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TORTOISE PIPELINE & ENERGY FD
TORTOISE PIPELINE & ENERGY FD. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 35 Institutional holders with a total value of $57,990,733.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 545,007 11,761,000 20.28%
2 MORGAN STANLEY 386,948 8,344,000 14.39%
3 Advisors Asset Management, Inc. 329,526 7,111,000 12.26%
4 Thomas J. Herzfeld Advisors, Inc. 182,257 3,930,000 6.78%
5 UBS Group AG 176,867 3,814,000 6.58%
6 Invesco Ltd. 127,526 2,750,000 4.74%
7 FIRST TRUST ADVISORS LP 117,706 2,538,000 4.38%
8 SIT INVESTMENT ASSOCIATES INC 115,391 2,488,000 4.29%
9 Mariner, LLC 98,425 2,123,000 3.66%
10 Freestone Capital Holdings, LLC 74,957 1,616,000 2.79%
11 WELLS FARGO & COMPANY/MN 68,330 1,473,000 2.54%
12 RAYMOND JAMES & ASSOCIATES 68,285 1,472,000 2.54%
13 ROYAL BANK OF CANADA 65,969 1,423,000 2.45%
14 OPPENHEIMER & CO INC 44,818 967,000 1.67%
15 JT STRATFORD LLC 43,279 933,000 1.61%
16 HighTower Advisors, LLC 40,836 887,000 1.53%
17 CAVALIER INVESTMENTS, LLC 40,174 866,000 1.49%
18 ALPINE WOODS CAPITAL INVESTORS, LLC 36,000 776,000 1.34%
19 SHEAFF BROCK INVESTMENT ADVISORS, LLC 32,000 690,000 1.19%
20 BANK OF AMERICA CORP /DE/ 20,580 444,000 0.77%
21 CARDAN CAPITAL PARTNERS, LLC 18,845 406,000 0.70%
22 Commonwealth Equity Services, Inc 13,116 283,000 0.49%
23 RB CAPITAL MANAGEMENT, LLC 11,649 251,000 0.43%
24 ADVISOR GROUP, INC. 7,680 166,000 0.29%
25 LADENBURG THALMANN FINANCIAL SERVICES INC. 5,383 116,000 0.20%
26 Hirtle Callaghan & Co LLC 5,170 111,000 0.19%
27 IFP ADVISORS, INC 3,191 69,000 0.12%
28 WFG Advisors, LP 3,000 65,000 0.11%
29 KELMAN-LAZAROV, INC. 1,750 37,733 0.07%
30 Liberty Capital Management, Inc. 1,000 22,000 0.04%
31 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,000 22,000 0.04%
32 MSI Financial Services Inc 723 16,000 0.03%
33 PNC FINANCIAL SERVICES GROUP, INC. 500 11,000 0.02%
34 STEWARD PARTNERS INVESTMENT ADVISORY, LLC 295 6,000 0.01%
35 Creative Planning 160 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.