FLC

Flaherty & Crumrine Total Return Fund
FLC

Overview Fund Activity

26 hedge funds and large institutions have $35.2M invested in Flaherty & Crumrine Total Return Fund in 2014 Q3 according to their latest regulatory filings, with 2 funds opening new positions, 8 increasing their positions, 6 reducing their positions, and 1 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
26
Holders Change
+1
Holders Change %
+4%
% of All Funds
0.75%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
2
Increased
8
Reduced
6
Closed
1
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
COLIM
City of London Investment Management
United Kingdom
$505K
2
WAM
Wolverine Asset Management
Illinois
$424K
3
NL
NWAM LLC
Washington
$6.78M
4
Invesco
Invesco
Georgia
$4.84M
5
NPC
National Planning Corporation
California
$1.33M

Top Sellers

1
GC
Guggenheim Capital
Illinois
$7.34M
2
Bank of America
Bank of America
North Carolina
$1.98M
3
LPL Financial
LPL Financial
California
$2.85M
4
Morgan Stanley
Morgan Stanley
New York
$711K
5
CIA
Capital Investment Advisors
Georgia
$628K
Name Holding Trade Value Shares
Change 		Shares
Change %
GC
1
Guggenheim Capital
Illinois
$7.34M -$1.36M -68,788 -16%
NL
2
NWAM LLC
Washington
$6.78M +$414K +20,982 +7%
Cohen & Steers
3
Cohen & Steers
New York
$5.11M +$49.3K +2,500 +1%
Invesco
4
Invesco
Georgia
$4.84M +$160K +8,096 +3%
LPL Financial
5
LPL Financial
California
$2.85M -$60.3K -3,070 -2%
Bank of America
6
Bank of America
North Carolina
$1.98M -$140K -7,114 -7%
NPC
7
National Planning Corporation
California
$1.33M +$127K +6,450 +11%
Morgan Stanley
8
Morgan Stanley
New York
$711K -$40K -2,025 -5%
U
9
UBS
Switzerland
$705K +$72.1K +3,651 +11%
CIA
10
Capital Investment Advisors
Georgia
$628K -$31.3K -1,585 -5%
COLIM
11
City of London Investment Management
United Kingdom
$505K +$505K +25,615 New
Wells Fargo
12
Wells Fargo
California
$470K -$7.51K -381 -2%
WAM
13
Wolverine Asset Management
Illinois
$424K +$424K +21,528 New
MCC
14
Mid Continent Capital
Illinois
$336K – – –
Ameriprise
15
Ameriprise
Minnesota
$272K +$103K +5,229 +61%
RJA
16
Raymond James & Associates
Florida
$254K – – –
Royal Bank of Canada
17
Royal Bank of Canada
Ontario, Canada
$244K +$17.7K +894 +8%
SIA
18
Sit Investment Associates
Minnesota
$197K – – –
LTFS
19
Ladenburg Thalmann Financial Services
Florida
$54K +$9.71K +490 +22%
FHA
20
First Horizon Advisors
Tennessee
$45K – – –
SA
21
SRH Advisors
Kansas
$39K – – –
HF
22
Hoxton Financial
West Virginia
$20K – – –
NFG
23
Next Financial Group
Texas
$20K – – –
MFS
24
MSI Financial Services
Massachusetts
$14K – – –
Fifth Third Bancorp
25
Fifth Third Bancorp
Ohio
$8K – – –
1
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