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PFL

PIMCO Income Strategy Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RCM
1
Rivernorth Capital Management
Florida
$7.8M +$8.47M +652,320 New
HK
2
Horizon Kinetics
New York
$5.93M +$6.44M +495,956 New
U
3
UBS
Switzerland
$3.2M +$3.48M +267,768 New
Morgan Stanley
4
Morgan Stanley
New York
$2.93M +$3.18M +244,876 New
Bank of America
5
Bank of America
North Carolina
$2.27M +$2.46M +189,460 New
Nuveen
6
Nuveen
North Carolina
$2.18M +$2.37M +182,500 New
SIA
7
Sit Investment Associates
Minnesota
$1.57M +$1.71M +131,664 New
RJA
8
Raymond James & Associates
Florida
$1.52M +$1.65M +126,800 New
Mariner
9
Mariner
Kansas
$1.42M +$1.54M +118,377 New
Invesco
10
Invesco
Georgia
$1.17M +$1.27M +98,089 New
LPL Financial
11
LPL Financial
California
$1.06M +$1.15M +88,942 New
SB
12
Suntrust Banks
Georgia
$855K +$929K +71,525 New
Wells Fargo
13
Wells Fargo
California
$844K +$916K +70,586 New
NPC
14
National Planning Corporation
California
$815K +$885K +68,176 New
PNC Financial Services Group
15
PNC Financial Services Group
Pennsylvania
$594K +$644K +49,608 New
SRC
16
Shufro Rose & Co
New York
$495K +$538K +41,450 New
FFA
17
First Foundation Advisors
California
$457K +$496K +38,209 New
HNB
18
Huntington National Bank
Ohio
$450K
KFS
19
KMS Financial Services
Washington
$450K +$489K +37,638 New
SFS
20
Shaker Financial Services
Virginia
$432K +$469K +36,139 New
Creative Planning
21
Creative Planning
Kansas
$428K +$465K +35,797 New
FAAS
22
First Allied Advisory Services
California
$422K +$474K +36,541 New
Barclays
23
Barclays
United Kingdom
$346K +$375K +28,900 New
Commonwealth Equity Services
24
Commonwealth Equity Services
Massachusetts
$339K +$368K +28,361 New
BTS
25
BB&T Securities
Virginia
$316K +$343K +26,450 New