MONTGOMERY STR INCOME SECS I - 614115103
Detailed investor-level table based on 13F positions.
Early Q2 2014 data: only 8 institutional holders reported so far. The full shareholder list will grow as more funds file with the SEC.
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 | Added to | 1,552,537 | 24,980 | 1.93% | 1.91% | 1 | +89,520 | 6.12% | Q1 2014 | May 12, 2014 |
| WELLS FARGO & COMPANY/MN | History | Reduced | 965,003 | 15,526 | 0.01% | 0.01% | 2 | -129 | -0.01% | Q1 2014 | May 15, 2014 |
| SIT INVESTMENT ASSOCIATES INC | History | Reduced | 607,280 | 9,771 | 0.17% | 0.18% | 3 | -44,710 | -6.86% | Q1 2014 | Apr 24, 2014 |
| Karpus Management, Inc. | History | Added to | 582,931 | 9,379 | 0.49% | 0.27% | 4 | +274,418 | 88.95% | Q1 2014 | May 15, 2014 |
| FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD | History | Reduced | 462,587 | 7,443 | 2.17% | 2.33% | 5 | -15,250 | -3.19% | Q1 2014 | Apr 17, 2014 |
| Horizon Kinetics LLC | History | Added to | 234,205 | 3,768 | 0.05% | 0.04% | 6 | +12,803 | 5.78% | Q1 2014 | May 14, 2014 |
| Cetera Advisor Networks LLC | History | Reduced | 106,050 | 1,698 | 0.12% | 0.15% | 7 | -23,084 | -17.88% | Q1 2014 | May 15, 2014 |
| LPL Financial LLC | History | Reduced | 97,274 | 1,565 | 0.01% | 0.01% | 8 | -25,220 | -20.59% | Q1 2014 | May 12, 2014 |
| Thomas J. Herzfeld Advisors, Inc. | History | Reduced | 78,850 | 1,269 | 0.75% | 0.7% | 9 | -535 | -0.67% | Q1 2014 | May 14, 2014 |
| GUGGENHEIM CAPITAL LLC | History | Reduced | 40,689 | 655 | 0.0% | 0.0% | 10 | -16,474 | -28.82% | Q1 2014 | May 16, 2014 |
| SII INVESTMENTS INC/WI | History | Reduced | 33,060 | 523 | 0.1% | 0.09% | 11 | -900 | -2.65% | Q1 2014 | May 09, 2014 |
| TFS CAPITAL LLC | History | Reduced | 23,203 | 373 | 0.02% | 0.02% | 12 | -6,206 | -21.1% | Q1 2014 | May 05, 2014 |
| DOLIVER CAPITAL ADVISORS, INC. | History | Added to | 20,243 | 326 | 0.21% | 0.1% | 13 | +9,932 | 96.32% | Q1 2014 | May 16, 2014 |
| Raymond James Financial Services Advisors, Inc. | History | Reduced | 15,875 | 255 | 0.02% | 0.02% | 14 | -10,025 | -38.71% | Q1 2014 | May 08, 2014 |
| GRT CAPITAL PARTNERS LLC | History | No change | 15,530 | 250 | 0.03% | 0.03% | 15 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| MORGAN STANLEY | History | Reduced | 15,233 | 245 | 0.0% | 0.0% | 16 | -1,183 | -7.21% | Q1 2014 | May 13, 2014 |
| ROYAL BANK OF CANADA | History | Added to | 13,841 | 223 | 0.0% | 0.0% | 17 | +1,410 | 11.34% | Q1 2014 | May 15, 2014 |
| HighTower Advisors, LLC | History | New | 12,200 | 196 | 0.0% | — | 18 | +12,200 | New | Q1 2014 | May 15, 2014 |
| Invesco Ltd. | History | Reduced | 11,520 | 185 | 0.0% | 0.0% | 19 | -819 | -6.64% | Q1 2014 | May 15, 2014 |
| FTB Advisors, Inc. | History | No change | 9,000 | 145 | 0.02% | 0.02% | 20 | 0 | 0.0% | Q1 2014 | May 02, 2014 |
| UBS AG | History | Reduced | 6,450 | 104 | 0.0% | 0.0% | 21 | -269 | -4.0% | Q1 2014 | May 16, 2014 |
| ALLIANCEBERNSTEIN L.P. | History | New | 5,668 | 91 | 0.0% | — | 22 | +5,668 | New | Q1 2014 | May 13, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Reduced | 3,560 | 57 | 0.0% | 0.9% | 23 | -295 | -7.65% | Q1 2014 | May 15, 2014 |
| CITIGROUP INC | History | Reduced | 1,467 | 24 | 0.0% | 0.0% | 24 | -428 | -22.59% | 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 |
| Creative Planning | History | No change | 1,250 | 20 | 0.0% | 0.0% | 26 | 0 | 0.0% | Q1 2014 | Apr 11, 2014 |
| WASHINGTON TRUST BANK | History | New | 1,175 | 19 | 0.0% | — | 27 | +1,175 | New | Q1 2014 | May 15, 2014 |
| PRIVATE TRUST CO NA | History | No change | 1,000 | 16 | 0.01% | 0.01% | 28 | 0 | 0.0% | Q1 2014 | Apr 07, 2014 |
| THOMPSON SIEGEL & WALMSLEY LLC | History | No change | 800 | 13 | 0.0% | 0.0% | 29 | 0 | 0.0% | Q1 2014 | May 08, 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 | Reduced | 100 | 2 | 0.0% | 0.0% | 31 | -490 | -83.05% | Q1 2014 | May 02, 2014 |
| AQR CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -21,647 | -100.0% | Q4 2013 | Feb 14, 2014 |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | History | Closed out | 0 | 0 | — | 0.18% | — | -12,352 | -100.0% | Q4 2013 | Feb 12, 2014 |
| SG Americas Securities, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -9,930 | -100.0% | Q4 2013 | Feb 12, 2014 |
| HOWE & RUSLING INC | History | Closed out | 0 | 0 | — | 0.01% | — | -1,300 | -100.0% | Q4 2013 | Jul 31, 2014 |
| PRING TURNER CAPITAL GROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -300 | -100.0% | Q4 2013 | Feb 12, 2014 |