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

Institutional Holders (2016Q3)
Portfolio Summary: 39 Institutional holders with a total value of $71,058,645.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 843,558 11,497,000 16.18%
2 WELLS FARGO & COMPANY/MN 756,654 10,314,000 14.51%
3 RAYMOND JAMES & ASSOCIATES 654,939 8,927,000 12.56%
4 RIVERNORTH CAPITAL MANAGEMENT, LLC 532,647 7,260,000 10.22%
5 LAZARD ASSET MANAGEMENT LLC 345,146 4,704,000 6.62%
6 CORNERSTONE ADVISORS INC 295,693 4,030,000 5.67%
7 Invesco Ltd. 253,244 3,452,000 4.86%
8 COHEN & STEERS, INC. 240,611 3,280,000 4.62%
9 BANK OF AMERICA CORP /DE/ 192,921 2,630,000 3.70%
10 GUGGENHEIM CAPITAL LLC 190,941 2,603,000 3.66%
11 1607 Capital Partners, LLC 146,121 1,992,000 2.80%
12 Advisors Asset Management, Inc. 142,544 1,943,000 2.73%
13 Raymond James Financial Services Advisors, Inc. 137,186 1,870,000 2.63%
14 DESCHUTES PORTFOLIO STRATEGY, LLC 116,032 1,582,000 2.23%
15 CUE ADVISORY SERVICES, INC. 38,923 531,000 0.75%
16 Thomas J. Herzfeld Advisors, Inc. 30,797 420,000 0.59%
17 OPPENHEIMER & CO INC 29,168 398,000 0.56%
18 Coe Capital Management, LLC 30,000 377,700 0.53%
19 MSI Financial Services Inc 23,645 322,000 0.45%
20 Private Advisor Group, LLC 24,171 321,000 0.45%
21 ROYAL BANK OF CANADA 19,170 299,000 0.42%
22 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 21,171 289,000 0.41%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 21,245 289,000 0.41%
24 AQR ARBITRAGE LLC 16,951 231,000 0.33%
25 UBS Group AG 13,055 178,000 0.25%
26 Klingman & Associates, LLC 11,600 158,000 0.22%
27 Saba Capital Management, L.P. 11,589 158,000 0.22%
28 RAYMOND JAMES TRUST N.A. 11,414 155,000 0.22%
29 ADVISOR GROUP, INC. 10,739 147,000 0.21%
30 LPL Financial LLC 10,980 146,000 0.21%
31 Capital Investment Advisors, LLC 10,400 142,000 0.20%
32 MARINER INVESTMENT GROUP LLC 10,334 141,000 0.20%
33 CITIGROUP INC 8,397 114,000 0.16%
34 ENVESTNET ASSET MANAGEMENT INC 8,104 110,000 0.15%
35 PNC FINANCIAL SERVICES GROUP, INC. 1,756 24,000 0.03%
36 WEALTHPLAN PARTNERS, LLC 750 9,945 0.01%
37 MOSAIC FAMILY WEALTH, LLC 419 6,000 0.01%
38 Creative Planning 400 5,000 0.01%
39 PENSERRA CAPITAL MANAGEMENT LLC 251 3,000 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.