HAV

HELIOS ADVANTAGE INCOME FD, INC
HAV

Overview Fund Activity
Delisted

HAV was delisted on the 12th of August, 2014.

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21 hedge funds and large institutions have $5.93M invested in HELIOS ADVANTAGE INCOME FD, INC in 2013 Q3 according to their latest regulatory filings, with 5 funds opening new positions, 6 increasing their positions, 6 reducing their positions, and 3 closing their positions.

Holders
21
Holders Change
+2
Holders Change %
+10.53%
% of All Funds
0.68%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
5
Increased
6
Reduced
6
Closed
3
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
SIA
1
Sit Investment Associates
Minnesota
$611K
2
PRCM
2
Pine River Capital Management
Minnesota
$896K
3
LPL Financial
3
LPL Financial
California
$88K
4
DA
4
Doliver Advisors
Texas
$589K
5
FAAS
5
First Allied Advisory Services
California
$224K

Top Sellers

1
SFS
1
Shaker Financial Services
Virginia
$356K
2
RCM
2
Rivernorth Capital Management
Florida
$349K
3
Morgan Stanley
3
Morgan Stanley
New York
$0
4
RJA
4
Raymond James & Associates
Florida
$239K
5
OC
5
Oppenheimer & Co
New York
$475K
Name Market Value Shares Shares
Change 		Shares
Change %
HK
1
Horizon Kinetics
New York
$1.55M 181,838 -2,026 -1%
PRCM
2
Pine River Capital Management
Minnesota
$896K 105,164 +27,539 +35%
SIA
3
Sit Investment Associates
Minnesota
$611K 71,763 +71,763 New
DA
4
Doliver Advisors
Texas
$589K 69,093 +7,373 +12%
OC
5
Oppenheimer & Co
New York
$475K 55,840 -3,427 -6%
SFS
6
Shaker Financial Services
Virginia
$356K 41,763 -50,212 -55%
RCM
7
Rivernorth Capital Management
Florida
$349K 40,911 -12,777 -24%
WAM
8
Wolverine Asset Management
Illinois
$250K 29,370 -3,179 -10%
RJA
9
Raymond James & Associates
Florida
$239K 28,078 -5,544 -16%
FAAS
10
First Allied Advisory Services
California
$224K 25,900 +4,000 +18%
U
11
UBS
Switzerland
$208K 24,424 +661 +3%
LPL Financial
12
LPL Financial
California
$88K 10,346 +10,346 New
Wells Fargo
13
Wells Fargo
California
$41K 4,736 +1,947 +70%
Ameriprise
14
Ameriprise
Minnesota
$15K 1,800 – –
DAM
15
Delta Asset Management
Tennessee
$13K 1,505 – –
Creative Planning
16
Creative Planning
Kansas
$11K 1,300 +1,300 New
HI
17
Hudock Inc
Pennsylvania
$8K 896 +896 New
MFS
18
MSI Financial Services
Massachusetts
$5K 600 – –
WA
19
WFG Advisors
Texas
$3K 300 +140 +88%
LTFS
20
Ladenburg Thalmann Financial Services
Florida
$1K 153 – –
Nomura Holdings
21
Nomura Holdings
Japan
$1K 100 +100 New
Morgan Stanley
22
Morgan Stanley
New York
– – -10,081 Closed
Citigroup
23
Citigroup
New York
– – -615 Closed
TRCT
24
Tower Research Capital (TRC)
New York
– – -416 Closed