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NYLIM Merger Arbitrage ETF

Name Holding Trade Value Shares
Change
Change in
Stake
SWM
101
Sugarloaf Wealth Management
Georgia
$33K -$4.42K -137 -12%
Geneos Wealth Management
102
Geneos Wealth Management
Colorado
$24K -$1.61K -50 -6%
Prospera Financial Services
103
Prospera Financial Services
Texas
$24K +$23.3K +722 New
GFPC
104
Global Financial Private Client
Florida
$22.6K – – –
APA
105
American Portfolios Advisors
New York
$17.9K +$7.57K +235 +79%
OSNBOA
106
Old Second National Bank of Aurora
Illinois
$15K +$1.48K +46 +12%
RFWA
107
RPg Family Wealth Advisory
Massachusetts
$14.9K -$1.63M -50,584 -99%
Bank of Montreal
108
Bank of Montreal
Ontario, Canada
$13K – – –
LS
109
Leelyn Smith
Illinois
$12K – – –
VNA
110
Valley National Advisers
Pennsylvania
$12K – – –
PFGIA
111
Patriot Financial Group Insurance Agency
Massachusetts
$9K +$2.61K +81 +42%
Fifth Third Bancorp
112
Fifth Third Bancorp
Ohio
$3K -$83.2K -2,581 -96%
AssetMark Inc
113
AssetMark Inc
California
$3K +$2.29K +71 +296%
BWA
114
BDO Wealth Advisors
Florida
$3K +$2.42K +75 New
Fidelity Investments
115
Fidelity Investments
Massachusetts
$2K -$516 -16 -22%
LWA
116
Lenox Wealth Advisors
New York
$2K – – –
AIM
117
Anchor Investment Management
South Carolina
$67 – – –
IDA
118
Intelligence Driven Advisers
California
– -$5.15M -163,398 Closed
NAM
119
NorthCoast Asset Management
Connecticut
– -$525K -16,653 Closed
Mariner Independent Advisor Network
120
Mariner Independent Advisor Network
Kansas
– -$350K -11,155 Closed
Renaissance Technologies
121
Renaissance Technologies
New York
– -$344K -10,900 Closed
RFN
122
RDA Financial Network
Iowa
– -$322K -10,225 Closed
VCM
123
Verger Capital Management
North Carolina
– -$309K -9,811 Closed
MWC
124
MKD Wealth Coaches
Michigan
– -$304K -9,626 Closed
First Citizens Bank & Trust
125
First Citizens Bank & Trust
North Carolina
– -$262K -8,315 Closed