Advent Clay Conv SEC Inc FD

Q1 2018 vs Q2 2018

Comparing institutional holders between quarters

Compare Detailed Historical Funds Options 13D/13G Peers Targeting Trading Summary Profile

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Advisors Asset Management, Inc.

DECREASED

Shares1,249,314 from 1,435,622

Change-186,308 (-13%)

Value$7.0K (-$1.3K)

Filed 2026-08-13

JPMorgan Chase & Co

INCREASED

Shares1,101,191 from 1,074,161

Change+27,030 (+3%)

Value$6.2K (+$141)

Filed 2018-08-14

Parametric Portfolio Associates LLC

INCREASED

Shares837,817 from 732,955

Change+104,862 (+14%)

Value$4.7K (+$578)

Filed 2018-08-13

Rivernorth Capital Management, LLC

UNCHANGED

Shares810,003 from 810,003

Change0 (0%)

Value$4.5K (-$8)

Filed 2018-08-14

Wolverine Asset Management LLC

DECREASED

Shares631,726 from 788,095

Change-156,369 (-20%)

Value$3.5K (-$882)

Filed 2018-08-14

Wells Fargo & Company

INCREASED

Shares467,697 from 404,254

Change+63,443 (+16%)

Value$2.6K (+$350)

Filed 2018-08-01

Morgan Stanley

INCREASED

Shares443,860 from 439,822

Change+4,038 (+1%)

Value$2.5K (+$18)

Filed 2019-04-23

Bank of America Corp

INCREASED

Shares397,464 from 393,072

Change+4,392 (+1%)

Value$2.2K (+$20)

Filed 2018-08-14

SIT Investment Associates Inc

DECREASED

Shares360,973 from 771,127

Change-410,154 (-53%)

Value$2.0K (-$2.3K)

Filed 2018-07-19

Laurion Capital Management LP

DECREASED

Shares345,795 from 368,282

Change-22,487 (-6%)

Value$1.9K (-$129)

Filed 2018-08-13

Shaker Financial Services, LLC

DECREASED

Shares338,705 from 481,859

Change-143,154 (-30%)

Value$1.9K (-$805)

Filed 2018-08-06

Curi Capital, LLC

DECREASED

Shares319,328 from 521,504

Change-202,176 (-39%)

Value$1.8K (-$1.1K)

Filed 2018-08-13

BlackRock Inc.

NEW

Shares269,578

Change+269,578

Value$1.5K

Filed 2018-08-09

Koshinski Asset Management, Inc.

NEW

Shares241,459

Change+241,459

Value$1.4K

Filed 2018-08-13

Raymond James Financial Services Advisors, Inc.

DECREASED

Shares224,210 from 225,010

Change-800 (0%)

Value$1.3K (-$7)

Filed 2018-07-30

UBS Group AG

DECREASED

Shares182,750 from 184,288

Change-1,538 (-1%)

Value$1.0K (-$10)

Filed 2018-08-14

Susquehanna International Group, LLP

NEW

Shares112,621

Change+112,621

Value$630

Filed 2018-08-14

Saba Capital Management, L.P.A

DECREASED

Shares94,624 from 933,347

Change-838,723 (-90%)

Value$529 (-$4.7K)

Filed 2018-08-14

Raymond James & Associates

DECREASED

Shares73,464 from 76,770

Change-3,306 (-4%)

Value$411 (-$19)

Filed 2018-08-14

Advisor Group, Inc.

INCREASED

Shares72,105 from 65,940

Change+6,165 (+9%)

Value$402 (+$33)

Filed 2018-08-13

Ladenburg Thalmann Financial Services Inc

UNCHANGED

Shares69,664 from 69,664

Change0 (0%)

Value$390 ($0)

Filed 2018-08-15

Robinson Capital Management, LLC

DECREASED

Shares54,912 from 69,192

Change-14,280 (-21%)

Value$307 (-$76)

Filed 2018-08-02

1607 Capital Partners, LLC

UNCHANGED

Shares50,000 from 50,000

Change0 (0%)

Value$280 ($0)

Filed 2018-08-14

LPL Financial LLC

DECREASED

Shares43,779 from 63,921

Change-20,142 (-32%)

Value$245 (-$113)

Filed 2018-08-14

Clough Capital Partners L P

UNCHANGED

Shares37,917 from 37,917

Change0 (0%)

Value$212 ($0)

Filed 2018-08-14

Oppenheimer & Co Inc

DECREASED

Shares37,028 from 52,474

Change-15,446 (-29%)

Value$207 (-$87)

Filed 2018-08-10

Doliver Advisors, LP

DECREASED

Shares31,348 from 99,633

Change-68,285 (-69%)

Value$175 (-$383)

Filed 2018-08-14

Royal Bank of Canada

DECREASED

Shares24,141 from 26,445

Change-2,304 (-9%)

Value$135 (-$13)

Filed 2018-08-14

Vanguard Capital Wealth Advisors

UNCHANGED

Shares17,349 from 17,349

Change0 (0%)

Value$96 (-$95.8K)

Filed 2018-08-15

Mutual Advisors, LLC

NEW

Shares16,828

Change+16,828

Value$94

Filed 2018-08-15

Point View Financial Services, Inc.

UNCHANGED

Shares14,717 from 14,717

Change0 (0%)

Value$82 ($0)

Filed 2018-08-08

Nine Masts Capital Ltd

NEW

Shares13,100

Change+13,100

Value$73

Filed 2018-08-13

Sensible Financial Planning & Management, Llc.

INCREASED

Shares11,715 from 11,426

Change+289 (+3%)

Value$65 (+$1)

Filed 2018-08-07

Wedbush Securities Inc

NEW

Shares10,482

Change+10,482

Value$59

Filed 2018-08-03

US Bancorp \de\

UNCHANGED

Shares9,400 from 9,400

Change0 (0%)

Value$53 ($0)

Filed 2018-08-08

Citigroup Inc

INCREASED

Shares6,643 from 3,702

Change+2,941 (+79%)

Value$37 (+$16)

Filed 2018-08-10

Dubuque Bank & Trust Co

UNCHANGED

Shares5,200 from 5,200

Change0 (0%)

Value$29 ($0)

Filed 2018-07-17

Thomas J. Herzfeld Advisors, Inc.

NEW

Shares4,042

Change+4,042

Value$23

Filed 2018-08-14

Centaurus Financial, Inc.

NEW

Shares3,943

Change+3,943

Value$22

Filed 2018-08-15

Quad-Cities Investment Group, LLC

NEW

Shares3,529

Change+3,529

Value$20

Filed 2018-08-07

Blue Bell Private Wealth Management, LLC

INCREASED

Shares2,417 from 100

Change+2,317 (+2317%)

Value$14 (+$14)

Filed 2018-07-25

Baystate Wealth Management LLC

NEW

Shares1,200

Change+1,200

Value$7

Filed 2018-07-17

Manufacturers Life Insurance Company, the

UNCHANGED

Shares689 from 689

Change0 (0%)

Value$4 ($0)

Filed 2018-08-14

PNC Financial Services Group, Inc.

DECREASED

Shares500 from 520

Change-20 (-4%)

Value$3 ($0)

Filed 2018-08-10

SEI Investments Co

NEW

Shares291

Change+291

Value$2

Filed 2018-08-03

Huntington National Bank

UNCHANGED

Shares208 from 208

Change0 (0%)

Value$1 ($0)

Filed 2018-07-19

6 Meridian

CLOSED

Shares0 from 39,411

Change-39,411 (-100%)

Value$0 (-$221)

Filed 2018-08-13

Two Sigma Securities, LLC

CLOSED

Shares0 from 19,397

Change-19,397 (-100%)

Value$0 (-$109)

Filed 2018-08-14

Guggenheim Capital LLC

CLOSED

Shares0 from 11,264

Change-11,264 (-100%)

Value$0 (-$64)

Filed 2018-08-14

Stratos Wealth Partners, Ltd.

CLOSED

Shares0 from 1,000

Change-1,000 (-100%)

Value$0 (-$6)

Filed 2018-08-13

Portfolio Strategies, Inc.

CLOSED

Shares0 from 752

Change-752 (-100%)

Value$0 (-$4)

Filed 2018-09-25

MGO One Seven LLC

N/A

Shares— from 9,111

Change-9,111 (-100%)

Value—

	Status
Advisors Asset Management, Inc.	DECREASED	1,249,314	1,435,622	-186,308	-13%	$8.3K	$7.0K	-$1.3K	2026-08-13
JPMorgan Chase & Co	INCREASED	1,101,191	1,074,161	+27,030	+3%	$6.0K	$6.2K	+$141	2018-08-14
Parametric Portfolio Associates LLC	INCREASED	837,817	732,955	+104,862	+14%	$4.1K	$4.7K	+$578	2018-08-13
Rivernorth Capital Management, LLC	UNCHANGED	810,003	810,003	0	0%	$4.5K	$4.5K	-$8	2018-08-14
Wolverine Asset Management LLC	DECREASED	631,726	788,095	-156,369	-20%	$4.4K	$3.5K	-$882	2018-08-14
Wells Fargo & Company	INCREASED	467,697	404,254	+63,443	+16%	$2.3K	$2.6K	+$350	2018-08-01
Morgan Stanley	INCREASED	443,860	439,822	+4,038	+1%	$2.5K	$2.5K	+$18	2019-04-23
Bank of America Corp	INCREASED	397,464	393,072	+4,392	+1%	$2.2K	$2.2K	+$20	2018-08-14
SIT Investment Associates Inc	DECREASED	360,973	771,127	-410,154	-53%	$4.3K	$2.0K	-$2.3K	2018-07-19
Laurion Capital Management LP	DECREASED	345,795	368,282	-22,487	-6%	$2.1K	$1.9K	-$129	2018-08-13
Shaker Financial Services, LLC	DECREASED	338,705	481,859	-143,154	-30%	$2.7K	$1.9K	-$805	2018-08-06
Curi Capital, LLC	DECREASED	319,328	521,504	-202,176	-39%	$2.9K	$1.8K	-$1.1K	2018-08-13
BlackRock Inc.	NEW	269,578	—	+269,578	—	—	$1.5K	—	2018-08-09
Koshinski Asset Management, Inc.	NEW	241,459	—	+241,459	—	—	$1.4K	—	2018-08-13
Raymond James Financial Services Advisors, Inc.	DECREASED	224,210	225,010	-800	0%	$1.3K	$1.3K	-$7	2018-07-30
UBS Group AG	DECREASED	182,750	184,288	-1,538	-1%	$1.0K	$1.0K	-$10	2018-08-14
Susquehanna International Group, LLP	NEW	112,621	—	+112,621	—	—	$630	—	2018-08-14
Saba Capital Management, L.P.A	DECREASED	94,624	933,347	-838,723	-90%	$5.2K	$529	-$4.7K	2018-08-14
Raymond James & Associates	DECREASED	73,464	76,770	-3,306	-4%	$430	$411	-$19	2018-08-14
Advisor Group, Inc.	INCREASED	72,105	65,940	+6,165	+9%	$369	$402	+$33	2018-08-13
Ladenburg Thalmann Financial Services Inc	UNCHANGED	69,664	69,664	0	0%	$390	$390	$0	2018-08-15
Robinson Capital Management, LLC	DECREASED	54,912	69,192	-14,280	-21%	$383	$307	-$76	2018-08-02
1607 Capital Partners, LLC	UNCHANGED	50,000	50,000	0	0%	$280	$280	$0	2018-08-14
LPL Financial LLC	DECREASED	43,779	63,921	-20,142	-32%	$358	$245	-$113	2018-08-14
Clough Capital Partners L P	UNCHANGED	37,917	37,917	0	0%	$212	$212	$0	2018-08-14
Oppenheimer & Co Inc	DECREASED	37,028	52,474	-15,446	-29%	$294	$207	-$87	2018-08-10
Doliver Advisors, LP	DECREASED	31,348	99,633	-68,285	-69%	$558	$175	-$383	2018-08-14
Royal Bank of Canada	DECREASED	24,141	26,445	-2,304	-9%	$148	$135	-$13	2018-08-14
Vanguard Capital Wealth Advisors	UNCHANGED	17,349	17,349	0	0%	$95.9K	$96	-$95.8K	2018-08-15
Mutual Advisors, LLC	NEW	16,828	—	+16,828	—	—	$94	—	2018-08-15
Point View Financial Services, Inc.	UNCHANGED	14,717	14,717	0	0%	$82	$82	$0	2018-08-08
Nine Masts Capital Ltd	NEW	13,100	—	+13,100	—	—	$73	—	2018-08-13
Sensible Financial Planning & Management, Llc.	INCREASED	11,715	11,426	+289	+3%	$64	$65	+$1	2018-08-07
Wedbush Securities Inc	NEW	10,482	—	+10,482	—	—	$59	—	2018-08-03
US Bancorp \de\	UNCHANGED	9,400	9,400	0	0%	$53	$53	$0	2018-08-08
Citigroup Inc	INCREASED	6,643	3,702	+2,941	+79%	$21	$37	+$16	2018-08-10
Dubuque Bank & Trust Co	UNCHANGED	5,200	5,200	0	0%	$29	$29	$0	2018-07-17
Thomas J. Herzfeld Advisors, Inc.	NEW	4,042	—	+4,042	—	—	$23	—	2018-08-14
Centaurus Financial, Inc.	NEW	3,943	—	+3,943	—	—	$22	—	2018-08-15
Quad-Cities Investment Group, LLC	NEW	3,529	—	+3,529	—	—	$20	—	2018-08-07
Blue Bell Private Wealth Management, LLC	INCREASED	2,417	100	+2,317	+2317%	$0	$14	+$14	2018-07-25
Baystate Wealth Management LLC	NEW	1,200	—	+1,200	—	—	$7	—	2018-07-17
Manufacturers Life Insurance Company, the	UNCHANGED	689	689	0	0%	$4	$4	$0	2018-08-14
PNC Financial Services Group, Inc.	DECREASED	500	520	-20	-4%	$3	$3	$0	2018-08-10
SEI Investments Co	NEW	291	—	+291	—	—	$2	—	2018-08-03
Huntington National Bank	UNCHANGED	208	208	0	0%	$1	$1	$0	2018-07-19
6 Meridian	CLOSED	0	39,411	-39,411	-100%	$221	$0	-$221	2018-08-13
Two Sigma Securities, LLC	CLOSED	0	19,397	-19,397	-100%	$109	$0	-$109	2018-08-14
Guggenheim Capital LLC	CLOSED	0	11,264	-11,264	-100%	$64	$0	-$64	2018-08-14
Stratos Wealth Partners, Ltd.	CLOSED	0	1,000	-1,000	-100%	$6	$0	-$6	2018-08-13
Portfolio Strategies, Inc.	CLOSED	0	752	-752	-100%	$4	$0	-$4	2018-09-25
MGO One Seven LLC	N/A	—	9,111	-9,111	-100%	$51	—	—	—

Showing 52 of 52 institutions