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Sumitomo Mitsui Financial Group, Inc American Depositary Shares (each representing 1.2 shares of Common Stock)

Name Holding Trade Value Shares
Change
Change in
Stake
RCA
101
Rowland Carmichael Advisors
Arizona
$260K +$245K +33,021 New
YMRC
102
Yorktown Management & Research Company
Virginia
$259K – – –
RJT
103
Raymond James Trust
Florida
$257K +$1.92K +259 +0.8%
MIS
104
Morningstar Investment Services
Illinois
$255K +$55.1K +7,414 +30%
WIS
105
Wright Investors Service
Connecticut
$245K -$364K -48,980 -61%
SW
106
SVB Wealth
Massachusetts
$236K +$15.2K +2,045 +7%
HPCM
107
High Pointe Capital Management
Illinois
$231K +$11.3K +1,520 +5%
TD Asset Management
108
TD Asset Management
Ontario, Canada
$216K +$43.1K +5,795 +24%
QCG
109
Quadrant Capital Group
Ohio
$211K +$131K +17,685 +161%
FIM
110
Freedom Investment Management
Connecticut
$210K +$119K +16,069 +151%
CI
111
Conning Inc
Connecticut
$203K -$117K -15,800 -38%
CG
112
Caprock Group
Idaho
$198K +$185K +24,870 New
MML Investors Services
113
MML Investors Services
Massachusetts
$198K +$187K +25,158 New
LFAS
114
Level Four Advisory Services
Texas
$191K -$176K -23,663 -47%
B
115
BancorpSouth
Mississippi
$191K – – –
GC
116
Gilbert & Cook
Iowa
$187K +$177K +23,832 New
LTFS
117
Ladenburg Thalmann Financial Services
Florida
$184K +$83K +11,177 +92%
RRAM
118
River Road Asset Management
Kentucky
$177K +$167K +22,492 New
IIC
119
Integrated Investment Consultants
Michigan
$161K +$152K +20,482 New
CIBC World Market
120
CIBC World Market
Ontario, Canada
$160K +$151K +20,344 New
HIMCH
121
Hartford Investment Management Co (HIMCO)
Connecticut
$154K +$146K +19,610 New
SS
122
Simplicity Solutions
Minnesota
$154K +$146K +19,612 New
IWA
123
Intercontinental Wealth Advisors
Texas
$153K -$8.77K -1,181 -6%
AP
124
Advisor Partners
California
$152K +$64.5K +8,679 +81%
Nuveen Fund Advisors
125
Nuveen Fund Advisors
Illinois
$148K +$19.4K +2,617 +16%