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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
$11.4M +$2.18M +132,581 +25%
Bank of America
2
Bank of America
North Carolina
$4.73M -$366K -22,210 -7%
SFS
3
Sowell Financial Services
Arkansas
$3.54M +$99 +6 +0%
AAM
4
Advisors Asset Management
Colorado
$3.13M +$1.35M +82,277 +81%
Invesco
5
Invesco
Georgia
$2.48M +$55.7K +3,386 +2%
SAM
6
Smith Asset Management
Florida
$2.26M -$108K -6,561 -5%
LPL Financial
7
LPL Financial
California
$2.1M -$128K -7,756 -6%
Pathstone Holdings
8
Pathstone Holdings
New Jersey
$1.88M -$303K -18,439 -14%
Morgan Stanley
9
Morgan Stanley
New York
$1.52M +$68.4K +4,153 +5%
HWAM
10
Hennion & Walsh Asset Management
New Jersey
$1.32M +$722K +43,878 +131%
MC
11
Matisse Capital
Oregon
$1.3M
AA
12
AQR Arbitrage
Connecticut
$1.29M -$183K -11,146 -13%
SA
13
Strategic Advocates
Utah
$930K +$80.8K +4,910 +10%
Kovitz Investment Group Partners
14
Kovitz Investment Group Partners
Illinois
$832K -$46K -2,792 -5%
RCM
15
Rivernorth Capital Management
Florida
$828K -$66.6K -4,044 -8%
GC
16
Guggenheim Capital
Illinois
$728K -$6.21K -377 -0.9%
Baird Financial Group
17
Baird Financial Group
Wisconsin
$703K +$349K +21,232 +106%
Envestnet Asset Management
18
Envestnet Asset Management
Illinois
$403K +$18.8K +1,142 +5%
CI
19
Ceera Investments
Texas
$394K +$381K +23,170 New
KA
20
Kovack Advisors
Florida
$360K +$349K +21,183 New
SFG
21
Seamount Financial Group
Colorado
$353K
HighTower Advisors
22
HighTower Advisors
Illinois
$335K +$48K +2,918 +17%
Wells Fargo
23
Wells Fargo
California
$320K +$40.9K +2,483 +15%
Raymond James Financial
24
Raymond James Financial
Florida
$301K -$26.1K -1,587 -8%
Osaic Holdings
25
Osaic Holdings
Arizona
$292K +$10.4K +629 +4%