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BROOKFIELD HIGH INCOME FD IN
BROOKFIELD HIGH INCOME FD IN. Institutional holdings reported to the SEC.

Institutional Holders (2015Q2)
Portfolio Summary: 42 Institutional holders with a total value of $19,696,862.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Pine River Capital Management L.P. 584,991 4,768,000 24.21%
2 GUGGENHEIM CAPITAL LLC 455,424 3,710,000 18.84%
3 Horizon Kinetics LLC 373,346 3,043,000 15.45%
4 Yorktown Management & Research Co Inc 205,000 1,671,000 8.48%
5 LPL Financial LLC 106,111 876,000 4.45%
6 RIVERNORTH CAPITAL MANAGEMENT, LLC 96,614 787,000 4.00%
7 Shaker Financial Services, LLC 86,840 708,000 3.59%
8 WOLVERINE ASSET MANAGEMENT LLC 56,481 460,000 2.34%
9 RAYMOND JAMES & ASSOCIATES 50,917 415,000 2.11%
10 MORGAN STANLEY 46,970 383,000 1.94%
11 BANK OF AMERICA CORP /DE/ 39,967 326,000 1.66%
12 DOLIVER ADVISORS, LP 39,125 319,000 1.62%
13 SII INVESTMENTS INC/WI 38,310 312,000 1.58%
14 UBS Group AG 31,440 256,000 1.30%
15 First Allied Advisory Services, Inc. 29,409 240,000 1.22%
16 CLOUGH CAPITAL PARTNERS L P 26,800 218,000 1.11%
17 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 18,117 148,000 0.75%
18 WELLS FARGO & COMPANY/MN 17,968 147,000 0.75%
19 Virtu KCG Holdings LLC 17,215 140,000 0.71%
20 AMERIPRISE FINANCIAL INC 13,812 113,000 0.57%
21 Commonwealth Equity Services, Inc 13,249 108,000 0.55%
22 BROOKFIELD Corp /ON/ 11,800 96,000 0.49%
23 HOWLAND CAPITAL MANAGEMENT LLC 11,000 90,000 0.46%
24 FORT WASHINGTON INVESTMENT ADVISORS INC /OH/ 10,500 86,000 0.44%
25 BENJAMIN F. EDWARDS & COMPANY, INC. 7,474 61,000 0.31%
26 Winslow, Evans & Crocker, Inc. 7,484 60,988 0.31%
27 AMERICAN INTERNATIONAL GROUP, INC. 4,581 37,336 0.19%
28 DELTA ASSET MANAGEMENT LLC/TN 2,702 22,000 0.11%
29 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,445 20,000 0.10%
30 NEXT Financial Group, Inc 1,725 14,000 0.07%
31 MSI Financial Services Inc 1,270 10,000 0.05%
32 Advisors Asset Management, Inc. 1,181 10,000 0.05%
33 PNC FINANCIAL SERVICES GROUP, INC. 1,000 8,000 0.04%
34 Ironwood Financial, llc 856 7,000 0.04%
35 SECURITY NATIONAL TRUST CO 749 6,000 0.03%
36 DEUTSCHE BANK AG\ 670 5,000 0.03%
37 ROYAL BANK OF CANADA 559 5,000 0.03%
38 WOODMONT INVESTMENT COUNSEL LLC 461 4,000 0.02%
39 WFG Advisors, LP 396 3,000 0.02%
40 FIFTH THIRD BANCORP 214 2,000 0.01%
41 NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC 162 1,000 0.01%
42 Sunbelt Securities, Inc. 66 538 0.00%

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.