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LMP CAP & INCOME FD INCORPORATED
LMP CAP & INCOME FD INCORPORATED. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 30 Institutional holders with a total value of $76,824,955.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Advisors Asset Management, Inc. 1,571,357 26,336,000 34.28%
2 MORGAN STANLEY 801,280 13,429,000 17.48%
3 Invesco Ltd. 368,577 6,177,000 8.04%
4 LAZARD ASSET MANAGEMENT LLC 351,316 5,888,000 7.66%
5 RAYMOND JAMES & ASSOCIATES 288,481 4,835,000 6.29%
6 WELLS FARGO & COMPANY/MN 225,139 3,773,000 4.91%
7 COHEN & STEERS, INC. 223,975 3,754,000 4.89%
8 GUGGENHEIM CAPITAL LLC 180,205 3,019,000 3.93%
9 WOLVERINE ASSET MANAGEMENT LLC 107,369 1,799,000 2.34%
10 CORNERSTONE ADVISORS INC 78,074 1,309,000 1.70%
11 Caprock Group, LLC 68,680 1,151,000 1.50%
12 Private Advisor Group, LLC 44,921 753,000 0.98%
13 CUE ADVISORY SERVICES, INC. 40,194 674,000 0.88%
14 Thomas J. Herzfeld Advisors, Inc. 33,740 565,000 0.74%
15 Raymond James Financial Services Advisors, Inc. 29,284 491,000 0.64%
16 BANK OF AMERICA CORP /DE/ 26,327 441,000 0.57%
17 LADENBURG THALMANN FINANCIAL SERVICES INC. 20,414 342,000 0.45%
18 UBS Group AG 20,435 342,000 0.45%
19 Saba Capital Management, L.P. 19,326 324,000 0.42%
20 ROYAL BANK OF CANADA 14,127 237,000 0.31%
21 OPPENHEIMER & CO INC 13,787 231,000 0.30%
22 Shaker Financial Services, LLC 13,127 220,000 0.29%
23 ENVESTNET ASSET MANAGEMENT INC 11,529 193,000 0.25%
24 LPL Financial LLC 11,092 186,000 0.24%
25 CITIGROUP INC 7,957 134,000 0.17%
26 AMERICAN INTERNATIONAL GROUP, INC. 6,902 115,670 0.15%
27 NATIONAL PLANNING CORP 2,675 44,290 0.06%
28 Stratos Wealth Partners, LTD. 2,267 37,995 0.05%
29 Creative Planning 1,000 17,000 0.02%
30 MCF Advisors LLC 400 7,000 0.01%

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.