XAI Octagon Floating Rate & Alternative Income Trust - XFLT
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| SIT INVESTMENT ASSOCIATES INC | History | Reduced | 662,994 | 11,390 | 0.23% | 0.53% | 1 | -4,804,571 | -87.87% | Q1 2026 | May 13, 2026 |
| MORGAN STANLEY | History | Reduced | 602,194 | 10,345 | 0.0% | 0.0% | 2 | -1,070,306 | -63.99% | Q1 2026 | May 15, 2026 |
| Eagle Point Credit Management LLC | History | Reduced | 439,852 | 7,556 | 9.88% | 9.57% | 3 | -1,650,404 | -78.96% | Q1 2026 | May 07, 2026 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | History | Reduced | 384,757 | 6,610 | 0.33% | 0.19% | 4 | -463,251 | -54.63% | Q1 2026 | May 15, 2026 |
| Matisse Capital | History | Reduced | 344,096 | 5,911 | 2.52% | 1.97% | 5 | -575,904 | -62.6% | Q1 2026 | May 08, 2026 |
| Bulldog Investors, LLP | History | Reduced | 186,930 | 3,211 | 0.72% | 0.54% | 6 | -321,433 | -63.23% | Q1 2026 | May 08, 2026 |
| GUGGENHEIM CAPITAL LLC | History | Reduced | 152,538 | 2,620 | 0.02% | 0.02% | 7 | -565,830 | -78.77% | Q1 2026 | May 15, 2026 |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | History | Reduced | 144,227 | 2,477 | 0.16% | 0.16% | 8 | -368,090 | -71.85% | Q1 2026 | May 12, 2026 |
| Cresset Asset Management, LLC | History | Reduced | 143,955 | 2,473 | 0.01% | 0.01% | 9 | -575,824 | -80.0% | Q1 2026 | May 15, 2026 |
| TORONTO DOMINION BANK | History | New | 100,000 | 1,718 | 0.0% | — | 10 | +100,000 | New | Q1 2026 | May 15, 2026 |
| RPO LLC | History | New | 89,904 | 1,544 | 4.77% | — | 11 | +89,904 | New | Q1 2026 | May 12, 2026 |
| Invesco Ltd. | History | Reduced | 59,884 | 1,028 | 0.0% | 0.0% | 12 | -202,024 | -77.14% | Q1 2026 | May 12, 2026 |
| Thomas J. Herzfeld Advisors, Inc. | History | Reduced | 59,545 | 1,022 | 0.35% | 1.04% | 13 | -578,537 | -90.67% | Q1 2026 | May 12, 2026 |
| Virtus Investment Advisers, LLC | History | Reduced | 55,758 | 957 | 0.26% | 0.32% | 14 | -186,480 | -76.98% | Q1 2026 | May 14, 2026 |
| JANE STREET GROUP, LLC | History | Reduced | 55,244 | 949 | 0.0% | 0.0% | 15 | -101,301 | -64.71% | Q1 2026 | May 12, 2026 |
| Closed-End Fund Advisors, Inc. | History | Reduced | 51,831 | 890 | 0.91% | 0.66% | 16 | -181,133 | -77.75% | Q1 2026 | May 11, 2026 |
| UBS Group AG | History | Reduced | 39,528 | 679 | 0.0% | 0.0% | 17 | -128,259 | -76.44% | Q1 2026 | May 05, 2026 |
| LPL Financial LLC | History | Reduced | 38,797 | 666 | 0.0% | 0.0% | 18 | -179,192 | -82.2% | Q1 2026 | May 06, 2026 |
| Kestra Advisory Services, LLC | History | Reduced | 29,649 | 509 | 0.0% | 0.0% | 19 | -143,159 | -82.84% | Q1 2026 | Apr 30, 2026 |
| Belpointe Asset Management LLC | History | Reduced | 28,958 | 497 | 0.02% | 0.02% | 20 | -98,079 | -77.21% | Q1 2026 | Apr 28, 2026 |
| Samalin Investment Counsel, LLC | History | Reduced | 27,965 | 480 | 0.17% | 0.15% | 21 | -61,773 | -68.84% | Q1 2026 | Apr 22, 2026 |
| Private Advisor Group, LLC | History | Reduced | 23,251 | 399 | 0.0% | 0.0% | 22 | -91,894 | -79.81% | Q1 2026 | Apr 24, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Reduced | 21,635 | 371 | 0.0% | 0.0% | 23 | -45,159 | -67.61% | Q1 2026 | May 15, 2026 |
| XTX Topco Ltd | History | Reduced | 17,750 | 304 | 0.01% | 0.01% | 24 | -30,136 | -62.93% | Q1 2026 | May 15, 2026 |
| Cetera Investment Advisers | History | Reduced | 16,614 | 285 | 0.0% | 0.0% | 25 | -66,146 | -79.93% | Q1 2026 | May 13, 2026 |
| Sculptor Capital LP | History | New | 15,686 | 269 | 0.0% | — | 26 | +15,686 | New | Q1 2026 | May 15, 2026 |
| Chicago Partners Investment Group LLC | History | Reduced | 12,512 | 226 | 0.01% | 0.01% | 27 | -90,096 | -87.81% | Q1 2026 | May 04, 2026 |
| Apollon Wealth Management, LLC | History | Reduced | 12,603 | 216 | 0.0% | 0.01% | 28 | -49,726 | -79.78% | Q1 2026 | Apr 22, 2026 |
| SAX WEALTH ADVISORS, LLC | History | No change | 35,405 | 169 | 0.01% | 0.01% | 29 | 0 | 0.0% | Q1 2026 | Apr 08, 2026 |
| OSAIC HOLDINGS, INC. | History | Reduced | 9,250 | 158 | 0.0% | 0.0% | 30 | -75,929 | -89.14% | Q1 2026 | May 15, 2026 |
| ROYAL BANK OF CANADA | History | Reduced | 6,751 | 116 | 0.0% | 0.0% | 31 | -30,258 | -81.76% | Q1 2026 | May 15, 2026 |
| EverSource Wealth Advisors, LLC | History | Reduced | 5,000 | 85 | 0.0% | 0.0% | 32 | -12,000 | -70.59% | Q1 2026 | May 15, 2026 |
| Advisory Services Network, LLC | History | Reduced | 4,496 | 77 | 0.0% | 0.0% | 33 | -19,415 | -81.2% | Q1 2026 | May 15, 2026 |
| CoreCap Advisors, LLC | History | Reduced | 2,916 | 50 | 0.0% | 0.0% | 34 | -14,995 | -83.72% | Q1 2026 | Apr 07, 2026 |
| Global Retirement Partners, LLC | History | No change | 8,327 | 39 | 0.0% | 0.0% | 35 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| HALBERT HARGROVE GLOBAL ADVISORS, LLC | History | Reduced | 2,000 | 34 | 0.0% | 0.0% | 36 | -8,000 | -80.0% | Q1 2026 | Apr 17, 2026 |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | History | Reduced | 1,715 | 29 | 0.0% | 0.01% | 37 | -6,869 | -80.02% | Q1 2026 | May 11, 2026 |
| Triumph Capital Management | History | Reduced | 1,369 | 23 | 0.0% | 0.01% | 38 | -7,627 | -84.78% | Q1 2026 | May 13, 2026 |
| FIFTH THIRD BANCORP | History | New | 1,058 | 18 | 0.0% | — | 39 | +1,058 | New | Q1 2026 | May 01, 2026 |
| Osbon Capital Management LLC | History | New | 989 | 16 | 0.01% | — | 40 | +989 | New | Q1 2026 | May 15, 2026 |
| BNP PARIBAS FINANCIAL MARKETS | History | Reduced | 915 | 15 | 0.0% | 0.0% | 41 | -3,664 | -80.02% | Q1 2026 | May 12, 2026 |
| Pinnacle Wealth Planning Services, Inc. | History | Reduced | 881 | 15 | 0.0% | 0.0% | 42 | -2,356 | -72.78% | Q1 2026 | May 11, 2026 |
| COMERICA BANK | History | No change | 2,783 | 13 | 0.0% | 0.0% | 43 | 0 | 0.0% | Q4 2025 | Jan 29, 2026 |
| WPG Advisers, LLC | History | Reduced | 379 | 6 | 0.0% | 0.0% | 44 | -950 | -71.48% | Q1 2026 | Apr 29, 2026 |
| HIGHLINE WEALTH PARTNERS LLC | History | Reduced | 300 | 5 | 0.0% | 0.0% | 45 | -1,200 | -80.0% | Q1 2026 | Apr 06, 2026 |
| SWAN Capital LLC | History | Reduced | 246 | 4 | 0.0% | 0.0% | 46 | -984 | -80.0% | Q1 2026 | May 14, 2026 |
| THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. | History | Reduced | 220 | 3 | 0.0% | 0.0% | 47 | -880 | -80.0% | Q1 2026 | Apr 14, 2026 |
| Byrne Asset Management LLC | History | Reduced | 200 | 3 | 0.0% | 0.0% | 49 | -800 | -80.0% | Q1 2026 | Apr 02, 2026 |
| ST GERMAIN D J CO INC | History | Reduced | 180 | 3 | 0.0% | 0.0% | 48 | -720 | -80.0% | Q1 2026 | Apr 13, 2026 |
| FNY Investment Advisers, LLC | History | New | 200 | 3 | 0.0% | — | 50 | +200 | New | Q1 2026 | Apr 15, 2026 |
| BlackRock, Inc. | History | New | 145 | 2 | 0.0% | — | 51 | +145 | New | Q1 2026 | May 13, 2026 |
| Allworth Financial LP | History | Reduced | 59 | 1 | 0.0% | 0.0% | 52 | -237 | -80.07% | Q1 2026 | May 14, 2026 |
| WHITTIER TRUST CO OF NEVADA INC | History | New | 100 | 1 | 0.0% | — | 53 | +100 | New | Q1 2026 | Apr 28, 2026 |
| North Ground Capital | History | Closed out | 0 | 0 | — | 3.53% | — | -1,482,418 | -100.0% | Q1 2026 | May 11, 2026 |
| J.W. COLE ADVISORS, INC. | History | Closed out | 0 | 0 | — | 0.05% | — | -451,667 | -100.0% | Q1 2026 | Apr 23, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.0% | — | -427,079 | -100.0% | Q1 2026 | May 04, 2026 |
| Lido Advisors, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -247,782 | -100.0% | Q1 2026 | May 13, 2026 |
| Shaker Financial Services, LLC | History | Closed out | 0 | 0 | — | 0.28% | — | -183,519 | -100.0% | Q1 2026 | May 12, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -90,261 | -100.0% | Q1 2026 | Apr 30, 2026 |
| TrueMark Investments, LLC | History | Closed out | 0 | 0 | — | 0.07% | — | -80,240 | -100.0% | Q1 2026 | Apr 20, 2026 |
| ALEXANDER LABRUNERIE & CO., INC. | History | Closed out | 0 | 0 | — | 0.1% | — | -55,000 | -100.0% | Q1 2026 | May 18, 2026 |
| NINE MASTS CAPITAL Ltd | History | Closed out | 0 | 0 | — | 0.04% | — | -53,804 | -100.0% | Q1 2026 | May 12, 2026 |
| Integrated Wealth Concepts LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -50,069 | -100.0% | Q1 2026 | May 15, 2026 |
| HighTower Advisors, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -46,795 | -100.0% | Q1 2026 | May 05, 2026 |
| CHOREO, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -44,095 | -100.0% | Q1 2026 | May 12, 2026 |
| WEDBUSH SECURITIES INC | History | Closed out | 0 | 0 | — | 0.01% | — | -39,993 | -100.0% | Q1 2026 | Apr 21, 2026 |
| CFO4Life Group, LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -38,800 | -100.0% | Q1 2026 | May 11, 2026 |
| HRT FINANCIAL LP | History | Closed out | 0 | 0 | — | 0.0% | — | -36,299 | -100.0% | Q1 2026 | May 14, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -35,079 | -100.0% | Q1 2026 | Apr 27, 2026 |
| Marex Group plc | History | Closed out | 0 | 0 | — | 0.0% | — | -30,684 | -100.0% | Q1 2026 | May 13, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Closed out | 0 | 0 | — | 0.0% | — | -30,471 | -100.0% | Q1 2026 | May 14, 2026 |
| Alpine Global Management, LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -26,775 | -100.0% | Q1 2026 | May 15, 2026 |
| Brookwood Investment Group LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -26,543 | -100.0% | Q1 2026 | May 04, 2026 |
| Compound Planning, Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -25,025 | -100.0% | Q1 2026 | May 14, 2026 |
| SUMMITRY LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -25,000 | -100.0% | Q1 2026 | May 22, 2026 |
| CSS LLC/IL | History | Closed out | 0 | 0 | — | 0.0% | — | -23,288 | -100.0% | Q1 2026 | May 15, 2026 |
| Mariner, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -21,973 | -100.0% | Q1 2026 | May 13, 2026 |
| KESTRA PRIVATE WEALTH SERVICES, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -20,700 | -100.0% | Q1 2026 | Apr 20, 2026 |
| Castleview Partners, LLC | History | Closed out | 0 | 0 | — | 0.04% | — | -18,572 | -100.0% | Q1 2026 | May 01, 2026 |
| Beacon Financial Advisory LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -18,089 | -100.0% | Q1 2026 | Apr 27, 2026 |
| EVOKE WEALTH, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -17,568 | -100.0% | Q1 2026 | May 14, 2026 |
| FIRETHORN WEALTH PARTNERS, LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -17,332 | -100.0% | Q1 2026 | Apr 09, 2026 |
| Mutual Advisors, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -17,152 | -100.0% | Q1 2026 | May 01, 2026 |
| Catalina Capital Group, LLC | History | Closed out | 0 | 0 | — | 0.05% | — | -16,768 | -100.0% | Q1 2026 | Apr 23, 2026 |
| Walkner Condon Financial Advisors LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -15,435 | -100.0% | Q1 2026 | Apr 28, 2026 |
| NOMURA HOLDINGS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -14,868 | -100.0% | Q1 2026 | May 15, 2026 |
| GREAT VALLEY ADVISOR GROUP, INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -14,380 | -100.0% | Q1 2026 | May 11, 2026 |
| MERCER GLOBAL ADVISORS INC /ADV | History | Closed out | 0 | 0 | — | 0.0% | — | -14,203 | -100.0% | Q1 2026 | May 15, 2026 |
| Freestate Advisors LLC | History | Closed out | 0 | 0 | — | 0.05% | — | -13,498 | -100.0% | Q1 2026 | Apr 09, 2026 |
| Sigma Planning Corp | History | Closed out | 0 | 0 | — | 0.0% | — | -12,641 | -100.0% | Q1 2026 | May 04, 2026 |
| One Capital Management, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -12,498 | -100.0% | Q1 2026 | May 12, 2026 |
| ACCREDITED INVESTOR SERVICES, LLC | History | Closed out | 0 | 0 | — | 0.04% | — | -12,153 | -100.0% | Q1 2026 | Apr 21, 2026 |
| Highland Financial Advisors, LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -11,731 | -100.0% | Q1 2026 | Apr 21, 2026 |
| Amplius Wealth Advisors, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -11,182 | -100.0% | Q1 2026 | Apr 13, 2026 |
| Per Stirling Capital Management, LLC. | History | Closed out | 0 | 0 | — | 0.01% | — | -10,550 | -100.0% | Q1 2026 | May 11, 2026 |
| Spire Wealth Management | History | Closed out | 0 | 0 | — | 0.0% | — | -4,365 | -100.0% | Q1 2026 | Apr 22, 2026 |
| FLAGSHIP HARBOR ADVISORS, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -3,686 | -100.0% | Q1 2026 | Apr 28, 2026 |
| Noble Wealth Management PBC | History | Closed out | 0 | 0 | — | 0.0% | — | -2,000 | -100.0% | Q1 2026 | Apr 02, 2026 |
| BANK OF AMERICA CORP /DE/ | History | Closed out | 0 | 0 | — | 0.0% | — | -1,796 | -100.0% | Q1 2026 | May 15, 2026 |
| Rockefeller Capital Management L.P. | History | New | 17 | 0 | — | — | — | +17 | New | Q1 2026 | May 14, 2026 |
| DANSKE BANK A/S | History | New | 1 | 0 | — | — | — | +1 | New | Q1 2026 | May 12, 2026 |
| Legacy Wealth Managment, LLC/ID | History | Closed out | 0 | 0 | — | — | — | -1 | -100.0% | Q1 2026 | May 07, 2026 |
| HUNTINGTON NATIONAL BANK | History | No change | 1 | 0 | — | — | — | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| WELLS FARGO & COMPANY/MN | History | No change | 1 | 0 | — | — | — | 0 | 0.0% | Q1 2026 | May 11, 2026 |