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

Institutional Holders (2016Q3)
Portfolio Summary: 46 Institutional holders with a total value of $27,627,885.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 714,031 5,226,000 18.92%
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 540,922 3,960,000 14.33%
3 Shaker Financial Services, LLC 404,080 2,958,000 10.71%
4 ROBINSON CAPITAL MANAGEMENT, LLC 290,925 2,130,000 7.71%
5 Invesco Ltd. 245,879 1,800,000 6.52%
6 MORGAN STANLEY 212,698 1,557,000 5.64%
7 Horizon Kinetics LLC 203,256 1,488,000 5.39%
8 Weiss Asset Management LP 179,809 1,316,000 4.76%
9 ROYAL BANK OF CANADA 139,828 1,023,000 3.70%
10 Advisors Asset Management, Inc. 133,773 979,000 3.54%
11 CLOUGH CAPITAL PARTNERS L P 120,900 885,000 3.20%
12 CITIGROUP INC 99,404 728,000 2.64%
13 DOLIVER ADVISORS, LP 71,814 526,000 1.90%
14 BROOKFIELD Corp /ON/ 70,070 513,000 1.86%
15 CSS LLC/IL 56,199 411,000 1.49%
16 RAYMOND JAMES & ASSOCIATES 51,398 376,000 1.36%
17 SII INVESTMENTS INC/WI 38,310 282,000 1.02%
18 WEDBUSH SECURITIES INC 35,293 258,000 0.93%
19 BANK OF AMERICA CORP /DE/ 33,487 246,000 0.89%
20 First Allied Advisory Services, Inc. 31,606 231,000 0.84%
21 LPL Financial LLC 18,381 134,000 0.49%
22 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 12,667 93,000 0.34%
23 WELLS FARGO & COMPANY/MN 12,530 92,000 0.33%
24 Commonwealth Equity Services, Inc 12,171 89,000 0.32%
25 Winslow, Evans & Crocker, Inc. 7,484 54,776 0.20%
26 UBS Group AG 5,894 43,000 0.16%
27 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,979 36,000 0.13%
28 Creative Planning 4,037 30,000 0.11%
29 ADVISOR GROUP, INC. 3,646 27,000 0.10%
30 IFP ADVISORS, INC 3,003 22,000 0.08%
31 Thomas J. Herzfeld Advisors, Inc. 2,931 21,000 0.08%
32 DELTA ASSET MANAGEMENT LLC/TN 2,702 20,000 0.07%
33 NEXT Financial Group, Inc 2,109 15,000 0.05%
34 PNC FINANCIAL SERVICES GROUP, INC. 2,000 14,000 0.05%
35 MSI Financial Services Inc 1,452 11,000 0.04%
36 Alexandria Capital, LLC 1,165 9,000 0.03%
37 SECURITY NATIONAL TRUST CO 749 5,000 0.02%
38 People's United Financial, Inc. 700 5,000 0.02%
39 M&R CAPITAL MANAGEMENT INC 809 5,000 0.02%
40 WFG Advisors, LP 396 3,000 0.01%
41 WOODMONT INVESTMENT COUNSEL LLC 461 3,000 0.01%
42 PENSERRA CAPITAL MANAGEMENT LLC 350 2,000 0.01%
43 PINNACLE FINANCIAL PARTNERS INC 135 1,000 0.00%
44 KELMAN-LAZAROV, INC. 15 109 0.00%
45 Ironwood Financial, llc 53 0 0.00%
46 SEI INVESTMENTS CO 16 0 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.