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ClearBridge Energy Midstream Opportunity Fund

Name Holding Trade Value Shares
Change
Change in
Stake
WP
26
WMS Partners
Maryland
$162K – – –
D.A. Davidson & Co
27
D.A. Davidson & Co
Montana
$117K +$28.6K +334 +26%
TJHA
28
Thomas J. Herzfeld Advisors
Florida
$91K +$108K +1,261 New
Deutsche Bank
29
Deutsche Bank
Germany
$31K – – –
Bank of Montreal
30
Bank of Montreal
Ontario, Canada
$29K – – –
US Bancorp
31
US Bancorp
Minnesota
$29K – – –
Creative Planning
32
Creative Planning
Kansas
$25K +$30K +350 New
AIG
33
American International Group
New York
$24K +$13.3K +155 +86%
Northwestern Mutual Wealth Management
34
Northwestern Mutual Wealth Management
Wisconsin
$19K +$22.6K +264 New
Ladenburg Thalmann Financial Services
35
Ladenburg Thalmann Financial Services
Florida
$15K -$180K -2,100 -91%
MSI Financial Services
36
MSI Financial Services
Massachusetts
$9K +$10.3K +120 New
PNC Financial Services Group
37
PNC Financial Services Group
Pennsylvania
$9K +$11.1K +129 New
JIC
38
Joel Isaacson & Co
New York
$1K +$772 +9 New
1832 Asset Management
39
1832 Asset Management
Ontario, Canada
– -$3.47M -37,146 Closed
DA
40
Doliver Advisors
Texas
– -$1.74M -18,601 Closed
Curi RMB Capital
41
Curi RMB Capital
Illinois
– -$1.73M -18,462 Closed
Commonwealth Equity Services
42
Commonwealth Equity Services
Massachusetts
– -$800K -8,551 Closed
NMC
43
Nine Masts Capital
Hong Kong
– -$620K -6,620 Closed
LCM
44
Landscape Capital Management
New Jersey
– -$376K -4,020 Closed
TC
45
TFS Capital
Pennsylvania
– -$328K -3,502 Closed
Oppenheimer & Co
46
Oppenheimer & Co
New York
– -$299K -3,200 Closed
PCM
47
Palouse Capital Management
Washington
– -$262K -2,800 Closed
Wolverine Asset Management
48
Wolverine Asset Management
Illinois
– -$84K -898 Closed
GWS
49
Glassman Wealth Services
Virginia
– -$56K -600 Closed
Tower Research Capital (TRC)
50
Tower Research Capital (TRC)
New York
– -$16K -167 Closed