MONTGOMERY STR INCOME SECS I - 614115103

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
1607 Capital Partners, LLC History No change 1,552,537 24,980 1.93% 1.93% 1 0 0.0% Q1 2014 May 12, 2014
WELLS FARGO & COMPANY/MN History No change 965,003 15,526 0.01% 0.01% 2 0 0.0% Q1 2014 May 15, 2014
SIT INVESTMENT ASSOCIATES INC History No change 607,280 9,771 0.17% 0.17% 3 0 0.0% Q1 2014 Apr 24, 2014
Karpus Management, Inc. History No change 582,931 9,379 0.49% 0.49% 4 0 0.0% Q1 2014 May 15, 2014
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD History Reduced 454,612 7,583 2.17% 2.17% 5 -7,975 -1.72% Q2 2014 Jul 10, 2014
Horizon Kinetics LLC History No change 234,205 3,768 0.05% 0.05% 6 0 0.0% Q1 2014 May 14, 2014
Cetera Advisor Networks LLC History No change 106,050 1,698 0.12% 0.12% 7 0 0.0% Q1 2014 May 15, 2014
Thomas J. Herzfeld Advisors, Inc. History No change 78,850 1,269 0.75% 0.75% 8 0 0.0% Q1 2014 May 14, 2014
LPL Financial LLC History Reduced 68,487 1,142 0.01% 0.01% 9 -28,787 -29.59% Q2 2014 Aug 05, 2014
GUGGENHEIM CAPITAL LLC History No change 40,689 655 0.0% 0.0% 10 0 0.0% Q1 2014 May 16, 2014
SII INVESTMENTS INC/WI History Added to 33,675 559 0.08% 0.1% 11 +615 1.86% Q2 2014 Jul 28, 2014
DOLIVER CAPITAL ADVISORS, INC. History No change 20,243 326 0.21% 0.21% 12 0 0.0% Q1 2014 May 16, 2014
Raymond James Financial Services Advisors, Inc. History No change 15,875 255 0.02% 0.02% 13 0 0.0% Q1 2014 May 08, 2014
GRT CAPITAL PARTNERS LLC History No change 15,530 250 0.03% 0.03% 14 0 0.0% Q1 2014 May 15, 2014
MORGAN STANLEY History No change 15,233 245 0.0% 0.0% 15 0 0.0% Q1 2014 May 13, 2014
ROYAL BANK OF CANADA History No change 13,841 223 0.0% 0.0% 16 0 0.0% Q1 2014 May 15, 2014
HighTower Advisors, LLC History No change 12,200 196 0.0% 0.0% 17 0 0.0% Q1 2014 May 15, 2014
Invesco Ltd. History No change 11,520 185 0.0% 0.0% 18 0 0.0% Q1 2014 May 15, 2014
FTB Advisors, Inc. History No change 9,000 150 0.02% 0.02% 19 0 0.0% Q2 2014 Aug 07, 2014
UBS AG History No change 6,450 104 0.0% 0.0% 20 0 0.0% Q1 2014 May 16, 2014
ALLIANCEBERNSTEIN L.P. History No change 5,668 91 0.0% 0.0% 21 0 0.0% Q1 2014 May 13, 2014
BANK OF AMERICA CORP /DE/ History No change 3,560 57 0.0% 0.0% 22 0 0.0% Q1 2014 May 15, 2014
MUFG Americas Holdings Corp History New 1,425 24 0.0% — 24 +1,425 New Q2 2014 Aug 05, 2014
CITIGROUP INC History No change 1,467 24 0.0% 0.0% 23 0 0.0% Q1 2014 May 15, 2014
US BANCORP \DE\ History No change 1,450 23 0.0% 0.0% 25 0 0.0% Q1 2014 May 14, 2014
WASHINGTON TRUST BANK History No change 1,175 20 0.0% 0.0% 26 0 0.0% Q2 2014 Aug 08, 2014
Creative Planning History No change 1,250 20 0.0% 0.0% 27 0 0.0% Q1 2014 Apr 11, 2014
PRIVATE TRUST CO NA History No change 1,000 17 0.01% 0.01% 28 0 0.0% Q2 2014 Jul 22, 2014
THOMPSON SIEGEL & WALMSLEY LLC History No change 800 13 0.0% 0.0% 29 0 0.0% Q2 2014 Aug 12, 2014
BANK OF MONTREAL /CAN/ History No change 400 6 0.0% 0.0% 30 0 0.0% Q1 2014 May 15, 2014
Tower Research Capital LLC History No change 100 2 0.0% 0.0% 31 0 0.0% Q1 2014 May 02, 2014
TFS CAPITAL LLC History Closed out 0 0 — 0.02% — -23,203 -100.0% Q2 2014 Jul 21, 2014