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HAV

HELIOS ADVANTAGE INCOME FD, INC
HAV

Delisted

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

Name Holding Trade Value Shares
Change
Change in
Stake
HK
1
Horizon Kinetics
New York
$1.55M -$16.6K -2,026 -1%
PRCM
2
Pine River Capital Management
Minnesota
$896K +$226K +27,539 +35%
SIA
3
Sit Investment Associates
Minnesota
$611K +$590K +71,763 New
DA
4
Doliver Advisors
Texas
$589K +$60.6K +7,373 +12%
OC
5
Oppenheimer & Co
New York
$475K -$28.2K -3,427 -6%
SFS
6
Shaker Financial Services
Virginia
$356K -$412K -50,212 -55%
RCM
7
Rivernorth Capital Management
Florida
$349K -$105K -12,777 -24%
WAM
8
Wolverine Asset Management
Illinois
$250K -$26.1K -3,179 -10%
RJA
9
Raymond James & Associates
Florida
$239K -$45.5K -5,544 -16%
FAAS
10
First Allied Advisory Services
California
$224K +$32.9K +4,000 +18%
U
11
UBS
Switzerland
$208K +$5.43K +661 +3%
LPL Financial
12
LPL Financial
California
$88K +$85K +10,346 New
Wells Fargo
13
Wells Fargo
California
$41K +$16K +1,947 +70%
Ameriprise
14
Ameriprise
Minnesota
$15K
DAM
15
Delta Asset Management
Tennessee
$13K
Creative Planning
16
Creative Planning
Kansas
$11K +$10.7K +1,300 New
HI
17
Hudock Inc
Pennsylvania
$8K +$7.36K +896 New
MFS
18
MSI Financial Services
Massachusetts
$5K
WA
19
WFG Advisors
Texas
$3K +$1.15K +140 +88%
LTFS
20
Ladenburg Thalmann Financial Services
Florida
$1K
Nomura Holdings
21
Nomura Holdings
Japan
$1K +$821 +100 New
Morgan Stanley
22
Morgan Stanley
New York
-$84K -10,081 Closed
Citigroup
23
Citigroup
New York
-$5K -615 Closed
TRCT
24
Tower Research Capital (TRC)
New York
-$3K -416 Closed