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FINS

Angel Oak Financial Strategies Income Term Trust
FINS

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$20.5M +$1.11M +61,573 +5%
UBS Group
2
UBS Group
Switzerland
$14.3M +$236K +13,064 +2%
ST
3
Sphinx Trading
Illinois
$12.7M +$13.5M +746,171 New
Wolverine Trading
4
Wolverine Trading
Illinois
$7.4M +$54 +3 +0%
RJA
5
Raymond James & Associates
Florida
$7.07M -$625K -34,540 -8%
Royal Bank of Canada
6
Royal Bank of Canada
Ontario, Canada
$7M +$526K +29,068 +8%
VCM
7
Vivaldi Capital Management
Illinois
$5.49M -$10.4M -575,731 -64%
LPL Financial
8
LPL Financial
California
$4.64M +$331K +18,278 +7%
COLIM
9
City of London Investment Management
United Kingdom
$4M +$4.25M +234,697 New
SFS
10
Shaker Financial Services
Virginia
$3.01M +$1.42M +78,444 +80%
Wells Fargo
11
Wells Fargo
California
$1.89M +$174K +9,645 +10%
CPIG
12
Chicago Partners Investment Group
Illinois
$1.58M +$139K +7,695 +9%
DADC
13
D.A. Davidson & Co
Montana
$1.39M +$38.7K +2,137 +3%
Rockefeller Capital Management
14
Rockefeller Capital Management
New York
$1.31M +$1.39M +77,002 New
SIA
15
Sit Investment Associates
Minnesota
$1.07M +$1.14M +62,984 New
Bank of America
16
Bank of America
North Carolina
$1.01M +$38K +2,098 +4%
Barclays
17
Barclays
United Kingdom
$693K +$664K +36,700 New
MC
18
Matisse Capital
Oregon
$563K – – –
WS
19
Wedbush Securities
California
$497K +$1.83K +101 +0.3%
FWM
20
Foresight Wealth Management
Utah
$454K +$483K +26,703 New
PFO
21
Pathstone Family Office
New Jersey
$381K – – –
Stifel Financial
22
Stifel Financial
Missouri
$380K +$78.2K +4,323 +24%
Osaic Holdings
23
Osaic Holdings
Arizona
$358K +$78.9K +4,362 +26%
HWM
24
Howard Wealth Management
Connecticut
$249K -$45.2K -2,500 -15%
BFM
25
Boothbay Fund Management
New York
$213K +$226K +12,500 New
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