First Allied Advisory Services’s ClearBridge MLP and Midstream Fund Inc. CEM Stock Holding History

First Allied Advisory Services’s Portfolio CEM Stock Details CEM Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q1	–	Sell	-10,084	Closed	-$1.4M	–	1143
2014 Q4	$1.4M	Buy	10,084 +1,107	+12%	+$149K	0.1%	236
2014 Q3	$1.25M	Buy	8,977 +3,856	+75%	+$557K	0.1%	246
2014 Q2	$760K	Buy	5,121 +850	+20%	+$120K	0.06%	407
2014 Q1	$571K	Buy	4,271 +407	+11%	+$53.2K	0.04%	477
2013 Q4	$526K	Buy	3,864 +512	+15%	+$68.7K	0.04%	476
2013 Q3	$449K	Buy	3,352 +1,111	+50%	+$152K	0.03%	579
2013 Q2	$316K	Buy	+2,241	New	+$306K	0.03%	655

Other funds holding CEM

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

Bessemer Group Woodbridge, New Jersey $63.6B AUM 28.76% 1-Year Est. Return

Guggenheim Capital Chicago, Illinois $12.9B AUM 27.3% 1-Year Est. Return

GKIM

GW&K Investment Management Boston, Massachusetts $11.3B AUM 31.98% 1-Year Est. Return

SLF

Sun Life Financial Toronto, Ontario, Canada $1.76B AUM 19.57% 1-Year Est. Return

AAM

Advisors Asset Management Monument, Colorado $6.01B AUM 24.74% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

NorthRock Partners Minneapolis, Minnesota $6.2B AUM 15.8% 1-Year Est. Return

BTS

BB&T Securities Richmond, Virginia $10.9B AUM 5.31% 1-Year Est. Return

First Allied Advisory Services's CEM Position: Q1 2015 in Review

First Allied Advisory Services sold out of ClearBridge MLP and Midstream Fund Inc. (CEM) in Q1 2015, closing a stake of 10,084 shares — an estimated $1.4M sold.

First Allied Advisory Services first reported a position in CEM in Q2 2013 and held it in 7 quarters. The position peaked at $1.4M in Q4 2014. 80 funds tracked by Wall St. Rank hold CEM as of Q1 2015.

First Allied Advisory Services reported no remaining ClearBridge MLP and Midstream Fund Inc. position as of Q1 2015 after selling out during the quarter.
First Allied Advisory Services sold 10,084 ClearBridge MLP and Midstream Fund Inc. shares in Q1 2015, an estimated $1.4M.
First Allied Advisory Services first reported a position in ClearBridge MLP and Midstream Fund Inc. in Q2 2013 and held it in 7 quarters.
First Allied Advisory Services's ClearBridge MLP and Midstream Fund Inc. position peaked at $1.4M in Q4 2014.
80 funds tracked by Wall St. Rank held ClearBridge MLP and Midstream Fund Inc. as of Q1 2015.

Based on First Allied Advisory Services's 13F filing for Q1 2015, filed 15 May 2015.