DOW 30SM Enhanced Prem & Inc

Q3 2014 vs Q4 2014

Comparing institutional holders between quarters

Compare Detailed Historical Funds Options Short Interest 13D/13G Peers Targeting Trading Summary Profile

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MassMutual Private Wealth & Trust, FSB

NEW

Shares0

Change0

Value$0

Filed 2015-02-05

Wells Fargo & Company

CLOSED

Shares0 from 757,766

Change-757,766 (-100%)

Value$0 (-$10.1K)

Filed 2015-02-11

Guggenheim Capital LLC

CLOSED

Shares0 from 455,217

Change-455,217 (-100%)

Value$0 (-$6.1K)

Filed 2015-02-17

Invesco Ltd.

CLOSED

Shares0 from 400,485

Change-400,485 (-100%)

Value$0 (-$5.3K)

Filed 2015-02-13

Morgan Stanley

CLOSED

Shares0 from 226,935

Change-226,935 (-100%)

Value$0 (-$3.0K)

Filed 2015-02-13

Bank of America Corp

CLOSED

Shares0 from 207,085

Change-207,085 (-100%)

Value$0 (-$2.8K)

Filed 2015-02-13

Raymond James & Associates

CLOSED

Shares0 from 204,371

Change-204,371 (-100%)

Value$0 (-$2.7K)

Filed 2015-02-11

Advisors Asset Management, Inc.

CLOSED

Shares0 from 173,217

Change-173,217 (-100%)

Value$0 (-$2.3K)

Filed 2015-02-05

LPL Financial LLC

CLOSED

Shares0 from 155,015

Change-155,015 (-100%)

Value$0 (-$2.0K)

Filed 2015-02-13

Aviance Capital Partners, LLC

CLOSED

Shares0 from 142,300

Change-142,300 (-100%)

Value$0 (-$1.9K)

Filed 2015-01-28

Formidable Asset Management, LLC

CLOSED

Shares0 from 131,298

Change-131,298 (-100%)

Value$0 (-$1.8K)

Filed 2015-02-27

Stifel Financial Corp

CLOSED

Shares0 from 111,601

Change-111,601 (-100%)

Value$0 (-$1.5K)

Filed 2015-02-13

Concert Wealth Management Inc.

CLOSED

Shares0 from 67,288

Change-67,288 (-100%)

Value$0 (-$895)

Filed 2015-02-11

Wolverine Asset Management LLC

CLOSED

Shares0 from 67,083

Change-67,083 (-100%)

Value$0 (-$894)

Filed 2015-02-12

Financial Sense Advisors, Inc.

CLOSED

Shares0 from 59,900

Change-59,900 (-100%)

Value$0 (-$799)

Filed 2015-02-04

Benchmark Capital Advisors

CLOSED

Shares0 from 46,200

Change-46,200 (-100%)

Value$0 (-$616)

Filed 2015-02-17

Ladenburg Thalmann Financial Services Inc

CLOSED

Shares0 from 38,520

Change-38,520 (-100%)

Value$0 (-$515)

Filed 2015-02-13

Shaker Financial Services, LLC

CLOSED

Shares0 from 33,135

Change-33,135 (-100%)

Value$0 (-$442)

Filed 2015-02-10

Cambridge Investment Research Advisors, Inc.

CLOSED

Shares0 from 30,331

Change-30,331 (-100%)

Value$0 (-$405)

Filed 2015-02-06

KCG Holdings, Inc.

CLOSED

Shares0 from 29,349

Change-29,349 (-100%)

Value$0 (-$392)

Filed 2015-02-17

Northwestern Mutual Wealth Management Co

CLOSED

Shares0 from 28,070

Change-28,070 (-100%)

Value$0 (-$374)

Filed 2015-02-13

Keybank National Association

CLOSED

Shares0 from 24,410

Change-24,410 (-100%)

Value$0 (-$326)

Filed 2015-02-12

Royal Bank of Canada

CLOSED

Shares0 from 22,959

Change-22,959 (-100%)

Value$0 (-$306)

Filed 2015-02-17

American International Group, Inc.

CLOSED

Shares0 from 17,887

Change-17,887 (-100%)

Value$0 (-$238.6K)

Filed 2015-02-13

First Allied Advisory Services, Inc.

CLOSED

Shares0 from 16,797

Change-16,797 (-100%)

Value$0 (-$224)

Filed 2015-02-09

Commonwealth Equity Services, Inc

CLOSED

Shares0 from 15,690

Change-15,690 (-100%)

Value$0 (-$209)

Filed 2015-01-13

Usca RIA LLC

CLOSED

Shares0 from 14,465

Change-14,465 (-100%)

Value$0 (-$193)

Filed 2015-02-11

First Republic Investment Management, Inc.

CLOSED

Shares0 from 14,435

Change-14,435 (-100%)

Value$0 (-$193)

Filed 2015-02-11

National Planning Corp

CLOSED

Shares0 from 13,100

Change-13,100 (-100%)

Value$0 (-$173)

Filed 2015-01-20

BNP Paribas Financial Markets

CLOSED

Shares0 from 12,300

Change-12,300 (-100%)

Value$0 (-$164.1K)

Filed 2015-03-10

MetLife Securities, Inc

CLOSED

Shares0 from 11,755

Change-11,755 (-100%)

Value$0 (-$157)

Filed 2015-01-26

Citigroup Inc

CLOSED

Shares0 from 6,092

Change-6,092 (-100%)

Value$0 (-$81)

Filed 2015-02-17

Bank of Montreal

CLOSED

Shares0 from 2,223

Change-2,223 (-100%)

Value$0 (-$30)

Filed 2015-02-09

Creative Planning

CLOSED

Shares0 from 2,022

Change-2,022 (-100%)

Value$0 (-$27)

Filed 2015-01-29

Westport Resources Management Inc

CLOSED

Shares0 from 1,500

Change-1,500 (-100%)

Value$0 (-$20)

Filed 2015-02-04

Edelman Financial Group Inc.

CLOSED

Shares0 from 1,449

Change-1,449 (-100%)

Value$0 (-$19)

Filed 2015-02-18

New England Securities Corp

CLOSED

Shares0 from 1,015

Change-1,015 (-100%)

Value$0 (-$14)

Filed 2015-01-26

Security National Trust Co

CLOSED

Shares0 from 725

Change-725 (-100%)

Value$0 (-$10)

Filed 2015-01-29

UBS AG

N/A

Shares— from 201,829

Change-201,829 (-100%)

Value—

	Status
MassMutual Private Wealth & Trust, FSB	NEW	0	—	0	—	—	$0	—	2015-02-05
Wells Fargo & Company	CLOSED	0	757,766	-757,766	-100%	$10.1K	$0	-$10.1K	2015-02-11
Guggenheim Capital LLC	CLOSED	0	455,217	-455,217	-100%	$6.1K	$0	-$6.1K	2015-02-17
Invesco Ltd.	CLOSED	0	400,485	-400,485	-100%	$5.3K	$0	-$5.3K	2015-02-13
Morgan Stanley	CLOSED	0	226,935	-226,935	-100%	$3.0K	$0	-$3.0K	2015-02-13
Bank of America Corp	CLOSED	0	207,085	-207,085	-100%	$2.8K	$0	-$2.8K	2015-02-13
Raymond James & Associates	CLOSED	0	204,371	-204,371	-100%	$2.7K	$0	-$2.7K	2015-02-11
Advisors Asset Management, Inc.	CLOSED	0	173,217	-173,217	-100%	$2.3K	$0	-$2.3K	2015-02-05
LPL Financial LLC	CLOSED	0	155,015	-155,015	-100%	$2.0K	$0	-$2.0K	2015-02-13
Aviance Capital Partners, LLC	CLOSED	0	142,300	-142,300	-100%	$1.9K	$0	-$1.9K	2015-01-28
Formidable Asset Management, LLC	CLOSED	0	131,298	-131,298	-100%	$1.8K	$0	-$1.8K	2015-02-27
Stifel Financial Corp	CLOSED	0	111,601	-111,601	-100%	$1.5K	$0	-$1.5K	2015-02-13
Concert Wealth Management Inc.	CLOSED	0	67,288	-67,288	-100%	$895	$0	-$895	2015-02-11
Wolverine Asset Management LLC	CLOSED	0	67,083	-67,083	-100%	$894	$0	-$894	2015-02-12
Financial Sense Advisors, Inc.	CLOSED	0	59,900	-59,900	-100%	$799	$0	-$799	2015-02-04
Benchmark Capital Advisors	CLOSED	0	46,200	-46,200	-100%	$616	$0	-$616	2015-02-17
Ladenburg Thalmann Financial Services Inc	CLOSED	0	38,520	-38,520	-100%	$515	$0	-$515	2015-02-13
Shaker Financial Services, LLC	CLOSED	0	33,135	-33,135	-100%	$442	$0	-$442	2015-02-10
Cambridge Investment Research Advisors, Inc.	CLOSED	0	30,331	-30,331	-100%	$405	$0	-$405	2015-02-06
KCG Holdings, Inc.	CLOSED	0	29,349	-29,349	-100%	$392	$0	-$392	2015-02-17
Northwestern Mutual Wealth Management Co	CLOSED	0	28,070	-28,070	-100%	$374	$0	-$374	2015-02-13
Keybank National Association	CLOSED	0	24,410	-24,410	-100%	$326	$0	-$326	2015-02-12
Royal Bank of Canada	CLOSED	0	22,959	-22,959	-100%	$306	$0	-$306	2015-02-17
American International Group, Inc.	CLOSED	0	17,887	-17,887	-100%	$238.6K	$0	-$238.6K	2015-02-13
First Allied Advisory Services, Inc.	CLOSED	0	16,797	-16,797	-100%	$224	$0	-$224	2015-02-09
Commonwealth Equity Services, Inc	CLOSED	0	15,690	-15,690	-100%	$209	$0	-$209	2015-01-13
Usca RIA LLC	CLOSED	0	14,465	-14,465	-100%	$193	$0	-$193	2015-02-11
First Republic Investment Management, Inc.	CLOSED	0	14,435	-14,435	-100%	$193	$0	-$193	2015-02-11
National Planning Corp	CLOSED	0	13,100	-13,100	-100%	$173	$0	-$173	2015-01-20
BNP Paribas Financial Markets	CLOSED	0	12,300	-12,300	-100%	$164.1K	$0	-$164.1K	2015-03-10
MetLife Securities, Inc	CLOSED	0	11,755	-11,755	-100%	$157	$0	-$157	2015-01-26
Citigroup Inc	CLOSED	0	6,092	-6,092	-100%	$81	$0	-$81	2015-02-17
Bank of Montreal	CLOSED	0	2,223	-2,223	-100%	$30	$0	-$30	2015-02-09
Creative Planning	CLOSED	0	2,022	-2,022	-100%	$27	$0	-$27	2015-01-29
Westport Resources Management Inc	CLOSED	0	1,500	-1,500	-100%	$20	$0	-$20	2015-02-04
Edelman Financial Group Inc.	CLOSED	0	1,449	-1,449	-100%	$19	$0	-$19	2015-02-18
New England Securities Corp	CLOSED	0	1,015	-1,015	-100%	$14	$0	-$14	2015-01-26
Security National Trust Co	CLOSED	0	725	-725	-100%	$10	$0	-$10	2015-01-29
UBS AG	N/A	—	201,829	-201,829	-100%	$2.7K	—	—	—

Showing 39 of 39 institutions