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PFL

PIMCO Income Strategy Fund
PFL

47 hedge funds and large institutions have $39.9M invested in PIMCO Income Strategy Fund in 2013 Q4 according to their latest regulatory filings, with 8 funds opening new positions, 16 increasing their positions, 15 reducing their positions, and 8 closing their positions.

New
Increased
Maintained
Reduced
Closed

16% more capital invested

Capital invested by funds: $34.3M → $39.9M (+$5.54M)

2.33% more ownership

Funds ownership: 10.56% → 12.89% (+2.3%)

7% more repeat investments, than reductions

Existing positions increased: 16 | Existing positions reduced: 15

0% more funds holding

Funds holding: 47 → 47 (0)

0% more first-time investments, than exits

New positions opened: 8 | Existing positions closed: 8

Holders
47
Holders Change
–
Holders Change %
0%
% of All Funds
1.36%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
8
Increased
16
Reduced
15
Closed
8
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
HK
Horizon Kinetics
New York
+$6.54M
2
SFS
Shaker Financial Services
Virginia
+$2.4M
3
Invesco
Invesco
Georgia
+$722K
4
SIA
Sit Investment Associates
Minnesota
+$508K
5
PP
Paloma Partners
Connecticut
+$381K

Top Sellers

1
U
UBS
Switzerland
-$2.22M
2
PNC Financial Services Group
PNC Financial Services Group
Pennsylvania
-$435K
3
RCM
Rivernorth Capital Management
Florida
-$396K
4
FAAS
First Allied Advisory Services
California
-$350K
5
NPC
National Planning Corporation
California
-$336K
Name Holding Trade Value Shares
Change 		Change in
Stake
SG Americas Securities
26
SG Americas Securities
New York
$233K +$238K +20,636 New
BBA
27
BLB&B Advisors
Pennsylvania
$199K -$14.9K -1,292 -7%
LTFS
28
Ladenburg Thalmann Financial Services
Florida
$161K +$323 +28 +0.2%
CFA
29
Cahill Financial Advisors
Minnesota
$138K +$140K +12,130 New
Citigroup
30
Citigroup
New York
$127K +$94.9K +8,219 +269%
CAN
31
Cetera Advisor Networks
California
$121K +$123K +10,659 New
CA
32
Cetera Advisors
Colorado
$117K +$119K +10,293 New
Bank of Montreal
33
Bank of Montreal
Ontario, Canada
$114K – – –
BFEC
34
Benjamin F. Edwards & Company
Missouri
$94K +$23.1K +2,000 +32%
BRWA
35
B. Riley Wealth Advisors
Florida
$90K – – –
Ameriprise
36
Ameriprise
Minnesota
$82K -$10.4K -900 -11%
CAPTRUST Financial Advisors
37
CAPTRUST Financial Advisors
North Carolina
$76K -$27.7K -2,400 -26%
Barclays
38
Barclays
United Kingdom
$52K -$199K -17,200 -79%
AIG
39
American International Group
New York
$26.4K -$92 -8 -0.3%
Royal Bank of Canada
40
Royal Bank of Canada
Ontario, Canada
$26K -$9.23K -800 -26%
Fifth Third Bancorp
41
Fifth Third Bancorp
Ohio
$26K – – –
SFSIG
42
San Francisco Sentry Investment Group
California
$20K +$9.23K +800 +80%
TRCT
43
Tower Research Capital (TRC)
New York
$19K -$26K -2,255 -58%
NES
44
New England Securities
New York
$18K – – –
US Bancorp
45
US Bancorp
Minnesota
$15K – – –
FFC
46
First Financial Corp
Indiana
$14K – – –
DADC
47
D.A. Davidson & Co
Montana
$11K +$11.5K +1,000 New
PNC Financial Services Group
48
PNC Financial Services Group
Pennsylvania
– -$435K -37,608 Closed
FAAS
49
First Allied Advisory Services
California
– -$350K -31,445 Closed
NAM
50
NTV Asset Management
West Virginia
– -$204K -17,658 Closed
1
2
3

PFL Hedge Fund Activity: Q4 2013 in Review

47 of the 3,445 institutional investors tracked by Wall St. Rank reported a position in PIMCO Income Strategy Fund (PFL) for Q4 2013, worth a combined $39.9M — up 16% from $34.3M a quarter earlier.

Fund positioning in PFL was balanced in Q4 2013: 8 funds opened new positions, 8 closed out, 16 added to existing stakes and 15 trimmed.

The largest buyer was Horizon Kinetics, adding an estimated $6.54M. The largest seller was UBS, cutting an estimated $2.22M.

  • 47 institutional investors held PIMCO Income Strategy Fund (PFL) as of Q4 2013, unchanged from Q3 2013.
  • Funds reported $39.9M of PIMCO Income Strategy Fund stock for Q4 2013, up 16% quarter-over-quarter.
  • 8 funds opened new PIMCO Income Strategy Fund positions in Q4 2013 and 8 closed out, a net change of 0 holders.
  • The largest PIMCO Income Strategy Fund buyer in Q4 2013 was Horizon Kinetics, an estimated $6.54M added.
  • The largest PIMCO Income Strategy Fund seller in Q4 2013 was UBS, an estimated $2.22M sold.

Based on aggregated 13F filings for Q4 2013.