Amern Strategic Income Ptfl II

Q1 2014 vs Q2 2014

Comparing institutional holders between quarters

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

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SIT Investment Associates Inc

INCREASED

Shares2,716,901 from 2,695,501

Change+21,400 (+1%)

Value$23.9K (+$1.5K)

Filed 2014-08-13

Relative Value Partners, LLC

NEW

Shares924,058

Change+924,058

Value$8.1K

Filed 2014-08-13

Icon Advisers Inc

DECREASED

Shares772,951 from 786,838

Change-13,887 (-2%)

Value$6.8K (+$248)

Filed 2016-01-08

Rivernorth Capital Management, LLC

INCREASED

Shares501,624 from 405,383

Change+96,241 (+24%)

Value$4.4K (+$1.0K)

Filed 2014-08-14

Grantham, Mayo, Van Otterloo & Co. LLC

UNCHANGED

Shares479,500 from 479,500

Change0 (0%)

Value$4.2K (+$225)

Filed 2014-08-13

Wells Fargo & Company

INCREASED

Shares393,688 from 372,506

Change+21,182 (+6%)

Value$3.5K (+$361)

Filed 2014-08-29

Advisors Asset Management, Inc.

DECREASED

Shares246,838 from 310,855

Change-64,017 (-21%)

Value$2.2K (-$416)

Filed 2014-08-14

Morgan Stanley

DECREASED

Shares181,051 from 192,078

Change-11,027 (-6%)

Value$1.6K (-$7)

Filed 2014-08-12

Mariner Investment Group LLC

NEW

Shares163,500

Change+163,500

Value$1.4K

Filed 2014-08-12

Nwam LLC

NEW

Shares139,323

Change+139,323

Value$1.2K

Filed 2016-09-09

Financial & Investment Management Group LTD

DECREASED

Shares110,243 from 115,853

Change-5,610 (-5%)

Value$968 (+$5)

Filed 2014-07-10

Doliver Advisors, LP

INCREASED

Shares63,305 from 61,613

Change+1,692 (+3%)

Value$556 (+$44)

Filed 2014-08-15

Thomas J. Herzfeld Advisors, Inc.

UNCHANGED

Shares50,420 from 50,420

Change0 (0%)

Value$443 (+$24)

Filed 2014-08-14

First Foundation Advisors

NEW

Shares41,527

Change+41,527

Value$365

Filed 2014-08-15

Royal Bank of Canada

INCREASED

Shares30,141 from 27,317

Change+2,824 (+10%)

Value$265 (+$38)

Filed 2014-08-14

Windsor Capital Management, LLC

DECREASED

Shares26,099 from 28,745

Change-2,646 (-9%)

Value$229 (-$10)

Filed 2014-07-08

United Fire Group Inc

UNCHANGED

Shares25,420 from 25,420

Change0 (0%)

Value$223 (+$12)

Filed 2014-08-07

LPL Financial LLC

DECREASED

Shares21,279 from 24,423

Change-3,144 (-13%)

Value$187 (-$16)

Filed 2014-08-05

Capital Investment Advisors, LLC

DECREASED

Shares19,844 from 29,930

Change-10,086 (-34%)

Value$145 (-$248.6K)

Filed 2014-07-30

UBS AG

INCREASED

Shares16,358 from 9,939

Change+6,419 (+65%)

Value$144 (+$62)

Filed 2014-08-14

Independence Trust Co

NEW

Shares15,905

Change+15,905

Value$140

Filed 2014-07-15

Shepherd Kaplan Krochuk, LLC

UNCHANGED

Shares14,610 from 14,610

Change0 (0%)

Value$128 (+$7)

Filed 2014-08-14

Bank of America Corp

DECREASED

Shares8,878 from 18,144

Change-9,266 (-51%)

Value$78 (-$73)

Filed 2014-08-14

American International Group, Inc.

INCREASED

Shares7,114 from 7,080

Change+34 (+0%)

Value$62.5K (+$3.6K)

Filed 2014-08-08

Ladenburg Thalmann Financial Services Inc

UNCHANGED

Shares6,394 from 6,394

Change0 (0%)

Value$56 (+$3)

Filed 2014-08-14

MetLife Securities, Inc

DECREASED

Shares4,236 from 4,736

Change-500 (-11%)

Value$37 (-$2)

Filed 2014-08-04

Citigroup Inc

NEW

Shares1,813

Change+1,813

Value$16

Filed 2014-08-14

Next Financial Group, Inc

NEW

Shares1,760

Change+1,760

Value$15

Filed 2014-08-14

Tower Research Capital LLC (TRC)

DECREASED

Shares1,099 from 1,686

Change-587 (-35%)

Value$10 (-$4)

Filed 2014-08-14

Waverly Advisors, LLC

UNCHANGED

Shares1,097 from 1,097

Change0 (0%)

Value$10 (+$1)

Filed 2014-07-29

Ameriprise Financial Inc

NEW

Shares1,000

Change+1,000

Value$9

Filed 2014-08-13

D.A. Davidson & Co.

DECREASED

Shares1,000 from 2,000

Change-1,000 (-50%)

Value$8 (-$8)

Filed 2014-07-29

Creative Planning

UNCHANGED

Shares977 from 977

Change0 (0%)

Value$9 (+$1)

Filed 2014-08-20

Plante Moran Financial Advisors, LLC

NEW

Shares607

Change+607

Value$5

Filed 2014-07-28

Diversified Investment Strategies, LLC

CLOSED

Shares0 from 148,225

Change-148,225 (-100%)

Value$0 (-$1.2K)

Filed 2014-07-21

Alliancebernstein L.P.

CLOSED

Shares0 from 19,723

Change-19,723 (-100%)

Value$0 (-$164)

Filed 2014-08-13

B. Riley Wealth Advisors, Inc.

CLOSED

Shares0 from 11,589

Change-11,589 (-100%)

Value$0 (-$96)

Filed 2014-08-14

Manufacturers Life Insurance Company, the

CLOSED

Shares0 from 1,669

Change-1,669 (-100%)

Value$0 (-$14)

Filed 2014-09-15

	Status
SIT Investment Associates Inc	INCREASED	2,716,901	2,695,501	+21,400	+1%	$22.4K	$23.9K	+$1.5K	2014-08-13
Relative Value Partners, LLC	NEW	924,058	—	+924,058	—	—	$8.1K	—	2014-08-13
Icon Advisers Inc	DECREASED	772,951	786,838	-13,887	-2%	$6.5K	$6.8K	+$248	2016-01-08
Rivernorth Capital Management, LLC	INCREASED	501,624	405,383	+96,241	+24%	$3.4K	$4.4K	+$1.0K	2014-08-14
Grantham, Mayo, Van Otterloo & Co. LLC	UNCHANGED	479,500	479,500	0	0%	$4.0K	$4.2K	+$225	2014-08-13
Wells Fargo & Company	INCREASED	393,688	372,506	+21,182	+6%	$3.1K	$3.5K	+$361	2014-08-29
Advisors Asset Management, Inc.	DECREASED	246,838	310,855	-64,017	-21%	$2.6K	$2.2K	-$416	2014-08-14
Morgan Stanley	DECREASED	181,051	192,078	-11,027	-6%	$1.6K	$1.6K	-$7	2014-08-12
Mariner Investment Group LLC	NEW	163,500	—	+163,500	—	—	$1.4K	—	2014-08-12
Nwam LLC	NEW	139,323	—	+139,323	—	—	$1.2K	—	2016-09-09
Financial & Investment Management Group LTD	DECREASED	110,243	115,853	-5,610	-5%	$963	$968	+$5	2014-07-10
Doliver Advisors, LP	INCREASED	63,305	61,613	+1,692	+3%	$512	$556	+$44	2014-08-15
Thomas J. Herzfeld Advisors, Inc.	UNCHANGED	50,420	50,420	0	0%	$419	$443	+$24	2014-08-14
First Foundation Advisors	NEW	41,527	—	+41,527	—	—	$365	—	2014-08-15
Royal Bank of Canada	INCREASED	30,141	27,317	+2,824	+10%	$227	$265	+$38	2014-08-14
Windsor Capital Management, LLC	DECREASED	26,099	28,745	-2,646	-9%	$239	$229	-$10	2014-07-08
United Fire Group Inc	UNCHANGED	25,420	25,420	0	0%	$211	$223	+$12	2014-08-07
LPL Financial LLC	DECREASED	21,279	24,423	-3,144	-13%	$203	$187	-$16	2014-08-05
Capital Investment Advisors, LLC	DECREASED	19,844	29,930	-10,086	-34%	$248.7K	$145	-$248.6K	2014-07-30
UBS AG	INCREASED	16,358	9,939	+6,419	+65%	$82	$144	+$62	2014-08-14
Independence Trust Co	NEW	15,905	—	+15,905	—	—	$140	—	2014-07-15
Shepherd Kaplan Krochuk, LLC	UNCHANGED	14,610	14,610	0	0%	$121	$128	+$7	2014-08-14
Bank of America Corp	DECREASED	8,878	18,144	-9,266	-51%	$151	$78	-$73	2014-08-14
American International Group, Inc.	INCREASED	7,114	7,080	+34	+0%	$58.8K	$62.5K	+$3.6K	2014-08-08
Ladenburg Thalmann Financial Services Inc	UNCHANGED	6,394	6,394	0	0%	$53	$56	+$3	2014-08-14
MetLife Securities, Inc	DECREASED	4,236	4,736	-500	-11%	$39	$37	-$2	2014-08-04
Citigroup Inc	NEW	1,813	—	+1,813	—	—	$16	—	2014-08-14
Next Financial Group, Inc	NEW	1,760	—	+1,760	—	—	$15	—	2014-08-14
Tower Research Capital LLC (TRC)	DECREASED	1,099	1,686	-587	-35%	$14	$10	-$4	2014-08-14
Waverly Advisors, LLC	UNCHANGED	1,097	1,097	0	0%	$9	$10	+$1	2014-07-29
Ameriprise Financial Inc	NEW	1,000	—	+1,000	—	—	$9	—	2014-08-13
D.A. Davidson & Co.	DECREASED	1,000	2,000	-1,000	-50%	$16	$8	-$8	2014-07-29
Creative Planning	UNCHANGED	977	977	0	0%	$8	$9	+$1	2014-08-20
Plante Moran Financial Advisors, LLC	NEW	607	—	+607	—	—	$5	—	2014-07-28
Diversified Investment Strategies, LLC	CLOSED	0	148,225	-148,225	-100%	$1.2K	$0	-$1.2K	2014-07-21
Alliancebernstein L.P.	CLOSED	0	19,723	-19,723	-100%	$164	$0	-$164	2014-08-13
B. Riley Wealth Advisors, Inc.	CLOSED	0	11,589	-11,589	-100%	$96	$0	-$96	2014-08-14
Manufacturers Life Insurance Company, the	CLOSED	0	1,669	-1,669	-100%	$14	$0	-$14	2014-09-15

Showing 38 of 38 institutions