American Strategic Income III

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

DECREASED

Shares3,773,639 from 3,822,093

Change-48,454 (-1%)

Value$27.6K (+$448)

Filed 2014-08-13

Relative Value Partners, LLC

INCREASED

Shares973,700 from 43,000

Change+930,700 (+2164%)

Value$7.1K (+$6.8K)

Filed 2014-08-13

Icon Advisers Inc

DECREASED

Shares867,749 from 873,953

Change-6,204 (-1%)

Value$6.4K (+$138)

Filed 2016-01-08

Grantham, Mayo, Van Otterloo & Co. LLC

UNCHANGED

Shares600,000 from 600,000

Change0 (0%)

Value$4.4K (+$126)

Filed 2014-08-13

Rivernorth Capital Management, LLC

DECREASED

Shares346,380 from 400,156

Change-53,776 (-13%)

Value$2.5K (-$309)

Filed 2014-08-14

Morgan Stanley

DECREASED

Shares235,667 from 241,509

Change-5,842 (-2%)

Value$1.7K (+$8)

Filed 2014-08-12

Wells Fargo & Company

INCREASED

Shares182,881 from 177,938

Change+4,943 (+3%)

Value$1.3K (+$74)

Filed 2014-08-29

Doliver Advisors, LP

DECREASED

Shares159,983 from 258,391

Change-98,408 (-38%)

Value$1.2K (-$666)

Filed 2014-08-15

Blue Bell Private Wealth Management, LLC

DECREASED

Shares105,039 from 106,539

Change-1,500 (-1%)

Value$769 (+$12)

Filed 2014-07-29

Windsor Capital Management, LLC

DECREASED

Shares100,584 from 106,531

Change-5,947 (-6%)

Value$736 (-$21)

Filed 2014-07-08

Capital Investment Advisors, LLC

INCREASED

Shares26,890 from 20,269

Change+6,621 (+33%)

Value$236 (-$143.9K)

Filed 2014-07-30

UBS AG

INCREASED

Shares17,474 from 11,685

Change+5,789 (+50%)

Value$128 (+$45)

Filed 2014-08-14

Shepherd Kaplan Krochuk, LLC

UNCHANGED

Shares15,800 from 15,800

Change0 (0%)

Value$116 (+$4)

Filed 2014-08-14

B. Riley Wealth Advisors, Inc.

DECREASED

Shares12,675 from 23,540

Change-10,865 (-46%)

Value$92.8K (+$92.6K)

Filed 2014-08-14

First Nebraska Trust Co

NEW

Shares12,670

Change+12,670

Value$92.7K

Filed 2026-07-22

Landscape Capital Management, L.L.C.

NEW

Shares12,067

Change+12,067

Value$88

Filed 2014-08-13

Next Financial Group, Inc

NEW

Shares2,885

Change+2,885

Value$21

Filed 2014-08-14

D.A. Davidson & Co.

NEW

Shares1,800

Change+1,800

Value$13

Filed 2014-07-29

Ladenburg Thalmann Financial Services Inc

INCREASED

Shares1,457 from 1,444

Change+13 (+1%)

Value$11 (+$1)

Filed 2014-08-14

Royal Bank of Canada

UNCHANGED

Shares1,352 from 1,352

Change0 (0%)

Value$10 ($0)

Filed 2014-08-14

Orion Porfolio Solutions, LLC

INCREASED

Shares1,171 from 1,160

Change+11 (+1%)

Value$9 (+$1)

Filed 2014-08-12

Waverly Advisors, LLC

UNCHANGED

Shares1,166 from 1,166

Change0 (0%)

Value$9 (+$1)

Filed 2014-07-29

Bank of America Corp

NEW

Shares824

Change+824

Value$6

Filed 2014-08-14

MetLife Securities, Inc

DECREASED

Shares675 from 2,275

Change-1,600 (-70%)

Value$5 (-$11)

Filed 2014-08-04

Bank of Montreal

UNCHANGED

Shares430 from 430

Change0 (0%)

Value$3 ($0)

Filed 2014-08-14

Citigroup Inc

DECREASED

Shares400 from 3,521

Change-3,121 (-89%)

Value$3 (-$22)

Filed 2014-08-14

Creative Planning

INCREASED

Shares47 from 46

Change+1 (+2%)

Value$0 ($0)

Filed 2014-08-20

Tower Research Capital LLC (TRC)

DECREASED

Shares9 from 49

Change-40 (-82%)

Value$0 ($0)

Filed 2014-08-14

Nwam LLC

CLOSED

Shares0 from 118,873

Change-118,873 (-100%)

Value$0 (-$988)

Filed 2016-09-09

Alliancebernstein L.P.

CLOSED

Shares0 from 17,276

Change-17,276 (-100%)

Value$0 (-$123)

Filed 2014-08-13

LPL Financial LLC

CLOSED

Shares0 from 13,752

Change-13,752 (-100%)

Value$0 (-$98)

Filed 2014-08-05

Barclays PLC

CLOSED

Shares0 from 44

Change-44 (-100%)

Value$0 ($0)

Filed 2014-08-14

	Status
SIT Investment Associates Inc	DECREASED	3,773,639	3,822,093	-48,454	-1%	$27.2K	$27.6K	+$448	2014-08-13
Relative Value Partners, LLC	INCREASED	973,700	43,000	+930,700	+2164%	$306	$7.1K	+$6.8K	2014-08-13
Icon Advisers Inc	DECREASED	867,749	873,953	-6,204	-1%	$6.2K	$6.4K	+$138	2016-01-08
Grantham, Mayo, Van Otterloo & Co. LLC	UNCHANGED	600,000	600,000	0	0%	$4.3K	$4.4K	+$126	2014-08-13
Rivernorth Capital Management, LLC	DECREASED	346,380	400,156	-53,776	-13%	$2.8K	$2.5K	-$309	2014-08-14
Morgan Stanley	DECREASED	235,667	241,509	-5,842	-2%	$1.7K	$1.7K	+$8	2014-08-12
Wells Fargo & Company	INCREASED	182,881	177,938	+4,943	+3%	$1.3K	$1.3K	+$74	2014-08-29
Doliver Advisors, LP	DECREASED	159,983	258,391	-98,408	-38%	$1.8K	$1.2K	-$666	2014-08-15
Blue Bell Private Wealth Management, LLC	DECREASED	105,039	106,539	-1,500	-1%	$757	$769	+$12	2014-07-29
Windsor Capital Management, LLC	DECREASED	100,584	106,531	-5,947	-6%	$757	$736	-$21	2014-07-08
Capital Investment Advisors, LLC	INCREASED	26,890	20,269	+6,621	+33%	$144.1K	$236	-$143.9K	2014-07-30
UBS AG	INCREASED	17,474	11,685	+5,789	+50%	$83	$128	+$45	2014-08-14
Shepherd Kaplan Krochuk, LLC	UNCHANGED	15,800	15,800	0	0%	$112	$116	+$4	2014-08-14
B. Riley Wealth Advisors, Inc.	DECREASED	12,675	23,540	-10,865	-46%	$167	$92.8K	+$92.6K	2014-08-14
First Nebraska Trust Co	NEW	12,670	—	+12,670	—	—	$92.7K	—	2026-07-22
Landscape Capital Management, L.L.C.	NEW	12,067	—	+12,067	—	—	$88	—	2014-08-13
Next Financial Group, Inc	NEW	2,885	—	+2,885	—	—	$21	—	2014-08-14
D.A. Davidson & Co.	NEW	1,800	—	+1,800	—	—	$13	—	2014-07-29
Ladenburg Thalmann Financial Services Inc	INCREASED	1,457	1,444	+13	+1%	$10	$11	+$1	2014-08-14
Royal Bank of Canada	UNCHANGED	1,352	1,352	0	0%	$10	$10	$0	2014-08-14
Orion Porfolio Solutions, LLC	INCREASED	1,171	1,160	+11	+1%	$8	$9	+$1	2014-08-12
Waverly Advisors, LLC	UNCHANGED	1,166	1,166	0	0%	$8	$9	+$1	2014-07-29
Bank of America Corp	NEW	824	—	+824	—	—	$6	—	2014-08-14
MetLife Securities, Inc	DECREASED	675	2,275	-1,600	-70%	$16	$5	-$11	2014-08-04
Bank of Montreal	UNCHANGED	430	430	0	0%	$3	$3	$0	2014-08-14
Citigroup Inc	DECREASED	400	3,521	-3,121	-89%	$25	$3	-$22	2014-08-14
Creative Planning	INCREASED	47	46	+1	+2%	$0	$0	$0	2014-08-20
Tower Research Capital LLC (TRC)	DECREASED	9	49	-40	-82%	$0	$0	$0	2014-08-14
Nwam LLC	CLOSED	0	118,873	-118,873	-100%	$988	$0	-$988	2016-09-09
Alliancebernstein L.P.	CLOSED	0	17,276	-17,276	-100%	$123	$0	-$123	2014-08-13
LPL Financial LLC	CLOSED	0	13,752	-13,752	-100%	$98	$0	-$98	2014-08-05
Barclays PLC	CLOSED	0	44	-44	-100%	$0	$0	$0	2014-08-14

Showing 32 of 32 institutions