CUTWATER SELECT INCOME FD - 232229104

Detailed investor-level table based on 13F positions.

Shareholders (13F)

Quarter: Q2 2014 · Compare: Q1 2014
13D/13G major owners: Ownership tab.
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
Karpus Management, Inc. History No change 966,591 18,771 0.97% 0.97% 1 0 0.0% Q1 2014 May 15, 2014
WELLS FARGO & COMPANY/MN History No change 555,117 10,780 0.0% 0.0% 2 0 0.0% Q1 2014 May 15, 2014
1607 Capital Partners, LLC History No change 410,967 7,981 0.62% 0.62% 3 0 0.0% Q1 2014 May 12, 2014
SIT INVESTMENT ASSOCIATES INC History No change 274,251 5,326 0.09% 0.09% 4 0 0.0% Q1 2014 Apr 24, 2014
M&R CAPITAL MANAGEMENT INC History Reduced 198,925 4,006 0.94% 0.94% 5 -696 -0.35% Q2 2014 Aug 11, 2014
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD History Reduced 110,261 2,221 0.63% 0.74% 6 -19,496 -15.03% Q2 2014 Jul 10, 2014
GUGGENHEIM CAPITAL LLC History No change 101,884 1,977 0.01% 0.01% 7 0 0.0% Q1 2014 May 16, 2014
UBS AG History No change 91,013 1,767 0.0% 0.0% 8 0 0.0% Q1 2014 May 16, 2014
Invesco Ltd. History No change 78,012 1,515 0.0% 0.0% 9 0 0.0% Q1 2014 May 15, 2014
MORGAN STANLEY History No change 54,952 1,066 0.0% 0.0% 10 0 0.0% Q1 2014 May 13, 2014
WealthTrust Axiom LLC History Added to 43,100 868 0.29% 0.27% 11 +4,000 10.23% Q2 2014 Aug 01, 2014
LPL Financial LLC History Added to 31,059 626 0.0% 0.0% 12 +1,588 5.39% Q2 2014 Aug 05, 2014
SII INVESTMENTS INC/WI History Added to 29,055 584 0.08% 0.08% 13 +4,625 18.93% Q2 2014 Jul 28, 2014
Commonwealth Equity Services, Inc History Added to 25,556 515 0.01% 0.01% 14 +3,211 14.37% Q2 2014 Jul 23, 2014
ROYAL BANK OF CANADA History No change 12,328 239 0.0% 0.0% 15 0 0.0% Q1 2014 May 15, 2014
HighTower Advisors, LLC History No change 10,500 204 0.0% 0.0% 16 0 0.0% Q1 2014 May 15, 2014
Point View Financial Services, Inc. History No change 10,080 203 0.18% 0.18% 17 0 0.0% Q2 2014 Jul 24, 2014
Saba Capital Management, L.P. History No change 10,337 201 0.01% 0.01% 18 0 0.0% Q1 2014 May 15, 2014
BANK OF AMERICA CORP /DE/ History No change 8,324 162 0.0% 0.0% 19 0 0.0% Q1 2014 May 15, 2014
Efficient Market Advisors, LLC History Reduced 7,307 147 0.04% 0.04% 20 -1,135 -13.44% Q2 2014 Jul 17, 2014
ALLIANCEBERNSTEIN L.P. History No change 4,533 88 0.0% 0.0% 21 0 0.0% Q1 2014 May 13, 2014
CITIGROUP INC History No change 3,182 62 0.0% 0.0% 22 0 0.0% Q1 2014 May 15, 2014
WHITTIER TRUST CO History No change 3,100 62 0.0% 0.0% 23 0 0.0% Q2 2014 Aug 04, 2014
FTB Advisors, Inc. History No change 3,000 60 0.01% 0.01% 24 0 0.0% Q2 2014 Aug 07, 2014
US BANCORP \DE\ History No change 3,000 58 0.0% 0.0% 25 0 0.0% Q1 2014 May 14, 2014
LADENBURG THALMANN FINANCIAL SERVICES INC History No change 2,500 47 0.0% 0.0% 26 0 0.0% Q1 2014 May 15, 2014
PNC FINANCIAL SERVICES GROUP, INC. History No change 2,000 40 0.0% 0.0% 27 0 0.0% Q2 2014 Aug 08, 2014
AMERICAN INTERNATIONAL GROUP INC History No change 684 13 0.0% 0.0% 28 0 0.0% Q2 2014 Aug 08, 2014
Tower Research Capital LLC History No change 500 10 0.0% 0.0% 29 0 0.0% Q1 2014 May 02, 2014
REILLY FINANCIAL ADVISORS, LLC History No change 305 6 0.0% 0.0% 30 0 0.0% Q2 2014 Jul 16, 2014
DAVIDSON D A & CO History No change 135 2 0.0% 0.0% 31 0 0.0% Q2 2014 Jul 29, 2014
EDELMAN FINANCIAL GROUP INC. History Closed out 0 0 — 0.0% — -1,778 -100.0% Q2 2014 Aug 08, 2014
NEW ENGLAND SECURITIES CORP /MA/ History Closed out 0 0 — 0.0% — -223 -100.0% Q2 2014 Aug 04, 2014