Ontario, Canada
$482K +$71.2K +10,735 +18%
VFA
15
Valeo Financial Advisors
Indiana
$251K -$4.2K -633 -2%
IFWM
16
Institute for Wealth Management
Colorado
$246K
TJHA
17
Thomas J. Herzfeld Advisors
Florida
$204K +$2.92K +440 +1%
BBPWM
18
Blue Bell Private Wealth Management
Pennsylvania
$173K -$67.4K -10,160 -29%
HighTower Advisors
19
HighTower Advisors
Illinois
$173K +$44.4K +6,700 +36%
RIL
20
Rothschild Investment LLC
Illinois
$138K
MAA
21
Mraz Amerine & Associates
California
$115K
PVWM
22
Point View Wealth Management
New Jersey
$107K
LTFS
23
Ladenburg Thalmann Financial Services
Florida
$85K
MPWT
24
MassMutual Private Wealth & Trust
Connecticut
$9.38K +$9.08K +1,369 New
WT
25
Whittier Trust
California
$7K