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NYLIM Merger Arbitrage ETF

Name Holding Trade Value Shares
Change
Change in
Stake
SWM
101
Sugarloaf Wealth Management
Georgia
$39K +$35K +1,123 New
QI
102
QS Investors
New York
$39K +$38.4K +1,231 New
GWM
103
Geneos Wealth Management
Colorado
$25K
GFPC
104
Global Financial Private Client
Florida
$20.9K -$3.77K -121 -15%
Bank of Montreal
105
Bank of Montreal
Ontario, Canada
$13K
OSNBOA
106
Old Second National Bank of Aurora
Illinois
$12K +$12K +386 New
LS
107
Leelyn Smith
Illinois
$11K
VNA
108
Valley National Advisers
Pennsylvania
$11K
APA
109
American Portfolios Advisors
New York
$9.4K
PFGIA
110
Patriot Financial Group Insurance Agency
Massachusetts
$6K -$280 -9 -5%
PNC Financial Services Group
111
PNC Financial Services Group
Pennsylvania
$5K +$4.77K +153 New
GFPC
112
Global Financial Private Capital
Florida
$3K
SIM
113
Sonora Investment Management
Arizona
$3K +$2.77K +89 New
Northwestern Mutual Wealth Management
114
Northwestern Mutual Wealth Management
Wisconsin
$3K +$3.12K +100 New
Fidelity Investments
115
Fidelity Investments
Massachusetts
$2K -$5.58K -179 -71%
JP Morgan Chase
116
JP Morgan Chase
New York
$2K +$2.09K +67 New
LWA
117
Lenox Wealth Advisors
New York
$2K +$2.21K +71 New
AssetMark Inc
118
AssetMark Inc
California
$1K -$2.62K -84 -78%
LFG
119
Larson Financial Group
Missouri
$1K
SF
120
Synovus Financial
Georgia
$1K +$717 +23 New
AIM
121
Anchor Investment Management
South Carolina
$63
AWC
122
Abundance Wealth Counselors
Pennsylvania
-$15.4M -509,599 Closed
SCM
123
Stonehearth Capital Management
Massachusetts
-$9.96M -330,449 Closed
WCWM
124
Wooster Corthell Wealth Management
Connecticut
-$3.71M -123,192 Closed
UWM
125
USAdvisors Wealth Management
Minnesota
-$3.49M -115,674 Closed