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ALPS Strategic Income Fund
RIGS

18 hedge funds and large institutions have $459M invested in ALPS Strategic Income Fund in 2014 Q3 according to their latest regulatory filings, with 4 funds opening new positions, 12 increasing their positions, reducing their positions, and 1 closing their positions.

New
Increased
Maintained
Reduced
Closed

300% more first-time investments, than exits

New positions opened: 4 | Existing positions closed: 1

27% more capital invested

Capital invested by funds: $361M → $459M (+$98.5M)

20% more funds holding

Funds holding: 15 → 18 (+3)

0.35% more ownership

Funds ownership: 93.19% → 93.55% (+0.35%)

0% more funds holding in top 10

Funds holding in top 10: 1 → 1 (0)

Holders
18
Holders Change
+3
Holders Change %
+20%
% of All Funds
0.52%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
4
Increased
12
Reduced
–
Closed
1
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
RIG
RiverFront Investment Group
Virginia
+$67.4M
2
BTS
BB&T Securities
Virginia
+$3.39M
3
3AM
3D Asset Management
Connecticut
+$2.75M
4
RJA
Raymond James & Associates
Florida
+$1.91M
5
Susquehanna International Group
Susquehanna International Group
Pennsylvania
+$917K

Top Sellers

Rank Fund Capital Flow
1
U
UBS
Switzerland
-$62K
Name Holding Trade Value Shares
Change 		Change in
Stake
RIG
1
RiverFront Investment Group
Virginia
$300M +$67.4M +2,674,264 +28%
BTS
2
BB&T Securities
Virginia
$130M +$3.39M +134,616 +35%
RJA
3
Raymond James & Associates
Florida
$13.1M +$1.91M +75,676 +17%
B
4
Baird
Wisconsin
$3.77M +$419K +16,636 +12%
Morgan Stanley
5
Morgan Stanley
New York
$3.51M +$674K +26,765 +23%
3AM
6
3D Asset Management
Connecticut
$2.71M +$2.75M +109,292 New
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$1.72M +$357K +14,168 +26%
AIG
8
American International Group
New York
$1.46M +$293K +11,641 +25%
Envestnet Asset Management
9
Envestnet Asset Management
Illinois
$1.23M +$386K +15,336 +45%
Susquehanna International Group
10
Susquehanna International Group
Pennsylvania
$1.11M +$917K +36,386 +436%
Janney Montgomery Scott
11
Janney Montgomery Scott
Pennsylvania
$301K +$69.2K +2,747 +29%
AI
12
Atria Investments
North Carolina
$260K +$264K +10,465 New
MFS
13
MSI Financial Services
Massachusetts
$132K +$17.7K +704 +15%
HI
14
Hudock Inc
Pennsylvania
$47K +$2.17K +86 +5%
NES
15
New England Securities
New York
$21K +$21.1K +837 New
WEC
16
Winslow Evans & Crocker
Massachusetts
$12.4K – – –
Bank of America
17
Bank of America
North Carolina
$12K +$12.6K +502 New
NFG
18
Next Financial Group
Texas
$2K – – –
U
19
UBS
Switzerland
– -$62K -2,396 Closed

RIGS Hedge Fund Activity: Q3 2014 in Review

18 of the 3,446 institutional investors tracked by Wall St. Rank reported a position in ALPS Strategic Income Fund (RIGS) for Q3 2014, worth a combined $459M — up 27% from $361M a quarter earlier.

Buyers outnumbered sellers: 4 funds opened new RIGS positions and 1 closed out — a net gain of 3 holders — while 12 added to existing stakes and 0 trimmed.

The largest buyer was RiverFront Investment Group, adding an estimated $67.4M. The largest seller was UBS, exiting entirely with an estimated $62K sold.

  • 18 institutional investors held ALPS Strategic Income Fund (RIGS) as of Q3 2014, up from 15 in Q2 2014.
  • Funds reported $459M of ALPS Strategic Income Fund stock for Q3 2014, up 27% quarter-over-quarter.
  • 4 funds opened new ALPS Strategic Income Fund positions in Q3 2014 and 1 closed out, a net change of +3 holders.
  • The largest ALPS Strategic Income Fund buyer in Q3 2014 was RiverFront Investment Group, an estimated $67.4M added.
  • The largest ALPS Strategic Income Fund seller in Q3 2014 was UBS, an estimated $62K sold.

Based on aggregated 13F filings for Q3 2014.