First Trust Dividend and Inc

Q2 2016 vs Q3 2016

Comparing institutional holders between quarters

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

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Bulldog Investors, LLPA

INCREASED

Shares2,190,168 from 1,691,267

Change+498,901 (+30%)

Value$20.0K (+$4.7K)

Filed 2016-11-14

SIT Investment Associates Inc

DECREASED

Shares834,984 from 888,497

Change-53,513 (-6%)

Value$7.6K (-$381)

Filed 2016-11-01

Clough Capital Partners L P

NEW

Shares91,700

Change+91,700

Value$835

Filed 2016-11-14

Guggenheim Capital LLC

DECREASED

Shares89,054 from 95,701

Change-6,647 (-7%)

Value$811 (-$49)

Filed 2016-11-15

Wells Fargo & Company

INCREASED

Shares88,488 from 86,188

Change+2,300 (+3%)

Value$806 (+$31)

Filed 2016-10-31

1607 Capital Partners, LLC

INCREASED

Shares66,458 from 60,458

Change+6,000 (+10%)

Value$605 (+$61)

Filed 2016-11-14

Raymond James & Associates

DECREASED

Shares65,062 from 96,935

Change-31,873 (-33%)

Value$593 (-$278)

Filed 2016-11-14

Relative Value Partners Group, LLC

DECREASED

Shares62,835 from 78,872

Change-16,037 (-20%)

Value$572 (-$124)

Filed 2016-11-07

Citigroup Inc

DECREASED

Shares53,998 from 70,025

Change-16,027 (-23%)

Value$492 (-$138)

Filed 2016-11-10

UBS Group AG

DECREASED

Shares44,237 from 45,136

Change-899 (-2%)

Value$403 (-$3)

Filed 2016-11-14

Ladenburg Thalmann Financial Services Inc

DECREASED

Shares38,682 from 45,087

Change-6,405 (-14%)

Value$353 (-$54)

Filed 2016-11-14

Raymond James Financial Services Advisors, Inc.

INCREASED

Shares31,973 from 29,873

Change+2,100 (+7%)

Value$291 (+$22)

Filed 2016-11-14

Icon Advisers Inc

DECREASED

Shares30,649 from 175,118

Change-144,469 (-82%)

Value$279 (-$1.3K)

Filed 2016-11-04

LPL Financial LLC

DECREASED

Shares24,391 from 26,675

Change-2,284 (-9%)

Value$222 (-$17)

Filed 2016-11-16

Oppenheimer & Co Inc

DECREASED

Shares24,208 from 36,404

Change-12,196 (-33%)

Value$221 (-$106)

Filed 2016-11-07

Raymond James Trust N.A.

NEW

Shares22,500

Change+22,500

Value$205

Filed 2016-10-11

Advisor Group, Inc.

DECREASED

Shares11,200 from 15,298

Change-4,098 (-27%)

Value$102 (-$35)

Filed 2017-11-02

Morgan Stanley

INCREASED

Shares10,350 from 8,631

Change+1,719 (+20%)

Value$94 (+$16)

Filed 2016-11-10

IFP Advisors, Inc

UNCHANGED

Shares5,657 from 5,657

Change0 (0%)

Value$52 (+$1)

Filed 2016-11-04

Royal Bank of Canada

INCREASED

Shares1,878 from 1,873

Change+5 (+0%)

Value$17 ($0)

Filed 2016-11-14

Gradient Investments LLC

UNCHANGED

Shares1,700 from 1,700

Change0 (0%)

Value$15 ($0)

Filed 2016-10-11

Bank of America Corp

DECREASED

Shares1,525 from 4,175

Change-2,650 (-63%)

Value$14 (-$24)

Filed 2016-11-14

Advisory Alpha, LLC

NEW

Shares1,444

Change+1,444

Value$13

Filed 2016-10-14

MetLife Securities, Inc

DECREASED

Shares1,226 from 1,250

Change-24 (-2%)

Value$11 ($0)

Filed 2016-10-13

Next Financial Group, Inc

NEW

Shares1,100

Change+1,100

Value$10

Filed 2016-11-01

Karpus Management, Inc.

CLOSED

Shares0 from 30,609

Change-30,609 (-100%)

Value$0 (-$275)

Filed 2016-11-14

Envestnet Asset Management Inc

CLOSED

Shares0 from 10,071

Change-10,071 (-100%)

Value$0 (-$91)

Filed 2016-11-14

	Status
Bulldog Investors, LLPA	INCREASED	2,190,168	1,691,267	+498,901	+30%	$15.2K	$20.0K	+$4.7K	2016-11-14
SIT Investment Associates Inc	DECREASED	834,984	888,497	-53,513	-6%	$8.0K	$7.6K	-$381	2016-11-01
Clough Capital Partners L P	NEW	91,700	—	+91,700	—	—	$835	—	2016-11-14
Guggenheim Capital LLC	DECREASED	89,054	95,701	-6,647	-7%	$860	$811	-$49	2016-11-15
Wells Fargo & Company	INCREASED	88,488	86,188	+2,300	+3%	$775	$806	+$31	2016-10-31
1607 Capital Partners, LLC	INCREASED	66,458	60,458	+6,000	+10%	$544	$605	+$61	2016-11-14
Raymond James & Associates	DECREASED	65,062	96,935	-31,873	-33%	$871	$593	-$278	2016-11-14
Relative Value Partners Group, LLC	DECREASED	62,835	78,872	-16,037	-20%	$696	$572	-$124	2016-11-07
Citigroup Inc	DECREASED	53,998	70,025	-16,027	-23%	$630	$492	-$138	2016-11-10
UBS Group AG	DECREASED	44,237	45,136	-899	-2%	$406	$403	-$3	2016-11-14
Ladenburg Thalmann Financial Services Inc	DECREASED	38,682	45,087	-6,405	-14%	$407	$353	-$54	2016-11-14
Raymond James Financial Services Advisors, Inc.	INCREASED	31,973	29,873	+2,100	+7%	$269	$291	+$22	2016-11-14
Icon Advisers Inc	DECREASED	30,649	175,118	-144,469	-82%	$1.6K	$279	-$1.3K	2016-11-04
LPL Financial LLC	DECREASED	24,391	26,675	-2,284	-9%	$239	$222	-$17	2016-11-16
Oppenheimer & Co Inc	DECREASED	24,208	36,404	-12,196	-33%	$327	$221	-$106	2016-11-07
Raymond James Trust N.A.	NEW	22,500	—	+22,500	—	—	$205	—	2016-10-11
Advisor Group, Inc.	DECREASED	11,200	15,298	-4,098	-27%	$137	$102	-$35	2017-11-02
Morgan Stanley	INCREASED	10,350	8,631	+1,719	+20%	$78	$94	+$16	2016-11-10
IFP Advisors, Inc	UNCHANGED	5,657	5,657	0	0%	$51	$52	+$1	2016-11-04
Royal Bank of Canada	INCREASED	1,878	1,873	+5	+0%	$17	$17	$0	2016-11-14
Gradient Investments LLC	UNCHANGED	1,700	1,700	0	0%	$15	$15	$0	2016-10-11
Bank of America Corp	DECREASED	1,525	4,175	-2,650	-63%	$38	$14	-$24	2016-11-14
Advisory Alpha, LLC	NEW	1,444	—	+1,444	—	—	$13	—	2016-10-14
MetLife Securities, Inc	DECREASED	1,226	1,250	-24	-2%	$11	$11	$0	2016-10-13
Next Financial Group, Inc	NEW	1,100	—	+1,100	—	—	$10	—	2016-11-01
Karpus Management, Inc.	CLOSED	0	30,609	-30,609	-100%	$275	$0	-$275	2016-11-14
Envestnet Asset Management Inc	CLOSED	0	10,071	-10,071	-100%	$91	$0	-$91	2016-11-14

Showing 27 of 27 institutions