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PFD

Flaherty & Crumrine Preferred and Income Fund
PFD

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$1.84M +$290K +23,712 +17%
FDCDDQ
2
Federation des caisses Desjardins du Quebec
Quebec, Canada
$1.54M +$7.5K +613 +0.5%
Cohen & Steers
3
Cohen & Steers
New York
$1.2M +$522K +42,638 +70%
UBS Group
4
UBS Group
Switzerland
$870K -$111K -9,057 -11%
WAM
5
Wolverine Asset Management
Illinois
$497K +$437K +35,744 +489%
PAS
6
Partnervest Advisory Services
California
$437K +$462K +37,800 New
Wells Fargo
7
Wells Fargo
California
$342K +$117K +9,544 +48%
LPL Financial
8
LPL Financial
California
$327K -$152K -12,460 -31%
Bank of America
9
Bank of America
North Carolina
$302K -$186K -15,235 -37%
DADC
10
D.A. Davidson & Co
Montana
$300K – – –
RCM
11
Robinson Capital Management
Michigan
$295K +$146K +11,895 +87%
PAG
12
Private Advisor Group
New Jersey
$220K -$23.2K -1,899 -9%
LTFS
13
Ladenburg Thalmann Financial Services
Florida
$176K -$38.6K -3,157 -17%
CCM
14
Covington Capital Management
California
$174K – – –
CRC
15
Curi RMB Capital
Illinois
$165K -$5.46K -446 -3%
Fiera Capital (Canada)
16
Fiera Capital (Canada)
Quebec, Canada
$151K +$160K +13,062 New
Invesco
17
Invesco
Georgia
$140K -$836K -68,346 -85%
RJA
18
Raymond James & Associates
Florida
$138K +$146K +11,958 New
WAM
19
Weiss Asset Management
Massachusetts
$133K +$140K +11,482 New
Creative Planning
20
Creative Planning
Kansas
$128K -$44.3K -3,618 -25%
AG
21
Advisor Group
Arizona
$123K +$46.9K +3,836 +56%
Cambridge Investment Research Advisors
22
Cambridge Investment Research Advisors
Iowa
$117K +$124K +10,105 New
Royal Bank of Canada
23
Royal Bank of Canada
Ontario, Canada
$76K -$17.2K -1,405 -18%
CAC
24
Certified Advisory Corp
Florida
$47K +$905 +74 +2%
RFC
25
Regions Financial Corp
Alabama
$38K -$27.5K -2,250 -41%
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