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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
$19.6M +$2.45M +140,090 +13%
Bank of America
2
Bank of America
North Carolina
$4.56M -$87.5K -5,011 -2%
AAM
3
Advisors Asset Management
Colorado
$3.94M -$33.8K -1,932 -0.8%
NWMP
4
Noble Wealth Management PBC
Colorado
$3.61M +$119K +6,786 +3%
SFS
5
Sowell Financial Services
Arkansas
$3.45M +$87 +5 +0%
HWAM
6
Hennion & Walsh Asset Management
New Jersey
$3.31M +$706K +40,421 +25%
LPL Financial
7
LPL Financial
California
$2.6M +$201K +11,486 +8%
SAM
8
Smith Asset Management
Florida
$2.09M -$26.6K -1,520 -1%
Invesco
9
Invesco
Georgia
$2.07M -$24.5K -1,404 -1%
GC
10
Guggenheim Capital
Illinois
$1.59M +$424K +24,292 +34%
Morgan Stanley
11
Morgan Stanley
New York
$1.54M -$44.5K -2,545 -3%
Pathstone Holdings
12
Pathstone Holdings
New Jersey
$1.2M -$1.27M -72,968 -50%
Fiera Capital (Canada)
13
Fiera Capital (Canada)
Quebec, Canada
$1.13M -$43.9K -2,511 -4%
CEFA
14
Closed-End Fund Advisors
Virginia
$748K
Wells Fargo
15
Wells Fargo
California
$734K +$380K +21,728 +96%
IAA
16
Independent Advisor Alliance
North Carolina
$734K +$773K +44,242 New
Focus Partners Wealth
17
Focus Partners Wealth
Massachusetts
$716K -$7.67K -439 -1%
Baird Financial Group
18
Baird Financial Group
Wisconsin
$680K -$5.82K -333 -0.8%
CI
19
Ceera Investments
Texas
$559K -$33.2K -1,900 -5%
Envestnet Asset Management
20
Envestnet Asset Management
Illinois
$501K +$134K +7,680 +34%
Cetera Investment Advisers
21
Cetera Investment Advisers
Illinois
$479K +$157K +9,014 +45%
SFG
22
Seamount Financial Group
Colorado
$345K
MCFP
23
Mallini Complete Financial Planning
Florida
$308K +$3.14K +180 +1%
Osaic Holdings
24
Osaic Holdings
Arizona
$285K -$38K -2,178 -11%
Raymond James Financial
25
Raymond James Financial
Florida
$278K +$367 +21 +0.1%