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SCD

LMP Capital and Income Fund
SCD

Name Holding Trade Value Shares
Change 		Change in
Stake
AAM
1
Advisors Asset Management
Colorado
$10.1M -$4.38M -314,390 -27%
Morgan Stanley
2
Morgan Stanley
New York
$7.94M -$2.12M -152,452 -19%
RJA
3
Raymond James & Associates
Florida
$7.39M +$3.6M +258,632 +74%
Wells Fargo
4
Wells Fargo
California
$4.87M +$1.88M +134,764 +51%
Invesco
5
Invesco
Georgia
$4.54M -$703K -50,493 -12%
Lazard Asset Management
6
Lazard Asset Management
New York
$4.33M +$15.9K +1,142 +0.3%
WAM
7
Wolverine Asset Management
Illinois
$3.15M +$1.22M +87,720 +51%
Cohen & Steers
8
Cohen & Steers
New York
$3.08M -$171K -12,306 -5%
1CP
9
1607 Capital Partners
Virginia
$1.54M +$1.77M +126,902 New
Bank of America
10
Bank of America
North Carolina
$1.4M +$678K +48,692 +73%
CG
11
Caprock Group
Idaho
$1.07M +$1.23M +88,237 New
RCM
12
Rivernorth Capital Management
Florida
$948K +$1.08M +77,932 New
GC
13
Guggenheim Capital
Illinois
$831K -$229K -16,457 -19%
SFS
14
Shaker Financial Services
Virginia
$712K +$139K +9,988 +21%
RJFSA
15
Raymond James Financial Services Advisors
Florida
$694K +$494K +35,492 +165%
CA
16
Cornerstone Advisors
North Carolina
$653K +$168K +12,100 +29%
Envestnet Asset Management
17
Envestnet Asset Management
Illinois
$501K +$6K +431 +1%
UBS Group
18
UBS Group
Switzerland
$491K +$238K +17,097 +74%
CAS
19
Cue Advisory Services
Arizona
$485K – – –
UCFA
20
United Capital Financial Advisors
Texas
$473K +$52.9K +3,797 +11%
AA
21
AQR Arbitrage
Connecticut
$443K +$273K +19,609 +117%
PAG
22
Private Advisor Group
New Jersey
$440K -$53.6K -3,850 -10%
TJHA
23
Thomas J. Herzfeld Advisors
Florida
$411K -$2.09K -150 -0.4%
LTFS
24
Ladenburg Thalmann Financial Services
Florida
$393K -$47.5K -3,411 -10%
LCM
25
Landscape Capital Management
New Jersey
$358K -$49K -3,518 -11%
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