CEM

ClearBridge MLP and Midstream Fund Inc.
CEM

Overview Fund Activity
Delisted

CEM was delisted on the 6th of September, 2024.

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82 hedge funds and large institutions have $310M invested in ClearBridge MLP and Midstream Fund Inc. in 2018 Q3 according to their latest regulatory filings, with 7 funds opening new positions, 32 increasing their positions, 25 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
82
Holders Change
-2
Holders Change %
-2.38%
% of All Funds
1.88%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.05%
New
7
Increased
32
Reduced
25
Closed
9
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
1832 Asset Management
1
1832 Asset Management
Ontario, Canada
$2.18M
2
UBS Group
2
UBS Group
Switzerland
$18.9M
3
GC
3
Guggenheim Capital
Illinois
$7.82M
4
NP
4
NorthRock Partners
Minnesota
$22.6M
5
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$10.7M

Top Sellers

1
Morgan Stanley
1
Morgan Stanley
New York
$73.2M
2
AIM
2
Allen Investment Management
New York
$5.62M
3
CIC
3
Carnegie Investment Counsel
Ohio
$0
4
AAM
4
Advisors Asset Management
Colorado
$5.22M
5
Ameriprise
5
Ameriprise
Minnesota
$3.85M
Name Holding Trade Value Shares
Change 		Shares
Change %
OA
26
Oxbow Advisors
Texas
$1.56M -$176K -2,425 -10%
SI
27
Stephens Inc
Arkansas
$1.55M +$7.34K +101 +0.5%
Goldman Sachs
28
Goldman Sachs
New York
$1.55M -$284K -3,907 -15%
CHA
29
Cedar Hill Associates
Illinois
$1.42M -$45.6K -628 -3%
DA
30
Doliver Advisors
Texas
$1.4M +$479K +6,591 +52%
US Bancorp
31
US Bancorp
Minnesota
$1.33M – – –
SIA
32
SeaBridge Investment Advisors
New Jersey
$1.29M -$101K -1,397 -7%
NMC
33
Nine Masts Capital
Hong Kong
$1.26M +$533K +7,340 +73%
JPMPWA
34
J.P. Morgan Private Wealth Advisors
California
$1.2M +$9.96K +137 +0.8%
LPL Financial
35
LPL Financial
California
$1.16M +$575K +7,918 +98%
DC
36
Davenport & Co
Virginia
$1.06M +$65.4K +900 +7%
RJFSA
37
Raymond James Financial Services Advisors
Florida
$1.02M -$8.87K -122 -0.9%
BTS
38
BB&T Securities
Virginia
$941K -$121K -1,668 -11%
Commonwealth Equity Services
39
Commonwealth Equity Services
Massachusetts
$916K +$52.6K +724 +6%
Cambridge Investment Research Advisors
40
Cambridge Investment Research Advisors
Iowa
$717K +$80.3K +1,105 +13%
LWAC
41
Laurel Wealth Advisors (California)
California
$716K – – –
PAG
42
Private Advisor Group
New Jersey
$654K +$446K +6,135 +214%
Janney Montgomery Scott
43
Janney Montgomery Scott
Pennsylvania
$589K -$13.9K -191 -2%
UR
44
USCA RIA
Texas
$549K +$29K +400 +6%
Citigroup
45
Citigroup
New York
$504K +$6.25K +86 +1%
BOIA
46
Bush ODonnell Investment Advisors
Missouri
$486K – – –
QPWM
47
Quadrant Private Wealth Management
Pennsylvania
$444K -$432K – –
MIAN
48
Mariner Independent Advisor Network
Kansas
$438K +$438K +6,042 New
SPIA
49
Steward Partners Investment Advisory
New York
$424K +$20.3K +280 +5%
DADC
50
D.A. Davidson & Co
Montana
$350K +$27.4K +377 +8%
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