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Helios Multi SEC HI Inc FD I

Q2 2014 vs Q4 2014

Comparing institutional holders between quarters

Quarters

Q4 2014Q2 2014Q1 2014Q4 2013Q3 2013
CompareDetailedHistoricalFundsOptionsShort Interest13D/13GPeersTargetingTrading SummaryProfile
Valley National Advisers Inc
NEW
Shares140
Change+140
Value$1
Filed 2015-02-09
Horizon Kinetics LLC
CLOSED
Shares0 from 208,095
Change-208,095 (-100%)
Value$0 (-$1.5K)
Filed 2015-02-17
Pine River Capital Management L.P.
CLOSED
Shares0 from 134,511
Change-134,511 (-100%)
Value$0 (-$946)
Filed 2015-11-16
Yorktown Management & Research Co Inc
CLOSED
Shares0 from 48,757
Change-48,757 (-100%)
Value$0 (-$343)
Filed 2015-02-05
Raymond James & Associates
CLOSED
Shares0 from 45,985
Change-45,985 (-100%)
Value$0 (-$323)
Filed 2015-02-11
Oppenheimer & Co Inc
CLOSED
Shares0 from 23,529
Change-23,529 (-100%)
Value$0 (-$166)
Filed 2015-02-10
Creative Planning
CLOSED
Shares0 from 21,858
Change-21,858 (-100%)
Value$0 (-$154)
Filed 2015-01-29
First Allied Advisory Services, Inc.
CLOSED
Shares0 from 20,966
Change-20,966 (-100%)
Value$0 (-$148)
Filed 2015-02-09
LPL Financial LLC
CLOSED
Shares0 from 14,966
Change-14,966 (-100%)
Value$0 (-$105)
Filed 2015-02-13
Ladenburg Thalmann Financial Services Inc
CLOSED
Shares0 from 14,437
Change-14,437 (-100%)
Value$0 (-$101)
Filed 2015-02-13
Sfmg, LLC
CLOSED
Shares0 from 10,000
Change-10,000 (-100%)
Value$0 (-$70)
Filed 2015-02-11
Ameriprise Financial Inc
CLOSED
Shares0 from 6,000
Change-6,000 (-100%)
Value$0 (-$42)
Filed 2015-02-13
Morgan Stanley
CLOSED
Shares0 from 5,780
Change-5,780 (-100%)
Value$0 (-$41)
Filed 2015-02-13
MetLife Securities, Inc
CLOSED
Shares0 from 4,249
Change-4,249 (-100%)
Value$0 (-$30)
Filed 2015-01-26
Bank of America Corp
CLOSED
Shares0 from 2,500
Change-2,500 (-100%)
Value$0 (-$18)
Filed 2015-02-13
Wells Fargo & Company
CLOSED
Shares0 from 1,547
Change-1,547 (-100%)
Value$0 (-$11)
Filed 2015-02-11
WFG Advisors, LP
CLOSED
Shares0 from 647
Change-647 (-100%)
Value$0 (-$5)
Filed 2015-02-12
Delta Asset Management LLC
CLOSED
Shares0 from 600
Change-600 (-100%)
Value$0 (-$4)
Filed 2015-01-22
UBS AG
N/A
Shares— from 2,333
Change-2,333 (-100%)
Value—
Status
Valley National Advisers Inc
NEW140—+140——$1—2015-02-09
Horizon Kinetics LLC
CLOSED0208,095-208,095-100%$1.5K$0-$1.5K2015-02-17
Pine River Capital Management L.P.
CLOSED0134,511-134,511-100%$946$0-$9462015-11-16
Yorktown Management & Research Co Inc
CLOSED048,757-48,757-100%$343$0-$3432015-02-05
Raymond James & Associates
CLOSED045,985-45,985-100%$323$0-$3232015-02-11
Oppenheimer & Co Inc
CLOSED023,529-23,529-100%$166$0-$1662015-02-10
Creative Planning
CLOSED021,858-21,858-100%$154$0-$1542015-01-29
First Allied Advisory Services, Inc.
CLOSED020,966-20,966-100%$148$0-$1482015-02-09
LPL Financial LLC
CLOSED014,966-14,966-100%$105$0-$1052015-02-13
Ladenburg Thalmann Financial Services Inc
CLOSED014,437-14,437-100%$101$0-$1012015-02-13
Sfmg, LLC
CLOSED010,000-10,000-100%$70$0-$702015-02-11
Ameriprise Financial Inc
CLOSED06,000-6,000-100%$42$0-$422015-02-13
Morgan Stanley
CLOSED05,780-5,780-100%$41$0-$412015-02-13
MetLife Securities, Inc
CLOSED04,249-4,249-100%$30$0-$302015-01-26
Bank of America Corp
CLOSED02,500-2,500-100%$18$0-$182015-02-13
Wells Fargo & Company
CLOSED01,547-1,547-100%$11$0-$112015-02-11
WFG Advisors, LP
CLOSED0647-647-100%$5$0-$52015-02-12
Delta Asset Management LLC
CLOSED0600-600-100%$4$0-$42015-01-22
UBS AG
N/A—2,333-2,333-100%$17———
Showing 19 of 19 institutions