BROOKFIELD MORTGAGE - 112792106
Detailed investor-level table based on 13F positions.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| UBS AG | History | No change | 2,007,645 | 33,769 | 0.03% | 0.03% | 1 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| MARINER INVESTMENT GROUP LLC | History | No change | 550,066 | 9,252 | 2.03% | 2.03% | 2 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | History | No change | 426,246 | 7,169 | 0.58% | 0.58% | 3 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| BANK OF AMERICA CORP /DE/ | History | No change | 411,460 | 6,921 | 0.0% | 0.0% | 4 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Saba Capital Management, L.P. | History | No change | 397,768 | 6,690 | 0.38% | 0.38% | 5 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| JPMORGAN CHASE & CO | History | No change | 226,771 | 3,814 | 0.0% | 0.0% | 6 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| SIT INVESTMENT ASSOCIATES INC | History | No change | 205,836 | 3,462 | 0.06% | 0.06% | 7 | 0 | 0.0% | Q1 2014 | Apr 24, 2014 |
| Invesco Ltd. | History | No change | 141,065 | 2,373 | 0.0% | 0.0% | 8 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| BARCLAYS PLC | History | No change | 114,377 | 1,830 | 0.0% | 0.0% | 9 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Merriman Wealth Management, LLC | History | No change | 95,013 | 1,673 | 1.69% | 1.68% | 10 | 0 | 0.0% | Q2 2014 | Jul 30, 2014 |
| WELLS FARGO & COMPANY/MN | History | No change | 79,610 | 1,339 | 0.0% | 0.0% | 11 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| GUGGENHEIM CAPITAL LLC | History | No change | 62,018 | 1,043 | 0.0% | 0.0% | 12 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| ROYAL BANK OF CANADA | History | No change | 61,658 | 1,037 | 0.0% | 0.0% | 13 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| SUNRISE PARTNERS LIMITED PARTNERSHIP /CT | History | No change | 56,994 | 959 | 0.06% | 0.06% | 14 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Private Wealth Partners, LLC | History | Reduced | 30,960 | 545 | 0.12% | 0.13% | 15 | -2,204 | -6.65% | Q2 2014 | Aug 05, 2014 |
| ROBINSON CAPITAL MANAGEMENT, LLC | History | No change | 23,027 | 387 | 0.58% | 0.58% | 16 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| HighTower Advisors, LLC | History | No change | 22,950 | 386 | 0.01% | 0.01% | 17 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| KCG Holdings, Inc. | History | No change | 20,868 | 351 | 0.0% | 0.0% | 18 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Raymond James Financial Services Advisors, Inc. | History | No change | 16,475 | 277 | 0.02% | 0.02% | 19 | 0 | 0.0% | Q1 2014 | May 08, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 13,750 | 242 | 0.0% | 0.0% | 20 | 0 | 0.0% | Q2 2014 | Aug 08, 2014 |
| MORGAN STANLEY | History | No change | 12,828 | 216 | 0.0% | 0.0% | 21 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| CTC Alternative Strategies, Ltd. | History | Reduced | 12,100 | 212 | 0.18% | 0.18% | 22 | -6,900 | -36.32% | Q2 2014 | Jul 22, 2014 |
| KNIGHTSBRIDGE ASSET MANAGEMENT, LLC | History | No change | 12,350 | 208 | 0.06% | 0.06% | 23 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| WEDBUSH MORGAN SECURITIES INC | History | Reduced | 10,681 | 188 | 0.03% | 0.03% | 24 | -779 | -6.8% | Q2 2014 | Aug 04, 2014 |
| Thomas J. Herzfeld Advisors, Inc. | History | No change | 5,001 | 84 | 0.05% | 0.05% | 25 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| ENVESTNET ASSET MANAGEMENT INC | History | No change | 4,800 | 81 | 0.0% | 0.0% | 26 | 0 | 0.0% | Q1 2014 | May 12, 2014 |
| FIFTH THIRD BANCORP | History | No change | 4,500 | 76 | 0.0% | 0.0% | 27 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Sandy Spring Bank | History | No change | 1,250 | 22 | 0.0% | 0.0% | 28 | 0 | 0.0% | Q2 2014 | Aug 06, 2014 |
| THOMPSON DAVIS & CO., INC. | History | No change | 1,000 | 17 | 0.03% | 0.03% | 29 | 0 | 0.0% | Q1 2014 | May 09, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | No change | 1,023 | 17 | 0.0% | 0.0% | 30 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| DEUTSCHE BANK AG\ | History | No change | 900 | 15 | 0.0% | 0.0% | 31 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| FIRST MANHATTAN CO | History | No change | 600 | 10 | 0.0% | 0.0% | 32 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| AMERIPRISE FINANCIAL INC | History | No change | 200 | 3 | 0.0% | 0.0% | 33 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| MUFG Americas Holdings Corp | History | New | 77 | 1 | 0.0% | — | 35 | +77 | New | Q2 2014 | Aug 05, 2014 |
| CITIGROUP INC | History | No change | 57 | 1 | 0.0% | 0.0% | 34 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Shaker Financial Services, LLC | History | Closed out | 0 | 0 | — | 1.05% | — | -94,932 | -100.0% | Q2 2014 | Aug 04, 2014 |