FUND

Sprott Focus Trust
FUND

Overview Fund Activity

32 hedge funds and large institutions have $21.6M invested in Sprott Focus Trust in 2013 Q4 according to their latest regulatory filings, with 4 funds opening new positions, 14 increasing their positions, 11 reducing their positions, and 5 closing their positions.

Holders
32
Holders Change
-3
Holders Change %
-8.57%
% of All Funds
0.93%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
4
Increased
14
Reduced
11
Closed
5
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Morgan Stanley
1
Morgan Stanley
New York
$5.23M
2
1CP
2
1607 Capital Partners
Virginia
$738K
3
EFS
3
Essex Financial Services
Connecticut
$1.28M
4
PVWM
4
Point View Wealth Management
New Jersey
$200K
5
APCM
5
Arbiter Partners Capital Management
New York
$90K

Top Sellers

1
SFS
1
Shaker Financial Services
Virginia
$630K
2
PRCM
2
Pine River Capital Management
Minnesota
$0
3
DA
3
Doliver Advisors
Texas
$209K
4
FWCM
4
Ferguson Wellman Capital Management
Oregon
$0
5
TC
5
TFS Capital
Pennsylvania
$129K
Name Market Value Shares Shares
Change 		Shares
Change %
Morgan Stanley
1
Morgan Stanley
New York
$5.23M 685,764 +216,276 +46%
RCM
2
Rivernorth Capital Management
Florida
$4.68M 614,488 +450 +0.1%
Wells Fargo
3
Wells Fargo
California
$2.17M 284,705 -2,113 -0.7%
EFS
4
Essex Financial Services
Connecticut
$1.28M 167,831 +30,864 +23%
SG Americas Securities
5
SG Americas Securities
New York
$1.05M 137,141 -6,600 -5%
Bank of America
6
Bank of America
North Carolina
$1.04M 136,637 -10,786 -7%
VFS
7
VSR Financial Services
Kansas
$1.02M 133,664 -2,000 -1%
1CP
8
1607 Capital Partners
Virginia
$738K 96,911 +57,299 +145%
SFS
9
Shaker Financial Services
Virginia
$630K 82,657 -60,119 -42%
FAAS
10
First Allied Advisory Services
California
$491K 64,382 +818 +1%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$473K 62,109 +8,106 +15%
Commonwealth Equity Services
12
Commonwealth Equity Services
Massachusetts
$335K 43,913 +1,423 +3%
TJHA
13
Thomas J. Herzfeld Advisors
Florida
$316K 41,445 -579 -1%
RIL
14
Rothschild Investment LLC
Illinois
$301K 39,445 -5,055 -11%
DA
15
Doliver Advisors
Texas
$209K 27,408 -31,732 -54%
HFS
16
HL Financial Services
Kentucky
$202K 26,554 +269 +1%
CWM
17
Concert Wealth Management
California
$202K 26,606 +374 +1%
PVWM
18
Point View Wealth Management
New Jersey
$200K 26,206 +26,206 New
MAA
19
Mraz Amerine & Associates
California
$159K 20,807 – –
Brown Advisory
20
Brown Advisory
Maryland
$150K 19,657 – –
U
21
UBS
Switzerland
$146K 19,133 +3,450 +22%
TC
22
TFS Capital
Pennsylvania
$129K 16,889 -17,475 -51%
LPL Financial
23
LPL Financial
California
$113K 14,842 -5,960 -29%
LTFS
24
Ladenburg Thalmann Financial Services
Florida
$99K 13,041 +147 +1%
APCM
25
Arbiter Partners Capital Management
New York
$90K 11,859 +11,859 New
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