FUND

Sprott Focus Trust
FUND

Overview Fund Activity

31 hedge funds and large institutions have $23.8M invested in Sprott Focus Trust in 2014 Q1 according to their latest regulatory filings, with 3 funds opening new positions, 15 increasing their positions, 7 reducing their positions, and 4 closing their positions.

Holders
31
Holders Change
-1
Holders Change %
-3.13%
% of All Funds
0.9%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
3
Increased
15
Reduced
7
Closed
4
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
SFS
1
Shaker Financial Services
Virginia
$1.29M
2
Stifel Financial
2
Stifel Financial
Missouri
$480K
3
Morgan Stanley
3
Morgan Stanley
New York
$5.72M
4
HFS
4
HL Financial Services
Kentucky
$297K
5
TJHA
5
Thomas J. Herzfeld Advisors
Florida
$382K

Top Sellers

1
Brown Advisory
1
Brown Advisory
Maryland
$0
2
TC
2
TFS Capital
Pennsylvania
$0
3
U
3
UBS
Switzerland
$109K
4
LPL Financial
4
LPL Financial
California
$102K
5
Commonwealth Equity Services
5
Commonwealth Equity Services
Massachusetts
$337K
Name Market Value Shares Shares
Change 		Shares
Change %
Morgan Stanley
1
Morgan Stanley
New York
$5.72M 718,229 +32,465 +5%
RCM
2
Rivernorth Capital Management
Florida
$4.89M 614,488 – –
Wells Fargo
3
Wells Fargo
California
$2.28M 286,542 +1,837 +0.6%
EFS
4
Essex Financial Services
Connecticut
$1.35M 168,967 +1,136 +0.7%
SFS
5
Shaker Financial Services
Virginia
$1.29M 161,478 +78,821 +95%
Bank of America
6
Bank of America
North Carolina
$1.11M 139,539 +2,902 +2%
SG Americas Securities
7
SG Americas Securities
New York
$1.1M 138,876 +1,735 +1%
VFS
8
VSR Financial Services
Kansas
$1.06M 133,664 – –
1CP
9
1607 Capital Partners
Virginia
$771K 96,911 – –
FAAS
10
First Allied Advisory Services
California
$533K 66,805 +2,423 +4%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$507K 63,754 +1,645 +3%
Stifel Financial
12
Stifel Financial
Missouri
$480K 60,361 +60,361 New
TJHA
13
Thomas J. Herzfeld Advisors
Florida
$382K 47,928 +6,483 +16%
Commonwealth Equity Services
14
Commonwealth Equity Services
Massachusetts
$337K 42,381 -1,532 -3%
RIL
15
Rothschild Investment LLC
Illinois
$318K 39,941 +496 +1%
HFS
16
HL Financial Services
Kentucky
$297K 37,289 +10,735 +40%
DA
17
Doliver Advisors
Texas
$253K 31,742 +4,334 +16%
CWM
18
Concert Wealth Management
California
$211K 26,938 +332 +1%
PVWM
19
Point View Wealth Management
New Jersey
$209K 26,206 – –
MAA
20
Mraz Amerine & Associates
California
$166K 20,807 – –
U
21
UBS
Switzerland
$109K 13,694 -5,439 -28%
LPL Financial
22
LPL Financial
California
$102K 12,817 -2,025 -14%
LTFS
23
Ladenburg Thalmann Financial Services
Florida
$94K 11,778 -1,263 -10%
APCM
24
Arbiter Partners Capital Management
New York
$94K 11,859 – –
BBPWM
25
Blue Bell Private Wealth Management
Pennsylvania
$61K 7,652 -1,365 -15%
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