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Saba Capital Income & Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
SIA
101
SeaBridge Investment Advisors
New Jersey
$10K – – –
GWM
102
Geneos Wealth Management
Colorado
$9K – – –
SWM
103
SeaCrest Wealth Management
New York
$9K – – –
AF
104
Allworth Financial
California
$9K +$120 +12 +1%
CAL
105
Capital Analysts LLC
Pennsylvania
$7K – – –
CFGS
106
Concourse Financial Group Securities
Alabama
$7K +$7.47K +750 New
PNC Financial Services Group
107
PNC Financial Services Group
Pennsylvania
$6K -$149K -15,000 -96%
CAC
108
Certified Advisory Corp
Florida
$6K – – –
PCG
109
Private Capital Group
Connecticut
$6K – – –
IA
110
IFP Advisors
Florida
$5K – – –
Bank of Montreal
111
Bank of Montreal
Ontario, Canada
$3K – – –
NSIM
112
North Star Investment Management
Illinois
$3K – – –
FHB
113
First Hawaiian Bank
Hawaii
$3K +$3.22K +323 New
FEG
114
Financial Enhancement Group
Indiana
$2K – – –
FIA
115
FNY Investment Advisers
New York
$2K +$2.99K +300 New
PFGIA
116
Patriot Financial Group Insurance Agency
Massachusetts
$1K +$1.08K +108 New
SG Americas Securities
117
SG Americas Securities
New York
– -$186K -18,517 Closed
PMFA
118
Plante Moran Financial Advisors
Michigan
– -$85K -8,475 Closed
WPW
119
Waldron Private Wealth
Pennsylvania
– -$70K -7,001 Closed
USAA
120
United Services Automobile Association
Texas
– -$55K -5,480 Closed
RWP
121
RWA Wealth Partners
Massachusetts
– -$15K -1,471 Closed
MPWT
122
MassMutual Private Wealth & Trust
Connecticut
– -$10.1K -1,000 Closed
SEI Investments
123
SEI Investments
Pennsylvania
– -$5K -513 Closed
APA
124
American Portfolios Advisors
New York
– -$1.26K -125 Closed
SPIA
125
Steward Partners Investment Advisory
New York
– -$1K -65 Closed