CUTWATER SELECT INCOME FD - 232229104
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M&R CAPITAL MANAGEMENT INC | History | Reduced | 198,925 | 4,006 | 0.94% | 0.94% | 1 | -696 | -0.35% | Q2 2014 | Aug 11, 2014 |
| FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD | History | Reduced | 110,261 | 2,221 | 0.63% | 0.74% | 2 | -19,496 | -15.03% | Q2 2014 | Jul 10, 2014 |
| WealthTrust Axiom LLC | History | Added to | 43,100 | 868 | 0.29% | 0.27% | 3 | +4,000 | 10.23% | Q2 2014 | Aug 01, 2014 |
| LPL Financial LLC | History | Added to | 31,059 | 626 | 0.0% | 0.0% | 4 | +1,588 | 5.39% | Q2 2014 | Aug 05, 2014 |
| SII INVESTMENTS INC/WI | History | Added to | 29,055 | 584 | 0.08% | 0.08% | 5 | +4,625 | 18.93% | Q2 2014 | Jul 28, 2014 |
| Commonwealth Equity Services, Inc | History | Added to | 25,556 | 515 | 0.01% | 0.01% | 6 | +3,211 | 14.37% | Q2 2014 | Jul 23, 2014 |
| Point View Financial Services, Inc. | History | No change | 10,080 | 203 | 0.18% | 0.18% | 7 | 0 | 0.0% | Q2 2014 | Jul 24, 2014 |
| Efficient Market Advisors, LLC | History | Reduced | 7,307 | 147 | 0.04% | 0.04% | 8 | -1,135 | -13.44% | Q2 2014 | Jul 17, 2014 |
| WHITTIER TRUST CO | History | No change | 3,100 | 62 | 0.0% | 0.0% | 9 | 0 | 0.0% | Q2 2014 | Aug 04, 2014 |
| FTB Advisors, Inc. | History | No change | 3,000 | 60 | 0.01% | 0.01% | 10 | 0 | 0.0% | Q2 2014 | Aug 07, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 2,000 | 40 | 0.0% | 0.0% | 11 | 0 | 0.0% | Q2 2014 | Aug 08, 2014 |
| AMERICAN INTERNATIONAL GROUP INC | History | No change | 684 | 13 | 0.0% | 0.0% | 12 | 0 | 0.0% | Q2 2014 | Aug 08, 2014 |
| REILLY FINANCIAL ADVISORS, LLC | History | No change | 305 | 6 | 0.0% | 0.0% | 13 | 0 | 0.0% | Q2 2014 | Jul 16, 2014 |
| DAVIDSON D A & CO | History | No change | 135 | 2 | 0.0% | 0.0% | 14 | 0 | 0.0% | Q2 2014 | Jul 29, 2014 |
| Karpus Management, Inc. | History | Closed out | 0 | 0 | — | 0.97% | — | -966,591 | -100.0% | Q1 2014 | May 15, 2014 |
| WELLS FARGO & COMPANY/MN | History | Closed out | 0 | 0 | — | 0.0% | — | -555,117 | -100.0% | Q1 2014 | May 15, 2014 |
| 1607 Capital Partners, LLC | History | Closed out | 0 | 0 | — | 0.62% | — | -410,967 | -100.0% | Q1 2014 | May 12, 2014 |
| SIT INVESTMENT ASSOCIATES INC | History | Closed out | 0 | 0 | — | 0.09% | — | -274,251 | -100.0% | Q1 2014 | Apr 24, 2014 |
| GUGGENHEIM CAPITAL LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -101,884 | -100.0% | Q1 2014 | May 16, 2014 |
| UBS AG | History | Closed out | 0 | 0 | — | 0.0% | — | -91,013 | -100.0% | Q1 2014 | May 16, 2014 |
| Invesco Ltd. | History | Closed out | 0 | 0 | — | 0.0% | — | -78,012 | -100.0% | Q1 2014 | May 15, 2014 |
| MORGAN STANLEY | History | Closed out | 0 | 0 | — | 0.0% | — | -54,952 | -100.0% | Q1 2014 | May 13, 2014 |
| ROYAL BANK OF CANADA | History | Closed out | 0 | 0 | — | 0.0% | — | -12,328 | -100.0% | Q1 2014 | May 15, 2014 |
| HighTower Advisors, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -10,500 | -100.0% | Q1 2014 | May 15, 2014 |
| Saba Capital Management, L.P. | History | Closed out | 0 | 0 | — | 0.01% | — | -10,337 | -100.0% | Q1 2014 | May 15, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Closed out | 0 | 0 | — | 0.0% | — | -8,324 | -100.0% | Q1 2014 | May 15, 2014 |
| ALLIANCEBERNSTEIN L.P. | History | Closed out | 0 | 0 | — | 0.0% | — | -4,533 | -100.0% | Q1 2014 | May 13, 2014 |
| CITIGROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -3,182 | -100.0% | Q1 2014 | May 15, 2014 |
| US BANCORP \DE\ | History | Closed out | 0 | 0 | — | 0.0% | — | -3,000 | -100.0% | Q1 2014 | May 14, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | Closed out | 0 | 0 | — | 0.0% | — | -2,500 | -100.0% | Q1 2014 | May 15, 2014 |
| EDELMAN FINANCIAL GROUP INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -1,778 | -100.0% | Q1 2014 | May 16, 2014 |
| Tower Research Capital LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -500 | -100.0% | Q1 2014 | May 02, 2014 |
| NEW ENGLAND SECURITIES CORP /MA/ | History | Closed out | 0 | 0 | — | 0.0% | — | -223 | -100.0% | Q1 2014 | May 21, 2014 |