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FLC

Flaherty & Crumrine Total Return Fund

Name Holding Trade Value Shares
Change
Change in
Stake
SIA
1
Sit Investment Associates
Minnesota
$9M -$390K -23,068 -4%
Bank of America
2
Bank of America
North Carolina
$5.05M -$185K -10,921 -4%
SFS
3
Sowell Financial Services
Arkansas
$3.5M +$102 +6 +0%
NWMP
4
Noble Wealth Management PBC
Colorado
$2.71M +$228K +13,478 +9%
Invesco
5
Invesco
Georgia
$2.39M -$27.2K -1,608 -1%
SAM
6
Smith Asset Management
Florida
$2.34M -$14.5K -858 -0.6%
LPL Financial
7
LPL Financial
California
$2.2M -$677 -40 -0%
Pathstone Holdings
8
Pathstone Holdings
New Jersey
$2.19M +$153K +9,019 +8%
AAM
9
Advisors Asset Management
Colorado
$1.71M +$1.73M +101,914 New
AA
10
AQR Arbitrage
Connecticut
$1.46M -$275K -16,250 -16%
Morgan Stanley
11
Morgan Stanley
New York
$1.43M -$59.1K -3,490 -4%
MC
12
Matisse Capital
Oregon
$1.28M -$322K -18,996 -20%
RCM
13
Rivernorth Capital Management
Florida
$885K +$40.8K +2,410 +5%
Kovitz Investment Group Partners
14
Kovitz Investment Group Partners
Illinois
$868K -$20.9K -1,236 -2%
SA
15
Strategic Advocates
Utah
$835K +$843K +49,778 New
GC
16
Guggenheim Capital
Illinois
$725K +$179K +10,593 +32%
HWAM
17
Hennion & Walsh Asset Management
New Jersey
$562K +$285K +16,866 +101%
Envestnet Asset Management
18
Envestnet Asset Management
Illinois
$379K +$382K +22,586 New
SFG
19
Seamount Financial Group
Colorado
$349K
Baird Financial Group
20
Baird Financial Group
Wisconsin
$337K +$340K +20,108 New
Raymond James Financial
21
Raymond James Financial
Florida
$324K -$10.5K -621 -3%
MCFP
22
Mallini Complete Financial Planning
Florida
$288K -$14.8K -876 -5%
PFA
23
Pathway Financial Advisers
Indiana
$284K -$84.8K -5,012 -23%
HighTower Advisors
24
HighTower Advisors
Illinois
$282K -$44.1K -2,607 -13%
Osaic Holdings
25
Osaic Holdings
Arizona
$278K +$8.99K +531 +3%