| New | Increased | Maintained | Decreased | Liquidated |
|---|---|---|---|---|
| 4 | 4 | 6 | 8 | 6 |
| Whale | Report Period | Security Type | Quantity | Status | % Change | % Allocation | $ Value | % Change | $ Valuation Price | Sec Link |
|---|---|---|---|---|---|---|---|---|---|---|
| Ifp Advisors, Inc | 12-31-2020 | Cef | 70 | Maintained | 0.00 | 0.00 | 4,000.00 | 33.33 | 57.14 | Form 13 |
| Signalpoint Asset Management, Llc | 12-31-2020 | Com | 17,908 | Decreased | -3.97 | 0.28 | 924,000.00 | 1.54 | 51.60 | Form 13 |
| Fmr Llc | 12-31-2020 | Japan Alphadex | 0 | Liquidated! | -100.00 | 0.00 | 0.00 | 0.00 | 0.00 | Form 13 |
| Arkadios Wealth Advisors | 12-31-2020 | Exchange Traded Fund | 0 | Liquidated! | -100.00 | 0.00 | 0.00 | 0.00 | 0.00 | Form 13 |
| Wells Fargo & Company/mn | 12-31-2020 | Japan Alphadex | 2,934 | Increased | 5.65 | 0.00 | 152,000.00 | 12.59 | 110.46 | Form 13 |
| D.a. Davidson & Co. | 12-31-2020 | Japan Alphadex | 8,872 | Maintained | 0.00 | 0.01 | 458,000.00 | 5.77 | 51.62 | Form 13 |
| Advisor Group Holdings, Inc. | 12-31-2020 | Japan Alphadex | 2,644 | Decreased | -12.51 | 0.00 | 137,000.00 | -6.16 | 362.83 | Form 13 |
| Bank Of America Corp /de/ | 12-31-2020 | Japan Alph | 748 | Decreased | -66.28 | 0.00 | 39,000.00 | -61.76 | 52.14 | Form 13 |
| Rathbone Brothers Plc | 12-31-2020 | Com | 17,554 | Increased | 7.34 | 0.01 | 906,000.00 | 13.53 | 51.61 | Form 13 |
| Eqis Capital Management, Inc. | 12-31-2020 | Japan Alphadex | 7,571 | Decreased | -13.67 | 0.04 | 391,000.00 | -8.64 | 51.64 | Form 13 |
| Ubs Group Ag | 12-31-2020 | Japan Alphadex | 2,423 | Decreased | -20.51 | 0.00 | 125,000.00 | -16.11 | 103.21 | Form 13 |
| Citigroup Inc | 12-31-2020 | Japan Alphadex | 135 | Increased | 125.00 | 0.00 | 7,000.00 | 133.33 | 51.85 | Form 13 |
| Rockefeller Capital Management L.p. | 12-31-2020 | Japan Alphadex | 431 | New! | 0.00 | 0.00 | 22,000.00 | 0.00 | 51.04 | Form 13 |
| 1776 Wealth Llc | 12-31-2020 | Equity | 0 | Liquidated! | -100.00 | 0.00 | 0.00 | 0.00 | 0.00 | Form 13 |
| Royal Bank Of Canada | 12-31-2020 | Japan Alphadex | 386 | Decreased | -96.95 | 0.00 | 20,000.00 | -96.76 | 51.81 | Form 13 |
| Citadel Advisors Llc | 12-31-2020 | Japan Alphadex | 0 | Liquidated! | -100.00 | 0.00 | 0.00 | 0.00 | 0.00 | Form 13 |
| Susquehanna International Group, Llp | 12-31-2020 | Japan Alphadex | 32,015 | Increased | 62.19 | 0.00 | 1,653,000.00 | 71.65 | 51.63 | Form 13 |
| Flow Traders U.s. Llc | 12-31-2020 | Etp | 5,514 | Maintained | 0.00 | 0.02 | 285,000.00 | 0.00 | 51.69 | Form 13 |
| Rpg Family Wealth Advisory, Llc | 12-31-2020 | Common Stock | 9,422 | Decreased | -0.46 | 9.99 | 486,360,000.00 | 5.30 | 51,619.61 | Form 13 |
| Sofos Investments, Inc. | 12-31-2020 | Mutfdetf | 20 | Maintained | 0.00 | 0.00 | 1,000.00 | 0.00 | 50.00 | Form 13 |
| Fifth Third Bancorp | 12-31-2020 | Japan Alphadex | 249 | Maintained | 0.00 | 0.00 | 13,000.00 | 8.33 | 52.21 | Form 13 |
| Morgan Stanley | 12-31-2020 | Japan Alphadex | 407,661 | Decreased | -16.25 | 0.00 | 21,042,000.00 | -5.70 | 51.62 | Form 13 |
| Old Mission Capital, Llc | 12-31-2020 | Etp | 23,114 | New! | 0.00 | 0.07 | 1,193,000.00 | 0.00 | 51.61 | Form 13 |
| Cetera Advisor Networks Llc | 12-31-2020 | Japan Alphadex | 0 | Liquidated! | -100.00 | 0.00 | 0.00 | 0.00 | 0.00 | Form 13 |
| Jane Street Group, Llc | 12-31-2020 | Japan Alphadex | 0 | Liquidated! | -100.00 | 0.00 | 0.00 | 0.00 | 0.00 | Form 13 |
| Safeguard Investment Advisory Group, Llc | 12-31-2020 | Japan Alphadex | 3 | New! | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | Form 13 |
| Jpmorgan Chase & Co | 12-31-2020 | Fund | 407 | Maintained | 0.00 | 0.00 | 21,000.00 | 0.00 | 51.60 | Form 13 |
| Retirement Group, Llc | 12-31-2020 | Japan Alphadex | 15 | New! | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | Form 13 |
