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CUTWATER SELECT INCOME FUND
CUTWATER SELECT INCOME FUND. Institutional holdings reported to the SEC.

Institutional Holders (2016Q2)
Portfolio Summary: 36 Institutional holders with a total value of $36,459,376.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 508,938 10,093,000 27.68%
2 SIT INVESTMENT ASSOCIATES INC 418,008 8,289,000 22.73%
3 M&R CAPITAL MANAGEMENT INC 173,650 3,443,000 9.44%
4 UBS Group AG 124,090 2,461,000 6.75%
5 1607 Capital Partners, LLC 114,123 2,263,000 6.21%
6 Invesco Ltd. 109,902 2,179,000 5.98%
7 LPL Financial LLC 48,791 972,000 2.67%
8 WealthTrust Axiom LLC 42,575 844,000 2.31%
9 SII INVESTMENTS INC/WI 38,280 762,000 2.09%
10 Commonwealth Equity Services, Inc 33,502 664,000 1.82%
11 GUGGENHEIM CAPITAL LLC 28,669 569,000 1.56%
12 MORGAN STANLEY 27,299 541,000 1.48%
13 SeaBridge Investment Advisors LLC 25,520 506,000 1.39%
14 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 19,911 395,000 1.08%
15 SANDERS MORRIS HARRIS INC/FA 19,734 392,000 1.08%
16 BANK OF AMERICA CORP /DE/ 19,624 389,000 1.07%
17 Curi Capital, LLC 17,311 343,000 0.94%
18 Cetera Advisor Networks LLC 10,891 218,000 0.60%
19 Gilman Hill Asset Management, LLC 10,500 208,000 0.57%
20 Point View Wealth Management, Inc. 10,461 207,000 0.57%
21 ROYAL BANK OF CANADA 8,348 166,000 0.46%
22 Archford Capital Strategies, LLC 4,926 98,000 0.27%
23 CITIGROUP INC 4,504 89,000 0.24%
24 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,340 84,000 0.23%
25 PNC FINANCIAL SERVICES GROUP, INC. 3,554 71,000 0.19%
26 US BANCORP \DE\ 3,000 59,000 0.16%
27 First Horizon Advisors, Inc. 3,000 59,000 0.16%
28 IFP ADVISORS, INC 1,408 28,000 0.08%
29 NEXT Financial Group, Inc 1,310 25,000 0.07%
30 CENTRAL TRUST Co 734 15,000 0.04%
31 Brick & Kyle, Associates 500 10,000 0.03%
32 ADVISOR GROUP, INC. 500 9,000 0.02%
33 REILLY FINANCIAL ADVISORS, LLC 305 6,000 0.02%
34 Parkside Financial Bank & Trust 32 1,000 0.00% PRN
35 Livingston Group Asset Management CO (operating as Southport Capital Management) 50 1,000 0.00%
36 WOLVERINE TRADING LP /BD 19 376 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.