| Filed | As-Of/On | Form | Fullname | Fund Class | Shares | Activity | Shares Change | Shares Pct. Change | Hypothetical Old Value | Hypothetical New Value | Hypothetical Value Chg. | Hypotheticals Return |
Hypotheticals Results |
Director |
Other |
Ten Pct |
Officer |
Officer Title |
News Article |
History |
|---|
| 2009-11-20 | 2009-09-30 | N-Q | Oppenheimer Main Street Small Cap Fund - Oppenheimer Main Street Small Cap Fund | Small-Cap Core | | Sold All | -191,385 | -100 % | | | | 0.00 % | $0 | | | | | | News Article | History of Oppenheimer Main Street Small Cap Fund - Oppenheimer Main Street Small Cap Fund Ownership Of Penson Worldwide Inc |
| 2009-11-18 | 2009-09-30 | 13F-HR | Timber Hill Llc | No Data | 59,647 | Added More | 2,107 | 3.66 % | $546,963 | $526,087 | $-20,876 | -3.81 % | $-737 | | | | | | News Article | History of Timber Hill Llc Ownership Of Penson Worldwide Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR/A | Amvescap Plc | Institution | 24,982 | Sold Some | -114,005 | -82.02 % | $233,082 | $220,341 | $-12,741 | -5.46 % | $58,143 | | | | | | News Article | History of Amvescap Plc Ownership Of Penson Worldwide Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR/A | Credit Suisse First Boston | Institution | | Sold All | -28,465 | -100 % | | | | -5.46 % | $14,517 | | | | | | News Article | History of Credit Suisse First Boston Ownership Of Penson Worldwide Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR | Integrity Asset Management Llc | Institution | 1,226,055 | Sold Some | -60,720 | -4.71 % | $11,439,093 | $10,813,805 | $-625,288 | -5.46 % | $30,967 | | | | | | News Article | History of Integrity Asset Management Llc Ownership Of Penson Worldwide Inc |
| 2009-11-17 | 2009-09-30 | N-Q | Wegener Investment Trust - Wegener Investment Trust | Specialty & Misc | | Sold All | -1,650 | -100 % | | | | -5.46 % | $842 | | | | | | News Article | History of Wegener Investment Trust - Wegener Investment Trust Ownership Of Penson Worldwide Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR | Wells Fargo And Co | Institution | 138,519 | Added More | 138,319 | 69159.50 % | $1,292,382 | $1,221,738 | $-70,645 | -5.46 % | $-70,543 | | | | | | News Article | History of Wells Fargo And Co Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Algert Coldiron Investors Llc | Institution | | Sold All | -4,819 | -100 % | | | | -7.06 % | $3,229 | | | | | | News Article | History of Algert Coldiron Investors Llc Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | American International Group Inc | Institution | 178,593 | Sold Some | -21,000 | -10.52 % | $1,694,848 | $1,575,190 | $-119,657 | -7.06 % | $14,070 | | | | | | News Article | History of American International Group Inc Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Aqr Capital Management Llc | Institution | 45,400 | Sold Some | -55,845 | -55.15 % | $430,846 | $400,428 | $-30,418 | -7.06 % | $37,416 | | | | | | News Article | History of Aqr Capital Management Llc Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Bogle Investment Management L P | Institution | | Sold All | -171,504 | -100 % | | | | -7.06 % | $114,908 | | | | | | News Article | History of Bogle Investment Management L P Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Catapult Capital Management Llc | Institution | | Sold All | -25,000 | -100 % | | | | -7.06 % | $16,750 | | | | | | News Article | History of Catapult Capital Management Llc Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Fifth Third Asset Management Inc | Institution | 93,251 | Added More | 600 | 0.64 % | $884,952 | $822,474 | $-62,478 | -7.06 % | $-402 | | | | | | News Article | History of Fifth Third Asset Management Inc Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Julius Baer Investment Management Llc | Institution | 28,660 | Added More | 12,940 | 82.31 % | $271,983 | $252,781 | $-19,202 | -7.06 % | $-8,670 | | | | | | News Article | History of Julius Baer Investment Management Llc Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Loomis Sayles And Co L P | Institution | 304,023 | New Holding | 304,023 | 100 % | $2,885,178 | $2,681,483 | $-203,695 | -7.06 % | $-203,695 | | | | | | News Article | History of Loomis Sayles And Co L P Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Madison Square Investors Llc | No Data | 11,361 | Sold Some | -11,120 | -49.46 % | $107,816 | $100,204 | $-7,612 | -7.06 % | $7,450 | | | | | | News Article | History of Madison Square Investors Llc Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Millennium Management Llc | Institution | 24,352 | Sold Some | -20,969 | -46.26 % | $231,100 | $214,785 | $-16,316 | -7.06 % | $14,049 | | | | | | News Article | History of Millennium Management Llc Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Morgan Stanley | Institution | 73,621 | Added More | 2,988 | 4.23 % | $698,663 | $649,337 | $-49,326 | -7.06 % | $-2,002 | | | | | | News Article | History of Morgan Stanley Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Northern Trust Corp | Institution | 548,292 | Added More | 269,185 | 96.44 % | $5,203,291 | $4,835,935 | $-367,356 | -7.06 % | $-180,354 | | | | | | News Article | History of Northern Trust Corp Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR/A | Oppenheimer Funds Inc | Institution | 702,625 | Sold Some | -164,113 | -18.93 % | $6,667,911 | $6,197,153 | $-470,759 | -7.06 % | $109,956 | | | | | | News Article | History of Oppenheimer Funds Inc Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR/A | Rafferty Asset Management Llc | Institution | 4,091 | Sold Some | -1,971 | -32.51 % | $38,824 | $36,083 | $-2,741 | -7.06 % | $1,321 | | | | | | News Article | History of Rafferty Asset Management Llc Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Shaw D E And Co Inc | Institution | 30,519 | Added More | 654 | 2.18 % | $289,625 | $269,178 | $-20,448 | -7.06 % | $-438 | | | | | | News Article | History of Shaw D E And Co Inc Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Two Sigma Investments Llc | Institution | 22,600 | Sold Some | -27,575 | -54.95 % | $214,474 | $199,332 | $-15,142 | -7.06 % | $18,475 | | | | | | News Article | History of Two Sigma Investments Llc Ownership Of Penson Worldwide Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Us Bancorp De | Institution | 2,400 | No Change | 0 | 0 % | $22,776 | $21,168 | $-1,608 | -7.06 % | $0 | | | | | | News Article | History of Us Bancorp De Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Ameriprise Financial Inc | Institution | 64,890 | Sold Some | -12,880 | -16.56 % | $584,659 | $572,330 | $-12,329 | -2.10 % | $2,447 | | | | | | News Article | History of Ameriprise Financial Inc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Axa | Institution | 301,161 | Added More | 217,791 | 261.23 % | $2,713,461 | $2,656,240 | $-57,221 | -2.10 % | $-41,380 | | | | | | News Article | History of Axa Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Barclays Plc | Institution | 23,099 | Sold Some | -3,291 | -12.47 % | $208,122 | $203,733 | $-4,389 | -2.10 % | $625 | | | | | | News Article | History of Barclays Plc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Batterymarch Financial Management Inc | Institution | 179,843 | Sold Some | -1,780 | -0.98 % | $1,620,385 | $1,586,215 | $-34,170 | -2.10 % | $338 | | | | | | News Article | History of Batterymarch Financial Management Inc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Brandywine Asset Management Llc | Institution | 224,400 | Sold Some | -19,900 | -8.14 % | $2,021,844 | $1,979,208 | $-42,636 | -2.10 % | $3,781 | | | | | | News Article | History of Brandywine Asset Management Llc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Continental Advisors Llc | Institution | 201,600 | Sold Some | -27,700 | -12.08 % | $1,816,416 | $1,778,112 | $-38,304 | -2.10 % | $5,263 | | | | | | News Article | History of Continental Advisors Llc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Credit Agricole S A | Institution | 5,500 | New Holding | 5,500 | 100 % | $49,555 | $48,510 | $-1,045 | -2.10 % | $-1,045 | | | | | | News Article | History of Credit Agricole S A Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Gartmore Mutual Fund Capital Trust | Institution | 425 | Sold Some | -47,175 | -99.10 % | $3,829 | $3,749 | $-81 | -2.10 % | $8,963 | | | | | | News Article | History of Gartmore Mutual Fund Capital Trust Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Geode Capital Management Llc | Institution | 88,301 | Sold Some | -8,105 | -8.40 % | $795,592 | $778,815 | $-16,777 | -2.10 % | $1,540 | | | | | | News Article | History of Geode Capital Management Llc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Goldman Sachs Group Inc | Institution | 303,510 | Added More | 115,823 | 61.71 % | $2,734,625 | $2,676,958 | $-57,667 | -2.10 % | $-22,006 | | | | | | News Article | History of Goldman Sachs Group Inc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Jacobs Levy Equity Management Inc | Institution | 61,400 | Sold Some | -58,100 | -48.61 % | $553,214 | $541,548 | $-11,666 | -2.10 % | $11,039 | | | | | | News Article | History of Jacobs Levy Equity Management Inc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Knight Capital Group Inc | Institution | | Sold All | -23,658 | -100 % | | | | -2.10 % | $4,495 | | | | | | News Article | History of Knight Capital Group Inc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Legg Mason Capital Management Inc | Institution | 1,293,270 | Added More | 443,370 | 52.16 % | $11,652,363 | $11,406,641 | $-245,721 | -2.10 % | $-84,240 | | | | | | News Article | History of Legg Mason Capital Management Inc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Los Angeles Capital Management And Equity Research Inc | Institution | 23,211 | New Holding | 23,211 | 100 % | $209,131 | $204,721 | $-4,410 | -2.10 % | $-4,410 | | | | | | News Article | History of Los Angeles Capital Management And Equity Research Inc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | N-Q | Managers Amg Funds - Skyline Special Equities Portfolio | No Data | 404,000 | Added More | 37,700 | 10.29 % | $3,640,040 | $3,563,280 | $-76,760 | -2.10 % | $-7,163 | | | | | | News Article | History of Managers Amg Funds - Skyline Special Equities Portfolio Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Martingale Asset Management L P | Institution | 13,394 | Sold Some | -219,219 | -94.24 % | $120,680 | $118,135 | $-2,545 | -2.10 % | $41,652 | | | | | | News Article | History of Martingale Asset Management L P Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | New York State Common Retirement Fund | Institution | | Sold All | -156,000 | -100 % | | | | -2.10 % | $29,640 | | | | | | News Article | History of New York State Common Retirement Fund Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Panagora Asset Management Inc | Institution | 41,009 | Sold Some | -132,606 | -76.37 % | $369,491 | $361,699 | $-7,792 | -2.10 % | $25,195 | | | | | | News Article | History of Panagora Asset Management Inc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Pergamon Offshore Advisors L P | Institution | 97,021 | Added More | 18,592 | 23.70 % | $874,159 | $855,725 | $-18,434 | -2.10 % | $-3,532 | | | | | | News Article | History of Pergamon Offshore Advisors L P Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Price T Rowe Associates Inc | Institution | 2,078,500 | Sold Some | -14,300 | -0.68 % | $18,727,285 | $18,332,370 | $-394,915 | -2.10 % | $2,717 | | | | | | News Article | History of Price T Rowe Associates Inc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Rbc Capital Markets Arbitrage S A | Institution | 7,138 | Sold Some | -13,914 | -66.09 % | $64,313 | $62,957 | $-1,356 | -2.10 % | $2,644 | | | | | | News Article | History of Rbc Capital Markets Arbitrage S A Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Rbc Dain Rauscher Inc | Institution | 3,160 | New Holding | 3,160 | 100 % | $28,472 | $27,871 | $-600 | -2.10 % | $-600 | | | | | | News Article | History of Rbc Dain Rauscher Inc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Renaissance Technologies Corp | Institution | 28,500 | Sold Some | -69,800 | -71.00 % | $256,785 | $251,370 | $-5,415 | -2.10 % | $13,262 | | | | | | News Article | History of Renaissance Technologies Corp Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR/A | Research Affiliates Llc | Institution | 15,448 | No Change | 0 | 0 % | $139,186 | $136,251 | $-2,935 | -2.10 % | $0 | | | | | | News Article | History of Research Affiliates Llc Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Sei Trust Co | Institution | 43,659 | Added More | 1,000 | 2.34 % | $393,368 | $385,072 | $-8,295 | -2.10 % | $-190 | | | | | | News Article | History of Sei Trust Co Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Spark Lp | Institution | 11,100 | Sold Some | -29,400 | -72.59 % | $100,011 | $97,902 | $-2,109 | -2.10 % | $5,586 | | | | | | News Article | History of Spark Lp Ownership Of Penson Worldwide Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Vanguard Group Inc | Institution | 668,994 | Added More | 58,453 | 9.57 % | $6,027,636 | $5,900,527 | $-127,109 | -2.10 % | $-11,106 | | | | | | News Article | History of Vanguard Group Inc Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-10-30 | 13F-HR | Td Asset Management Inc | Institution | | Sold All | -20,700 | -100 % | | | | -0.11 % | $207 | | | | | | News Article | History of Td Asset Management Inc Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Barclays Global Investors Uk Holdings Ltd | Institution | 744,402 | Added More | 100,515 | 15.61 % | $6,573,070 | $6,565,626 | $-7,444 | -0.11 % | $-1,005 | | | | | | News Article | History of Barclays Global Investors Uk Holdings Ltd Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Blackthorn Investment Group Llc | Institution | 16,835 | Sold Some | -1,665 | -9.00 % | $148,653 | $148,485 | $-168 | -0.11 % | $17 | | | | | | News Article | History of Blackthorn Investment Group Llc Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Chicago Equity Partners Llc | Institution | 15,600 | Sold Some | -450 | -2.80 % | $137,748 | $137,592 | $-156 | -0.11 % | $5 | | | | | | News Article | History of Chicago Equity Partners Llc Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | First Quadrant L P | Institution | 92,000 | Sold Some | -127,910 | -58.16 % | $812,360 | $811,440 | $-920 | -0.11 % | $1,279 | | | | | | News Article | History of First Quadrant L P Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Globeflex Capital L P | Institution | | Sold All | -84,430 | -100 % | | | | -0.11 % | $844 | | | | | | News Article | History of Globeflex Capital L P Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR/A | Ing Investment Management Co | Institution | 9,490 | Added More | 1,590 | 20.12 % | $83,797 | $83,702 | $-95 | -0.11 % | $-16 | | | | | | News Article | History of Ing Investment Management Co Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Keeley Asset Management Corp | Institution | 20,000 | No Change | 0 | 0 % | $176,600 | $176,400 | $-200 | -0.11 % | $0 | | | | | | News Article | History of Keeley Asset Management Corp Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Lsv Asset Management | Institution | 232,230 | Sold Some | -5,500 | -2.31 % | $2,050,591 | $2,048,269 | $-2,322 | -0.11 % | $55 | | | | | | News Article | History of Lsv Asset Management Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Merrill Lynch And Co Inc | Institution | | Sold All | -17,128 | -100 % | | | | -0.11 % | $171 | | | | | | News Article | History of Merrill Lynch And Co Inc Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Mfc Global Investment Management Usa Ltd | Institution | 18,473 | Added More | 1,689 | 10.06 % | $163,117 | $162,932 | $-185 | -0.11 % | $-17 | | | | | | News Article | History of Mfc Global Investment Management Usa Ltd Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Mindshare Capital Management Llc | Institution | | Sold All | -74,030 | -100 % | | | | -0.11 % | $740 | | | | | | News Article | History of Mindshare Capital Management Llc Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Oshaughnessy Asset Management Llc | Institution | 4,550 | Sold Some | -168 | -3.56 % | $40,177 | $40,131 | $-46 | -0.11 % | $2 | | | | | | News Article | History of Oshaughnessy Asset Management Llc Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Padco Advisors Ii Inc | Institution | 685 | Added More | 40 | 6.20 % | $6,049 | $6,042 | $-7 | -0.11 % | $0 | | | | | | News Article | History of Padco Advisors Ii Inc Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Padco Advisors Inc | Institution | 881 | Added More | 350 | 65.91 % | $7,779 | $7,770 | $-9 | -0.11 % | $-4 | | | | | | News Article | History of Padco Advisors Inc Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Russell Frank Co | Institution | 141,780 | Sold Some | -37,766 | -21.03 % | $1,251,917 | $1,250,500 | $-1,418 | -0.11 % | $378 | | | | | | News Article | History of Russell Frank Co Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Susquehanna International Group Llp | Institution | | Sold All | -2,111 | -100 % | | | | -0.11 % | $21 | | | | | | News Article | History of Susquehanna International Group Llp Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Systematic Financial Management Lp | Institution | | Sold All | -263,130 | -100 % | | | | -0.11 % | $2,631 | | | | | | News Article | History of Systematic Financial Management Lp Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Technical Financial Services Llc | Institution | | Sold All | -13,418 | -100 % | | | | -0.11 % | $134 | | | | | | News Article | History of Technical Financial Services Llc Ownership Of Penson Worldwide Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | United Services Automobile Association | Institution | 86,880 | Sold Some | -1,500 | -1.69 % | $767,150 | $766,282 | $-869 | -0.11 % | $15 | | | | | | News Article | History of United Services Automobile Association Ownership Of Penson Worldwide Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Citigroup Inc | Institution | 16,819 | Sold Some | -2,070 | -10.95 % | $152,044 | $148,344 | $-3,700 | -2.43 % | $455 | | | | | | News Article | History of Citigroup Inc Ownership Of Penson Worldwide Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Clarivest Asset Management Llc | Institution | | Sold All | -49,653 | -100 % | | | | -2.43 % | $10,924 | | | | | | News Article | History of Clarivest Asset Management Llc Ownership Of Penson Worldwide Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Glenmede Trust Co Na | Institution | 9,400 | No Change | 0 | 0 % | $84,976 | $82,908 | $-2,068 | -2.43 % | $0 | | | | | | News Article | History of Glenmede Trust Co Na Ownership Of Penson Worldwide Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Highbridge Capital Management Llc | Institution | | Sold All | -55,451 | -100 % | | | | -2.43 % | $12,199 | | | | | | News Article | History of Highbridge Capital Management Llc Ownership Of Penson Worldwide Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | J P Morgan Chase And Co | Institution | 387,215 | Sold Some | -23,178 | -5.64 % | $3,500,424 | $3,415,236 | $-85,187 | -2.43 % | $5,099 | | | | | | News Article | History of J P Morgan Chase And Co Ownership Of Penson Worldwide Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Tesseract Capital Llc | No Data | 1,200 | New Holding | 1,200 | 100 % | $10,848 | $10,584 | $-264 | -2.43 % | $-264 | | | | | | News Article | History of Tesseract Capital Llc Ownership Of Penson Worldwide Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Ubs Ag | Institution | 1,022 | Added More | 722 | 240.66 % | $9,239 | $9,014 | $-225 | -2.43 % | $-159 | | | | | | News Article | History of Ubs Ag Ownership Of Penson Worldwide Inc |
| 2009-11-10 | 2009-03-31 | 13F-HR/A | Dlibj Asset Management Co Ltd | Institution | | Sold All | -160 | -100 % | | | | -2.43 % | $35 | | | | | | News Article | History of Dlibj Asset Management Co Ltd Ownership Of Penson Worldwide Inc |
| 2009-11-10 | 2008-12-31 | 13F-HR/A | Dlibj Asset Management Co Ltd | Institution | 160 | Sold Some | -640 | -80.00 % | $1,446 | $1,411 | $-35 | -2.43 % | $141 | | | | | | News Article | History of Dlibj Asset Management Co Ltd Ownership Of Penson Worldwide Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Federated Investors Inc | Institution | 69,766 | Added More | 811 | 1.17 % | $636,266 | $615,336 | $-20,930 | -3.28 % | $-243 | | | | | | News Article | History of Federated Investors Inc Ownership Of Penson Worldwide Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | General Motors Investment Management Corp | Institution | 20,098 | Sold Some | -13,500 | -40.18 % | $183,294 | $177,264 | $-6,029 | -3.28 % | $4,050 | | | | | | News Article | History of General Motors Investment Management Corp Ownership Of Penson Worldwide Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Numeric Investors Llc | Institution | | Sold All | -34,019 | -100 % | | | | -3.28 % | $10,206 | | | | | | News Article | History of Numeric Investors Llc Ownership Of Penson Worldwide Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Blair William And Co | Institution | 861,010 | Added More | 836,310 | 3385.87 % | $7,869,631 | $7,594,108 | $-275,523 | -3.50 % | $-267,619 | | | | | | News Article | History of Blair William And Co Ownership Of Penson Worldwide Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Metropolitan Life Insurance Co | Institution | 17,996 | No Change | 0 | 0 % | $164,483 | $158,725 | $-5,759 | -3.50 % | $0 | | | | | | News Article | History of Metropolitan Life Insurance Co Ownership Of Penson Worldwide Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Pioneer Investment Management Inc | Institution | 516,100 | Added More | 266,100 | 106.44 % | $4,717,154 | $4,552,002 | $-165,152 | -3.50 % | $-85,152 | | | | | | News Article | History of Pioneer Investment Management Inc Ownership Of Penson Worldwide Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Pnc Financial Services Group Inc | Institution | 65,850 | New Holding | 65,850 | 100 % | $601,869 | $580,797 | $-21,072 | -3.50 % | $-21,072 | | | | | | News Article | History of Pnc Financial Services Group Inc Ownership Of Penson Worldwide Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Schwab Charles Investment Management Inc | Institution | 98,400 | Added More | 40,200 | 69.07 % | $899,376 | $867,888 | $-31,488 | -3.50 % | $-12,864 | | | | | | News Article | History of Schwab Charles Investment Management Inc Ownership Of Penson Worldwide Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Teachers Advisors Inc | Institution | 16,928 | No Change | 0 | 0 % | $154,722 | $149,305 | $-5,417 | -3.50 % | $0 | | | | | | News Article | History of Teachers Advisors Inc Ownership Of Penson Worldwide Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Tiaa Cref Investment Management Llc | Institution | 147,469 | Added More | 15,302 | 11.57 % | $1,347,867 | $1,300,677 | $-47,190 | -3.50 % | $-4,897 | | | | | | News Article | History of Tiaa Cref Investment Management Llc Ownership Of Penson Worldwide Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Unionbancal Corp | Institution | 12,300 | Sold Some | -17,800 | -59.13 % | $112,422 | $108,486 | $-3,936 | -3.50 % | $5,696 | | | | | | News Article | History of Unionbancal Corp Ownership Of Penson Worldwide Inc |
| 2009-11-06 | 2009-08-31 | N-CSR | Rbb Fund Inc - Senbanc Fund | Financial Services | 23,098 | New Holding | 23,098 | 100 % | $211,116 | $203,724 | $-7,391 | -3.50 % | $-7,391 | | | | | | News Article | History of Rbb Fund Inc - Senbanc Fund Ownership Of Penson Worldwide Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Bank Of Hawaii | Institution | 15,195 | Added More | 6,600 | 76.78 % | $140,402 | $134,020 | $-6,382 | -4.54 % | $-2,772 | | | | | | News Article | History of Bank Of Hawaii Ownership Of Penson Worldwide Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Frontier Capital Management Co Inc | Institution | 875,834 | Added More | 57,417 | 7.01 % | $8,022,639 | $7,724,856 | $-297,784 | -3.71 % | $-19,522 | | | | | | News Article | History of Frontier Capital Management Co Inc Ownership Of Penson Worldwide Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Geewax Plus Partners Llc | Institution | | Sold All | -29,362 | -100 % | | | | -3.71 % | $9,983 | | | | | | News Article | History of Geewax Plus Partners Llc Ownership Of Penson Worldwide Inc |
| 2009-11-04 | 2009-08-31 | N-CSR | Ssga Funds - Ssga Enhanced Small Cap Fund | Small-Cap Core | 1,600 | No Change | 0 | 0 % | $14,656 | $14,112 | $-544 | -3.71 % | $0 | | | | | | News Article | History of Ssga Funds - Ssga Enhanced Small Cap Fund Ownership Of Penson Worldwide Inc |
| 2009-11-04 | 2009-08-31 | N-CSR | Ssga Funds - Ssga Small Cap Fund | Small-Cap Core | | Sold All | -9,109 | -100 % | | | | -3.71 % | $3,097 | | | | | | News Article | History of Ssga Funds - Ssga Small Cap Fund Ownership Of Penson Worldwide Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Private Trust Co Na | Institution | | Sold All | -41 | -100 % | | | | -4.44 % | $17 | | | | | | News Article | History of Private Trust Co Na Ownership Of Penson Worldwide Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Prudential Financial Inc | Institution | 48,500 | Added More | 3,000 | 6.59 % | $447,655 | $427,770 | $-19,885 | -4.44 % | $-1,230 | | | | | | News Article | History of Prudential Financial Inc Ownership Of Penson Worldwide Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Turner Investment Partners Inc | Institution | 23,270 | Sold Some | -31,760 | -57.71 % | $214,782 | $205,241 | $-9,541 | -4.44 % | $13,022 | | | | | | News Article | History of Turner Investment Partners Inc Ownership Of Penson Worldwide Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Oxford Asset Management | Institution | | Sold All | -51,673 | -100 % | | | | -9.53 % | $48,056 | | | | | | News Article | History of Oxford Asset Management Ownership Of Penson Worldwide Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Wedge Capital Management L L P | Institution | 28,570 | Added More | 410 | 1.45 % | $278,558 | $251,987 | $-26,570 | -9.53 % | $-381 | | | | | | News Article | History of Wedge Capital Management L L P Ownership Of Penson Worldwide Inc |
| 2009-10-30 | 2009-08-31 | N-Q | Fidelity Commonwealth Trust - Fidelity Nasdaq Composite Index Tracking Stock | Specialty & Misc | 891 | No Compare | | | $8,687 | $7,859 | $-829 | -9.53 % | | | | | | | News Article | History of Fidelity Commonwealth Trust - Fidelity Nasdaq Composite Index Tracking Stock Ownership Of Penson Worldwide Inc |
| 2009-10-30 | 2009-08-31 | N-CSRS | Fidelity Commonwealth Trust Ii - Fidelity Small Cap Enhanced Index Fund | Small-Cap Core | 19,100 | Added More | 4,220 | 28.36 % | $186,225 | $168,462 | $-17,763 | -9.53 % | $-3,925 | | | | | | News Article | History of Fidelity Commonwealth Trust Ii - Fidelity Small Cap Enhanced Index Fund Ownership Of Penson Worldwide Inc |
| 2009-10-30 | 2009-08-31 | N-CSR | Vanguard World Fund - Vanguard Financials Index Fund | Specialty & Misc | 5,283 | Sold Some | -62 | -1.15 % | $51,509 | $46,596 | $-4,913 | -9.53 % | $58 | | | | | | News Article | History of Vanguard World Fund - Vanguard Financials Index Fund Ownership Of Penson Worldwide Inc |
| 2009-10-29 | 2009-09-30 | 13F-HR | Dimensional Fund Advisors Inc | Institution | 1,156,596 | Added More | 95,137 | 8.96 % | $11,565,960 | $10,201,177 | $-1,364,783 | -11.80 % | $-112,262 | | | | | | News Article | History of Dimensional Fund Advisors Inc Ownership Of Penson Worldwide Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Riversource Managers Series Inc - Riversource Fundamental Value Fund | Multi-Cap Core | 9,502 | New Holding | 9,502 | 100 % | $95,020 | $83,808 | $-11,212 | -11.80 % | $-11,212 | | | | | | News Article | History of Riversource Managers Series Inc - Riversource Fundamental Value Fund Ownership Of Penson Worldwide Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Usaa Mutual Funds Trust - Cornerstone Strategy Fund | Specialty & Misc | | Sold All | -1,300 | -100 % | | | | -11.80 % | $1,534 | | | | | | News Article | History of Usaa Mutual Funds Trust - Cornerstone Strategy Fund Ownership Of Penson Worldwide Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Usaa Mutual Funds Trust - Growth Fund | Multi-Cap Growth | | Sold All | -1,500 | -100 % | | | | -11.80 % | $1,770 | | | | | | News Article | History of Usaa Mutual Funds Trust - Growth Fund Ownership Of Penson Worldwide Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Valic Co I - Small Cap Fund | Small-Cap Core | 15,600 | New Holding | 15,600 | 100 % | $156,000 | $137,592 | $-18,408 | -11.80 % | $-18,408 | | | | | | News Article | History of Valic Co I - Small Cap Fund Ownership Of Penson Worldwide Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Valic Co I - Small Cap Index Fund | Small-Cap Core | 15,793 | New Holding | 15,793 | 100 % | $157,930 | $139,294 | $-18,636 | -11.80 % | $-18,636 | | | | | | News Article | History of Valic Co I - Small Cap Index Fund Ownership Of Penson Worldwide Inc |
| 2009-10-28 | 2009-08-31 | N-Q | Brazos Mutual Funds - Brazos Micro Cap Portfolio | Small-Cap Growth | 46,700 | New Holding | 46,700 | 100 % | $464,198 | $411,894 | $-52,304 | -11.26 % | $-52,304 | | | | | | News Article | History of Brazos Mutual Funds - Brazos Micro Cap Portfolio Ownership Of Penson Worldwide Inc |
| 2009-10-28 | 2009-08-31 | N-Q | Brazos Mutual Funds - Brazos Small Cap Portfolio | Small-Cap Growth | 10,300 | New Holding | 10,300 | 100 % | $102,382 | $90,846 | $-11,536 | -11.26 % | $-11,536 | | | | | | News Article | History of Brazos Mutual Funds - Brazos Small Cap Portfolio Ownership Of Penson Worldwide Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Claymore Exchange-Traded Fund Trust 2 - Claymoreclear Global Exchanges Brokers Asset Managers | Global Flex Port | 86 | New Holding | 86 | 100 % | $920 | $759 | $-162 | -17.57 % | $-162 | | | | | | News Article | History of Claymore Exchange-Traded Fund Trust 2 - Claymoreclear Global Exchanges Brokers Asset Managers Ownership Of Penson Worldwide Inc |
| 2009-10-26 | 2009-06-30 | 13F-HR/A | Ameriprise Financial Inc | Institution | 77,770 | Added More | 6,692 | 9.41 % | $832,139 | $685,931 | $-146,208 | -17.57 % | $-12,581 | | | | | | News Article | History of Ameriprise Financial Inc Ownership Of Penson Worldwide Inc |
| 2009-10-22 | 2009-09-30 | 13F-HR | Blackrock Inc | No Data | | Sold All | -3,130 | -100 % | | | | -16.87 % | $5,603 | | | | | | News Article | History of Blackrock Inc Ownership Of Penson Worldwide Inc |
| 2009-10-22 | 2009-09-30 | 13F-HR | Blackrock Investment Management Llc | Institution | 36,874 | Added More | 5,766 | 18.53 % | $391,233 | $325,229 | $-66,004 | -16.87 % | $-10,321 | | | | | | News Article | History of Blackrock Investment Management Llc Ownership Of Penson Worldwide Inc |
| 2009-10-22 | 2009-09-30 | 13F-HR/A | Ned Davis Research | Institution | | Sold All | -2,300 | -100 % | | | | -16.87 % | $4,117 | | | | | | News Article | History of Ned Davis Research Ownership Of Penson Worldwide Inc |
| 2009-10-22 | 2009-09-30 | 13F-HR | Regions Financial Corp | Institution | 10,345 | New Holding | 10,345 | 100 % | $109,760 | $91,243 | $-18,518 | -16.87 % | $-18,518 | | | | | | News Article | History of Regions Financial Corp Ownership Of Penson Worldwide Inc |
| 2009-10-21 | 2009-09-30 | 13F-HR | Bank Of New York Mellon Corp | Institution | 357,373 | Added More | 5,993 | 1.70 % | $3,831,039 | $3,152,030 | $-679,009 | -17.72 % | $-11,387 | | | | | | News Article | History of Bank Of New York Mellon Corp Ownership Of Penson Worldwide Inc |
| 2009-10-21 | 2009-09-30 | 13F-HR | State Board Of Administration Of Florida Retirement System | Institution | 37,613 | Added More | 9,819 | 35.32 % | $403,211 | $331,747 | $-71,465 | -17.72 % | $-18,656 | | | | | | News Article | History of State Board Of Administration Of Florida Retirement System Ownership Of Penson Worldwide Inc |
| 2009-10-20 | 2009-09-30 | 13F-HR | Public Employees Retirement Association Of Colorado | Institution | 3,900 | No Change | 0 | 0 % | $42,939 | $34,398 | $-8,541 | -19.89 % | $0 | | | | | | News Article | History of Public Employees Retirement Association Of Colorado Ownership Of Penson Worldwide Inc |
| 2009-10-15 | 2009-09-30 | 13F-HR | Public Employees Retirement System Of Ohio | Institution | 23,797 | Sold Some | -21,000 | -46.87 % | $261,767 | $209,890 | $-51,877 | -19.81 % | $45,780 | | | | | | News Article | History of Public Employees Retirement System Of Ohio Ownership Of Penson Worldwide Inc |
| 2009-10-15 | 2008-06-30 | 13F-HR/A | Clarivest Asset Management Llc | Institution | | Sold All | -6,100 | -100 % | | | | -19.81 % | $13,298 | | | | | | News Article | History of Clarivest Asset Management Llc Ownership Of Penson Worldwide Inc |
| 2009-10-09 | 2009-09-30 | 13F-HR | Skyline Asset Management Lp | Institution | 674,860 | Added More | 37,200 | 5.83 % | $6,485,405 | $5,952,265 | $-533,139 | -8.22 % | $-29,388 | | | | | | News Article | History of Skyline Asset Management Lp Ownership Of Penson Worldwide Inc |
| 2009-10-08 | 2009-09-30 | 13F-HR | Rhumbline Advisers | Institution | 35,197 | Added More | 1,017 | 2.97 % | $336,131 | $310,438 | $-25,694 | -7.64 % | $-742 | | | | | | News Article | History of Rhumbline Advisers Ownership Of Penson Worldwide Inc |
| 2009-10-02 | 2009-07-31 | N-CSR | Pacific Capital Funds - Small Cap Fund | Small-Cap Value | 8,595 | Sold Some | -3,250 | -27.43 % | $81,996 | $75,808 | $-6,188 | -7.54 % | $2,340 | | | | | | News Article | History of Pacific Capital Funds - Small Cap Fund Ownership Of Penson Worldwide Inc |
| 2009-10-02 | 2009-07-31 | N-CSR | Usaa Mutual Funds Trust - Growth Fund | Multi-Cap Growth | 1,500 | New Holding | 1,500 | 100 % | $14,310 | $13,230 | $-1,080 | -7.54 % | $-1,080 | | | | | | News Article | History of Usaa Mutual Funds Trust - Growth Fund Ownership Of Penson Worldwide Inc |
| 2009-10-02 | 2009-07-31 | N-CSR | Usaa Mutual Funds Trust - Small Cap Stock Fund | Small-Cap Core | 83,680 | New Holding | 83,680 | 100 % | $798,307 | $738,058 | $-60,250 | -7.54 % | $-60,250 | | | | | | News Article | History of Usaa Mutual Funds Trust - Small Cap Stock Fund Ownership Of Penson Worldwide Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Dimensions Group Inc - International Core Equity Portfolio | International Small-Mid-Cap Value | 45,771 | Added More | 14,600 | 46.83 % | $454,506 | $403,700 | $-50,806 | -11.17 % | $-16,206 | | | | | | News Article | History of Dfa Investment Dimensions Group Inc - International Core Equity Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Dimensions Group Inc - International Vector Equity Portfolio | No Data | 20,865 | Added More | 11,710 | 127.90 % | $207,189 | $184,029 | $-23,160 | -11.17 % | $-12,998 | | | | | | News Article | History of Dfa Investment Dimensions Group Inc - International Vector Equity Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Dimensions Group Inc - Us Sustainability Core 1 Portfolio | No Data | 700 | No Change | 0 | 0 % | $6,951 | $6,174 | $-777 | -11.17 % | $0 | | | | | | News Article | History of Dfa Investment Dimensions Group Inc - Us Sustainability Core 1 Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Dimensions Group Inc - Va Small Value Portfolio | Small-Cap Value | 328,925 | Added More | 24,141 | 7.92 % | $3,266,225 | $2,901,119 | $-365,107 | -11.17 % | $-26,797 | | | | | | News Article | History of Dfa Investment Dimensions Group Inc - Va Small Value Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Trust Co - International Value Series | Multi-Cap Value | 33,200 | No Change | 0 | 0 % | $329,676 | $292,824 | $-36,852 | -11.17 % | $0 | | | | | | News Article | History of Dfa Investment Trust Co - International Value Series Ownership Of Penson Worldwide Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dws Balanced Fund - Dws Balanced Fund | Flexible Portfolio | 8,900 | Sold Some | -1,700 | -16.03 % | $88,377 | $78,498 | $-9,879 | -11.17 % | $1,887 | | | | | | News Article | History of Dws Balanced Fund - Dws Balanced Fund Ownership Of Penson Worldwide Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Managers Trust I - Managers Fremont Global Fund | Global Flex Port | 111,927 | Added More | 19,250 | 20.77 % | $1,111,435 | $987,196 | $-124,239 | -11.17 % | $-21,368 | | | | | | News Article | History of Managers Trust I - Managers Fremont Global Fund Ownership Of Penson Worldwide Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Russell Investment Co - International Fund | International Multi-Cap Core | | Sold All | -11,470 | -100 % | | | | -11.17 % | $12,732 | | | | | | News Article | History of Russell Investment Co - International Fund Ownership Of Penson Worldwide Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Vanguard Explorer Fund - Vanguard Explorer Fund | Small-Cap Growth | 6,544 | New Holding | 6,544 | 100 % | $64,982 | $57,718 | $-7,264 | -11.17 % | $-7,264 | | | | | | News Article | History of Vanguard Explorer Fund - Vanguard Explorer Fund Ownership Of Penson Worldwide Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Massmutual Premier Funds - Massmutual Premier Main Street Small Cap Fund | Small-Cap Core | 12,268 | Added More | 9,158 | 294.46 % | $123,539 | $108,204 | $-15,335 | -12.41 % | $-11,448 | | | | | | News Article | History of Massmutual Premier Funds - Massmutual Premier Main Street Small Cap Fund Ownership Of Penson Worldwide Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Massmutual Premier Funds - Massmutual Premier Small Company Opportunities Fund | Small-Cap Core | 24,981 | Added More | 18,881 | 309.52 % | $251,559 | $220,332 | $-31,226 | -12.41 % | $-23,601 | | | | | | News Article | History of Massmutual Premier Funds - Massmutual Premier Small Company Opportunities Fund Ownership Of Penson Worldwide Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Old Westbury Funds Inc - International Fund | International Multi-Cap Core | 600 | New Holding | 600 | 100 % | $6,042 | $5,292 | $-750 | -12.41 % | $-750 | | | | | | News Article | History of Old Westbury Funds Inc - International Fund Ownership Of Penson Worldwide Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Powershares Exchange Traded Fund Trust - Powershares Dynamic Financial Sector Portfolio | Specialty & Misc | 20,438 | New Holding | 20,438 | 100 % | $205,811 | $180,263 | $-25,548 | -12.41 % | $-25,548 | | | | | | News Article | History of Powershares Exchange Traded Fund Trust - Powershares Dynamic Financial Sector Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Powershares Exchange Traded Fund Trust - Powershares Dynamic Small Cap Growth Portfolio | Small-Cap Growth | 114,246 | New Holding | 114,246 | 100 % | $1,150,457 | $1,007,650 | $-142,808 | -12.41 % | $-142,808 | | | | | | News Article | History of Powershares Exchange Traded Fund Trust - Powershares Dynamic Small Cap Growth Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Schwab Capital Trust - Schwab Technology Fund | Science & Tech | 13,900 | New Holding | 13,900 | 100 % | $139,973 | $122,598 | $-17,375 | -12.41 % | $-17,375 | | | | | | News Article | History of Schwab Capital Trust - Schwab Technology Fund Ownership Of Penson Worldwide Inc |
| 2009-09-25 | 2009-07-31 | N-Q | Direxion Shares Etf Trust - Direxion Daily Small Cap Bull 3x Shares | No Data | 5,136 | New Holding | 5,136 | 100 % | $50,641 | $45,300 | $-5,341 | -10.54 % | $-5,341 | | | | | | News Article | History of Direxion Shares Etf Trust - Direxion Daily Small Cap Bull 3x Shares Ownership Of Penson Worldwide Inc |
| 2009-09-24 | 2009-07-31 | N-Q | Nationwide Mutual Funds - Nationwide Large Cap Value Fund | Large-Cap Value | | Sold All | -3,200 | -100 % | | | | -10.99 % | $3,488 | | | | | | News Article | History of Nationwide Mutual Funds - Nationwide Large Cap Value Fund Ownership Of Penson Worldwide Inc |
| 2009-09-22 | 2009-07-31 | N-Q | Dreyfuslaurel Funds Inc - Small Cap Value Fund | Small-Cap Core | 13,376 | Sold Some | -8,175 | -37.93 % | $137,773 | $117,976 | $-19,796 | -14.36 % | $12,099 | | | | | | News Article | History of Dreyfuslaurel Funds Inc - Small Cap Value Fund Ownership Of Penson Worldwide Inc |
| 2009-09-17 | 2009-07-31 | N-Q | Rydex Etf Trust - Rydex Inverse Russell 2000 Etf | Specialty & Misc | 420 | New Holding | 420 | 100 % | $4,322 | $3,704 | $-617 | -14.28 % | $-617 | | | | | | News Article | History of Rydex Etf Trust - Rydex Inverse Russell 2000 Etf Ownership Of Penson Worldwide Inc |
| 2009-09-15 | 2009-06-30 | N-CSRS/A | Wilshire Mutual Funds Inc - Wilshire Small Company Growth Portfolio | Small-Cap Growth | | Sold All | -175 | -100 % | | | | -15.51 % | $284 | | | | | | News Article | History of Wilshire Mutual Funds Inc - Wilshire Small Company Growth Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-15 | 2009-06-30 | N-CSRS/A | Wilshire Mutual Funds Inc - Wilshire Small Company Value Portfolio | Small-Cap Value | | Sold All | -1,000 | -100 % | | | | -15.51 % | $1,620 | | | | | | News Article | History of Wilshire Mutual Funds Inc - Wilshire Small Company Value Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-11 | 2009-06-30 | 13F-HR/A | Barclays Global Investors Uk Holdings Ltd | Institution | 643,887 | Added More | 42,646 | 7.09 % | $6,889,591 | $5,679,083 | $-1,210,508 | -17.57 % | $-80,174 | | | | | | News Article | History of Barclays Global Investors Uk Holdings Ltd Ownership Of Penson Worldwide Inc |
| 2009-09-10 | 2009-06-30 | N-CSRS | Northern Lights Variable Trust - Jnf Equity Portfolio | Specialty & Misc | 3,700 | Added More | 1,400 | 60.86 % | $39,257 | $32,634 | $-6,623 | -16.87 % | $-2,506 | | | | | | News Article | History of Northern Lights Variable Trust - Jnf Equity Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-08 | 2009-06-30 | N-CSRS | Calvert Variable Series Inc - Ameritas Small Company Equity Portfolio | Small-Cap Core | 14,400 | Sold Some | -2,400 | -14.28 % | $146,448 | $127,008 | $-19,440 | -13.27 % | $3,240 | | | | | | News Article | History of Calvert Variable Series Inc - Ameritas Small Company Equity Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-08 | 2009-06-30 | N-CSR | Wegener Investment Trust - Wegener Investment Trust | Specialty & Misc | 1,650 | New Holding | 1,650 | 100 % | $16,781 | $14,553 | $-2,228 | -13.27 % | $-2,228 | | | | | | News Article | History of Wegener Investment Trust - Wegener Investment Trust Ownership Of Penson Worldwide Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Advanced Series Trust - Ast International Value Portfolio | Multi-Cap Value | | Sold All | -6,000 | -100 % | | | | -12.50 % | $7,560 | | | | | | News Article | History of Advanced Series Trust - Ast International Value Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Axa Premier Vip Trust - Multimanager Small Cap Growth Portfolio | Small-Cap Growth | 7,000 | New Holding | 7,000 | 100 % | $70,560 | $61,740 | $-8,820 | -12.50 % | $-8,820 | | | | | | News Article | History of Axa Premier Vip Trust - Multimanager Small Cap Growth Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Axa Premier Vip Trust - Multimanager Small Cap Value Portfolio | Small-Cap Value | 12,700 | Sold Some | -7,800 | -38.04 % | $128,016 | $112,014 | $-16,002 | -12.50 % | $9,828 | | | | | | News Article | History of Axa Premier Vip Trust - Multimanager Small Cap Value Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Eq Advisors Trust - Eqalliancebernstein Small Cap Growth Portfolio | Small-Cap Growth | 16,500 | Added More | 15,200 | 1169.23 % | $166,320 | $145,530 | $-20,790 | -12.50 % | $-19,152 | | | | | | News Article | History of Eq Advisors Trust - Eqalliancebernstein Small Cap Growth Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Eq Advisors Trust - Eqalliancebernstein Value Portfolio | Multi-Cap Value | 3,670 | New Holding | 3,670 | 100 % | $36,994 | $32,369 | $-4,624 | -12.50 % | $-4,624 | | | | | | News Article | History of Eq Advisors Trust - Eqalliancebernstein Value Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Eq Advisors Trust - Eqbond Index Portfolio | Specialty & Misc | 24,490 | Added More | 3,490 | 16.61 % | $246,859 | $216,002 | $-30,857 | -12.50 % | $-4,397 | | | | | | News Article | History of Eq Advisors Trust - Eqbond Index Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-04 | 2009-06-30 | N-CSR | Jpmorgan Trust I - Jpmorgan Small Cap Core Fund | Small-Cap Core | 97 | New Holding | 97 | 100 % | $978 | $856 | $-122 | -12.50 % | $-122 | | | | | | News Article | History of Jpmorgan Trust I - Jpmorgan Small Cap Core Fund Ownership Of Penson Worldwide Inc |
| 2009-09-04 | 2009-06-30 | N-CSR | Jpmorgan Trust Ii - Jpmorgan Core Bond Fund | Multi-Cap Core | 97 | New Holding | 97 | 100 % | $978 | $856 | $-122 | -12.50 % | $-122 | | | | | | News Article | History of Jpmorgan Trust Ii - Jpmorgan Core Bond Fund Ownership Of Penson Worldwide Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Massmutual Select Funds - Massmutual Select Small Cap Value Equity Fund | Small-Cap Value | 7,100 | No Change | 0 | 0 % | $71,568 | $62,622 | $-8,946 | -12.50 % | $0 | | | | | | News Article | History of Massmutual Select Funds - Massmutual Select Small Cap Value Equity Fund Ownership Of Penson Worldwide Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Sun Capital Advisers Trust - Sc Oppenheimer Main Street Small Cap Fund | Small-Cap Core | 8,815 | Added More | 3,015 | 51.98 % | $88,855 | $77,748 | $-11,107 | -12.50 % | $-3,799 | | | | | | News Article | History of Sun Capital Advisers Trust - Sc Oppenheimer Main Street Small Cap Fund Ownership Of Penson Worldwide Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Vanguard Institutional Index Funds - Vanguard Institutional Index Fund | Specialty & Misc | 9,728 | New Holding | 9,728 | 100 % | $98,058 | $85,801 | $-12,257 | -12.50 % | $-12,257 | | | | | | News Article | History of Vanguard Institutional Index Funds - Vanguard Institutional Index Fund Ownership Of Penson Worldwide Inc |
| 2009-09-04 | 2009-06-10 | N-CSRS | Jpmorgan Insurance Trust - Jpmorgan Insurance Trust Balanced Portfolio | Flexible Portfolio | 14,000 | New Holding | 14,000 | 100 % | $141,120 | $123,480 | $-17,640 | -12.50 % | $-17,640 | | | | | | News Article | History of Jpmorgan Insurance Trust - Jpmorgan Insurance Trust Balanced Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Managers Amg Funds - Skyline Special Equities Portfolio | No Data | 366,300 | Added More | 162,100 | 79.38 % | | $3,230,766 | | - % | | | | | | | News Article | History of Managers Amg Funds - Skyline Special Equities Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Mml Series Investment Fund Ii - Mml Small Cap Equity Fund | Small-Cap Core | 8,030 | Added More | 4,560 | 131.41 % | | $70,825 | | - % | | | | | | | News Article | History of Mml Series Investment Fund Ii - Mml Small Cap Equity Fund Ownership Of Penson Worldwide Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Pacific Select Fund - Pd Small-Cap Growth Index Portfolio | No Data | 200 | No Compare | | | | $1,764 | | - % | | | | | | | News Article | History of Pacific Select Fund - Pd Small-Cap Growth Index Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Pacific Select Fund - Pd Small-Cap Value Index Portfolio | No Data | 143 | No Compare | | | | $1,261 | | - % | | | | | | | News Article | History of Pacific Select Fund - Pd Small-Cap Value Index Portfolio Ownership Of Penson Worldwide Inc |
| 2009-09-03 | 2009-06-30 | N-CSR | Streettracks Series Trust - Spdr Dividend Etf | Specialty & Misc | 421 | Sold Some | -3,040 | -87.83 % | | $3,713 | | - % | | | | | | | News Article | History of Streettracks Series Trust - Spdr Dividend Etf Ownership Of Penson Worldwide Inc |
| 2009-09-02 | 2009-06-30 | N-CSRS | Schwab Capital Trust - Schwab Technology Fund | Science & Tech | | Sold All | -4,000 | -100 % | | | | -10.09 % | $3,960 | | | | | | News Article | History of Schwab Capital Trust - Schwab Technology Fund Ownership Of Penson Worldwide Inc |
| 2009-09-01 | 2009-06-30 | 13F-HR | Algert Coldiron Investors Llc | Institution | 4,819 | No Change | 0 | 0 % | $47,515 | $42,504 | $-5,012 | -10.54 % | $0 | | | | | | News Article | History of Algert Coldiron Investors Llc Ownership Of Penson Worldwide Inc |
| 2009-09-01 | 2009-06-30 | 13F-HR/A | Amvescap Plc | Institution | 138,987 | Added More | 74,053 | 114.04 % | $1,370,412 | $1,225,865 | $-144,546 | -10.54 % | $-77,015 | | | | | | News Article | History of Amvescap Plc Ownership Of Penson Worldwide Inc |
| 2009-09-01 | 2009-06-30 | 13F-HR/A | Fmr Corp | Institution | | Sold All | -128,750 | -100 % | | | | -10.54 % | $133,900 | | | | | | News Article | History of Fmr Corp Ownership Of Penson Worldwide Inc |
| 2009-09-01 | 2009-06-30 | N-CSRS | Tiaa Separate Account Va 1 - Stock Index Account | Specialty & Misc | 879 | No Change | 0 | 0 % | $8,667 | $7,753 | $-914 | -10.54 % | $0 | | | | | | News Article | History of Tiaa Separate Account Va 1 - Stock Index Account Ownership Of Penson Worldwide Inc |
| 2009-08-31 | 2009-06-30 | N-Q/A | Assetmark Funds - Assetmark Large Cap Value Fund | Multi-Cap Value | 22,743 | New Holding | 22,743 | 100 % | $230,614 | $200,593 | $-30,021 | -13.01 % | $-30,021 | | | | | | News Article | History of Assetmark Funds - Assetmark Large Cap Value Fund Ownership Of Penson Worldwide Inc |
| 2009-08-31 | 2009-06-30 | N-Q | Sei Institutional Managed Trust - Large Cap Diversified Alpha Fund | Large-Cap Core | | Sold All | -5,600 | -100 % | | | | -13.01 % | $7,392 | | | | | | News Article | History of Sei Institutional Managed Trust - Large Cap Diversified Alpha Fund Ownership Of Penson Worldwide Inc |
| 2009-08-31 | 2009-06-30 | N-Q | Sei Institutional Managed Trust - Large Cap Growth Fund | Large-Cap Growth | | Sold All | -5,000 | -100 % | | | | -13.01 % | $6,600 | | | | | | News Article | History of Sei Institutional Managed Trust - Large Cap Growth Fund Ownership Of Penson Worldwide Inc |
| 2009-08-31 | 2009-06-30 | N-CSRS | Tiaa Cref Life Fund - Stock Index Fund | Specialty & Misc | 300 | No Change | 0 | 0 % | $3,042 | $2,646 | $-396 | -13.01 % | $0 | | | | | | News Article | History of Tiaa Cref Life Fund - Stock Index Fund Ownership Of Penson Worldwide Inc |
| 2009-08-31 | 2009-06-30 | N-Q | Wisdomtree Trust - Wisdomtree Smallcap Earnings Fund | Small-Cap Core | 4,162 | Added More | 1,537 | 58.55 % | $42,203 | $36,709 | $-5,494 | -13.01 % | $-2,029 | | | | | | News Article | History of Wisdomtree Trust - Wisdomtree Smallcap Earnings Fund Ownership Of Penson Worldwide Inc |
| 2009-08-28 | 2009-06-30 | N-CSRS | Dws Variable Series Ii - Dws Balanced Vip | Flexible Portfolio | 2,800 | New Holding | 2,800 | 100 % | $28,616 | $24,696 | $-3,920 | -13.69 % | $-3,920 | | | | | | News Article | History of Dws Variable Series Ii - Dws Balanced Vip Ownership Of Penson Worldwide Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 2000 Growth Index Fund | Multi-Cap Growth | 85,518 | New Holding | 85,518 | 100 % | $873,994 | $754,269 | $-119,725 | -13.69 % | $-119,725 | | | | | | News Article | History of Ishares Trust - Ishares Russell 2000 Growth Index Fund Ownership Of Penson Worldwide Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 2000 Index Fund | Specialty & Misc | 234,912 | Added More | 26,096 | 12.49 % | $2,400,801 | $2,071,924 | $-328,877 | -13.69 % | $-36,534 | | | | | | News Article | History of Ishares Trust - Ishares Russell 2000 Index Fund Ownership Of Penson Worldwide Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 2000 Value Index Fund | Multi-Cap Value | 60,077 | Sold Some | -80,582 | -57.28 % | $613,987 | $529,879 | $-84,108 | -13.69 % | $112,815 | | | | | | News Article | History of Ishares Trust - Ishares Russell 2000 Value Index Fund Ownership Of Penson Worldwide Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 3000 Growth Index Fund | Multi-Cap Growth | 749 | New Holding | 749 | 100 % | $7,655 | $6,606 | $-1,049 | -13.69 % | $-1,049 | | | | | | News Article | History of Ishares Trust - Ishares Russell 3000 Growth Index Fund Ownership Of Penson Worldwide Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 3000 Index Fund | Specialty & Misc | 3,940 | Added More | 240 | 6.48 % | $40,267 | $34,751 | $-5,516 | -13.69 % | $-336 | | | | | | News Article | History of Ishares Trust - Ishares Russell 3000 Index Fund Ownership Of Penson Worldwide Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 3000 Value Index Fund | Multi-Cap Value | 485 | Sold Some | -639 | -56.85 % | $4,957 | $4,278 | $-679 | -13.69 % | $895 | | | | | | News Article | History of Ishares Trust - Ishares Russell 3000 Value Index Fund Ownership Of Penson Worldwide Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell Microcap Index Fund | Specialty & Misc | 29,027 | Added More | 11,263 | 63.40 % | $296,656 | $256,018 | $-40,638 | -13.69 % | $-15,768 | | | | | | News Article | History of Ishares Trust - Ishares Russell Microcap Index Fund Ownership Of Penson Worldwide Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Seasons Series Trust - Stock Portfolio | Multi-Cap Core | 5,559 | New Holding | 5,559 | 100 % | $56,813 | $49,030 | $-7,783 | -13.69 % | $-7,783 | | | | | | News Article | History of Seasons Series Trust - Stock Portfolio Ownership Of Penson Worldwide Inc |
| 2009-08-28 | 2009-06-30 | 13F-HR/A | Wells Fargo And Co | Institution | 200 | New Holding | 200 | 100 % | $2,044 | $1,764 | $-280 | -13.69 % | $-280 | | | | | | News Article | History of Wells Fargo And Co Ownership Of Penson Worldwide Inc |
| 2009-08-28 | 2008-06-30 | N-Q | Vanguard Malvern Funds - Vanguard Capital Value Fund | Multi-Cap Value | 12,480 | New Holding | 12,480 | 100 % | $127,546 | $110,074 | $-17,472 | -13.69 % | $-17,472 | | | | | | News Article | History of Vanguard Malvern Funds - Vanguard Capital Value Fund Ownership Of Penson Worldwide Inc |
| 2009-08-27 | 2009-06-30 | N-Q | Tiaa Cref Institutional Mutual Funds - Equity Index Fund | Specialty & Misc | 13,176 | Added More | 2,494 | 23.34 % | $136,899 | $116,212 | $-20,686 | -15.11 % | $-3,916 | | | | | | News Article | History of Tiaa Cref Institutional Mutual Funds - Equity Index Fund Ownership Of Penson Worldwide Inc |
| 2009-08-27 | 2009-06-30 | N-CSRS | Vanguard Index Funds - Vanguard Extended Market Index Fund | Mid-Cap Core | 95,541 | New Holding | 95,541 | 100 % | $992,671 | $842,672 | $-149,999 | -15.11 % | $-149,999 | | | | | | News Article | History of Vanguard Index Funds - Vanguard Extended Market Index Fund Ownership Of Penson Worldwide Inc |
| 2009-08-27 | 2009-06-30 | N-CSRS | Vanguard Index Funds - Vanguard Total Stock Market Index Fund | Multi-Cap Core | 188,960 | New Holding | 188,960 | 100 % | $1,963,294 | $1,666,627 | $-296,667 | -15.11 % | $-296,667 | | | | | | News Article | History of Vanguard Index Funds - Vanguard Total Stock Market Index Fund Ownership Of Penson Worldwide Inc |
| 2009-08-27 | 2009-06-30 | N-CSRS | Vanguard Index Funds - Vanguard Value Index Fund | Large-Cap Value | 109,750 | New Holding | 109,750 | 100 % | $1,140,303 | $967,995 | $-172,308 | -15.11 % | $-172,308 | | | | | | News Article | History of Vanguard Index Funds - Vanguard Value Index Fund Ownership Of Penson Worldwide Inc |
| 2009-08-27 | 2008-06-30 | N-CSRS | Vanguard Balanced Index Funds - Vanguard Balanced Index Fund | Mixed-Asset Target Allocation Growth | 10,262 | No Change | 0 | 0 % | $106,622 | $90,511 | $-16,111 | -15.11 % | $0 | | | | | | News Article | History of Vanguard Balanced Index Funds - Vanguard Balanced Index Fund Ownership Of Penson Worldwide Inc |
| 2009-08-25 | 2009-06-30 | N-CSRS | Maxim Series Fund Inc - Maxim Small-Cap Value Portfolio | No Data | 10,700 | No Compare | | | $114,062 | $94,374 | $-19,688 | -17.26 % | | | | | | | News Article | History of Maxim Series Fund Inc - Maxim Small-Cap Value Portfolio Ownership Of Penson Worldwide Inc |
| 2009-08-25 | 2009-06-30 | 13F-HR | Ten Asset Management | Institution | | Sold All | -23,560 | -100 % | | | | -17.26 % | $43,350 | | | | | | News Article | History of Ten Asset Management Ownership Of Penson Worldwide Inc |
| 2009-08-24 | 2009-06-30 | N-CSRS | Oppenheimer Variable Account Funds - Oppenheimer Main Street Fundva | Specialty & Misc | 43,602 | New Holding | 43,602 | 100 % | $462,617 | $384,570 | $-78,048 | -16.87 % | $-78,048 | | | | | | News Article | History of Oppenheimer Variable Account Funds - Oppenheimer Main Street Fundva Ownership Of Penson Worldwide Inc |
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