FUND

Sprott Focus Trust
FUND

Overview Fund Activity

35 hedge funds and large institutions have $19.3M invested in Sprott Focus Trust in 2013 Q3 according to their latest regulatory filings, with 6 funds opening new positions, 16 increasing their positions, 6 reducing their positions, and 4 closing their positions.

Holders
35
Holders Change
+2
Holders Change %
+6.06%
% of All Funds
1.14%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
6
Increased
16
Reduced
6
Closed
4
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
1CP
1
1607 Capital Partners
Virginia
$286K
2
TC
2
TFS Capital
Pennsylvania
$248K
3
FWCM
3
Ferguson Wellman Capital Management
Oregon
$189K
4
Bank of America
4
Bank of America
North Carolina
$1.07M
5
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$390K

Top Sellers

1
Morgan Stanley
1
Morgan Stanley
New York
$3.39M
2
V
2
Veritable
Delaware
$0
3
GFM
3
Gramercy Funds Management
Connecticut
$0
4
DA
4
Doliver Advisors
Texas
$427K
5
BBPWM
5
Blue Bell Private Wealth Management
Pennsylvania
$0
Name Market Value Shares Shares
Change 		Shares
Change %
RCM
1
Rivernorth Capital Management
Florida
$4.44M 622,937 +6,816 +1%
Morgan Stanley
2
Morgan Stanley
New York
$3.39M 476,292 -45,251 -9%
Wells Fargo
3
Wells Fargo
California
$2.07M 290,975 -5,514 -2%
Bank of America
4
Bank of America
North Carolina
$1.07M 149,560 +26,374 +21%
SG Americas Securities
5
SG Americas Securities
New York
$1.04M 145,824 – –
SFS
6
Shaker Financial Services
Virginia
$1.03M 144,845 +13,960 +11%
VFS
7
VSR Financial Services
Kansas
$980K 137,630 – –
FAAS
8
First Allied Advisory Services
California
$461K 64,485 -1,335 -2%
SNC
9
Stifel Nicolaus & Co
Missouri
$439K 61,590 -7,862 -11%
DA
10
Doliver Advisors
Texas
$427K 59,997 -16,044 -21%
PRCM
11
Pine River Capital Management
Minnesota
$414K 58,173 – –
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$390K 54,786 +14,328 +35%
RIL
13
Rothschild Investment LLC
Illinois
$321K 45,145 +610 +1%
Commonwealth Equity Services
14
Commonwealth Equity Services
Massachusetts
$307K 43,106 +7,359 +21%
TJHA
15
Thomas J. Herzfeld Advisors
Florida
$304K 42,633 +162 +0.4%
1CP
16
1607 Capital Partners
Virginia
$286K 40,186 +40,186 New
TC
17
TFS Capital
Pennsylvania
$248K 34,862 +34,862 New
CWM
18
Concert Wealth Management
California
$190K 26,612 +135 +0.5%
HFS
19
HL Financial Services
Kentucky
$190K 26,666 +272 +1%
FWCM
20
Ferguson Wellman Capital Management
Oregon
$189K 26,478 +26,478 New
WI
21
Western Investment
Utah
$181K 25,470 – –
LPL Financial
22
LPL Financial
California
$151K 21,103 +3,463 +20%
MAA
23
Mraz Amerine & Associates
California
$150K 21,109 – –
Brown Advisory
24
Brown Advisory
Maryland
$142K 19,942 – –
U
25
UBS
Switzerland
$114K 15,910 +414 +3%
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