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NYLIM Merger Arbitrage ETF

Name Holding Trade Value Shares
Change
Change in
Stake
BFA
101
BBJS Financial Advisors
Washington
$18.6K +$18.4K +585 New
M
102
MOTCO
Texas
$15.3K -$4K -127 -21%
PNC Financial Services Group
103
PNC Financial Services Group
Pennsylvania
$14.7K – – –
MassMutual Private Wealth & Trust
104
MassMutual Private Wealth & Trust
Connecticut
$12K -$60.8K -1,933 -84%
FCA
105
Fortis Capital Advisors
Kansas
$11.8K +$11.7K +372 New
Harbour Investments
106
Harbour Investments
Wisconsin
$9.9K -$13.6K -431 -58%
Fidelity Investments
107
Fidelity Investments
Massachusetts
$9.84K +$7.58K +241 +349%
HWMA
108
Heritage Wealth Management (Arizona)
Arizona
$8.44K +$4.18K +133 +100%
Carson Wealth (CWM LLC)
109
Carson Wealth (CWM LLC)
Nebraska
$6K +$5.54K +176 New
MCC
110
Money Concepts Capital
Florida
$5.65K +$5.6K +178 New
Advisory Services Network
111
Advisory Services Network
Georgia
$3.05K +$3.02K +96 New
NewEdge Advisors
112
NewEdge Advisors
Louisiana
$1.87K +$3.62K +115 New
NFSG
113
Newbridge Financial Services Group
Florida
$1.55K – – –
FA
114
Fiduciary Alliance
South Carolina
$1.08K +$1.07K +34 New
VNA
115
Valley National Advisers
Pennsylvania
$1K – – –
SWM
116
Sugarloaf Wealth Management
Georgia
$811 – – –
GEA
117
Glen Eagle Advisors
New Jersey
$571 – – –
KFI
118
Key Financial Inc
Pennsylvania
$407 – – –
DWM
119
Darwin Wealth Management
Florida
– -$2.17M -69,168 Closed
Citadel Advisors
120
Citadel Advisors
Florida
– -$1.7M -54,404 Closed
Flow Traders U.S.
121
Flow Traders U.S.
New York
– -$618K -19,746 Closed
BOS
122
Bank of Stockton
California
– -$313K -10,000 Closed
Brinker Capital Investments
123
Brinker Capital Investments
Pennsylvania
– -$232K -7,409 Closed
OSNBOA
124
Old Second National Bank of Aurora
Illinois
– -$23K -743 Closed
TD Waterhouse Canada
125
TD Waterhouse Canada
Ontario, Canada
– -$4.39K -140 Closed