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APOLLO SR FLOATING RATE FD INC COM
APOLLO SR FLOATING RATE FD INC COM. Institutional holdings reported to the SEC.

Institutional Holders (2017Q1)
Portfolio Summary: 38 Institutional holders with a total value of $75,783,540.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 AlphaMark Advisors, LLC 250 4,000 0.01%
2 PENSERRA CAPITAL MANAGEMENT LLC 378 6,000 0.01%
3 CITIGROUP INC 759 13,000 0.02%
4 ANCHOR INVESTMENT MANAGEMENT, LLC 1,000 17,540 0.02%
5 FIRST MANHATTAN CO. LLC. 1,250 21,000 0.03%
6 YORKBRIDGE WEALTH PARTNERS, LLC 1,234 22,000 0.03%
7 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,544 27,000 0.04%
8 BANK OF MONTREAL /CAN/ 1,800 32,000 0.04%
9 ENVESTNET ASSET MANAGEMENT INC 1,894 33,000 0.04%
10 WFG Advisors, LP 2,321 41,000 0.05%
11 Advisory Services Network, LLC 7,000 123,000 0.16%
12 IFP ADVISORS, INC 8,069 142,000 0.19%
13 LADENBURG THALMANN FINANCIAL SERVICES INC. 9,394 164,000 0.22%
14 Mariner, LLC 10,747 189,000 0.25%
15 ZAZOVE ASSOCIATES LLC 14,507 254,000 0.34%
16 Greenwich Wealth Management LLC 14,600 256,000 0.34%
17 RAYMOND JAMES & ASSOCIATES 15,602 274,000 0.36%
18 LPL Financial LLC 17,722 309,000 0.41%
19 ROYAL BANK OF CANADA 18,165 318,000 0.42%
20 JPMORGAN CHASE & CO 20,000 351,000 0.46%
21 ADVISOR GROUP, INC. 25,926 454,000 0.60%
22 STIFEL FINANCIAL CORP 27,922 492,000 0.65%
23 Cetera Advisor Networks LLC 29,557 519,000 0.68%
24 GREAT AMERICAN GROUP, INC. 42,018 737,000 0.97%
25 DOLIVER ADVISORS, LP 45,890 805,000 1.06%
26 HighTower Advisors, LLC 51,621 911,000 1.20%
27 UBS Group AG 74,664 1,309,000 1.73%
28 Yorktown Management & Research Co Inc 97,152 1,704,000 2.25%
29 Apollo Management Holdings, L.P. 105,236 1,845,000 2.43%
30 Capital Investment Advisors, LLC 118,189 2,073,000 2.74%
31 WELLS FARGO & COMPANY/MN 165,898 2,910,000 3.84%
32 BANK OF AMERICA CORP /DE/ 194,725 3,416,000 4.51%
33 AMERIPRISE FINANCIAL INC 217,754 3,819,000 5.04%
34 MORGAN STANLEY 421,844 7,399,000 9.76%
35 Invesco Ltd. 579,352 10,162,000 13.41%
36 BAILLIE GIFFORD & CO 617,746 10,835,000 14.30%
37 GUGGENHEIM CAPITAL LLC 625,518 10,972,000 14.48%
38 Advisors Asset Management, Inc. 731,192 12,825,000 16.92%

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.