FLC

Flaherty & Crumrine Total Return Fund
FLC

Overview Fund Activity

27 hedge funds and large institutions have $29M invested in Flaherty & Crumrine Total Return Fund in 2013 Q4 according to their latest regulatory filings, with 8 funds opening new positions, 6 increasing their positions, 7 reducing their positions, and 2 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
27
Holders Change
+6
Holders Change %
+28.57%
% of All Funds
0.78%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
8
Increased
6
Reduced
7
Closed
2
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Invesco
Invesco
Georgia
$3.51M
2
NPC
National Planning Corporation
California
$934K
3
PRCM
Pine River Capital Management
Minnesota
$321K
4
SG Americas Securities
SG Americas Securities
New York
$216K
5
U
UBS
Switzerland
$241K

Top Sellers

1
IH
IFC Holdings
Florida
$0
2
Bank of America
Bank of America
North Carolina
$2.18M
3
GC
Guggenheim Capital
Illinois
$11.2M
4
Cohen & Steers
Cohen & Steers
New York
$4.75M
5
Morgan Stanley
Morgan Stanley
New York
$676K
Name Holding Trade Value Shares
Change 		Shares
Change %
GC
1
Guggenheim Capital
Illinois
$11.2M -$162K -8,720 -1%
Cohen & Steers
2
Cohen & Steers
New York
$4.75M -$136K -7,319 -3%
Invesco
3
Invesco
Georgia
$3.51M +$1.44M +77,810 +70%
LPL Financial
4
LPL Financial
California
$2.66M +$106K +5,698 +4%
Bank of America
5
Bank of America
North Carolina
$2.18M -$265K -14,254 -11%
NPC
6
National Planning Corporation
California
$934K +$934K +50,135 New
Morgan Stanley
7
Morgan Stanley
New York
$676K -$91.6K -4,926 -12%
CIA
8
Capital Investment Advisors
Georgia
$637K +$637K +34,312 New
Wells Fargo
9
Wells Fargo
California
$397K -$20K -1,077 -5%
PRCM
10
Pine River Capital Management
Minnesota
$321K +$321K +17,274 New
MCC
11
Mid Continent Capital
Illinois
$316K +$11.2K +600 +4%
U
12
UBS
Switzerland
$241K +$124K +6,686 +106%
RJA
13
Raymond James & Associates
Florida
$239K – – –
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$227K +$22.4K +1,205 +11%
SG Americas Securities
15
SG Americas Securities
New York
$216K +$216K +11,640 New
SIA
16
Sit Investment Associates
Minnesota
$186K – – –
Ameriprise
17
Ameriprise
Minnesota
$85K -$18.2K -984 -18%
LTFS
18
Ladenburg Thalmann Financial Services
Florida
$62K – – –
FHA
19
First Horizon Advisors
Tennessee
$37K +$7.4K +400 +25%
SA
20
SRH Advisors
Kansas
$37K +$37K +2,000 New
HF
21
Hoxton Financial
West Virginia
$19K – – –
ASN
22
Advisory Services Network
Georgia
$10K +$10K +522 New
BIM
23
BlackRock Investment Management
Delaware
$9K +$9K +507 New
Fifth Third Bancorp
24
Fifth Third Bancorp
Ohio
$7K +$7K +400 New
MFS
25
MSI Financial Services
Massachusetts
$4K – – –
1
2