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PFD

Flaherty & Crumrine Preferred and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
CIBC Private Wealth Group
1
CIBC Private Wealth Group
Georgia
$4.95M
SIA
2
Sit Investment Associates
Minnesota
$3.99M +$436K +37,822 +12%
Morgan Stanley
3
Morgan Stanley
New York
$2.67M -$159K -13,784 -5%
Raymond James Financial
4
Raymond James Financial
Florida
$2.04M +$2.09M +181,175 New
UBS Group
5
UBS Group
Switzerland
$1.55M -$204K -17,677 -11%
MC
6
Matisse Capital
Oregon
$1.52M -$61.2K -5,303 -4%
Wells Fargo
7
Wells Fargo
California
$1.43M -$62.4K -5,409 -4%
AA
8
AQR Arbitrage
Connecticut
$1.3M -$209K -18,110 -13%
Bank of America
9
Bank of America
North Carolina
$1.21M -$134K -11,635 -10%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$1.07M -$120K -10,443 -10%
UB
11
UMB Bank
Missouri
$971K +$996K +86,373 New
Osaic Holdings
12
Osaic Holdings
Arizona
$899K -$10.7K -925 -1%
SAM
13
Smith Asset Management
Florida
$852K +$875K +75,819 New
Lido Advisors
14
Lido Advisors
California
$796K +$817K +70,814 New
RCM
15
Robinson Capital Management
Michigan
$618K
SA
16
SFI Advisors
New Jersey
$601K +$396K +34,355 +180%
CSP
17
Cary Street Partners
Virginia
$444K +$456K +39,500 New
LPL Financial
18
LPL Financial
California
$433K -$22.5K -1,952 -5%
BAG
19
Bridgewealth Advisory Group
California
$316K +$169K +14,688 +113%
Stifel Financial
20
Stifel Financial
Missouri
$307K +$315K +27,292 New
LWM
21
LongView Wealth Management
Georgia
$256K
WS
22
Wedbush Securities
California
$230K -$5.18K -449 -2%
GC
23
Guggenheim Capital
Illinois
$228K +$234K +20,288 New
Commonwealth Equity Services
24
Commonwealth Equity Services
Massachusetts
$215K +$22.1K +1,919 +11%
IA
25
IFP Advisors
Florida
$210K +$2.7K +234 +1%