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AVENUE INCOME
AVENUE INCOME. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 37 Institutional holders with a total value of $53,220,472.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 959,124 12,440,000 23.37%
2 GUGGENHEIM CAPITAL LLC 843,659 10,943,000 20.56%
3 RIVERNORTH CAPITAL MANAGEMENT, LLC 370,560 4,806,000 9.03%
4 Laurion Capital Management LP 290,593 3,769,000 7.08%
5 Capital Investment Advisors, LLC 192,310 2,494,000 4.69%
6 UBS Group AG 190,492 2,471,000 4.64%
7 Shaker Financial Services, LLC 171,847 2,229,000 4.19%
8 CLOUGH CAPITAL PARTNERS L P 107,255 1,391,000 2.61%
9 CORNERSTONE ADVISORS INC 102,590 1,331,000 2.50%
10 Yorktown Management & Research Co Inc 90,000 1,167,000 2.19%
11 BESSEMER GROUP INC 89,608 1,162,000 2.18%
12 Invesco Ltd. 75,531 980,000 1.84%
13 ADVISOR GROUP, INC. 72,900 946,000 1.78%
14 DOLIVER ADVISORS, LP 72,880 945,000 1.78%
15 MARINER INVESTMENT GROUP LLC 57,170 741,000 1.39%
16 SHEPHERD KAPLAN KROCHUK, LLC 56,130 728,000 1.37%
17 RAYMOND JAMES & ASSOCIATES 48,729 632,000 1.19%
18 Cambridge Investment Research Advisors, Inc. 46,053 597,000 1.12%
19 CAVALIER INVESTMENTS, LLC 36,667 476,000 0.89%
20 LADENBURG THALMANN FINANCIAL SERVICES INC. 36,265 470,000 0.88%
21 BANK OF AMERICA CORP /DE/ 32,489 421,000 0.79%
22 Yakira Capital Management, Inc. 28,482 369,000 0.69% SH
23 WEALTHPLAN PARTNERS, LLC 20,815 267,472 0.50%
24 Aviance Capital Partners, LLC 20,491 266,000 0.50%
25 AQR ARBITRAGE LLC 19,895 258,000 0.48%
26 TELEMUS CAPITAL, LLC 17,410 226,000 0.42%
27 STRATEGIC INVESTMENT MANAGEMENT, LLC 12,080 156,000 0.29%
28 ENVESTNET ASSET MANAGEMENT INC 11,566 150,000 0.28%
29 MSI Financial Services Inc 9,007 117,000 0.22%
30 WELLS FARGO & COMPANY/MN 7,549 98,000 0.18%
31 Thomas J. Herzfeld Advisors, Inc. 6,864 89,000 0.17%
32 CITIGROUP INC 5,590 73,000 0.14%
33 ROYAL BANK OF CANADA 500 6,000 0.01%
34 SIGNATUREFD, LLC 161 2,000 0.00%
35 PENSERRA CAPITAL MANAGEMENT LLC 184 2,000 0.00%
36 JNBA Financial Advisors 161 2,000 0.00%
37 SEI INVESTMENTS CO 31 0 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.