Helios Strategic Income FD I

Q2 2014 vs Q4 2014

Comparing institutional holders between quarters

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

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Valley National Advisers Inc

NEW

Shares140

Change+140

Value$1

Filed 2015-02-09

SIT Investment Associates Inc

CLOSED

Shares0 from 881,400

Change-881,400 (-100%)

Value$0 (-$6.1K)

Filed 2015-01-28

Rivernorth Capital Management, LLC

CLOSED

Shares0 from 131,736

Change-131,736 (-100%)

Value$0 (-$908)

Filed 2015-02-17

Shaker Financial Services, LLC

CLOSED

Shares0 from 79,932

Change-79,932 (-100%)

Value$0 (-$551)

Filed 2015-02-10

Grantham, Mayo, Van Otterloo & Co. LLC

CLOSED

Shares0 from 68,700

Change-68,700 (-100%)

Value$0 (-$473)

Filed 2015-02-13

Horizon Kinetics LLC

CLOSED

Shares0 from 68,605

Change-68,605 (-100%)

Value$0 (-$473)

Filed 2015-02-17

Wells Fargo & Company

CLOSED

Shares0 from 55,000

Change-55,000 (-100%)

Value$0 (-$379)

Filed 2015-02-11

Weiss Asset Management LP

CLOSED

Shares0 from 54,399

Change-54,399 (-100%)

Value$0 (-$374)

Filed 2015-04-17

Morgan Stanley

CLOSED

Shares0 from 16,097

Change-16,097 (-100%)

Value$0 (-$111)

Filed 2015-02-13

Stifel Financial Corp

CLOSED

Shares0 from 15,100

Change-15,100 (-100%)

Value$0 (-$104)

Filed 2015-02-13

Commonwealth Equity Services, Inc

CLOSED

Shares0 from 10,800

Change-10,800 (-100%)

Value$0 (-$74)

Filed 2015-01-13

Aviance Capital Partners, LLC

CLOSED

Shares0 from 10,414

Change-10,414 (-100%)

Value$0 (-$72)

Filed 2015-01-28

B. Riley Wealth Advisors, Inc.

CLOSED

Shares0 from 3,869

Change-3,869 (-100%)

Value$0 (-$26.7K)

Filed 2015-02-18

Fifth Third Bancorp

CLOSED

Shares0 from 317

Change-317 (-100%)

Value$0 (-$2)

Filed 2015-02-13

Delta Asset Management LLC

CLOSED

Shares0 from 290

Change-290 (-100%)

Value$0 (-$2)

Filed 2015-01-22

Creative Planning

CLOSED

Shares0 from 159

Change-159 (-100%)

Value$0 (-$1)

Filed 2015-01-29

Ladenburg Thalmann Financial Services Inc

CLOSED

Shares0 from 152

Change-152 (-100%)

Value$0 (-$1)

Filed 2015-02-13

Royal Bank of Canada

CLOSED

Shares0 from 56

Change-56 (-100%)

Value$0 ($0)

Filed 2015-02-17

UBS AG

N/A

Shares— from 14,781

Change-14,781 (-100%)

Value—

Robinson Capital Management, LLC

N/A

Shares— from 10,100

Change-10,100 (-100%)

Value—

Antonetti Capital Management LLC

N/A

Shares— from 328

Change-328 (-100%)

Value—

	Status
Valley National Advisers Inc	NEW	140	—	+140	—	—	$1	—	2015-02-09
SIT Investment Associates Inc	CLOSED	0	881,400	-881,400	-100%	$6.1K	$0	-$6.1K	2015-01-28
Rivernorth Capital Management, LLC	CLOSED	0	131,736	-131,736	-100%	$908	$0	-$908	2015-02-17
Shaker Financial Services, LLC	CLOSED	0	79,932	-79,932	-100%	$551	$0	-$551	2015-02-10
Grantham, Mayo, Van Otterloo & Co. LLC	CLOSED	0	68,700	-68,700	-100%	$473	$0	-$473	2015-02-13
Horizon Kinetics LLC	CLOSED	0	68,605	-68,605	-100%	$473	$0	-$473	2015-02-17
Wells Fargo & Company	CLOSED	0	55,000	-55,000	-100%	$379	$0	-$379	2015-02-11
Weiss Asset Management LP	CLOSED	0	54,399	-54,399	-100%	$374	$0	-$374	2015-04-17
Morgan Stanley	CLOSED	0	16,097	-16,097	-100%	$111	$0	-$111	2015-02-13
Stifel Financial Corp	CLOSED	0	15,100	-15,100	-100%	$104	$0	-$104	2015-02-13
Commonwealth Equity Services, Inc	CLOSED	0	10,800	-10,800	-100%	$74	$0	-$74	2015-01-13
Aviance Capital Partners, LLC	CLOSED	0	10,414	-10,414	-100%	$72	$0	-$72	2015-01-28
B. Riley Wealth Advisors, Inc.	CLOSED	0	3,869	-3,869	-100%	$26.7K	$0	-$26.7K	2015-02-18
Fifth Third Bancorp	CLOSED	0	317	-317	-100%	$2	$0	-$2	2015-02-13
Delta Asset Management LLC	CLOSED	0	290	-290	-100%	$2	$0	-$2	2015-01-22
Creative Planning	CLOSED	0	159	-159	-100%	$1	$0	-$1	2015-01-29
Ladenburg Thalmann Financial Services Inc	CLOSED	0	152	-152	-100%	$1	$0	-$1	2015-02-13
Royal Bank of Canada	CLOSED	0	56	-56	-100%	$0	$0	$0	2015-02-17
UBS AG	N/A	—	14,781	-14,781	-100%	$102	—	—	—
Robinson Capital Management, LLC	N/A	—	10,100	-10,100	-100%	$68	—	—	—
Antonetti Capital Management LLC	N/A	—	328	-328	-100%	$2	—	—	—

Showing 21 of 21 institutions