FAV

FIRST TRUST DIVIDEND AND INCOME FD COM
FAV

Overview Fund Activity
Delisted

FAV was delisted on the 21st of October, 2016.

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24 hedge funds and large institutions have $9.98M invested in FIRST TRUST DIVIDEND AND INCOME FD COM in 2015 Q3 according to their latest regulatory filings, with 6 funds opening new positions, 10 increasing their positions, 5 reducing their positions, and 2 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
24
Holders Change
+4
Holders Change %
+20%
% of All Funds
0.67%
Holding in Top 10
–
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-100%
% of All Funds
–
New
6
Increased
10
Reduced
5
Closed
2
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
KIM
1
Karpus Investment Management
New York
$1.38M
2
COLIM
2
City of London Investment Management
United Kingdom
$381K
3
RCM
3
Rivernorth Capital Management
Florida
$266K
4
CCP
4
Clough Capital Partners
Massachusetts
$242K
5
1CP
5
1607 Capital Partners
Virginia
$915K

Top Sellers

1
SFS
1
Shaker Financial Services
Virginia
$0
2
WAM
2
Wolverine Asset Management
Illinois
$266K
3
DA
3
Doliver Advisors
Texas
$0
4
LPL Financial
4
LPL Financial
California
$129K
5
LCM
5
Landscape Capital Management
New Jersey
$80K
Name Holding Trade Value Shares
Change 		Shares
Change %
Morgan Stanley
1
Morgan Stanley
New York
$4.02M +$67.2K +8,588 +2%
KIM
2
Karpus Investment Management
New York
$1.38M +$1.38M +176,159 New
1CP
3
1607 Capital Partners
Virginia
$915K +$109K +13,897 +13%
RJA
4
Raymond James & Associates
Florida
$688K +$36.6K +4,675 +6%
COLIM
5
City of London Investment Management
United Kingdom
$381K +$381K +48,725 New
CA
6
Cornerstone Advisors
North Carolina
$318K +$97.6K +12,501 +44%
UBS Group
7
UBS Group
Switzerland
$317K +$89.8K +11,463 +40%
OC
8
Oppenheimer & Co
New York
$285K -$59.3K -7,574 -17%
WAM
9
Wolverine Asset Management
Illinois
$266K -$765K -98,104 -74%
RCM
10
Rivernorth Capital Management
Florida
$266K +$266K +34,018 New
CCP
11
Clough Capital Partners
Massachusetts
$242K +$242K +31,000 New
Wells Fargo
12
Wells Fargo
California
$197K +$12.9K +1,651 +7%
BBPWM
13
Blue Bell Private Wealth Management
Pennsylvania
$181K +$62.8K +8,045 +53%
LPL Financial
14
LPL Financial
California
$129K -$106K -13,018 -45%
AIG
15
American International Group
New York
$118K +$86 +11 +0.1%
LCM
16
Landscape Capital Management
New Jersey
$80K -$76.1K -9,765 -49%
Envestnet Asset Management
17
Envestnet Asset Management
Illinois
$79K +$79K +10,071 New
Bank of America
18
Bank of America
North Carolina
$52K -$3.9K -500 -7%
Royal Bank of Canada
19
Royal Bank of Canada
Ontario, Canada
$37K +$19.6K +2,491 +113%
GI
20
Gradient Investments
Minnesota
$13K – – –
Northwestern Mutual Wealth Management
21
Northwestern Mutual Wealth Management
Wisconsin
$8K +$8K +1,000 New
FAM
22
Formidable Asset Management
Ohio
$7K – – –
Deutsche Bank
23
Deutsche Bank
Germany
$1K – – –
TRCT
24
Tower Research Capital (TRC)
New York
$1K +$972 +173 +3,460%
SFS
25
Shaker Financial Services
Virginia
– -$5.03M -593,550 Closed
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