Dark
Light
System
Security
PIMCO INCOME STRATEGY FD
PIMCO INCOME STRATEGY FD. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 43 Institutional holders with a total value of $49,231,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SIT INVESTMENT ASSOCIATES INC 726,278 7,030,000 14.28%
2 ROYAL BANK OF CANADA 694,644 6,725,000 13.66%
3 Horizon Kinetics LLC 628,615 6,085,000 12.36%
4 Shaker Financial Services, LLC 482,440 4,670,000 9.49%
5 Invesco Ltd. 407,310 3,943,000 8.01%
6 GUGGENHEIM CAPITAL LLC 310,161 3,002,000 6.10%
7 MARINER INVESTMENT GROUP LLC 286,372 2,772,000 5.63%
8 Nuveen Asset Management, LLC 188,500 1,825,000 3.71%
9 BANK OF AMERICA CORP /DE/ 155,431 1,505,000 3.06%
10 MORGAN STANLEY 149,036 1,443,000 2.93%
11 Creative Planning 143,415 1,388,000 2.82%
12 RIVERNORTH CAPITAL MANAGEMENT, LLC 124,564 1,206,000 2.45%
13 BAIRD FINANCIAL GROUP, INC. 78,004 755,000 1.53%
14 Thomas J. Herzfeld Advisors, Inc. 77,919 754,000 1.53%
15 LADENBURG THALMANN FINANCIAL SERVICES INC. 67,202 651,000 1.32%
16 BB&T SECURITIES, LLC 64,028 619,000 1.26%
17 SUNTRUST BANKS INC 57,213 553,000 1.12%
18 LPL Financial LLC 53,184 521,000 1.06%
19 WELLS FARGO & COMPANY/MN 53,250 516,000 1.05%
20 SHUFRO ROSE & CO LLC 43,900 424,000 0.86%
21 UBS Group AG 43,233 419,000 0.85%
22 Cambridge Investment Research Advisors, Inc. 38,821 376,000 0.76%
23 Commonwealth Equity Services, Inc 37,801 366,000 0.74%
24 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 35,953 348,000 0.71%
25 CLOUGH CAPITAL PARTNERS L P 27,800 269,000 0.55%
26 FIRST FOUNDATION ADVISORS 27,259 264,000 0.54%
27 Virtu KCG Holdings LLC 23,291 225,000 0.46%
28 BLB&B Advisors, LLC 11,500 111,000 0.23%
29 Cetera Advisors LLC 10,293 99,000 0.20%
30 PNC FINANCIAL SERVICES GROUP, INC. 8,019 78,000 0.16%
31 BENJAMIN F. EDWARDS & COMPANY, INC. 7,892 76,000 0.15%
32 US BANCORP \DE\ 6,374 61,000 0.12%
33 CAPTRUST FINANCIAL ADVISORS 4,000 39,000 0.08%
34 MSI Financial Services Inc 3,638 35,000 0.07%
35 CITIGROUP INC 2,397 23,000 0.05%
36 Tower Research Capital LLC (TRC) 1,492 14,000 0.03%
37 Cowen Prime Services LLC 1,313 13,000 0.03%
38 D.A. DAVIDSON & CO. 1,000 9,000 0.02%
39 Ironwood Financial, llc 500 5,000 0.01%
40 AMERICAN INTERNATIONAL GROUP, INC. 500 5,000 0.01%
41 FIFTH THIRD BANCORP 300 3,000 0.01%
42 Windsor Capital Management, LLC 400 3,000 0.01%
43 INTEGRATED WEALTH MANAGEMENT 270 3,000 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.