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AMERN STRATEGIC INCOME PTFL
AMERN STRATEGIC INCOME PTFL. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 34 Institutional holders with a total value of $61,349,462.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Plante Moran Financial Advisors, LLC 607 5,000 0.01%
2 D.A. DAVIDSON & CO. 1,000 8,000 0.01%
3 Creative Planning 977 9,000 0.01%
4 AMERIPRISE FINANCIAL INC 1,000 9,000 0.01%
5 Waverly Advisors, LLC 1,097 10,000 0.02%
6 Tower Research Capital LLC (TRC) 1,099 10,000 0.02%
7 NEXT Financial Group, Inc 1,760 15,000 0.02%
8 CITIGROUP INC 1,813 16,000 0.03%
9 MSI Financial Services Inc 4,236 37,000 0.06%
10 LADENBURG THALMANN FINANCIAL SERVICES INC. 6,394 56,000 0.09%
11 AMERICAN INTERNATIONAL GROUP, INC. 7,114 62,462 0.10%
12 BANK OF AMERICA CORP /DE/ 8,878 78,000 0.13%
13 SHEPHERD KAPLAN KROCHUK, LLC 14,610 128,000 0.21%
14 Independence Trust CO 15,905 140,000 0.23%
15 UBS AG 16,358 144,000 0.23%
16 Capital Investment Advisors, LLC 19,844 145,000 0.24%
17 LPL Financial LLC 21,279 187,000 0.30%
18 UNITED FIRE GROUP INC 25,420 223,000 0.36%
19 Windsor Capital Management, LLC 26,099 229,000 0.37%
20 ROYAL BANK OF CANADA 30,141 265,000 0.43%
21 FIRST FOUNDATION ADVISORS 41,527 365,000 0.59%
22 Thomas J. Herzfeld Advisors, Inc. 50,420 443,000 0.72%
23 DOLIVER ADVISORS, LP 63,305 556,000 0.91%
24 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD 110,243 968,000 1.58%
25 NWAM LLC 139,323 1,223,000 1.99%
26 MARINER INVESTMENT GROUP LLC 163,500 1,436,000 2.34%
27 MORGAN STANLEY 181,051 1,590,000 2.59%
28 Advisors Asset Management, Inc. 246,838 2,167,000 3.53%
29 WELLS FARGO & COMPANY/MN 393,688 3,457,000 5.63%
30 Grantham, Mayo, Van Otterloo & Co. LLC 479,500 4,210,000 6.86%
31 RIVERNORTH CAPITAL MANAGEMENT, LLC 501,624 4,404,000 7.18%
32 ICON ADVISERS INC/CO 772,951 6,787,000 11.06%
33 Relative Value Partners, LLC 924,058 8,113,000 13.22%
34 SIT INVESTMENT ASSOCIATES INC 2,716,901 23,854,000 38.88%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.