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ASP

AMERN STRATEGIC INCOME PORTFOL
ASP

Delisted

ASP was delisted on the 5th of September, 2014.

Name Holding Trade Value Shares
Change
Change in
Stake
Sit Investment Associates
1
Sit Investment Associates
Minnesota
$7.47M – – –
GBA
2
Garrison Bradford & Associates
New York
$2.32M +$663 +66 +0%
FIMG
3
Financial & Investment Management Group
Michigan
$1.55M -$229K -22,800 -13%
RVP
4
Relative Value Partners
Illinois
$1.4M +$1.37M +136,776 New
Raymond James & Associates
5
Raymond James & Associates
Florida
$1.17M -$138K -13,748 -11%
MIG
6
Mariner Investment Group
New York
$736K +$364K +36,295 +102%
Stifel Financial
7
Stifel Financial
Missouri
$612K -$4.27K -425 -0.7%
Wells Fargo
8
Wells Fargo
California
$575K -$45.5K -4,533 -7%
NPC
9
National Planning Corporation
California
$366K -$57.6K -5,733 -14%
MSI Financial Services
10
MSI Financial Services
Massachusetts
$337K +$13.1K +1,304 +4%
RCM
11
Rivernorth Capital Management
Florida
$314K +$307K +30,605 New
NL
12
NWAM LLC
Washington
$293K +$37.7K +3,750 +15%
WCM
13
Windsor Capital Management
Arizona
$291K -$43.9K -4,376 -13%
Baird
14
Baird
Wisconsin
$242K +$107K +10,700 +83%
DA
15
Doliver Advisors
Texas
$189K -$23.3K -2,319 -11%
UBS
16
UBS
Switzerland
$58K -$33.5K -3,340 -37%
Morgan Stanley
17
Morgan Stanley
New York
$47K -$12.9K -1,285 -22%
TJHA
18
Thomas J. Herzfeld Advisors
Florida
$34K +$33.1K +3,301 New
Citigroup
19
Citigroup
New York
$32K -$203K -20,197 -87%
Royal Bank of Canada
20
Royal Bank of Canada
Ontario, Canada
$23K – – –
NFG
21
Next Financial Group
Texas
$18K +$17.3K +1,725 New
BBPWM
22
Blue Bell Private Wealth Management
Pennsylvania
$16K – – –
D.A. Davidson & Co
23
D.A. Davidson & Co
Montana
$10K -$5.45K -543 -35%
Ladenburg Thalmann Financial Services
24
Ladenburg Thalmann Financial Services
Florida
$7K +$110 +11 +2%
WA
25
WFG Advisors
Texas
$6K – – –