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PCM Fund

Name Holding Trade Value Shares
Change
Change in
Stake
First Foundation Advisors
1
First Foundation Advisors
California
$8.04M -$1.16M -115,654 -13%
Horizon Kinetics
2
Horizon Kinetics
New York
$2.72M -$345K -34,269 -11%
Advisor Group
3
Advisor Group
Arizona
$2.6M -$38K -3,780 -1%
National Planning Corporation
4
National Planning Corporation
California
$1.94M -$40.8K -4,057 -2%
Guggenheim Capital
5
Guggenheim Capital
Illinois
$792K -$191K -19,043 -19%
Bessemer Group
6
Bessemer Group
New Jersey
$570K +$99.3K +9,877 +21%
Ladenburg Thalmann Financial Services
7
Ladenburg Thalmann Financial Services
Florida
$506K +$326K +32,381 +178%
Morgan Stanley
8
Morgan Stanley
New York
$485K +$239K +23,755 +96%
Commonwealth Equity Services
9
Commonwealth Equity Services
Massachusetts
$297K +$175K +17,407 +142%
Virtu KCG Holdings
10
Virtu KCG Holdings
New York
$160K +$161K +16,024 New
Raymond James & Associates
11
Raymond James & Associates
Florida
$157K +$158K +15,749 New
Wells Fargo
12
Wells Fargo
California
$93K +$2.84K +283 +3%
Parkside Financial Bank & Trust
13
Parkside Financial Bank & Trust
Missouri
$66K +$25.3K +2,514 +62%
MSI Financial Services
14
MSI Financial Services
Massachusetts
$64K -$172K -17,157 -73%
UBS Group
15
UBS Group
Switzerland
$60K -$681K -67,742 -92%
Bank of America
16
Bank of America
North Carolina
$55K +$23.2K +2,312 +72%
North Star Investment Management
17
North Star Investment Management
Illinois
$35K – – –
IFP Advisors
18
IFP Advisors
Florida
$32K – – –
Next Financial Group
19
Next Financial Group
Texas
$21K +$14.7K +1,465 +234%
Northwestern Mutual Wealth Management
20
Northwestern Mutual Wealth Management
Wisconsin
$20K +$20.1K +2,000 New
WealthPLAN Partners
21
WealthPLAN Partners
Nebraska
$19.9K -$20.1K -2,000 -50%
Stifel Financial
22
Stifel Financial
Missouri
– -$243K -25,027 Closed
Robinson Capital Management
23
Robinson Capital Management
Michigan
– -$239K -24,587 Closed