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PFD

Flaherty & Crumrine Preferred and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
SIA
1
Sit Investment Associates
Minnesota
$4.71M +$734K +65,113 +18%
CIBC Private Wealth Group
2
CIBC Private Wealth Group
Georgia
$4.63M
Morgan Stanley
3
Morgan Stanley
New York
$2.76M +$93.1K +8,258 +3%
Raymond James Financial
4
Raymond James Financial
Florida
$1.92M -$117K -10,407 -6%
Bank of America
5
Bank of America
North Carolina
$1.59M +$380K +33,682 +31%
MC
6
Matisse Capital
Oregon
$1.51M
UBS Group
7
UBS Group
Switzerland
$1.45M -$98.8K -8,765 -6%
Wells Fargo
8
Wells Fargo
California
$1.42M -$9.72K -862 -0.7%
AA
9
AQR Arbitrage
Connecticut
$1.12M -$188K -16,715 -14%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$1.04M -$23.5K -2,088 -2%
UB
11
UMB Bank
Missouri
$969K
Osaic Holdings
12
Osaic Holdings
Arizona
$937K +$39.9K +3,537 +4%
SAM
13
Smith Asset Management
Florida
$840K -$10.5K -935 -1%
RCM
14
Rivernorth Capital Management
Florida
$735K +$738K +65,467 New
Lido Advisors
15
Lido Advisors
California
$726K -$68.7K -6,090 -9%
RCM
16
Robinson Capital Management
Michigan
$617K
LPL Financial
17
LPL Financial
California
$504K +$72.8K +6,458 +17%
CSP
18
Cary Street Partners
Virginia
$488K +$45.1K +4,000 +10%
GC
19
Guggenheim Capital
Illinois
$402K +$175K +15,526 +77%
PFA
20
Pathway Financial Advisors
Vermont
$330K +$145K +12,819 +77%
LWM
21
LongView Wealth Management
Georgia
$256K
WS
22
Wedbush Securities
California
$230K
SA
23
SFI Advisors
New Jersey
$227K -$374K -33,161 -62%
Commonwealth Equity Services
24
Commonwealth Equity Services
Massachusetts
$216K +$834 +74 +0.4%
WAM
25
Wolverine Asset Management
Illinois
$209K +$210K +18,635 New