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

Institutional Holders (2016Q4)
Portfolio Summary: 42 Institutional holders with a total value of $68,381,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 888,270 11,805,000 17.26%
2 WELLS FARGO & COMPANY/MN 803,537 10,679,000 15.62%
3 RAYMOND JAMES & ASSOCIATES 692,419 9,202,000 13.46%
4 RIVERNORTH CAPITAL MANAGEMENT, LLC 413,480 5,495,000 8.04%
5 CORNERSTONE ADVISORS INC 295,693 3,930,000 5.75%
6 GUGGENHEIM CAPITAL LLC 239,491 3,183,000 4.65%
7 Invesco Ltd. 238,296 3,167,000 4.63%
8 COHEN & STEERS, INC. 232,291 3,087,000 4.51%
9 LAZARD ASSET MANAGEMENT LLC 198,337 2,635,000 3.85%
10 BANK OF AMERICA CORP /DE/ 195,508 2,598,000 3.80%
11 Raymond James Financial Services Advisors, Inc. 162,001 2,153,000 3.15%
12 1607 Capital Partners, LLC 142,921 1,899,000 2.78%
13 Advisors Asset Management, Inc. 89,028 1,183,000 1.73%
14 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 78,488 1,043,000 1.53%
15 LADENBURG THALMANN FINANCIAL SERVICES INC. 59,036 785,000 1.15%
16 CUE ADVISORY SERVICES, INC. 38,553 512,000 0.75%
17 PHH INVESTMENTS, LTD. 503 503,000 0.74%
18 DESCHUTES PORTFOLIO STRATEGY, LLC 33,223 442,000 0.65%
19 INTRINSIC EDGE CAPITAL MANAGEMENT LLC 30,000 399,000 0.58%
20 OPPENHEIMER & CO INC 29,168 388,000 0.57%
21 Thomas J. Herzfeld Advisors, Inc. 28,740 382,000 0.56%
22 Private Advisor Group, LLC 24,171 332,000 0.49%
23 Commonwealth Equity Services, Inc 24,002 319,000 0.47%
24 Shaker Financial Services, LLC 20,921 278,000 0.41%
25 MSI Financial Services Inc 19,657 261,000 0.38%
26 ROYAL BANK OF CANADA 16,470 219,000 0.32%
27 UBS Group AG 13,941 185,000 0.27%
28 LPL Financial LLC 12,208 163,000 0.24%
29 Laurion Capital Management LP 12,248 163,000 0.24%
30 Klingman & Associates, LLC 11,600 154,000 0.23%
31 Saba Capital Management, L.P. 11,589 154,000 0.23%
32 Capital Investment Advisors, LLC 11,400 152,000 0.22%
33 RAYMOND JAMES TRUST N.A. 11,008 147,000 0.21%
34 ADVISOR GROUP, INC. 10,745 143,000 0.21%
35 CITIGROUP INC 8,532 113,000 0.17%
36 Cowen Prime Services LLC 5,000 66,000 0.10%
37 PNC FINANCIAL SERVICES GROUP, INC. 1,730 24,000 0.04%
38 TRUST CO OF VERMONT 1,178 16,000 0.02%
39 BELLWETHER INVESTMENT GROUP, LLC 634 8,000 0.01%
40 MOSAIC FAMILY WEALTH, LLC 427 6,000 0.01%
41 Creative Planning 400 5,000 0.01%
42 PENSERRA CAPITAL MANAGEMENT LLC 282 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.