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Form N-CEN BlackRock Funds IV For: May 31

August 11, 2022 11:28 AM EDT

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  X0404
  
    N-CEN
    
      LIVE
      
        
          0001738074
          XXXXXXXX
        
        811-23341
      
      
        false
        false
        false
      
      N-1A
    
    
      
        
          S000062371
          
            C000202328
          
          
            C000202331
          
          
            C000202330
          
          
            C000202329
          
        
      
    
  
  
    
    
      BlackRock Funds IV
      811-23341
      0001738074
      549300PC6HXHVNYAKJ59
      100 Bellevue Parkway
      Wilmington
      19809
      US-DE
      US
      800-441-7762
      
        
      
      
        
          State Street Bank and Trust Company
          1 Lincoln Street
          Boston
          
          02111
          617-786-3000
          Records related to its functions as custodian, sub-administrator and accounting agent
        
        
          BlackRock Investments, LLC
          40 East 52nd St
          New York
          
          10022
          609-282-3046
          Records related to its functions as distributor
        
        
          BNY Mellon Investment Servicing (US) Inc.
          301 Bellevue Parkway
          Wilmington
          
          19809
          302-791-1700
          Records related to its functions as transfer agent
        
        
          BlackRock International Limited
          1 Semple Street
          Edinburgh
          GB
          EH3 8BL
          44 13 1472 7200
          Records related to its functions as sub-advisor
        
        
          BlackRock Advisors, LLC
          100 Bellevue Parkway
          Wilmington
          
          19809
          302-797-2000
          Records related to its functions as advisor and administrator
        
      
      N
      N
      
      N-1A
      3
      Y
      
        
          R. Glenn Hubbard
          N/A
          N
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
        
          John M. Perlowski
          N/A
          Y
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
        
          Stayce D. Harris
          N/A
          N
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
        
          Lorenzo A. Flores
          N/A
          N
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
        
          Cynthia L. Egan
          N/A
          N
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
        
          Frank J. Fabozzi
          N/A
          N
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
        
          Karen P. Robards
          N/A
          N
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
        
          W. Carl Kester
          N/A
          N
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
        
          J. Phillip Holloman
          N/A
          N
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
        
          Catherine A. Lynch
          N/A
          N
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
        
          Robert Fairbairn
          004992372
          Y
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
      
      
        
          Charles Park
          N/A
          55 East 52nd Street
          New York
          
          10055
          XXXXXX
          N
          
            
          
        
      
      N
      N
      N
      N
      
      N
      
        
        
      
      
        
          BlackRock Investments, LLC
          8-48436
          000038642
          54930061FBHCKXL2G714
          
          Y
        
      
      N
      
        
          Deloitte & Touche LLP
          34
          00000000000000000000
          
        
      
      N
      N
      N
      N
      N
      N
      N
    
    
      
        BlackRock Sustainable Advantage CoreAlpha Bond Fund
        S000062371
        54930078IOQHPZTTT771
        N
        4
        0
        0
        
          
          
          
          
        
        N/A
        N
        N
        Y
        N
        
          
            BlackRock Investment Management, LLC
            5493006MRTEZZ4S4CQ20
            Y
            
              
                
              
              N
            
          
        
        
          Other
          Revenue sharing split
          Cash collateral reinvestment fee
          Rebates paid to borrowers
        
        N/A
        N/A
        
          Rule 12d1-4 (17 CFR 270.12d1-4)
          Rule 32a-4 (17 CFR 270.32a-4)
          Rule 17a-6 (17 CFR 270.17a-6)
          Rule 12d1-1 (17 CFR 270.12d1-1)
          Rule 22d-1 (17 CFR 270.22d-1)
        
        Y
        Y
        Y
        N
        
          
            BlackRock Advisors, LLC
            801-47710
            000106614
            5493001LN9MRM6A35J74
            
            N
          
        
        
          
            BlackRock International Limited
            801-51087
            000106843
            5493008YUGP5E01IBD70
            Y
            GB
            N
          
        
        
          
            BNY Mellon Investment Servicing (US) Inc.
            084-01761
            549300CFZQLI9QMJ1Z03
            
            N
            N
          
        
        N
        
          
            Refinitiv US Holdings Inc.
            549300NF240HXJO7N016
            
            N
          
          
            IHS Markit Ltd.
            549300HLPTRASHS0E726
            GB
            N
          
          
            Ice Data Services, Inc.
            13-3668779
            Tax ID
            
            N
          
          
            Bloomberg L.P.
            549300B56MD0ZC402L06
            
            N
          
        
        N
        
          
            Euroclear Bank
            549300OZ46BRLZ8Y6F65
            BE
            N
            Y
            Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
          
          
            UniCredit Bank Czech Republic and Slovakia, a.s.
            KR6LSKV3BTSJRD41IF75
            CZ
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            The Hongkong and Shanghai Banking Corporation Limited
            2HI3YI5320L3RW6NJ957
            HK
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Morgan Stanley & Co. LLC
            9R7GPTSO7KV3UQJZQ078
            
            N
            Y
            Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
          
          
            Credit Suisse Securities (USA) LLC
            1V8Y6QCX6YMJ2OELII46
            
            N
            Y
            Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
          
          
            Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex
            2SFFM4FUIE05S37WFU55
            MX
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Citibank Europe Public Limited Company (Budapest, HU, Branch)
            N1FBEDJ5J41VKZLO2475
            HU
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Bank Hapoalim B.M.
            B6ARUI4946ST4S7WOU88
            IL
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Royal Bank of Canada
            ES7IP3U3RHIGC71XBU11
            CA
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            State Street Bank and Trust Company
            571474TGEMMWANRLN572
            
            N
            N
            Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
          
          
            The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
            2HI3YI5320L3RW6NJ957
            NZ
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Citibank, National Association (Singapore, SG, Branch)
            E57ODZWZ7FF32TWEFA76
            SG
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            FirstRand Bank Limited
            ZAYQDKTCATIXF9OQY690
            ZA
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            J.P. Morgan Securities LLC
            ZBUT11V806EZRVTWT807
            
            N
            Y
            Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
          
          
            Standard Chartered Bank (Makati City, Metro Manila, PH, Branch)
            RILFO74KP1CM8P6PCT96
            PH
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            UniCredit Bank Austria AG
            D1HEB8VEU6D9M8ZUXG17
            AT
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            BNP Paribas Securities Services
            549300WCGB70D06XZS54
            FR
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Skandinaviska Enskilda Banken A/S
            F3JS33DEI6XQ4ZBPTN86
            DK
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
            RB0PEZSDGCO3JS6CEU02
            JP
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            State Street Trust Company Canada
            549300L71XG2CTQ2V827
            CA
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
        
        N
        
          
            Centaurus Financial, Inc.
            8-45185
            SEC File Number
            
            N
            N
          
          
            Crews and Associates, Inc.
            5493001BWSV3E82LZ446
            
            N
            N
          
          
            Eagles Coast Capital, LLC
            8-70137
            SEC File Number
            
            N
            N
          
          
            Coordinated Capital Securities, Inc.
            8-31173
            SEC File Number
            
            N
            N
          
          
            Harbour Investments, Inc
            8-37373
            SEC File Number
            
            N
            N
          
          
            Nest Investments BD LLC
            8-70117
            SEC File Number
            
            N
            N
          
          
            Dominion Investor Services, Inc.
            8-39029
            SEC File Number
            
            N
            N
          
          
            Conduent HR Services, LLC
            84-06035
            SEC File Number
            
            N
            Y
          
          
            Jefferies LLC
            58PU97L1C0WSRCWADL48
            
            N
            N
          
          
            Nationwide Securities, LLC
            8-12500
            SEC File Number
            
            N
            N
          
          
            Aon UK Holdings Limited
            5493002ME0O127QJJG03
            GB
            N
            N
          
          
            Jacques Financial, LLC
            8-52675
            SEC File Number
            
            N
            N
          
          
            Weston Securities Corporation
            8-32664
            SEC File Number
            
            N
            N
          
          
            Arkadios Capital, LLC
            2549004VFYBIASQ1A234
            
            N
            N
          
          
            Alight Solutions LLC
            84-01996
            SEC File Number
            
            N
            Y
          
          
            Conover Securities Corporation
            8-35085
            SEC File Number
            
            N
            N
          
          
            Western Equity Group, Inc.
            8-66403
            SEC File Number
            
            N
            N
          
          
            Principal Life Insurance Company
            SDCMU2LVKGV2AF1KWP64
            
            N
            Y
          
          
            White Mountain Capital, LLC
            8-52572
            SEC File Number
            
            N
            N
          
          
            Cape Securities, Inc.
            8-20747
            SEC File Number
            
            N
            N
          
          
            Oscar Gruss & Son Incorporated
            549300V78DH9XCK5UI63
            
            N
            N
          
          
            Brooklight Place Securities, Inc.
            8-32673
            SEC File Number
            
            N
            N
          
          
            Abacus International Capital Corp.
            8-46418
            SEC File Number
            
            N
            N
          
          
            TRG Advisors, Inc.
            8-50449
            SEC File Number
            
            N
            N
          
          
            Gregory J. Schwartz & Co., Inc.
            8-20955
            SEC File Number
            
            N
            N
          
          
            Devenir, LLC
            8-65837
            SEC File Number
            
            N
            N
          
          
            Professional Trading Services Brokerage, LLC
            8-65173
            SEC File Number
            
            N
            N
          
          
            ADP Broker-Dealer, Inc.
            8-47885
            SEC File Number
            
            N
            Y
          
          
            Cetera Financial Specialists LLC
            8-27082
            SEC File Number
            
            N
            N
          
          
            Pacific Financial Associates, Inc.
            8-40712
            SEC File Number
            
            N
            N
          
          
            Hancock Whitney Investment Services, Inc.
            254900PJ7SNKYPK21W02
            
            N
            N
          
          
            John Hancock Life Insurance Company
            QQ0OZ8J9C4B5QT1XDG31
            
            N
            Y
          
          
            American Financial Securities, Inc.
            8-53205
            SEC File Number
            
            N
            N
          
          
            TFS Securities, Inc.
            8-38377
            SEC File Number
            
            N
            N
          
          
            Arlington Securities, Inc.
            8-38098
            SEC File Number
            
            N
            N
          
          
            Harvest Financial Corporation
            8-26037
            SEC File Number
            
            N
            N
          
          
            Capital Portfolio Management, Inc.
            8-44225
            SEC File Number
            
            N
            N
          
          
            The Windmill Group, Inc.
            8-25280
            SEC File Number
            
            N
            N
          
          
            Sammons institutional Group, Inc.
            BBG00LBNPZL2
            Bloomberg Global ID
            
            N
            Y
          
          
            Superior Financial Services, Inc.
            549300BK1DNLS1A2MZ43
            
            N
            N
          
          
            Syndicated Capital, Inc.
            8-44162
            SEC File Number
            
            N
            N
          
          
            CFD Investments, Inc.
            8-41727
            SEC File Number
            
            N
            N
          
          
            BNY Mellon Securities Corporation
            801-54739
            SEC File Number
            
            N
            N
          
          
            Peak Brokerage Services, LLC
            8-68829
            SEC File Number
            
            N
            N
          
          
            SagePoint Financial, Inc.
            8-66771
            SEC File Number
            
            N
            N
          
          
            Feltl and Company, Inc.
            8-18435
            SEC File Number
            
            N
            N
          
          
            CGIS Securities LLC
            254900GOI7SHVRZ5BG90
            
            N
            N
          
          
            Investment Network, Inc
            8-66036
            SEC File Number
            
            N
            N
          
          
            Snowden Account Services LLC
            254900WVSS0BX602UF45
            
            N
            N
          
          
            Vorpahl Wing Securities, Inc.
            8-51823
            SEC File Number
            
            N
            N
          
          
            Smith, Brown & Groover, Inc.
            8-13079
            SEC File Number
            
            N
            N
          
          
            B.B. Graham & Company, Inc.
            8-49477
            SEC File Number
            
            N
            N
          
          
            R.M. Stark & Co., Inc.
            8-22543
            SEC File Number
            
            N
            N
          
          
            Fieldpoint Private Securities, LLC
            8-37105
            SEC File Number
            
            N
            N
          
          
            Monex Securities, Inc.
            254900VTZ3HYHNEJRX35
            
            N
            N
          
          
            Intervest International Equities Corporation
            8-38156
            SEC File Number
            
            N
            N
          
          
            Newport Group Securities, Inc.
            801-60427
            SEC File Number
            
            N
            Y
          
          
            Bankoh Investment Services, Inc.
            8-44201
            SEC File Number
            
            N
            N
          
          
            NYLIFE Distributors LLC
            8-46655
            SEC File Number
            
            N
            N
          
          
            Liberty Partners Financial Services, LLC
            8-66335
            SEC File Number
            
            N
            N
          
          
            American Capital Partners, LLC
            254900I8NH46ZJJ4Z956
            
            N
            N
          
          
            Buell Securities Corp.
            8-22058
            SEC File Number
            
            N
            N
          
          
            The Jeffrey Matthews Financial Group, L.L.C.
            25490086M6MGMYYVOJ50
            
            N
            N
          
          
            The Vanguard Group, Inc.
            5493002789CX3L0CJP65
            
            N
            Y
          
          
            Corecap Investments, LLC
            8-47783
            SEC File Number
            
            N
            N
          
          
            GLS & Associates, Inc.
            8-51808
            SEC File Number
            
            N
            N
          
          
            Centennial Securities Company, Inc.
            5493003M2XPY7LFS1Y68
            
            N
            N
          
          
            Healthcare Community Securities Corp.
            8-46981
            SEC File Number
            
            N
            N
          
          
            Quincy Cass Associates
            8-5743
            SEC File Number
            
            N
            N
          
          
            M Holdings Securities, Inc.
            8-50214
            SEC File Number
            
            N
            N
          
          
            GWFS Equities, Inc.
            8-33854
            SEC File Number
            
            N
            N
          
          
            Horace Mann Investors, Inc.
            254900OFJVU7T8WTK224
            
            N
            N
          
          
            Cabot Lodge Securities LLC
            8-69009
            SEC File Number
            
            N
            N
          
          
            American Wealth Management, Inc.
            8-41807
            SEC File Number
            
            N
            N
          
          
            Genworth Life Insurance Company of New York
            E5VAS7I8GX5B0SDBX010
            
            N
            Y
          
          
            Ballew Investments, Inc.
            8-45660
            SEC File Number
            
            N
            N
          
          
            Carl M. Hennig, Inc.
            8-14509
            SEC File Number
            
            N
            N
          
          
            Wells Fargo Securities, LLC
            VYVVCKR63DVZZN70PB21
            
            N
            N
          
          
            Intercam Securities, Inc.
            254900YUQYHGAT6VVA56
            
            N
            N
          
          
            Michigan Securities Inc.
            8-52094
            SEC File Number
            
            N
            N
          
          
            Lebenthal Financial Services, Inc
            8-67140
            SEC File Number
            
            N
            N
          
          
            RNR Securities, L.L.C.
            8-50366
            SEC File Number
            
            N
            N
          
          
            Fortune Financial Services, Inc.
            8-49727
            SEC File Number
            
            N
            N
          
          
            Signature Securities Group Corporation
            254900KRZU45UT6QSG35
            
            N
            N
          
          
            Mesirow Financial, Inc.
            549300BIV46SUHPOFE54
            
            N
            N
          
          
            S.L. Reed & Company
            8-49178
            SEC File Number
            
            N
            N
          
          
            Gradient Securities, LLC
            8-66032
            SEC File Number
            
            N
            N
          
          
            SunTrust Bank
            IYDOJBGJWY9T8XKCSX06
            
            N
            N
          
          
            Ascensus Financial Services, LLC
            8-67891
            SEC File Number
            
            N
            N
          
          
            Sycamore Financial Group Inc
            8-30302
            SEC File Number
            
            N
            N
          
          
            S.G. Long & Company
            8-51816
            SEC File Number
            
            N
            N
          
          
            BFT Financial Group, LLC
            8-53487
            SEC File Number
            
            N
            N
          
          
            Rockefeller Financial LLC
            8-70054
            SEC File Number
            
            N
            N
          
          
            Great Pacific Securities
            254900QRZ90SUI8C4W84
            
            N
            N
          
          
            Beaconsfield Financial Services, Inc.
            8-30993
            SEC File Number
            
            N
            N
          
          
            American United Life Insurance Company
            549300T82H2DXU80LV98
            
            N
            Y
          
          
            Concorde Investment Services, LLC
            8-68388
            SEC File Number
            
            N
            N
          
          
            APW Capital, Inc.
            8-50433
            SEC File Number
            
            N
            N
          
          
            Capital City Securities, LLC
            8-67771
            SEC File Number
            
            N
            N
          
          
            AssetMark Trust Company
            00000000000000000000
            
            N
            N
          
          
            Classic, LLC
            8-68981
            SEC File Number
            
            N
            N
          
          
            Zions Direct, Inc.
            254900VGN65XF3JVA633
            
            N
            N
          
          
            BBVA Securities Inc.
            549300RJFN0Z663VE860
            
            N
            N
          
          
            AE Financial Services, LLC
            254900V6AVD8481O0767
            
            N
            N
          
          
            SECU Brokerage Services, Inc.
            8-37927
            SEC File Number
            
            N
            N
          
          
            Lincoln Financial Advisors Corporation
            8-14685
            SEC File Number
            
            N
            N
          
          
            Fidelity Investments Life Insurance Company
            54930024AKTQGTIV1P93
            
            N
            N
          
          
            The Garbacz Group Inc.
            8-42366
            SEC File Number
            
            N
            N
          
          
            Bolton Global Capital, Inc.
            2549009M08YVOG46LO79
            
            N
            N
          
          
            Broadridge Business Process Outsourcing, LLC
            8-53412
            SEC File Number
            
            N
            Y
          
          
            UBS AG (New York, NY, US, Branch)
            BFM8T61CT2L1QCEMIK50
            
            N
            N
          
          
            Landolt Securities, Inc.
            254900B2XEQ2HZGN7K90
            
            N
            N
          
          
            A.G.P. / Alliance Global Partners Corp
            549300QJQ08RJGC7D885
            
            N
            N
          
          
            Great Point Capital LLC
            254900HN4IGCO53HDK23
            
            N
            N
          
          
            Avisen Securities, Inc.
            8-65833
            SEC File Number
            
            N
            N
          
          
            Morgan Stanley Smith Barney LLC
            7PDDXEMZ0ZV0CEDU4D16
            
            N
            N
          
          
            National Financial Services LLC
            549300JRHF1MHHWUAW04
            
            N
            Y
          
          
            The Huntington Investment Company
            5493004MEJ6IU9SR1R78
            
            N
            N
          
          
            Hudson Heritage Capital Management Inc.
            8-50648
            SEC File Number
            
            N
            N
          
          
            Thoroughbred Financial Services, LLC
            8-51944
            SEC File Number
            
            N
            N
          
          
            Allegheny Investments, Ltd.
            8-22183
            SEC File Number
            
            N
            N
          
          
            Wall Street Access Corporation
            549300Z0MOT47D6OQV22
            
            N
            N
          
          
            Morris Group Inc
            35-1546402
            Tax ID
            
            N
            N
          
          
            Purshe Kaplan Sterling Investments, Inc.
            8-46844
            SEC File Number
            
            N
            N
          
          
            SCF Securities Inc
            8-51760
            SEC File Number
            
            N
            N
          
          
            Aufhauser Securities, Inc.
            8-48786
            SEC File Number
            
            N
            N
          
          
            Madison Avenue Securities, LLC
            8-40426
            SEC File Number
            
            N
            N
          
          
            Labrunerie Financial Services, Inc.
            8-47830
            SEC File Number
            
            N
            N
          
          
            St. Bernard Financial Services, Inc.
            8-47566
            SEC File Number
            
            N
            N
          
          
            DFPG Investments, LLC
            8-68730
            SEC File Number
            
            N
            N
          
          
            Itau International Securities Inc.
            54930086LDFU8Z86AH91
            
            N
            N
          
          
            Omni Financial Securities, Inc.
            8-44034
            SEC File Number
            
            N
            N
          
          
            First Republic Securities Company, LLC
            5493000IMDFZDQYB2Q11
            
            N
            N
          
          
            Hefren-Tillotson, Inc.
            8-10646
            SEC File Number
            
            N
            N
          
          
            FMN Capital Corporation
            8-48082
            SEC File Number
            
            N
            N
          
          
            Kingswood Capital Partners LLC
            5493000S7S0ZD3E40797
            
            N
            N
          
          
            Callaway Financial Services, Inc.
            549300UNHHMAHA7IYO12
            
            N
            N
          
          
            Alexander Capital, L.P.
            8-48957
            SEC File Number
            
            N
            N
          
          
            Fidelity Brokerage Services LLC
            549300OQFQ4NFIOD5695
            
            N
            Y
          
          
            American Enterprise Investment Services Inc.
            549300NT7GLLVGTH0249
            
            N
            N
          
          
            Larson Financial Securities LLC
            8-68456
            SEC File Number
            
            N
            N
          
          
            D.A. Davidson & Co.
            549300094RQ5A7DYLF51
            
            N
            N
          
          
            UnionBanc Investment Services LLC
            254900Y9HI2TG6D79N41
            
            N
            N
          
          
            Huntleigh Securities Corporation
            8-21893
            SEC File Number
            
            N
            N
          
          
            The Oak Ridge Financial Services Group, Inc.
            2549003647MDU9F6QN39
            
            N
            N
          
          
            William Blair & Company, L.L.C.
            549300J0P7XYE8BMZ775
            
            N
            N
          
          
            The O. N. Equity Sales Company
            8-14161
            SEC File Number
            
            N
            N
          
          
            Xml Securities, LLC
            8-67776
            SEC File Number
            
            N
            N
          
          
            Integral Financial LLC
            2549000I2CBZTJRHG786
            
            N
            N
          
          
            ICMA-RC Services, LLC
            8-40268
            SEC File Number
            
            N
            N
          
          
            Watermark Securities, Inc.
            254900NK1ZHBYG91LX55
            
            N
            N
          
          
            Camden Financial Services
            8-37303
            SEC File Number
            
            N
            N
          
          
            Ameriprise Financial Services, LLC
            8-16791
            SEC File Number
            
            N
            N
          
          
            Investment Planners, Inc.
            8-35642
            SEC File Number
            
            N
            N
          
          
            Berthel Fisher & Company Financial Services, Inc.
            8-29426
            SEC File Number
            
            N
            N
          
          
            Benjamin F. Edwards & Company, Inc.
            2549003FIOJT37PTTC29
            
            N
            N
          
          
            Chauner Securities, Inc.
            8-33980
            SEC File Number
            
            N
            N
          
          
            Park Avenue Securities LLC
            8-51324
            SEC File Number
            
            N
            N
          
          
            Synovus Securities, Inc.
            254900CM2K7N1E0JF171
            
            N
            N
          
          
            Wright Investors' Service Distributors, Inc.
            06-1071596
            Tax ID
            
            N
            N
          
          
            Citizens Bank
            38-0421450
            Tax ID
            
            N
            N
          
          
            FNBB Capital Markets, L.L.C.
            8-66553
            SEC File Number
            
            N
            N
          
          
            The Guardian Insurance & Annuity Company, Inc.
            TGIU5N0SIMULU6I57R64
            
            N
            Y
          
          
            MGO Securities Corp.
            8-47814
            SEC File Number
            
            N
            N
          
          
            World Equity Group, Incorporated
            25490078J1OM7KOXR686
            
            N
            N
          
          
            State Farm VP Management Corp.
            8-50128
            SEC File Number
            
            N
            N
          
          
            Horan Securities, Inc.
            8-49192
            SEC File Number
            
            N
            N
          
          
            Concourse Financial Group Securities, Inc.
            8-32590
            SEC File Number
            
            N
            N
          
          
            North South Capital LLC
            549300ODEKJCRN2AM859
            
            N
            N
          
          
            OneAmerica Securities, Inc.
            8-15009
            SEC File Number
            
            N
            N
          
          
            Valmark Securities, Inc.
            8-45463
            SEC File Number
            
            N
            N
          
          
            Silver Oak Securities, Incorporated
            8-51601
            SEC File Number
            
            N
            N
          
          
            The Leaders Group, Inc.
            8-47639
            SEC File Number
            
            N
            N
          
          
            BNP Paribas Securities Corp.
            RCNB6OTYUAMMP879YW96
            
            N
            N
          
          
            McClurg Capital Corporation
            8-34473
            SEC File Number
            
            N
            N
          
          
            Vanderbilt Securities, Inc.
            8-16712
            SEC File Number
            
            N
            N
          
          
            Holistic Brokerage, LLC
            254900EMZBEIM1FAO022
            
            N
            N
          
          
            Ladenburg Thalmann & Co. Inc.
            2549000V3L2KK4L76W91
            
            N
            N
          
          
            Nationwide Planning Associates Inc.
            8-45310
            SEC File Number
            
            N
            N
          
          
            VBC Securities, L.L.C.
            8-44141
            SEC File Number
            
            N
            N
          
          
            TrustFirst, Inc.
            8-48509
            SEC File Number
            
            N
            N
          
          
            M&T Securities, Inc.
            254900VRUF9FN7AZI864
            
            N
            N
          
          
            Northland Securities, Inc.
            254900ZIK4MLVQAWLS15
            
            N
            N
          
          
            Avondale Partners, LLC
            254900799PKXEPTDRJ40
            
            N
            N
          
          
            Nationwide Financial Services, Inc.
            5493001H7AZNDS6BKJ36
            
            N
            Y
          
          
            Caldwell Securities Ltd.
            549300ORF2FMHXODHJ66
            CA
            N
            N
          
          
            Colorado Financial Service Corporation
            8-52817
            SEC File Number
            
            N
            N
          
          
            Pershing Advisor Solutions LLC
            549300KTC63JRN36GZ84
            
            N
            N
          
          
            PNC Bank, National Association (Pittsburgh, PA, US, Branch)
            AD6GFRVSDT01YPT1CS68
            
            N
            N
          
          
            Nelson Ivest Brokerage Services, Inc.
            8-26448
            SEC File Number
            
            N
            N
          
          
            BCG Securities, Inc
            8-12680
            SEC File Number
            
            N
            N
          
          
            Securities America, Inc.
            8-26602
            SEC File Number
            
            N
            N
          
          
            Ace Diversified Capital, Inc.
            8-49555
            SEC File Number
            
            N
            N
          
          
            Grant Williams L.P.
            8-51249
            SEC File Number
            
            N
            N
          
          
            Teachers Insurance and Annuity Association of America
            O06XD7BJ4EPXNABVFN69
            
            N
            Y
          
          
            Ascensus Broker Dealer Services, LLC
            8-47312
            SEC File Number
            
            N
            Y
          
          
            Citigroup Global Markets Inc.
            MBNUM2BPBDO7JBLYG310
            
            N
            N
          
          
            Portsmouth Financial Services
            8-30097
            SEC File Number
            
            N
            N
          
          
            Securities Equity Group
            8-51706
            SEC File Number
            
            N
            N
          
          
            Valley National Investments, Inc.
            8-34427
            SEC File Number
            
            N
            N
          
          
            OFG Financial Services, Inc.
            8-40770
            SEC File Number
            
            N
            N
          
          
            Charles Schwab Bank, SSB (San Francisco, CA, US, Branch)
            549300INFJ8TYNZ1G568
            
            N
            Y
          
          
            Crescent Securities Group, Inc.
            8-53457
            SEC File Number
            
            N
            N
          
          
            Edward D. Jones & Co., L.P.
            YZRCLX72FTV74B522G90
            
            N
            N
          
          
            Emerson Equity LLC
            8-66296
            SEC File Number
            
            N
            N
          
          
            Bolton Securities Corporation
            8-68187
            SEC File Number
            
            N
            N
          
          
            Southeast Investments, N.C. Inc.
            8-50127
            SEC File Number
            
            N
            N
          
          
            Piper Sandler & Co.
            549300GRQCWQ3XGH0H10
            
            N
            N
          
          
            Dempsey Lord Smith, LLC
            8-67469
            SEC File Number
            
            N
            N
          
          
            Brokers International Financial Services, LLC
            8-67239
            SEC File Number
            
            N
            N
          
          
            American Trust Company
            5493005EOTYFH88SI914
            
            N
            Y
          
          
            Investments For You, Inc.
            8-44179
            SEC File Number
            
            N
            N
          
          
            Valley Financial Management, Inc
            5493005SJQ3VQ5DEE756
            
            N
            N
          
          
            Woodmen Financial Services, Inc.
            8-53592
            SEC File Number
            
            N
            N
          
          
            SA Stone Wealth Management Inc.
            8-36638
            SEC File Number
            
            N
            N
          
          
            Center Street Securities, Inc.
            8-42786
            SEC File Number
            
            N
            N
          
          
            Avantax Wealth Management, Inc
            8-29533
            SEC File Number
            
            N
            N
          
          
            Mid-atlantic Securities, Inc.
            8-36997
            SEC File Number
            
            N
            N
          
          
            Middlegate Securities Inc
            549300ZVONUQ845QCH95
            
            N
            N
          
          
            Rogan & Associates, Inc.
            8-49995
            SEC File Number
            
            N
            N
          
          
            U.S. Bancorp Investments, Inc.
            H85Z6XZP8B10ES0M2G89
            
            N
            N
          
          
            E*TRADE Securities LLC
            549300PJRJFMBCDPWR57
            
            N
            N
          
          
            FMSbonds, Inc.
            549300TUTBK58NSF2517
            
            N
            N
          
          
            Sovereign Legacy Securities, Inc.
            8-00621
            SEC File Number
            
            N
            N
          
          
            Colliers Securities LLC
            549300OD1C69R64IVC38
            
            N
            N
          
          
            Interactive Brokers LLC
            50OBSE5T5521O6SMZR28
            
            N
            N
          
          
            Perryman Securities, Inc.
            8-53546
            SEC File Number
            
            N
            N
          
          
            R. F. Lafferty & Co., Inc.
            254900KLPTMWPBZWH264
            
            N
            N
          
          
            Reliance Trust Company
            549300NV8FSQRNOUQO50
            
            N
            Y
          
          
            First Honolulu Securities, Inc.
            8-23919
            SEC File Number
            
            N
            N
          
          
            Essex Securities LLC
            254900RAMRWZOR870Q30
            
            N
            N
          
          
            Samuel A. Ramirez & Company, Inc.
            254900CBKVW7O2ENQA21
            
            N
            N
          
          
            Stephens Inc.
            213800LH6T9XDYZCA534
            
            N
            N
          
          
            Securian Financial Services, Inc.
            8-31955
            SEC File Number
            
            N
            N
          
          
            WBB Securities, LLC
            8-53660
            SEC File Number
            
            N
            N
          
          
            DMK Advisor Group, Inc.
            8-49279
            SEC File Number
            
            N
            N
          
          
            Cannon Securities, Inc.
            8-68437
            SEC File Number
            
            N
            N
          
          
            Bruderman Brothers, LLC
            8-51974
            SEC File Number
            
            N
            N
          
          
            Raymond James & Associates, Inc.
            U4ONQX15J3RO8XCKE979
            
            N
            N
          
          
            Arvest Investments, Inc.
            254900F30H09HHDIEI45
            
            N
            N
          
          
            Lieblong & Associates, Inc.
            8-49880
            SEC File Number
            
            N
            N
          
          
            Empire Asset Management Company, LLC
            8-67520
            SEC File Number
            
            N
            N
          
          
            World Capital Brokerage, Inc.
            8-06805
            SEC File Number
            
            N
            N
          
          
            BTG Pactual US Capital, LLC
            549300EUEDL5GKQW8U35
            
            N
            N
          
          
            USCA Securities LLC
            254900GBMSP1Y45THR66
            
            N
            N
          
          
            Hand Securities, Inc.
            8-51001
            SEC File Number
            
            N
            N
          
          
            SPIRE Securities, LLC
            8-67635
            SEC File Number
            
            N
            N
          
          
            Financial Northeastern Securities, Inc.
            549300QRRF2NAV5G3869
            
            N
            N
          
          
            Saturna Trust Company
            26-3918998
            Tax ID
            
            N
            Y
          
          
            Capital Investment Brokerage, Inc.
            8-49118
            SEC File Number
            
            N
            N
          
          
            Lockton Investment Securities, LLC
            8-67090
            SEC File Number
            
            N
            N
          
          
            T.R. Winston & Company, LLC
            8-27519
            SEC File Number
            
            N
            N
          
          
            Heim, Young & Associates, Inc.
            8-48500
            SEC File Number
            
            N
            N
          
          
            Nations Financial Group, Inc.
            8-50588
            SEC File Number
            
            N
            N
          
          
            Shareholders Service Group, Inc.
            8-65778
            SEC File Number
            
            N
            N
          
          
            First Citizens Investor Services, Inc.
            8-50696
            SEC File Number
            
            N
            N
          
          
            Global Brokerage Services Ltd
            8-47763
            SEC File Number
            
            N
            N
          
          
            American Heritage Securities, Inc.
            8-44466
            SEC File Number
            
            N
            N
          
          
            Chelsea Morgan Securities, Inc.
            8-51916
            SEC File Number
            
            N
            N
          
          
            Cadaret, Grant & Co., Inc.
            2549003ZDQPBPYR9KD35
            
            N
            N
          
          
            Nicol Investors Corporation
            8-65566
            SEC File Number
            
            N
            N
          
          
            First Kentucky Securities Corporation
            8-22224
            SEC File Number
            
            N
            N
          
          
            Harold W. Dance, Inc.
            8-12160
            SEC File Number
            
            N
            N
          
          
            Merrill Lynch, Pierce, Fenner & Smith Incorporated
            8NAV47T0Y26Q87Y0QP81
            
            N
            N
          
          
            Founders Financial Securities, LLC
            8-67137
            SEC File Number
            
            N
            N
          
          
            James I. Black & Company
            8-12077
            SEC File Number
            
            N
            N
          
          
            Northern Trust Securities, Inc.
            3CHSO99JSPHD9HGNYJ46
            
            N
            N
          
          
            Access Investments, Inc.
            8-49750
            SEC File Number
            
            N
            N
          
          
            American National Trust And Investment Management Company
            28-00344
            SEC File Number
            
            N
            N
          
          
            Amerant Investments, Inc.
            254900M8G8SSAIMHET60
            
            N
            N
          
          
            BOK Financial Securities, Inc.
            5493008UZFTI4G7UQ733
            
            N
            N
          
          
            Transamerica Advisors Life Insurance Company
            F1PLTWZ8OU4HQGZQAP31
            
            N
            N
          
          
            Arthur W. Wood Company
            8-3368
            SEC File Number
            
            N
            N
          
          
            United Planners Financial Services of America, A Limited Partnership
            8-38485
            SEC File Number
            
            N
            N
          
          
            E.E. Powell & Company, Inc.
            8-1893
            SEC File Number
            
            N
            N
          
          
            JPMorgan Chase Bank, National Association
            7H6GLXDRUGQFU57RNE97
            
            N
            N
          
          
            USAA Investment Services Company
            549300VSPLQ1XBNPD479
            
            N
            N
          
          
            John Hancock Trust Company LLC
            549300W205WZCFZS6R51
            
            N
            Y
          
          
            Citizens Securities, Inc.
            2138006RAPI5PE2ZGW36
            
            N
            N
          
          
            LPL Financial LLC
            5493005NM7F0H1N3EQ39
            
            N
            Y
          
          
            Pensionmark Securities, LLC
            8-69773
            SEC File Number
            
            N
            N
          
          
            Cary Street Partners LLC
            8-66085
            SEC File Number
            
            N
            N
          
          
            MMC Securities LLC
            2549001ZA93O65N2ZM60
            
            N
            N
          
          
            Portfolio Resources Group, Inc.
            549300TKCYL1XNXOL896
            
            N
            N
          
          
            Alterna Securities, Inc.
            254900FT947VQZ1WHT28
            
            N
            N
          
          
            Oak Tree Securities, Inc.
            8-36138
            SEC File Number
            
            N
            N
          
          
            Davenport & Company LLC
            254900GN2SAXJGLMS075
            
            N
            N
          
          
            Integrated Financial Planning Services
            8-35120
            SEC File Number
            DE
            N
            N
          
          
            Hornor, Townsend & Kent, LLC
            8-14715
            SEC File Number
            
            N
            N
          
          
            VALIC Financial Advisors, Inc.
            8-50018
            SEC File Number
            
            N
            N
          
          
            Institutional Securities Corporation
            2549007EJ1PSLA8XVA50
            
            N
            N
          
          
            Barclays Capital Inc.
            AC28XWWI3WIBK2824319
            
            N
            N
          
          
            Hilltop Securities Inc.
            549300IXU82PMU6XZT45
            
            N
            N
          
          
            Comerica Securities, Inc.
            5493009QV211JEW7ZV59
            
            N
            N
          
          
            ING Financial Markets LLC
            KBVRJ5K57JZ3E2AVWX40
            
            N
            N
          
          
            Digital Retirement Solutions, Inc.
            84-1477138
            Tax ID
            
            N
            Y
          
          
            Voya Financial Advisors, Inc.
            8-13987
            SEC File Number
            
            N
            N
          
          
            PNC Capital Markets LLC
            7OGNSSLOQJ8U3B9Y5F18
            
            N
            N
          
          
            Jack V. Butterfield Investment Company
            8-12454
            SEC File Number
            
            N
            N
          
          
            Lesko Securities, Inc.
            8-26408
            SEC File Number
            
            N
            N
          
          
            Loria Financial Group, LLC
            8-52128
            SEC File Number
            
            N
            N
          
          
            Arque Capital, Ltd.
            8-65390
            SEC File Number
            
            N
            N
          
          
            Arete Wealth Management LLC
            8-50854
            SEC File Number
            
            N
            N
          
          
            Herold & Lantern Investments, Inc.
            254900J6QB9C3UNBJJ49
            
            N
            N
          
          
            SWBC Investment Services, LLC
            254900YIJJWABADWZ455
            
            N
            N
          
          
            United States Life Insurance Company in the City of New York
            549300C1JQGJ0MNUMG79
            
            N
            Y
          
          
            Investment Placement Group
            5493005L3RL45FY4HR07
            
            N
            N
          
          
            Tradition Securities and Derivatives LLC
            WRYEFMSVQCH0EMD08461
            
            N
            N
          
          
            Wescom Financial Services, LLC
            8-66189
            SEC File Number
            
            N
            N
          
          
            American Equity Investment Corporation
            8-49078
            SEC File Number
            
            N
            N
          
          
            KW Securities Corporation
            8-24792
            SEC File Number
            
            N
            N
          
          
            Sanctuary Securities, Inc.
            2549007WBAL2Z578XQ34
            
            N
            N
          
          
            GW & Wade Asset Management Company, LLC
            8-42013
            SEC File Number
            
            N
            N
          
          
            Cetera Investment Services LLC
            254900HBKNJ13M56N432
            
            N
            N
          
          
            Access Financial Group, Inc.
            8-46065
            SEC File Number
            
            N
            N
          
          
            Feldstein Financial Group, L.L.C.
            8-53388
            SEC File Number
            
            N
            N
          
          
            Hunter Associates, Inc.
            8-44779
            SEC File Number
            
            N
            N
          
          
            American Global Wealth Management, Inc.
            39-1259164
            Tax ID
            
            N
            N
          
          
            Bestvest Investments, Ltd.
            254900SL6FW130BMS922
            
            N
            N
          
          
            Allen C. Ewing & Co.
            8-42393
            SEC File Number
            
            N
            N
          
          
            IFP Securities, LLC
            8-70150
            SEC File Number
            
            N
            N
          
          
            Crown Capital Securities, L.P.
            8-17264
            SEC File Number
            
            N
            N
          
          
            Vision Financial Markets LLC
            549300J0X8HK9GUADL55
            
            N
            N
          
          
            First Command Brokerage Services, Inc.
            8-07072
            SEC File Number
            
            N
            N
          
          
            Boreal Capital Securities, LLC
            549300NMHK6HTSKCG696
            
            N
            N
          
          
            Excel Securities & Associates, Inc.
            8-34261
            SEC File Number
            
            N
            N
          
          
            Private Client Services, LLC
            8-68183
            SEC File Number
            
            N
            N
          
          
            Fintrust Brokerage Services, LLC
            8-49514
            SEC File Number
            
            N
            N
          
          
            Midland Securities, Ltd.
            8-40685
            SEC File Number
            
            N
            N
          
          
            Sunbelt Securities, Inc.
            8-49748
            SEC File Number
            
            N
            N
          
          
            Riversource Distributors, Inc.
            8-67196
            SEC File Number
            
            N
            N
          
          
            Cardinal Investments, Inc.
            8-47493
            SEC File Number
            
            N
            N
          
          
            Monere Investments, Inc.
            2549004LPCIR92BLYF90
            
            N
            N
          
          
            Cetera Advisor Networks LLC
            8-29577
            SEC File Number
            
            N
            N
          
          
            Benefit Plans Administrative Services, Inc.
            BBG002ZR1639
            Bloomberg Global ID
            
            N
            Y
          
          
            Brighton Securities Corp.
            8-14599
            SEC File Number
            
            N
            N
          
          
            Whitehall-Parker Securities Inc.
            8-27688
            SEC File Number
            
            N
            N
          
          
            Buckram Securities Ltd.
            8-65939
            SEC File Number
            
            N
            N
          
          
            Innovation Partners, LLC
            549300IEQ78ON1HMTU71
            
            N
            N
          
          
            Truist Investment Services, Inc.
            8-35355
            SEC File Number
            
            N
            N
          
          
            Dorn & Co., Inc.
            8-08707
            SEC File Number
            
            N
            N
          
          
            Westport Resources Investment Services, Inc.
            8-40904
            SEC File Number
            
            N
            N
          
          
            TIAA-CREF Individual & Institutional Services, LLC
            8-44454
            SEC File Number
            
            N
            N
          
          
            Bley Investment Group, Inc.
            8-42701
            SEC File Number
            
            N
            N
          
          
            Invex, LLC
            NPOTUCXQYGXX5PO6VH74
            
            N
            N
          
          
            General Securities Corp.
            8-31654
            SEC File Number
            
            N
            N
          
          
            FSC Securities Corporation
            8-21770
            SEC File Number
            
            N
            N
          
          
            Lombard Securities, Incorporated
            8-43340
            SEC File Number
            
            N
            N
          
          
            FSB Premier Wealth Management, Inc.
            8-44865
            SEC File Number
            
            N
            N
          
          
            Nestlerode & Loy, Inc
            8-12629
            SEC File Number
            
            N
            N
          
          
            Fifth Third Securities, Inc.
            5493003IMO3TYX51WE43
            
            N
            N
          
          
            First Allied Securities, Inc.
            254900JUVJ7EKQ5LIW08
            
            N
            N
          
          
            TimeCapital Securities Corporation
            8-18248
            SEC File Number
            
            N
            N
          
          
            Lincoln Financial Distributors, Inc.
            8-13431
            SEC File Number
            
            N
            N
          
          
            Roberts and Ryan Investments Incorporated
            254900A6VIVO4DP1T126
            
            N
            N
          
          
            BancWest Investment Services, Inc.
            5493001GJYTESEZEBA51
            
            N
            N
          
          
            H. C. Denison Co.
            8-00044
            SEC File Number
            
            N
            N
          
          
            Fairport Capital, Inc.
            8-32162
            SEC File Number
            
            N
            N
          
          
            Grove Point Investments, LLC
            8-31165
            SEC File Number
            
            N
            N
          
          
            International Assets Advisory, LLC
            254900ARMOHQNS987S09
            
            N
            N
          
          
            Capital Synergy Partners, Inc.
            8-68060
            SEC File Number
            
            N
            N
          
          
            Standard Insurance Company
            549300KVA8DBYKHPXO21
            
            N
            Y
          
          
            Benchmark Investments, LLC
            8-52280
            SEC File Number
            
            N
            N
          
          
            ACA Prudent Investors Planning Corp.
            8-51899
            SEC File Number
            
            N
            N
          
          
            Northwestern Mutual Investment Services, LLC
            CYO86L8D7HTXW9SOZX28
            
            N
            N
          
          
            Robinson And Robinson, Inc.
            8-17109
            SEC File Number
            
            N
            N
          
          
            Mercer HR Services, LLC
            20-1932099
            Tax ID
            
            N
            Y
          
          
            Westco Investment Corp.
            8-38452
            SEC File Number
            
            N
            N
          
          
            COUNTRY Capital Management Company
            8-12645
            SEC File Number
            
            N
            N
          
          
            The Investment Center, Inc.
            8-35826
            SEC File Number
            
            N
            N
          
          
            Mutual Trust Company of America Securities
            254900PUBUB7IS4GNY27
            
            N
            N
          
          
            Commonwealth Equity Services, Inc.
            8-24040
            SEC File Number
            
            N
            N
          
          
            Great American Investors, Inc.
            8-44380
            SEC File Number
            
            N
            N
          
          
            Thompson Davis & Co., Inc.
            8-49386
            SEC File Number
            
            N
            N
          
          
            Lincoln-Douglas Investments, LLC
            8-68728
            SEC File Number
            
            N
            N
          
          
            Stonecrest Capital Markets, Inc.
            25490062H4ICVOPZ2X80
            
            N
            N
          
          
            N.E. Private Client Advisors, Ltd.
            8-66968
            SEC File Number
            
            N
            N
          
          
            K. W. Chambers & Co.
            8-10533
            SEC File Number
            
            N
            N
          
          
            Independent Brokerage Solutions LLC
            8-68549
            SEC File Number
            
            N
            N
          
          
            Money Concepts Capital Corp
            8-29671
            SEC File Number
            
            N
            N
          
          
            Somerset Securities, Inc.
            8-11539
            SEC File Number
            
            N
            N
          
          
            LaSalle St. Securities, L.L.C.
            254900T7U4ODG86YRV13
            
            N
            N
          
          
            GLP Investment Services, LLC
            8-41868
            SEC File Number
            
            N
            N
          
          
            Steward Partners Investment Solutions, LLC
            25490043UEOX7JZ3AC58
            
            N
            N
          
          
            Oppenheimer & Co. Inc.
            254900VH02JQR2L8XD64
            
            N
            N
          
          
            Darwood Associates, Incorporated
            8-16560
            SEC File Number
            
            N
            N
          
          
            Hantz Financial Services, Inc.
            8-51291
            SEC File Number
            
            N
            N
          
          
            Woodlands Securities Corporation
            8-39700
            SEC File Number
            
            N
            N
          
          
            Capital Investment Group, Inc.
            8-31225
            SEC File Number
            
            N
            N
          
          
            First Western Securities, Inc.
            8-37613
            SEC File Number
            
            N
            N
          
          
            Westminster Financial Securities, Inc.
            8-38426
            SEC File Number
            
            N
            N
          
          
            BD4RIA, Inc.
            8-70022
            SEC File Number
            
            N
            N
          
          
            Sabadell Securities USA, Inc.
            2549002UK8JK82ABGD45
            
            N
            N
          
          
            TCFG Wealth Management, LLC
            8-69089
            SEC File Number
            
            N
            N
          
          
            First Southern LLC
            5493006LKFHMTRXT7796
            PR
            N
            N
          
          
            Hartford Funds Management Company, LLC
            549300P3DI8LOUAPBT80
            
            N
            Y
          
          
            American Century Investment Services, Inc.
            8-35220
            SEC File Number
            
            N
            N
          
          
            Corinthian Partners, L.L.C.
            8-48461
            SEC File Number
            
            N
            N
          
          
            Leigh Baldwin & Co., L.L.C.
            8-48385
            SEC File Number
            
            N
            N
          
          
            Mid Atlantic Clearing & Settlement Corporation
            8-47758
            SEC File Number
            
            N
            N
          
          
            Bankers Life Securities, Inc.
            549300YBBLCDP5GDSH97
            
            N
            N
          
          
            Rodgers Brothers, Inc.
            8-33475
            SEC File Number
            
            N
            N
          
          
            B. C. Ziegler and Company
            549300NLEOFP92P38Q71
            
            N
            N
          
          
            SEI Private Trust Company
            28-10625
            SEC File Number
            
            N
            Y
          
          
            Royal Alliance Associates, Inc.
            2549008QNG03YMMNXZ09
            
            N
            N
          
          
            TD Ameritrade, Inc.
            CWQYQU0TV2NLMLZKNB44
            
            N
            Y
          
          
            TCAdvisors Network Inc
            8-46909
            SEC File Number
            
            N
            N
          
          
            Sunset Financial Services, Inc.
            8-14148
            SEC File Number
            
            N
            N
          
          
            Searle & Co., Inc.
            254900QO3OSPRE9KIA46
            
            N
            N
          
          
            MSEC, LLC
            2549009EK3GVO5B3DK31
            
            N
            N
          
          
            Joseph Gunnar & Co., L.L.C.
            2549001XBRI5XQ0ZDA12
            
            N
            N
          
          
            Mutual Funds Associates, Inc.
            8-13026
            SEC File Number
            
            N
            N
          
          
            Folio Investments, Inc.
            8-52009
            SEC File Number
            
            N
            N
          
          
            Polar Investment Counsel, Inc.
            8-50039
            SEC File Number
            
            N
            N
          
          
            Western Growers Financial Services, Inc.
            8-53458
            SEC File Number
            
            N
            N
          
          
            IDB Capital Corp.
            254900SH3QL0IL3S9R34
            
            N
            N
          
          
            The Strategic Financial Alliance, Inc.
            8-65885
            SEC File Number
            
            N
            N
          
          
            Saturna Brokerage Services, Inc.
            8-36558
            SEC File Number
            
            N
            N
          
          
            Sanders Morris Harris LLC
            254900ZNPYV465D1NZ47
            
            N
            N
          
          
            E*TRADE Savings Bank
            549300DXPO50FJ75QA85
            
            N
            Y
          
          
            Pershing LLC
            ZI8Q1A8EI8LQFJNM0D94
            
            N
            Y
          
          
            American Independent Securities Group, LLC
            8-66905
            SEC File Number
            
            N
            N
          
          
            MML Distributors, LLC
            8-48203
            SEC File Number
            
            N
            N
          
          
            United Brokerage Services, Inc.
            8-48685
            SEC File Number
            
            N
            N
          
          
            Invicta Capital LLC
            549300QY87LR84LRLL97
            
            N
            N
          
          
            Blakeslee & Blakeslee, Inc.
            8-32071
            SEC File Number
            
            N
            N
          
          
            First National Bank Alaska
            25490089V5DJHFQMOA03
            
            N
            N
          
          
            Alight Financial Solutions, LLC
            8-47344
            SEC File Number
            
            N
            N
          
          
            International Money Management Group, Inc.
            8-30417
            SEC File Number
            
            N
            N
          
          
            Advanced Advisor Group, LLC
            8-67313
            SEC File Number
            
            N
            N
          
          
            L.O. Thomas & Co., Inc.
            8-40875
            SEC File Number
            
            N
            N
          
          
            Rehmann Financial Network, LLC
            8-69134
            SEC File Number
            
            N
            N
          
          
            Oberweis Securities, Inc.
            5493008EZH6DO1631P71
            
            N
            N
          
          
            NBC Securities, Inc.
            254900GIP7RJQGHH5S19
            
            N
            N
          
          
            Moors & Cabot, Inc.
            254900SDQ5IONENQ7U67
            
            N
            N
          
          
            Talcott Resolution Life Insurance Company
            8CE7JPU9IU72L3PPD756
            
            N
            Y
          
          
            Gill Capital Partners, LLC
            8-30563
            SEC File Number
            
            N
            N
          
          
            SKA Securities, Inc.
            8-53366
            SEC File Number
            
            N
            N
          
          
            Register Financial Associates, Inc.
            8-45012
            SEC File Number
            
            N
            N
          
          
            Trustmont Financial Group, Inc.
            8-36439
            SEC File Number
            
            N
            N
          
          
            NEXT Financial Group, Inc.
            8-51356
            SEC File Number
            
            N
            N
          
          
            Union Capital Company
            8-53127
            SEC File Number
            
            N
            N
          
          
            CNR Securities LLC
            894500JXD2XN50UHZI74
            
            N
            N
          
          
            Family Investors Company
            8-11190
            SEC File Number
            
            N
            N
          
          
            Variable Investment Advisors, Inc
            8-50699
            SEC File Number
            
            N
            N
          
          
            NPB Financial Group, LLC
            8-67113
            SEC File Number
            
            N
            N
          
          
            HighTower Securities, LLC
            549300F189LKWDZLP954
            
            N
            N
          
          
            Charles Schwab & Co., Inc.
            549300ZP8XN77GK5BS04
            
            N
            Y
          
          
            Arive Capital Markets LLC
            8-43350
            SEC File Number
            
            N
            N
          
          
            Symphonic Securities LLC
            8-67220
            SEC File Number
            
            N
            N
          
          
            G. A. Repple & Company
            8-35315
            SEC File Number
            
            N
            N
          
          
            Woodbury Financial Services, Inc.
            8-13846
            SEC File Number
            
            N
            N
          
          
            L.S.Y. Incorporated
            8-17613
            SEC File Number
            
            N
            N
          
          
            PTI Securities & Futures, L.P.
            8-44412
            SEC File Number
            
            N
            N
          
          
            McDonald Partners LLC
            8-66985
            SEC File Number
            
            N
            N
          
          
            D.M. Kelly & Company
            254900MPA2M5G6DL5C63
            
            N
            N
          
          
            ViewTrade Securities, Inc.
            549300CHLQDUD0NL5851
            
            N
            N
          
          
            NewEdge Securities, Inc.
            549300HJL2LPNSC0JX96
            
            N
            N
          
          
            Worth Financial Group Inc.
            8-29827
            SEC File Number
            
            N
            N
          
          
            Thurston, Springer, Miller, Herd & Titak, Inc.
            8-25452
            SEC File Number
            
            N
            N
          
          
            Folger Nolan Fleming Douglas Incorporated
            254900DD93O7YH65O708
            
            N
            N
          
          
            J.P. Morgan Institutional Investments Inc.
            8-52182
            SEC File Number
            
            N
            N
          
          
            Independent Financial Group, LLC
            254900KYWXHSQ7RMNP09
            
            N
            N
          
          
            CBIZ Financial Solutions, Inc.
            8-34205
            SEC File Number
            
            N
            N
          
          
            City National Bank
            593C3GZG957YOJPS2Z63
            
            N
            N
          
          
            Navy Federal Investment Services, LLC
            8-67161
            SEC File Number
            
            N
            N
          
          
            Gold Coast Securities, Inc.
            8-53148
            SEC File Number
            
            N
            N
          
          
            Fiduciary Trust Company International
            N1YKEWO2IYPRS4742F57
            
            N
            N
          
          
            Rothschild Investment Corporation
            8-16429
            SEC File Number
            
            N
            N
          
          
            CIBC World Markets Corp.
            549300445CON3DBMU275
            
            N
            N
          
          
            Amegy Investments, Inc.
            8-65399
            SEC File Number
            
            N
            N
          
          
            HSBC Securities (USA) Inc.
            CYYGQCGNHMHPSMRL3R97
            
            N
            N
          
          
            Capitol Securities Management, Inc.
            8-30353
            SEC File Number
            
            N
            N
          
          
            Cutter And Company Brokerage, Inc.
            8-39590
            SEC File Number
            
            N
            N
          
          
            Deutsche Bank Securities Inc.
            9J6MBOOO7BECTDTUZW19
            
            N
            N
          
          
            Infinex Investments, Inc.
            8-46661
            SEC File Number
            
            N
            N
          
          
            Morgan Stanley & Co. LLC
            9R7GPTSO7KV3UQJZQ078
            
            N
            N
          
          
            Security Distributors, LLC
            8-10781
            SEC File Number
            
            N
            N
          
          
            John Hancock Life Insurance Company of New York
            5493007RYG4GXIKSQI18
            
            N
            Y
          
          
            Inverness Securities, LLC
            8-66278
            SEC File Number
            
            N
            N
          
          
            Keel Point Capital, LLC
            8-22990
            SEC File Number
            
            N
            N
          
          
            L.M. Kohn & Company
            8-43303
            SEC File Number
            
            N
            N
          
          
            Verity Investments, Inc.
            8-49474
            SEC File Number
            
            N
            N
          
          
            BNA Wealth, Inc.
            8-48642
            SEC File Number
            
            N
            N
          
          
            Sorrento Pacific Financial, LLC
            8-66046
            SEC File Number
            
            N
            N
          
          
            Securevest Financial Group Inc.
            254900LG3HPQV4J0WH27
            
            N
            N
          
          
            David Lerner Associates, Inc.
            8-20746
            SEC File Number
            
            N
            N
          
          
            Sigma Financial Corporation
            8-30466
            SEC File Number
            
            N
            N
          
          
            Neuberger Berman BD LLC
            PWDS3JJ631D5N70JXG61
            
            N
            N
          
          
            Andbanc Brokerage LLC
            213800E4CWGFMCDQZ792
            
            N
            N
          
          
            International Research Securities, Inc.
            8-37954
            SEC File Number
            
            N
            N
          
          
            Impact U. Investments, LLC
            8-65527
            SEC File Number
            
            N
            N
          
          
            T.S. Phillips Investments, Inc.
            8-65661
            SEC File Number
            
            N
            N
          
          
            Parkland Securities, LLC
            8-53482
            SEC File Number
            
            N
            N
          
          
            Ustocktrade Securities, Inc.
            8-33132
            SEC File Number
            
            N
            N
          
          
            Saxony Securities, Inc.
            8-53490
            SEC File Number
            
            N
            N
          
          
            VectorGlobal WMG Inc.
            254900K52VRYBHUGBC64
            
            N
            N
          
          
            Sage Rutty and Company, Inc.
            8-00533
            SEC File Number
            
            N
            N
          
          
            Hancock Whitney Corporation
            549300GRNBWY8HIICT41
            
            N
            N
          
          
            Allianz Life Financial Services, LLC
            5493008TSI0TRWDDGW79
            
            N
            N
          
          
            Multiple Financial Services, Inc.
            8-52017
            SEC File Number
            
            N
            N
          
          
            Profinancial, Inc.
            8-32026
            SEC File Number
            
            N
            N
          
          
            SG Americas Securities, LLC
            549300F35UE0BOM1WJ55
            
            N
            N
          
          
            J. D. Seibert & Co., Inc.
            8-23604
            SEC File Number
            
            N
            N
          
          
            Teckmeyer Financial Services, L.L.C.
            8-48501
            SEC File Number
            
            N
            N
          
          
            MML Investors Services, LLC
            8-27250
            SEC File Number
            
            N
            N
          
          
            Wiley Bros. - Aintree Capital, LLC
            8-3774
            SEC File Number
            
            N
            N
          
          
            San Blas Securities LLC
            25490079436TZN10JD83
            
            N
            N
          
          
            Laidlaw & Company (UK) Ltd.
            8-53731
            SEC File Number
            
            N
            N
          
          
            Smith, Moore & Co.
            8-27480
            SEC File Number
            
            N
            N
          
          
            Infinity Securities, Inc.
            8-67647
            SEC File Number
            
            N
            N
          
          
            Principal Securities, Inc.
            8-13975
            SEC File Number
            
            N
            N
          
          
            Gladowsky Capital Management, Corp.
            8-51017
            SEC File Number
            
            N
            N
          
          
            Maplewood Investments, Inc.
            8-52221
            SEC File Number
            
            N
            N
          
          
            Capital Institutional Services, Inc.
            54930061X8RDWFDJIS05
            
            N
            N
          
          
            Wintrust Investments, LLC
            254900VR9KGJNQBQZA90
            
            N
            N
          
          
            Globalink Securities, Inc
            8-44509
            SEC File Number
            
            N
            N
          
          
            Integrity Investments, Inc.
            8-45302
            SEC File Number
            
            N
            N
          
          
            Griffinest Asia Securities, LLC
            8-66571
            SEC File Number
            
            N
            N
          
          
            XP Investments US, LLC
            549300HDFLS7P433PO89
            
            N
            N
          
          
            Packerland Brokerage Services, Inc.
            8-47572
            SEC File Number
            
            N
            N
          
          
            Insigneo Securities, LLC
            254900P4TTO6PU1VDH88
            
            N
            N
          
          
            CapFinancial Securities, LLC
            8-65870
            SEC File Number
            
            N
            N
          
          
            Sisung Securities Corporation
            254900KJI3EYKKPWT989
            
            N
            N
          
          
            Santander Securities LLC
            8-49571
            SEC File Number
            
            N
            N
          
          
            Fidelity Investments Institutional Operations Company LLC
            549300XVSM8LN3LQOK63
            
            N
            Y
          
          
            Chapin Davis Inc.
            801-70987
            SEC File Number
            
            N
            N
          
          
            DWS Distributors, Inc.
            5299007T18XBURKJ1V64
            
            N
            N
          
          
            Kalos Capital, Inc.
            8-50630
            SEC File Number
            
            N
            N
          
          
            Anovest Financial Services, Inc.
            8-66742
            SEC File Number
            
            N
            N
          
          
            Kestra Investment Services, LLC
            8-49672
            SEC File Number
            
            N
            N
          
          
            J. Alden Associates, Inc.
            8-48938
            SEC File Number
            
            N
            N
          
          
            Ausdal Financial Partners, Inc.
            8-24519
            SEC File Number
            
            N
            N
          
          
            Titleist Asset Management, Ltd.
            8-65859
            SEC File Number
            
            N
            N
          
          
            TradeUP Securities Inc
            8-36754
            SEC File Number
            
            N
            N
          
          
            First Heartland Capital, Inc.
            8-46008
            SEC File Number
            
            N
            N
          
          
            Lincoln Investment Planning, LLC
            8-14354
            SEC File Number
            
            N
            N
          
          
            Equity Services, Inc.
            8-14286
            SEC File Number
            
            N
            N
          
          
            D.H. Hill Securities, LLLP
            8-49475
            SEC File Number
            
            N
            N
          
          
            Horace Mann Life Insurance Company
            5493000HR2JKKNH2FL09
            
            N
            N
          
          
            First Manhattan Co. Incorporated
            549300NNJKVSO48I3G76
            
            N
            N
          
          
            JHW Financial Services, Inc.
            8-45304
            SEC File Number
            
            N
            N
          
          
            Coinbase Capital Markets Corporation
            8-28032
            SEC File Number
            
            N
            N
          
          
            Farmers Financial Solutions, LLC
            8-52361
            SEC File Number
            
            N
            N
          
          
            UMB Financial Services, Inc.
            254900GFVO9NGQ21JC37
            
            N
            N
          
          
            Northern Capital Securities Corporation
            254900ZANH7XTB94LS53
            
            N
            N
          
          
            Maxim Group LLC
            254900OJ6JZO6SDMHQ83
            
            N
            N
          
          
            The Prudential Insurance Company of America
            X574KRZ6V5A7UBU45C31
            
            N
            Y
          
          
            VALIC Retirement Services Company
            84-06057
            SEC File Number
            
            N
            N
          
          
            Massachusetts Mutual Life Insurance Company
            R6ZXK5P01NP6HXSY1S07
            
            N
            Y
          
          
            TD Private Client Wealth LLC
            8-69105
            SEC File Number
            
            N
            N
          
          
            Carty & Company, Inc.
            2549004VW1160A0HAR55
            
            N
            N
          
          
            ACP Securities, LLC
            254900GHLAGD9J81O211
            
            N
            N
          
          
            Herndon Plant Oakley Ltd.
            8-50912
            SEC File Number
            
            N
            N
          
          
            Boenning & Scattergood Inc.
            2549005FER5A7K7II574
            
            N
            N
          
          
            The Tavenner Company
            8-41206
            SEC File Number
            
            N
            N
          
          
            TradeStation Securities, Inc.
            549300T08P71XXBYLW62
            
            N
            N
          
          
            Wells Fargo Bank, National Association
            KB1H1DSPRFMYMCUFXT09
            
            N
            N
          
          
            Alliant Securities, Inc. Turner, Nord, Kienbaum
            8-23305
            SEC File Number
            
            N
            N
          
          
            Coker & Palmer, Inc.
            254900V1KTPDN88TDS68
            
            N
            N
          
          
            SFA Financial LLC
            8-68156
            SEC File Number
            
            N
            N
          
          
            Investshares, Inc
            8-68365
            SEC File Number
            
            N
            N
          
          
            Cambridge Investment Research, Inc.
            8-48740
            SEC File Number
            
            N
            N
          
          
            Principled Advisors, Inc.
            8-66451
            SEC File Number
            
            N
            N
          
          
            PNC Investments LLC
            8-66195
            SEC File Number
            
            N
            N
          
          
            Place Trade Financial, Inc.
            8-65915
            SEC File Number
            
            N
            N
          
          
            Highlander Capital Group, Inc.
            8-37169
            SEC File Number
            
            N
            N
          
          
            Amuni Financial, Inc
            8-25338
            SEC File Number
            
            N
            N
          
          
            Janney Montgomery Scott LLC
            8-00462
            SEC File Number
            
            N
            N
          
          
            Hanson McClain Retirement Network, LLC
            8-52250
            SEC File Number
            
            N
            N
          
          
            Cantella & Co.,Inc.
            254900Z33Q34HCFGHO19
            
            N
            N
          
          
            Key Investment Services LLC
            8-66999
            SEC File Number
            
            N
            N
          
          
            Planners Financial Services, Inc.
            8-18027
            SEC File Number
            
            N
            N
          
          
            Coldstream Securities, Inc.
            8-51549
            SEC File Number
            
            N
            N
          
          
            GRF Capital Investors, Inc.
            8-41494
            SEC File Number
            
            N
            N
          
          
            National Securities Corporation
            254900QUIGJ7E9W0Y853
            
            N
            N
          
          
            Mack Investment Securities, Inc.
            8-35536
            SEC File Number
            
            N
            N
          
          
            MWA Financial Services, Inc.
            8-53255
            SEC File Number
            
            N
            N
          
          
            Securities Research, Inc.
            8-23699
            SEC File Number
            
            N
            N
          
          
            Voya Investments Distributor, LLC
            549300UXSQ6ZVMSJFH64
            
            N
            N
          
          
            Independence Capital Co., Inc.
            8-41331
            SEC File Number
            
            N
            N
          
          
            Robert W. Baird & Co. Incorporated
            8-497
            SEC File Number
            
            N
            N
          
          
            Exeter Trust Company
            28-04279
            SEC File Number
            
            N
            N
          
          
            The GMS Group, L.L.C.
            254900OXZT27TA5CGU56
            
            N
            N
          
          
            Mcnally Financial Services Corporation
            8-65388
            SEC File Number
            
            N
            N
          
          
            Triad Advisors, Inc.
            8-42007
            SEC File Number
            
            N
            N
          
          
            Vanguard Marketing Corporation
            549300M16F306POWCS41
            
            N
            N
          
          
            Axiom Capital Management, Inc.
            254900WW7SK1IMK6NO54
            
            N
            N
          
          
            Regal Securities, Inc.
            8-21765
            SEC File Number
            
            N
            N
          
          
            BTS Securities Corporation
            8-26818
            SEC File Number
            
            N
            N
          
          
            Akar Capital Management, Inc.
            8-28026
            SEC File Number
            
            N
            N
          
          
            Consolidated Financial Investments, Inc.
            8-37004
            SEC File Number
            
            N
            N
          
          
            Trade-PMR Group, Inc.
            8-51390
            SEC File Number
            
            N
            N
          
          
            Mutual of Omaha Investor Services, Inc.
            8-47290
            SEC File Number
            
            N
            N
          
          
            Midwestern Securities Trading Company, LLC
            8-52074
            SEC File Number
            
            N
            N
          
          
            USA Financial Securities Corporation
            8-52342
            SEC File Number
            
            N
            N
          
          
            Liberty Capital Investment Corp.
            8-42051
            SEC File Number
            
            N
            N
          
          
            T. Rowe Price Retirement Plan Services, Inc.
            84-06219
            SEC File Number
            
            N
            Y
          
          
            PlanMember Securities Corporation
            8-25065
            SEC File Number
            
            N
            N
          
          
            Pruco Securities, LLC
            8-16402
            SEC File Number
            
            N
            N
          
          
            Genworth Life and Annuity Insurance Company
            TAI340D9BWT9R77O0P03
            
            N
            N
          
          
            Voya Institutional Plan Services, LLC
            02-0488491
            Tax ID
            
            N
            N
          
          
            InSight Securities, Inc.
            2549007I5MCG270G9341
            
            N
            N
          
          
            Wellington Shields & Co., LLC
            254900ULLOEJ3RYQ9S69
            
            N
            N
          
          
            Goldman Sachs & Co. LLC
            FOR8UP27PHTHYVLBNG30
            
            N
            N
          
          
            Sunstreet Securities, LLC
            8-67541
            SEC File Number
            
            N
            N
          
          
            Etico Partners, LLC
            254900YC5I0IY6GSBI85
            
            N
            N
          
          
            First Bankers' Banc Securities, Inc.
            549300XZ7YYT3Y0SU530
            
            N
            N
          
          
            First Financial Securities of America, Inc.
            8-29565
            SEC File Number
            
            N
            N
          
          
            Cresap, Inc.
            8-42117
            SEC File Number
            
            N
            N
          
          
            Intercarolina Financial Services, Inc.
            8-37519
            SEC File Number
            
            N
            N
          
          
            1st Discount Brokerage, Inc.
            8-48557
            SEC File Number
            
            N
            N
          
          
            CFS Securities, Inc.
            8-51330
            SEC File Number
            
            N
            N
          
          
            CUSO Financial Services, L.P.
            254900SMTUGUAHW1JN77
            
            N
            N
          
          
            Pyramid Funds Corporation
            8-12769
            SEC File Number
            
            N
            N
          
          
            Regulus Financial Group, LLC
            8-68275
            SEC File Number
            
            N
            N
          
          
            Garden State Securities Inc.
            8-25790
            SEC File Number
            
            N
            N
          
          
            Aventura Securities, LLC
            8-67458
            SEC File Number
            
            N
            N
          
          
            Commerce Brokerage Services, Inc.
            549300158KXZEDLDQA22
            
            N
            N
          
          
            Ameritas Investment Company, LLC
            549300913B54XKSRM258
            
            N
            N
          
          
            Finance 500, Inc.
            8-28302
            SEC File Number
            
            N
            N
          
          
            UBATCO & Co.
            00000000000000000000
            
            N
            Y
          
          
            Davinci Capital Management, Inc.
            8-51580
            SEC File Number
            
            N
            N
          
          
            Sammons Financial Network, LLC
            8-68905
            SEC File Number
            
            N
            N
          
          
            WesBanco Securities, Inc.
            8-50220
            SEC File Number
            
            N
            N
          
          
            Northwest Investment Advisors, Inc.
            8-65282
            SEC File Number
            
            N
            N
          
          
            American Financial Associates, Inc.
            8-44065
            SEC File Number
            
            N
            N
          
          
            TD Ameritrade Clearing, Inc.
            MRK678VXOI09YSSN8X19
            
            N
            Y
          
          
            RBC Capital Markets, LLC
            549300LCO2FLSSVFFR64
            
            N
            Y
          
          
            Transamerica Financial Advisors, Inc.
            549300JW32XCZSHI0878
            
            N
            N
          
          
            AGES Financial Services, Ltd.
            8-32155
            SEC File Number
            
            N
            N
          
          
            Sentinel Securities, Inc.
            8-53142
            SEC File Number
            
            N
            N
          
          
            Veritas Independent Partners, LLC
            8-69363
            SEC File Number
            
            N
            N
          
          
            Carter, Terry & Company, Inc.
            8-33797
            SEC File Number
            
            N
            N
          
          
            Wells Fargo Clearing Services, LLC
            88KRVSOEKUGQZJ3DKW55
            
            N
            Y
          
          
            Sorsby Financial Corp.
            8-48718
            SEC File Number
            
            N
            N
          
          
            American Portfolios Financial Services, Inc.
            8-37085
            SEC File Number
            
            N
            N
          
          
            Calton & Associates, Inc.
            254900TDJ7LH64ZKRY86
            
            N
            N
          
          
            Federated Securities, Inc.
            8-15644
            SEC File Number
            
            N
            N
          
          
            Investment Security Corporation
            8-51832
            SEC File Number
            
            N
            N
          
          
            Lincoln Financial Securities Corporation
            8-14609
            SEC File Number
            
            N
            N
          
          
            T. Rowe Price Investment Services, Inc.
            8-25130
            SEC File Number
            
            N
            N
          
          
            Diversified Resources, LLC
            8-45497
            SEC File Number
            
            N
            N
          
          
            Herbert J Sims & Co. Inc.
            254900SV6UESQBS8XP98
            
            N
            N
          
          
            Glen Eagle Wealth LLC
            549300KIBM3JOKOD9P59
            
            N
            N
          
          
            Geneos Wealth Management, Inc.
            8-65357
            SEC File Number
            
            N
            N
          
          
            Apex Clearing Corporation
            5493000418CITRF5BO80
            
            N
            N
          
          
            TD Ameritrade Trust Company
            20-0937408
            Tax ID
            
            N
            N
          
          
            First Financial Equity Corporation
            8-34082
            SEC File Number
            
            N
            N
          
          
            Transam Securities, Inc.
            8-37065
            SEC File Number
            
            N
            N
          
          
            Oriental Financial Services LLC
            8-44516
            SEC File Number
            PR
            N
            N
          
          
            Planned Financial Programs, Inc.
            8-5727
            SEC File Number
            
            N
            N
          
          
            The Logan Group Securities
            8-48995
            SEC File Number
            
            N
            N
          
          
            Western International Securities, Inc.
            25490001S7ICOSF8JC56
            
            N
            N
          
          
            Associated Investment Services, Inc.
            8-00099
            SEC File Number
            
            N
            N
          
          
            State Street Bank and Trust Company
            571474TGEMMWANRLN572
            
            N
            N
          
          
            Equitable Advisors, LLC
            8-17883
            SEC File Number
            
            N
            N
          
          
            Girard Investment Services, LLC
            8-14145
            SEC File Number
            
            N
            N
          
          
            World Choice Securities, Inc.
            8-45235
            SEC File Number
            
            N
            N
          
          
            Voya Retirement Insurance and Annuity Company
            OK3MKCDYPD4NN6QDGK18
            
            N
            Y
          
          
            Stifel Independent Advisors, LLC
            8-43514
            SEC File Number
            
            N
            N
          
          
            Kovack Securities Inc.
            25490070RG17Z4I70I82
            
            N
            N
          
          
            M.S. Howells & Co.
            549300ZY1ODMQ4MPJT53
            
            N
            N
          
          
            N.I.S. Financial Services, Inc.
            8-15919
            SEC File Number
            
            N
            N
          
          
            Lion Street Financial, LLC
            8-69183
            SEC File Number
            
            N
            N
          
          
            R. Seelaus & Co. Inc
            2138004J7AJDLCOJYA06
            
            N
            N
          
          
            Halliday Financial, LLC
            8-45529
            SEC File Number
            
            N
            N
          
          
            Ni Advisors
            8-66841
            SEC File Number
            
            N
            N
          
          
            Tocqueville Securities L.P.
            8-42223
            SEC File Number
            
            N
            N
          
          
            Duncan-Williams, Inc.
            25490045VHLUZ7H92Y27
            
            N
            N
          
          
            Uhlmann Price Securities, LLC
            8-50041
            SEC File Number
            
            N
            N
          
          
            J.W. Cole Financial, Inc.
            8-65698
            SEC File Number
            
            N
            N
          
          
            Hazlett, Burt & Watson, Inc.
            8-17737
            SEC File Number
            
            N
            N
          
          
            Mclaughlin Ryder Investments, Inc.
            8-67911
            SEC File Number
            
            N
            N
          
          
            Allstate Financial Services, LLC
            8-36365
            SEC File Number
            
            N
            N
          
          
            NYLIFE Securities LLC
            8-15517
            SEC File Number
            
            N
            N
          
          
            Safra Securities LLC
            E51AOUORNWWT747CBW71
            
            N
            N
          
          
            L. B. Fisher & Company
            8-21023
            SEC File Number
            
            N
            N
          
          
            Harbor Investment Advisory, LLC
            8-68334
            SEC File Number
            
            N
            N
          
          
            Schlitt Investor Services, Inc.
            8-34202
            SEC File Number
            
            N
            N
          
          
            Prospera Financial Services, Inc.
            2549009CIEPO956KXD30
            
            N
            N
          
          
            Great-West Financial Retirement Plan Services, LLC
            71-0930784
            Tax ID
            
            N
            Y
          
          
            Gerwin Group, Inc.
            8-40282
            SEC File Number
            
            N
            N
          
          
            AqGen Ascensus, Inc.
            549300K5MHNFPEU2RK82
            
            N
            Y
          
          
            GWN Securities, Inc.
            8-66185
            SEC File Number
            
            N
            N
          
          
            Investors Brokerage of Texas, Ltd.
            8-28644
            SEC File Number
            
            N
            N
          
          
            American Trust Investment Services, Inc.
            8-14394
            SEC File Number
            
            N
            N
          
          
            UBS Financial Services Inc.
            ETYRV6ORNFJB5NONI676
            
            N
            N
          
          
            Hazard & Siegel, Inc.
            8-13942
            SEC File Number
            
            N
            N
          
          
            Ceros Financial Services Inc.
            549300N2YQ0P5G0WE562
            
            N
            N
          
          
            Client One Securities LLC
            8-68494
            SEC File Number
            
            N
            N
          
          
            MMA Securities LLC
            8-50591
            SEC File Number
            
            N
            N
          
          
            Navaid Financial Services, Inc.
            8-49897
            SEC File Number
            
            N
            N
          
          
            Signal Securities, Inc.
            8-32948
            SEC File Number
            
            N
            N
          
          
            Voya Financial Partners, LLC
            8-46451
            SEC File Number
            
            N
            N
          
          
            Mutual Securities, Inc.
            254900UQFSLK9OUNAC76
            
            N
            N
          
          
            Prudential Investment Management Services LLC
            8-36540
            SEC File Number
            
            N
            N
          
          
            Calamar Financial Group, LLC
            8-69777
            SEC File Number
            
            N
            N
          
          
            Capital Management Securities, Inc.
            8-27779
            SEC File Number
            
            N
            N
          
          
            Allegiance Capital, LLC
            8-52978
            SEC File Number
            
            N
            N
          
          
            CUNA Brokerage Services, Inc.
            549300G6Y6BPF9ZL4706
            
            N
            N
          
          
            Benefit Trust Company
            549300ICEK1VVZC9R735
            
            N
            Y
          
          
            Country Club Financial Services, Inc.
            8-44574
            SEC File Number
            
            N
            N
          
          
            B. Riley Wealth Management Holdings, Inc.
            8-31206
            SEC File Number
            
            N
            N
          
          
            New England Pension Plan Systems, LLC
            00000000000000000000
            
            N
            Y
          
          
            Cetera Advisors LLC
            8-26892
            SEC File Number
            
            N
            N
          
          
            Bradesco BAC Florida Investments Corp.
            254900CAF9OPVE8VT408
            
            N
            N
          
          
            Rhodes Securities, Inc.
            254900MVXWUYG3F22X71
            
            N
            N
          
          
            Dinosaur Financial Group, LLC
            549300CCV3H232GBUN83
            
            N
            N
          
          
            Omega Securities, Inc.
            8-20225
            SEC File Number
            
            N
            N
          
          
            Henley & Company LLC
            8-66463
            SEC File Number
            
            N
            N
          
          
            First Asset Financial Inc.
            8-67191
            SEC File Number
            
            N
            N
          
          
            USI Securities, Inc.
            8-50429
            SEC File Number
            
            N
            N
          
          
            Buckman, Buckman & Reid, Inc.
            254900D688L15B5HJB06
            
            N
            N
          
          
            First Horizon Advisors, Inc.
            8-35061
            SEC File Number
            
            N
            N
          
          
            Paradigm Equities, Inc.
            8-45593
            SEC File Number
            
            N
            N
          
          
            People's Securities, Inc.
            801-63122
            SEC File Number
            
            N
            N
          
          
            Regions Bank
            EQTWLK1G7ODGC2MGLV11
            
            N
            N
          
          
            KCD Financial, Inc.
            8-66005
            SEC File Number
            
            N
            N
          
          
            Raymond James Financial, Inc.
            RGUZHJ05YTITL6D76949
            
            N
            N
          
          
            Landaas & Company, LLC
            8-51826
            SEC File Number
            
            N
            N
          
          
            Abacus Investments, Inc.
            8-46571
            SEC File Number
            
            N
            N
          
          
            Moloney Securities Co., Inc.
            8-48326
            SEC File Number
            
            N
            N
          
          
            Stifel, Nicolaus & Company, Incorporated
            5WUVMA08EYG4KEUPW589
            
            N
            Y
          
          
            Coastal Equities, Inc.
            8-40822
            SEC File Number
            
            N
            N
          
          
            Muriel Siebert & Co., Inc.
            254900ILZFIE2ULRPV24
            
            N
            N
          
          
            NTB Financial Corporation
            8-21884
            SEC File Number
            
            N
            N
          
          
            LifeMark Securities Corp.
            8-33478
            SEC File Number
            
            N
            N
          
          
            Hennion & Walsh, Inc.
            2549007B0CCUSX9P2580
            
            N
            N
          
          
            Gardner Financial Services, Inc.
            8-38631
            SEC File Number
            
            N
            N
          
          
            J.P. Morgan Securities LLC
            ZBUT11V806EZRVTWT807
            
            N
            N
          
          
            Fifth Third Bank, National Association
            QFROUN1UWUYU0DVIWD51
            
            N
            N
          
        
        Y
        
          
            State Street Bank and Trust Company
            571474TGEMMWANRLN572
            
            N
            Y
          
          
            BlackRock Advisors, LLC
            5493001LN9MRM6A35J74
            
            Y
            N
          
        
        N
        
          
            BlackRock Investments, LLC
            8-48436
            000038642
            54930061FBHCKXL2G714
            
            0.00000000
          
          
            BlackRock Execution Services
            8-48719
            000039438
            549300HFCRQ0NT5KY652
            
            0.00000000
          
        
        
          
            J.P. Morgan Securities LLC
            8-35008
            000000079
            ZBUT11V806EZRVTWT807
            
            8779.21000000
          
        
        8779.21000000
        
          
            J.P. Morgan Securities LLC
            8-35008
            000000079
            ZBUT11V806EZRVTWT807
            
            48281718.93000000
          
          
            Barclays Capital Inc.
            8-41342
            000019714
            AC28XWWI3WIBK2824319
            
            11518659.21000000
          
          
            Wells Fargo Securities, LLC
            8-65876
            000126292
            VYVVCKR63DVZZN70PB21
            
            7218292.14000000
          
          
            BlackRock Liquidity Funds - T-Fund
            N/A
            N/A
            5493002L9DNZ83RX7V61
            
            66456999.82000000
          
          
            Nomura Securities International, Inc.
            8-15255
            000004297
            OXTKY6Q8X53C9ILVV871
            
            9683706.08000000
          
          
            BofA Securities, Inc.
            8-69787
            000283942
            549300HN4UKV1E2R3U73
            
            59949158.21000000
          
          
            Morgan Stanley & Co. LLC
            8-15869
            000008209
            9R7GPTSO7KV3UQJZQ078
            
            78057501.70000000
          
          
            Citigroup Global Markets Inc.
            8-8177
            000007059
            MBNUM2BPBDO7JBLYG310
            
            77996453.99000000
          
          
            Credit Suisse Securities (USA) LLC
            8-422
            000000816
            1V8Y6QCX6YMJ2OELII46
            
            49264983.70000000
          
          
            Goldman Sachs & Co. LLC
            8-129
            000000361
            FOR8UP27PHTHYVLBNG30
            
            35668245.75000000
          
        
        463177630.16000000
        N
        69337576.35846153
        
          
            
              Committed
              1750000000.00000000
              
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
              
              
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
              
              N
            
          
        
        N
        N
        N
      
    
    
      true
    
    
  



REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

 

To the Shareholders of BlackRock Sustainable Advantage CoreAlpha Bond Fund and the Board of Trustees of BlackRock Funds IV:

In planning and performing our audit of the financial statements of BlackRock Sustainable Advantage CoreAlpha Bond Fund of BlackRock Funds IV (the “Fund”) as of and for the year ended May 31, 2022, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Fund’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Fund’s internal control over financial reporting. Accordingly, we express no such opinion.

 

The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of a company's assets that could have a material effect on the financial statements.

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions or that the degree of compliance with the policies or procedures may deteriorate.

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company’s annual or interim financial statements will not be prevented or detected on a timely basis.

Our consideration of the Fund’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Fund’s internal control over financial reporting and its operation, including controls for safeguarding securities, that we consider to be a material weakness, as defined above, as of May 31, 2022.

This report is intended solely for the information and use of management and the Board of Trustees of the Fund and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

/s/Deloitte & Touche LLP

Boston, Massachusetts

July 21, 2022



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