USCA RIA’s Salient Midstream & MLP Fund SMM Stock Holding History

USCA RIA’s Portfolio SMM Stock Details SMM Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2019 Q3	–	Sell	-12,600	Closed	-$108K	–	479
2019 Q2	$108K	Sell	12,600 -5,635	-31%	-$49.7K	0.01%	435
2019 Q1	$168K	Sell	18,235 -7,000	-28%	-$62.2K	0.02%	412
2018 Q4	$186K	Buy	25,235 +6,600	+35%	+$57.6K	0.02%	388
2018 Q3	$190K	Buy	18,635 +5,100	+38%	+$52.6K	0.02%	448
2018 Q2	$135K	Buy	13,535 +1,400	+12%	+$13.9K	0.01%	440
2018 Q1	$110K	Buy	12,135 +2,000	+20%	+$20.9K	0.01%	429
2017 Q4	$112K	Buy	+10,135	New	+$108K	0.01%	423
2016 Q1	–	Sell	-49,393	Closed	-$471K	–	401
2015 Q4	$471K	Sell	49,393 -7,000	-12%	-$89.7K	0.1%	207
2015 Q3	$789K	Buy	56,393 +23,000	+69%	+$396K	0.2%	148
2015 Q2	$674K	Buy	+33,393	New	+$734K	0.18%	152

Other funds holding SMM

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

KACA

Kayne Anderson Capital Advisors Los Angeles, California $5.22B AUM 17.11% 1-Year Est. Return

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

Matisse Capital Portland, Oregon $234M AUM 19.72% 1-Year Est. Return

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

WAM

Wolverine Asset Management Chicago, Illinois $10.4B AUM 4.78% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

PAG

Private Advisor Group Morristown, New Jersey $21.8B AUM 28.57% 1-Year Est. Return

Almitas Capital Santa Monica, California $443M AUM 42.36% 1-Year Est. Return

USCA RIA's SMM Position: Q3 2019 in Review

USCA RIA sold out of Salient Midstream & MLP Fund (SMM) in Q3 2019, closing a stake of 12,600 shares — an estimated $108K sold.

USCA RIA first reported a position in SMM in Q2 2015 and held it in 10 quarters. The position peaked at $789K in Q3 2015. 30 funds tracked by Wall St. Rank hold SMM as of Q3 2019.

USCA RIA reported no remaining Salient Midstream & MLP Fund position as of Q3 2019 after selling out during the quarter.
USCA RIA sold 12,600 Salient Midstream & MLP Fund shares in Q3 2019, an estimated $108K.
USCA RIA first reported a position in Salient Midstream & MLP Fund in Q2 2015 and held it in 10 quarters.
USCA RIA's Salient Midstream & MLP Fund position peaked at $789K in Q3 2015.
30 funds tracked by Wall St. Rank held Salient Midstream & MLP Fund as of Q3 2019.

Based on USCA RIA's 13F filing for Q3 2019, filed 31 Oct 2019.