Managed High Yield Plus FD I

Q4 2015 vs Q1 2016

Comparing institutional holders between quarters

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

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Saba Capital Management, L.P.A

INCREASED

Shares6,229,242 from 6,132,069

Change+97,173 (+2%)

Value$11.1K (+$296)

Filed 2016-05-16

Bulldog Investors, LLPA

INCREASED

Shares4,209,907 from 3,145,351

Change+1,064,556 (+34%)

Value$7.5K (+$2.0K)

Filed 2016-05-13

Icon Advisers Inc

INCREASED

Shares3,000,520 from 2,234,640

Change+765,880 (+34%)

Value$5.3K (+$1.4K)

Filed 2016-05-05

Advisors Asset Management, Inc.

DECREASED

Shares2,200,134 from 2,557,032

Change-356,898 (-14%)

Value$3.9K (-$584)

Filed 2016-05-16

SIT Investment Associates Inc

INCREASED

Shares1,904,232 from 1,802,527

Change+101,705 (+6%)

Value$3.4K (+$218)

Filed 2016-04-14

Rivernorth Capital Management, LLC

DECREASED

Shares1,539,057 from 1,612,277

Change-73,220 (-5%)

Value$2.7K (-$98)

Filed 2016-05-16

Weiss Asset Management LP

INCREASED

Shares1,096,786 from 125,237

Change+971,549 (+776%)

Value$2.0K (+$1.7K)

Filed 2016-05-13

Yakira Capital Management, Inc.

INCREASED

Shares742,810 from 247,346

Change+495,464 (+200%)

Value$1.3K (+$887)

Filed 2016-05-13

Wolverine Asset Management LLC

INCREASED

Shares494,842 from 400,504

Change+94,338 (+24%)

Value$880 (+$176)

Filed 2016-05-16

Investment Centers of America Inc

INCREASED

Shares404,876 from 402,937

Change+1,939 (+0%)

Value$720 (+$12)

Filed 2016-04-27

Stifel Financial Corp

DECREASED

Shares335,140 from 350,524

Change-15,384 (-4%)

Value$596 (-$21)

Filed 2016-05-16

Shaker Financial Services, LLC

INCREASED

Shares185,753 from 163,999

Change+21,754 (+13%)

Value$331 (+$42)

Filed 2016-05-09

LPL Financial LLC

INCREASED

Shares127,768 from 123,168

Change+4,600 (+4%)

Value$227 (+$10)

Filed 2016-05-16

PVG Asset Management

DECREASED

Shares125,970 from 128,040

Change-2,070 (-2%)

Value$224.2K (-$1.1K)

Filed 2016-05-12

Doliver Advisors, LP

DECREASED

Shares120,877 from 121,977

Change-1,100 (-1%)

Value$215 ($0)

Filed 2016-04-28

Citigroup Inc

UNCHANGED

Shares83,100 from 83,100

Change0 (0%)

Value$148 (+$2)

Filed 2016-05-13

Landscape Capital Management, L.L.C.

DECREASED

Shares62,144 from 124,616

Change-62,472 (-50%)

Value$111 (-$108)

Filed 2016-05-11

JD Capital Management LLC

UNCHANGED

Shares52,452 from 52,452

Change0 (0%)

Value$93 (+$1)

Filed 2016-05-13

Meridian Investment Counsel Inc.

UNCHANGED

Shares47,102 from 47,102

Change0 (0%)

Value$84 (+$1)

Filed 2016-05-12

Cambridge Investment Research Advisors, Inc.

UNCHANGED

Shares45,870 from 45,870

Change0 (0%)

Value$82 (+$1)

Filed 2016-05-03

Susquehanna International Group, LLP

NEW

Shares44,802

Change+44,802

Value$80

Filed 2016-05-13

Kamunting Street Capital Management, L.P.

UNCHANGED

Shares42,500 from 42,500

Change0 (0%)

Value$76 (+$1)

Filed 2016-05-16

Two Sigma Securities, LLC

NEW

Shares33,654

Change+33,654

Value$60

Filed 2016-05-16

Kovack Advisors, Inc.

DECREASED

Shares30,500 from 124,434

Change-93,934 (-75%)

Value$54 (-$165)

Filed 2018-10-12

SG Americas Securities, LLC

UNCHANGED

Shares30,332 from 30,332

Change0 (0%)

Value$54 (+$1)

Filed 2016-05-12

Raymond James Financial Services Advisors, Inc.

NEW

Shares30,201

Change+30,201

Value$54

Filed 2016-08-12

Ladenburg Thalmann Financial Services Inc

INCREASED

Shares29,170 from 25,030

Change+4,140 (+17%)

Value$52 (+$8)

Filed 2016-05-16

Wells Fargo & Company

INCREASED

Shares27,888 from 17,999

Change+9,889 (+55%)

Value$49 (+$18)

Filed 2016-05-16

KCG Holdings, Inc.

INCREASED

Shares25,488 from 19,750

Change+5,738 (+29%)

Value$45 (+$10)

Filed 2016-05-13

Texas Yale Capital Corp.

UNCHANGED

Shares22,800 from 22,800

Change0 (0%)

Value$41 (+$1)

Filed 2016-05-13

Morgan Stanley

INCREASED

Shares21,018 from 4,828

Change+16,190 (+335%)

Value$37 (+$29)

Filed 2016-05-12

Cetera Advisors LLC

UNCHANGED

Shares18,468 from 18,468

Change0 (0%)

Value$33 (+$1)

Filed 2016-05-13

American International Group, Inc.

UNCHANGED

Shares18,000 from 18,000

Change0 (0%)

Value$32.0K ($0)

Filed 2016-05-12

Private Advisor Group, LLC

INCREASED

Shares13,091 from 10,376

Change+2,715 (+26%)

Value$23 (+$5)

Filed 2016-05-13

SII Investments Inc

NEW

Shares13,000

Change+13,000

Value$24

Filed 2016-04-27

Concert Wealth Management Inc.

UNCHANGED

Shares12,680 from 12,680

Change0 (0%)

Value$24 ($0)

Filed 2016-05-16

Creative Planning

DECREASED

Shares11,385 from 12,385

Change-1,000 (-8%)

Value$20 (-$2)

Filed 2016-04-08

UBS Group AG

DECREASED

Shares10,771 from 19,171

Change-8,400 (-44%)

Value$19 (-$15)

Filed 2016-05-12

Huntington National Bank

NEW

Shares7,567

Change+7,567

Value$15

Filed 2016-04-26

Bank of America Corp

DECREASED

Shares3,488 from 7,000

Change-3,512 (-50%)

Value$6 (-$6)

Filed 2016-05-13

Royal Bank of Canada

UNCHANGED

Shares2,000 from 2,000

Change0 (0%)

Value$4 ($0)

Filed 2016-06-08

Synovus Financial Corp

UNCHANGED

Shares1,201 from 1,201

Change0 (0%)

Value$2 ($0)

Filed 2016-05-09

Tower Research Capital LLC (TRC)

DECREASED

Shares314 from 1,747

Change-1,433 (-82%)

Value$1 (-$2)

Filed 2016-05-16

MetLife Securities, Inc

UNCHANGED

Shares186 from 186

Change0 (0%)

Value$0 ($0)

Filed 2016-04-22

WFG Advisors, LP

UNCHANGED

Shares2 from 2

Change0 (0%)

Value$0 ($0)

Filed 2016-05-10

B. Riley Wealth Advisors, Inc.

CLOSED

Shares0 from 13,289

Change-13,289 (-100%)

Value$0 (-$24)

Filed 2016-05-16

Citadel Advisors LLC

CLOSED

Shares0 from 11,635

Change-11,635 (-100%)

Value$0 (-$20)

Filed 2017-01-31

Gupta Wealth Management LLC

CLOSED

Shares0 from 10,965

Change-10,965 (-100%)

Value$0 (-$19)

Filed 2016-05-16

IFP Advisors, Inc

CLOSED

Shares0 from 4,229

Change-4,229 (-100%)

Value$0 (-$7)

Filed 2019-06-03

Ausdal Financial Partners, Inc.

CLOSED

Shares0 from 500

Change-500 (-100%)

Value$0 (-$1)

Filed 2016-05-05

Joel Isaacson & Co., LLC

CLOSED

Shares0 from 54

Change-54 (-100%)

Value$0 ($0)

Filed 2016-04-18

	Status
Saba Capital Management, L.P.A	INCREASED	6,229,242	6,132,069	+97,173	+2%	$10.8K	$11.1K	+$296	2016-05-16
Bulldog Investors, LLPA	INCREASED	4,209,907	3,145,351	+1,064,556	+34%	$5.5K	$7.5K	+$2.0K	2016-05-13
Icon Advisers Inc	INCREASED	3,000,520	2,234,640	+765,880	+34%	$3.9K	$5.3K	+$1.4K	2016-05-05
Advisors Asset Management, Inc.	DECREASED	2,200,134	2,557,032	-356,898	-14%	$4.5K	$3.9K	-$584	2016-05-16
SIT Investment Associates Inc	INCREASED	1,904,232	1,802,527	+101,705	+6%	$3.2K	$3.4K	+$218	2016-04-14
Rivernorth Capital Management, LLC	DECREASED	1,539,057	1,612,277	-73,220	-5%	$2.8K	$2.7K	-$98	2016-05-16
Weiss Asset Management LP	INCREASED	1,096,786	125,237	+971,549	+776%	$220	$2.0K	+$1.7K	2016-05-13
Yakira Capital Management, Inc.	INCREASED	742,810	247,346	+495,464	+200%	$435	$1.3K	+$887	2016-05-13
Wolverine Asset Management LLC	INCREASED	494,842	400,504	+94,338	+24%	$704	$880	+$176	2016-05-16
Investment Centers of America Inc	INCREASED	404,876	402,937	+1,939	+0%	$708	$720	+$12	2016-04-27
Stifel Financial Corp	DECREASED	335,140	350,524	-15,384	-4%	$617	$596	-$21	2016-05-16
Shaker Financial Services, LLC	INCREASED	185,753	163,999	+21,754	+13%	$289	$331	+$42	2016-05-09
LPL Financial LLC	INCREASED	127,768	123,168	+4,600	+4%	$217	$227	+$10	2016-05-16
PVG Asset Management	DECREASED	125,970	128,040	-2,070	-2%	$225.4K	$224.2K	-$1.1K	2016-05-12
Doliver Advisors, LP	DECREASED	120,877	121,977	-1,100	-1%	$215	$215	$0	2016-04-28
Citigroup Inc	UNCHANGED	83,100	83,100	0	0%	$146	$148	+$2	2016-05-13
Landscape Capital Management, L.L.C.	DECREASED	62,144	124,616	-62,472	-50%	$219	$111	-$108	2016-05-11
JD Capital Management LLC	UNCHANGED	52,452	52,452	0	0%	$92	$93	+$1	2016-05-13
Meridian Investment Counsel Inc.	UNCHANGED	47,102	47,102	0	0%	$83	$84	+$1	2016-05-12
Cambridge Investment Research Advisors, Inc.	UNCHANGED	45,870	45,870	0	0%	$81	$82	+$1	2016-05-03
Susquehanna International Group, LLP	NEW	44,802	—	+44,802	—	—	$80	—	2016-05-13
Kamunting Street Capital Management, L.P.	UNCHANGED	42,500	42,500	0	0%	$75	$76	+$1	2016-05-16
Two Sigma Securities, LLC	NEW	33,654	—	+33,654	—	—	$60	—	2016-05-16
Kovack Advisors, Inc.	DECREASED	30,500	124,434	-93,934	-75%	$219	$54	-$165	2018-10-12
SG Americas Securities, LLC	UNCHANGED	30,332	30,332	0	0%	$53	$54	+$1	2016-05-12
Raymond James Financial Services Advisors, Inc.	NEW	30,201	—	+30,201	—	—	$54	—	2016-08-12
Ladenburg Thalmann Financial Services Inc	INCREASED	29,170	25,030	+4,140	+17%	$44	$52	+$8	2016-05-16
Wells Fargo & Company	INCREASED	27,888	17,999	+9,889	+55%	$31	$49	+$18	2016-05-16
KCG Holdings, Inc.	INCREASED	25,488	19,750	+5,738	+29%	$35	$45	+$10	2016-05-13
Texas Yale Capital Corp.	UNCHANGED	22,800	22,800	0	0%	$40	$41	+$1	2016-05-13
Morgan Stanley	INCREASED	21,018	4,828	+16,190	+335%	$8	$37	+$29	2016-05-12
Cetera Advisors LLC	UNCHANGED	18,468	18,468	0	0%	$32	$33	+$1	2016-05-13
American International Group, Inc.	UNCHANGED	18,000	18,000	0	0%	$32.0K	$32.0K	$0	2016-05-12
Private Advisor Group, LLC	INCREASED	13,091	10,376	+2,715	+26%	$18	$23	+$5	2016-05-13
SII Investments Inc	NEW	13,000	—	+13,000	—	—	$24	—	2016-04-27
Concert Wealth Management Inc.	UNCHANGED	12,680	12,680	0	0%	$24	$24	$0	2016-05-16
Creative Planning	DECREASED	11,385	12,385	-1,000	-8%	$22	$20	-$2	2016-04-08
UBS Group AG	DECREASED	10,771	19,171	-8,400	-44%	$34	$19	-$15	2016-05-12
Huntington National Bank	NEW	7,567	—	+7,567	—	—	$15	—	2016-04-26
Bank of America Corp	DECREASED	3,488	7,000	-3,512	-50%	$12	$6	-$6	2016-05-13
Royal Bank of Canada	UNCHANGED	2,000	2,000	0	0%	$4	$4	$0	2016-06-08
Synovus Financial Corp	UNCHANGED	1,201	1,201	0	0%	$2	$2	$0	2016-05-09
Tower Research Capital LLC (TRC)	DECREASED	314	1,747	-1,433	-82%	$3	$1	-$2	2016-05-16
MetLife Securities, Inc	UNCHANGED	186	186	0	0%	$0	$0	$0	2016-04-22
WFG Advisors, LP	UNCHANGED	2	2	0	0%	$0	$0	$0	2016-05-10
B. Riley Wealth Advisors, Inc.	CLOSED	0	13,289	-13,289	-100%	$24	$0	-$24	2016-05-16
Citadel Advisors LLC	CLOSED	0	11,635	-11,635	-100%	$20	$0	-$20	2017-01-31
Gupta Wealth Management LLC	CLOSED	0	10,965	-10,965	-100%	$19	$0	-$19	2016-05-16
IFP Advisors, Inc	CLOSED	0	4,229	-4,229	-100%	$7	$0	-$7	2019-06-03
Ausdal Financial Partners, Inc.	CLOSED	0	500	-500	-100%	$1	$0	-$1	2016-05-05
Joel Isaacson & Co., LLC	CLOSED	0	54	-54	-100%	$0	$0	$0	2016-04-18

Showing 51 of 51 institutions