ING RISK MANAGED NAT RES FD - 449810100
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| GUGGENHEIM CAPITAL LLC | History | Reduced | 784,127 | 8,281 | 0.02% | 0.03% | 1 | -78,447 | -9.09% | Q1 2014 | May 16, 2014 |
| MORGAN STANLEY | History | Added to | 462,541 | 4,885 | 0.0% | 0.0% | 2 | +127,915 | 38.23% | Q1 2014 | May 13, 2014 |
| CORNERSTONE ADVISORS INC | History | Added to | 251,856 | 2,660 | 0.63% | 0.54% | 3 | +27,291 | 12.15% | Q1 2014 | May 07, 2014 |
| BB&T SECURITIES, LLC | History | New | 22,700 | 2,397 | 0.01% | — | 4 | +22,700 | New | Q1 2014 | Apr 15, 2014 |
| Invesco Ltd. | History | Reduced | 191,106 | 2,018 | 0.0% | 0.0% | 5 | -56,494 | -22.82% | Q1 2014 | May 15, 2014 |
| NEW ENGLAND SECURITIES CORP /MA/ | History | Added to | 151,075 | 1,595 | 0.61% | 0.56% | 6 | +13,615 | 9.9% | Q1 2014 | Apr 30, 2014 |
| AQR CAPITAL MANAGEMENT LLC | History | Added to | 86,716 | 916 | 0.0% | 0.0% | 7 | +32,676 | 60.47% | Q1 2014 | May 15, 2014 |
| RAYMOND JAMES & ASSOCIATES | History | Added to | 77,246 | 816 | 0.01% | 0.01% | 8 | +3,013 | 4.06% | Q1 2014 | May 13, 2014 |
| BNP PARIBAS ARBITRAGE, SA | History | New | 55,300 | 594 | 0.0% | — | 9 | +55,300 | New | Q1 2014 | May 13, 2014 |
| Shaker Financial Services, LLC | History | Reduced | 44,097 | 466 | 0.31% | 0.55% | 10 | -36,760 | -45.46% | Q1 2014 | May 07, 2014 |
| Raymond James Financial Services Advisors, Inc. | History | Added to | 42,690 | 451 | 0.03% | 0.02% | 11 | +3,195 | 8.09% | Q1 2014 | May 08, 2014 |
| LPL Financial LLC | History | Reduced | 41,572 | 439 | 0.0% | 0.0% | 12 | -7,238 | -14.83% | Q1 2014 | May 12, 2014 |
| DOLIVER CAPITAL ADVISORS, INC. | History | Reduced | 41,373 | 437 | 0.29% | 0.76% | 13 | -79,781 | -65.85% | Q1 2014 | May 16, 2014 |
| National Planning Corp | History | Reduced | 41,500 | 426 | 0.04% | 0.04% | 14 | -75 | -0.18% | Q1 2014 | Apr 14, 2014 |
| WELLS FARGO & COMPANY/MN | History | Reduced | 37,316 | 394 | 0.0% | 0.0% | 15 | -5,179 | -12.19% | Q1 2014 | May 15, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | Added to | 31,700 | 334 | 0.0% | 0.0% | 16 | +1,500 | 4.97% | Q1 2014 | May 09, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Reduced | 21,210 | 224 | 0.0% | 0.0% | 17 | -8,207 | -27.9% | Q1 2014 | May 15, 2014 |
| Investors Capital Advisory Services | History | New | 19,575 | 206 | 0.04% | — | 18 | +19,575 | New | Q1 2014 | Apr 15, 2014 |
| AMERICAN INTERNATIONAL GROUP INC | History | New | 19,400 | 204 | 0.0% | — | 19 | +19,400 | New | Q1 2014 | May 12, 2014 |
| UBS AG | History | Reduced | 16,558 | 174 | 0.0% | 0.0% | 20 | -5,939 | -26.4% | Q1 2014 | May 16, 2014 |
| Aviance Capital Partners, LLC | History | Added to | 15,757 | 166 | 0.07% | 0.06% | 21 | +378 | 2.46% | Q1 2014 | Apr 29, 2014 |
| ROYAL BANK OF CANADA | History | Added to | 15,271 | 161 | 0.0% | 0.0% | 22 | +2,051 | 15.51% | Q1 2014 | May 15, 2014 |
| WEDBUSH MORGAN SECURITIES INC | History | Added to | 13,850 | 146 | 0.03% | 0.03% | 23 | +500 | 3.75% | Q1 2014 | May 09, 2014 |
| DEUTSCHE BANK AG\ | History | Reduced | 9,130 | 96 | 0.0% | 0.0% | 24 | -5,690 | -38.39% | Q1 2014 | May 15, 2014 |
| Advisors Asset Management, Inc. | History | Reduced | 8,620 | 91 | 0.0% | 0.0% | 25 | -21,473 | -71.36% | Q1 2014 | May 15, 2014 |
| National Asset Management, Inc. | History | Added to | 6,395 | 68 | 0.02% | 0.02% | 26 | +74 | 1.17% | Q1 2014 | May 02, 2014 |
| ALLIANCEBERNSTEIN L.P. | History | New | 6,153 | 65 | 0.0% | — | 27 | +6,153 | New | Q1 2014 | May 13, 2014 |
| CITIGROUP INC | History | Reduced | 4,443 | 46 | 0.0% | 0.0% | 28 | -6,826 | -60.57% | Q1 2014 | May 15, 2014 |
| Tower Research Capital LLC | History | New | 2,606 | 28 | 0.0% | — | 29 | +2,606 | New | Q1 2014 | May 02, 2014 |
| Creative Planning | History | No change | 785 | 8 | 0.0% | 0.0% | 30 | 0 | 0.0% | Q1 2014 | Apr 11, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | No change | 337 | 4 | 0.0% | 0.0% | 31 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| NEWGATE CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 2.28% | — | -1,183,599 | -100.0% | Q1 2014 | May 06, 2014 |
| TFS CAPITAL LLC | History | Closed out | 0 | 0 | — | 0.05% | — | -107,942 | -100.0% | Q1 2014 | May 05, 2014 |
| WOLVERINE ASSET MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -57,773 | -100.0% | Q1 2014 | May 14, 2014 |
| SG Americas Securities, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -49,271 | -100.0% | Q1 2014 | May 14, 2014 |
| GEODE CAPITAL MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -34,502 | -100.0% | Q1 2014 | May 14, 2014 |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | History | Closed out | 0 | 0 | — | 0.29% | — | -32,384 | -100.0% | Q1 2014 | May 13, 2014 |
| KCG Holdings, Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -13,129 | -100.0% | Q1 2014 | May 15, 2014 |
| Edge Wealth Management LLC | History | Closed out | 0 | 0 | — | 0.06% | — | -12,395 | -100.0% | Q1 2014 | Apr 08, 2014 |
| Thomas J. Herzfeld Advisors, Inc. | History | Closed out | 0 | 0 | — | 0.06% | — | -10,250 | -100.0% | Q1 2014 | May 14, 2014 |
| Cordasco Financial Network | History | Closed out | 0 | 0 | — | 0.04% | — | -5,550 | -100.0% | Q1 2014 | May 13, 2014 |
| DAVIDSON D A & CO | History | Closed out | 0 | 0 | — | 0.0% | — | -1,146 | -100.0% | Q1 2014 | May 05, 2014 |
| Advisory Services Network, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -351 | -100.0% | Q1 2014 | Apr 09, 2014 |