Brookfield High Income FD in

Q2 2016 vs Q3 2016

Comparing institutional holders between quarters

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

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Guggenheim Capital LLC

INCREASED

Shares714,031 from 672,550

Change+41,481 (+6%)

Value$5.2K (+$377)

Filed 2016-11-15

Rivernorth Capital Management, LLC

INCREASED

Shares540,922 from 475,368

Change+65,554 (+14%)

Value$4.0K (+$533)

Filed 2016-11-14

Shaker Financial Services, LLC

INCREASED

Shares404,080 from 309,504

Change+94,576 (+31%)

Value$3.0K (+$726)

Filed 2016-11-02

Robinson Capital Management, LLC

INCREASED

Shares290,925 from 280,925

Change+10,000 (+4%)

Value$2.1K (+$105)

Filed 2016-11-14

Invesco Ltd.

INCREASED

Shares245,879 from 231,007

Change+14,872 (+6%)

Value$1.8K (+$134)

Filed 2016-11-14

Morgan Stanley

INCREASED

Shares212,698 from 193,662

Change+19,036 (+10%)

Value$1.6K (+$161)

Filed 2016-11-10

Horizon Kinetics LLC

DECREASED

Shares203,256 from 266,346

Change-63,090 (-24%)

Value$1.5K (-$432)

Filed 2016-11-14

Weiss Asset Management LP

INCREASED

Shares179,809 from 77,271

Change+102,538 (+133%)

Value$1.3K (+$759)

Filed 2016-11-14

Royal Bank of Canada

INCREASED

Shares139,828 from 2,012

Change+137,816 (+6850%)

Value$1.0K (+$1.0K)

Filed 2016-11-14

Advisors Asset Management, Inc.

INCREASED

Shares133,773 from 16,128

Change+117,645 (+729%)

Value$979 (+$863)

Filed 2016-10-31

Clough Capital Partners L P

NEW

Shares120,900

Change+120,900

Value$885

Filed 2016-11-14

Citigroup Inc

INCREASED

Shares99,404 from 22,123

Change+77,281 (+349%)

Value$728 (+$568)

Filed 2016-11-10

Doliver Advisors, LP

INCREASED

Shares71,814 from 16,865

Change+54,949 (+326%)

Value$526 (+$404)

Filed 2016-10-31

Brookfield Corp

INCREASED

Shares70,070 from 11,800

Change+58,270 (+494%)

Value$513 (+$428)

Filed 2017-08-24

CSS LLC

INCREASED

Shares56,199 from 11,670

Change+44,529 (+382%)

Value$411 (+$327)

Filed 2016-11-14

Raymond James & Associates

INCREASED

Shares51,398 from 50,337

Change+1,061 (+2%)

Value$376 (+$13)

Filed 2016-11-14

Curi Capital, LLC

NEW

Shares44,959

Change+44,959

Value$329

Filed 2016-11-17

SII Investments Inc

UNCHANGED

Shares38,310 from 38,310

Change0 (0%)

Value$282 (+$8)

Filed 2016-11-10

Wedbush Securities Inc

INCREASED

Shares35,293 from 28,199

Change+7,094 (+25%)

Value$258 (+$55)

Filed 2016-11-04

Bank of America Corp

INCREASED

Shares33,487 from 28,106

Change+5,381 (+19%)

Value$246 (+$43)

Filed 2016-11-14

First Allied Advisory Services, Inc.

INCREASED

Shares31,606 from 27,606

Change+4,000 (+14%)

Value$231 (+$34)

Filed 2016-11-14

LPL Financial LLC

DECREASED

Shares18,381 from 21,706

Change-3,325 (-15%)

Value$134 (-$23)

Filed 2016-11-16

Landscape Capital Management, L.L.C.

NEW

Shares12,667

Change+12,667

Value$93

Filed 2016-11-14

Wells Fargo & Company

INCREASED

Shares12,530 from 8,910

Change+3,620 (+41%)

Value$92 (+$28)

Filed 2016-10-31

Commonwealth Equity Services, Inc

UNCHANGED

Shares12,171 from 12,171

Change0 (0%)

Value$89 (+$1)

Filed 2016-10-25

Winslow, Evans & Crocker, Inc.

UNCHANGED

Shares7,484 from 7,484

Change0 (0%)

Value$54.8K (+$822)

Filed 2016-10-21

UBS Group AG

DECREASED

Shares5,894 from 19,039

Change-13,145 (-69%)

Value$43 (-$94)

Filed 2016-11-14

Ladenburg Thalmann Financial Services Inc

INCREASED

Shares4,979 from 4,363

Change+616 (+14%)

Value$36 (+$5)

Filed 2016-11-14

Creative Planning

INCREASED

Shares4,037 from 2,289

Change+1,748 (+76%)

Value$30 (+$13)

Filed 2016-10-12

Advisor Group, Inc.

UNCHANGED

Shares3,646 from 3,646

Change0 (0%)

Value$27 (+$2)

Filed 2017-11-02

IFP Advisors, Inc

INCREASED

Shares3,003 from 2,996

Change+7 (+0%)

Value$22 ($0)

Filed 2016-11-04

Thomas J. Herzfeld Advisors, Inc.

UNCHANGED

Shares2,931 from 2,931

Change0 (0%)

Value$21 ($0)

Filed 2016-11-14

Delta Asset Management LLC

UNCHANGED

Shares2,702 from 2,702

Change0 (0%)

Value$20 ($0)

Filed 2016-10-20

Next Financial Group, Inc

INCREASED

Shares2,109 from 1,725

Change+384 (+22%)

Value$15 (+$3)

Filed 2016-11-01

PNC Financial Services Group, Inc.

UNCHANGED

Shares2,000 from 2,000

Change0 (0%)

Value$14 ($0)

Filed 2016-11-04

MetLife Securities, Inc

UNCHANGED

Shares1,452 from 1,452

Change0 (0%)

Value$11 (+$1)

Filed 2016-10-13

Alexandria Capital, LLC

UNCHANGED

Shares1,165 from 1,165

Change0 (0%)

Value$9 (+$1)

Filed 2016-11-15

M&R Capital Management Inc

UNCHANGED

Shares809 from 809

Change0 (0%)

Value$5 ($0)

Filed 2016-11-15

Security National Trust Co

UNCHANGED

Shares749 from 749

Change0 (0%)

Value$5 ($0)

Filed 2016-10-25

People's United Financial, Inc.

NEW

Shares700

Change+700

Value$5

Filed 2016-11-09

Woodmont Investment Counsel LLC

NEW

Shares461

Change+461

Value$3

Filed 2016-11-14

WFG Advisors, LP

UNCHANGED

Shares396 from 396

Change0 (0%)

Value$3 ($0)

Filed 2016-11-14

Penserra Capital Management LLC

NEW

Shares350

Change+350

Value$2

Filed 2016-11-03

Pinnacle Financial Partners Inc

UNCHANGED

Shares135 from 135

Change0 (0%)

Value$1 ($0)

Filed 2016-11-15

Ironwood Financial, llc

DECREASED

Shares53 from 856

Change-803 (-94%)

Value$0 (-$6)

Filed 2016-11-03

SEI Investments Co

NEW

Shares16

Change+16

Value$0

Filed 2016-11-04

Kelman-Lazarov, Inc.

UNCHANGED

Shares15 from 15

Change0 (0%)

Value$109 (+$1)

Filed 2016-10-11

Pine River Capital Management L.P.

CLOSED

Shares0 from 83,235

Change-83,235 (-100%)

Value$0 (-$600)

Filed 2017-05-15

Yorktown Management & Research Co Inc

CLOSED

Shares0 from 30,000

Change-30,000 (-100%)

Value$0 (-$216)

Filed 2016-10-31

Raymond James Financial Services Advisors, Inc.

CLOSED

Shares0 from 25,380

Change-25,380 (-100%)

Value$0 (-$183)

Filed 2016-11-14

KCG Holdings, Inc.

CLOSED

Shares0 from 12,631

Change-12,631 (-100%)

Value$0 (-$91)

Filed 2016-11-10

AQR Arbitrage LLC

CLOSED

Shares0 from 10,081

Change-10,081 (-100%)

Value$0 (-$73)

Filed 2016-11-14

Deutsche Bank Ag\

CLOSED

Shares0 from 1,000

Change-1,000 (-100%)

Value$0 (-$7)

Filed 2016-11-14

Tower Research Capital LLC (TRC)

CLOSED

Shares0 from 230

Change-230 (-100%)

Value$0 (-$2)

Filed 2016-11-08

Piershale Financial Group, Inc.

CLOSED

Shares0 from 58

Change-58 (-100%)

Value$0 ($0)

Filed 2016-10-18

	Status
Guggenheim Capital LLC	INCREASED	714,031	672,550	+41,481	+6%	$4.8K	$5.2K	+$377	2016-11-15
Rivernorth Capital Management, LLC	INCREASED	540,922	475,368	+65,554	+14%	$3.4K	$4.0K	+$533	2016-11-14
Shaker Financial Services, LLC	INCREASED	404,080	309,504	+94,576	+31%	$2.2K	$3.0K	+$726	2016-11-02
Robinson Capital Management, LLC	INCREASED	290,925	280,925	+10,000	+4%	$2.0K	$2.1K	+$105	2016-11-14
Invesco Ltd.	INCREASED	245,879	231,007	+14,872	+6%	$1.7K	$1.8K	+$134	2016-11-14
Morgan Stanley	INCREASED	212,698	193,662	+19,036	+10%	$1.4K	$1.6K	+$161	2016-11-10
Horizon Kinetics LLC	DECREASED	203,256	266,346	-63,090	-24%	$1.9K	$1.5K	-$432	2016-11-14
Weiss Asset Management LP	INCREASED	179,809	77,271	+102,538	+133%	$557	$1.3K	+$759	2016-11-14
Royal Bank of Canada	INCREASED	139,828	2,012	+137,816	+6850%	$14	$1.0K	+$1.0K	2016-11-14
Advisors Asset Management, Inc.	INCREASED	133,773	16,128	+117,645	+729%	$116	$979	+$863	2016-10-31
Clough Capital Partners L P	NEW	120,900	—	+120,900	—	—	$885	—	2016-11-14
Citigroup Inc	INCREASED	99,404	22,123	+77,281	+349%	$160	$728	+$568	2016-11-10
Doliver Advisors, LP	INCREASED	71,814	16,865	+54,949	+326%	$122	$526	+$404	2016-10-31
Brookfield Corp	INCREASED	70,070	11,800	+58,270	+494%	$85	$513	+$428	2017-08-24
CSS LLC	INCREASED	56,199	11,670	+44,529	+382%	$84	$411	+$327	2016-11-14
Raymond James & Associates	INCREASED	51,398	50,337	+1,061	+2%	$363	$376	+$13	2016-11-14
Curi Capital, LLC	NEW	44,959	—	+44,959	—	—	$329	—	2016-11-17
SII Investments Inc	UNCHANGED	38,310	38,310	0	0%	$274	$282	+$8	2016-11-10
Wedbush Securities Inc	INCREASED	35,293	28,199	+7,094	+25%	$203	$258	+$55	2016-11-04
Bank of America Corp	INCREASED	33,487	28,106	+5,381	+19%	$203	$246	+$43	2016-11-14
First Allied Advisory Services, Inc.	INCREASED	31,606	27,606	+4,000	+14%	$197	$231	+$34	2016-11-14
LPL Financial LLC	DECREASED	18,381	21,706	-3,325	-15%	$157	$134	-$23	2016-11-16
Landscape Capital Management, L.L.C.	NEW	12,667	—	+12,667	—	—	$93	—	2016-11-14
Wells Fargo & Company	INCREASED	12,530	8,910	+3,620	+41%	$64	$92	+$28	2016-10-31
Commonwealth Equity Services, Inc	UNCHANGED	12,171	12,171	0	0%	$88	$89	+$1	2016-10-25
Winslow, Evans & Crocker, Inc.	UNCHANGED	7,484	7,484	0	0%	$54.0K	$54.8K	+$822	2016-10-21
UBS Group AG	DECREASED	5,894	19,039	-13,145	-69%	$137	$43	-$94	2016-11-14
Ladenburg Thalmann Financial Services Inc	INCREASED	4,979	4,363	+616	+14%	$31	$36	+$5	2016-11-14
Creative Planning	INCREASED	4,037	2,289	+1,748	+76%	$17	$30	+$13	2016-10-12
Advisor Group, Inc.	UNCHANGED	3,646	3,646	0	0%	$25	$27	+$2	2017-11-02
IFP Advisors, Inc	INCREASED	3,003	2,996	+7	+0%	$22	$22	$0	2016-11-04
Thomas J. Herzfeld Advisors, Inc.	UNCHANGED	2,931	2,931	0	0%	$21	$21	$0	2016-11-14
Delta Asset Management LLC	UNCHANGED	2,702	2,702	0	0%	$20	$20	$0	2016-10-20
Next Financial Group, Inc	INCREASED	2,109	1,725	+384	+22%	$12	$15	+$3	2016-11-01
PNC Financial Services Group, Inc.	UNCHANGED	2,000	2,000	0	0%	$14	$14	$0	2016-11-04
MetLife Securities, Inc	UNCHANGED	1,452	1,452	0	0%	$10	$11	+$1	2016-10-13
Alexandria Capital, LLC	UNCHANGED	1,165	1,165	0	0%	$8	$9	+$1	2016-11-15
M&R Capital Management Inc	UNCHANGED	809	809	0	0%	$5	$5	$0	2016-11-15
Security National Trust Co	UNCHANGED	749	749	0	0%	$5	$5	$0	2016-10-25
People's United Financial, Inc.	NEW	700	—	+700	—	—	$5	—	2016-11-09
Woodmont Investment Counsel LLC	NEW	461	—	+461	—	—	$3	—	2016-11-14
WFG Advisors, LP	UNCHANGED	396	396	0	0%	$3	$3	$0	2016-11-14
Penserra Capital Management LLC	NEW	350	—	+350	—	—	$2	—	2016-11-03
Pinnacle Financial Partners Inc	UNCHANGED	135	135	0	0%	$1	$1	$0	2016-11-15
Ironwood Financial, llc	DECREASED	53	856	-803	-94%	$6	$0	-$6	2016-11-03
SEI Investments Co	NEW	16	—	+16	—	—	$0	—	2016-11-04
Kelman-Lazarov, Inc.	UNCHANGED	15	15	0	0%	$108	$109	+$1	2016-10-11
Pine River Capital Management L.P.	CLOSED	0	83,235	-83,235	-100%	$600	$0	-$600	2017-05-15
Yorktown Management & Research Co Inc	CLOSED	0	30,000	-30,000	-100%	$216	$0	-$216	2016-10-31
Raymond James Financial Services Advisors, Inc.	CLOSED	0	25,380	-25,380	-100%	$183	$0	-$183	2016-11-14
KCG Holdings, Inc.	CLOSED	0	12,631	-12,631	-100%	$91	$0	-$91	2016-11-10
AQR Arbitrage LLC	CLOSED	0	10,081	-10,081	-100%	$73	$0	-$73	2016-11-14
Deutsche Bank Ag\	CLOSED	0	1,000	-1,000	-100%	$7	$0	-$7	2016-11-14
Tower Research Capital LLC (TRC)	CLOSED	0	230	-230	-100%	$2	$0	-$2	2016-11-08
Piershale Financial Group, Inc.	CLOSED	0	58	-58	-100%	$0	$0	$0	2016-10-18

Showing 55 of 55 institutions