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FLC

Flaherty & Crumrine Total Return Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Bank of America
1
Bank of America
North Carolina
$5.51M +$570K +34,942 +12%
SIA
2
Sit Investment Associates
Minnesota
$4.32M +$1.56M +95,684 +62%
SFS
3
Sowell Financial Services
Arkansas
$3.4M -$187K -11,450 -6%
Invesco
4
Invesco
Georgia
$2.39M -$165K -10,133 -7%
LPL Financial
5
LPL Financial
California
$2.37M +$204K +12,504 +10%
AA
6
AQR Arbitrage
Connecticut
$2.26M -$349K -21,399 -14%
MC
7
Matisse Capital
Oregon
$1.65M
Pathstone Holdings
8
Pathstone Holdings
New Jersey
$1.53M +$875K +53,648 +154%
Kovitz Investment Group Partners
9
Kovitz Investment Group Partners
Illinois
$980K +$924K +56,655 New
Morgan Stanley
10
Morgan Stanley
New York
$812K +$287K +17,622 +60%
UBS Group
11
UBS Group
Switzerland
$674K +$257K +15,761 +68%
SFG
12
Seamount Financial Group
Colorado
$392K
PFA
13
Pathway Financial Advisers
Indiana
$388K -$70.4K -4,317 -16%
HighTower Advisors
14
HighTower Advisors
Illinois
$363K +$90.9K +5,574 +36%
GC
15
Guggenheim Capital
Illinois
$336K +$317K +19,431 New
Wells Fargo
16
Wells Fargo
California
$277K -$11.4K -700 -4%
Royal Bank of Canada
17
Royal Bank of Canada
Ontario, Canada
$249K +$522 +32 +0.2%
Koshinski Asset Management
18
Koshinski Asset Management
Illinois
$217K
CAPTRUST Financial Advisors
19
CAPTRUST Financial Advisors
North Carolina
$213K +$408 +25 +0.2%
NA
20
NewEdge Advisors
Louisiana
$203K +$130 +8 +0.1%
RJA
21
Raymond James & Associates
Florida
$199K +$196 +12 +0.1%
CIA
22
Capital Investment Advisors
Georgia
$194K
CCG
23
Catalina Capital Group
California
$178K +$168K +10,277 New
MAG
24
MRA Advisory Group
New Jersey
$177K +$167K +10,234 New
Osaic Holdings
25
Osaic Holdings
Arizona
$130K +$9.46K +580 +8%