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

Institutional Holders (2017Q1)
Portfolio Summary: 35 Institutional holders with a total value of $61,280,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 578,306 12,214,000 19.93%
2 MORGAN STANLEY 394,078 8,322,000 13.58%
3 Advisors Asset Management, Inc. 338,886 7,157,000 11.68%
4 SIT INVESTMENT ASSOCIATES INC 229,952 4,857,000 7.93%
5 UBS Group AG 211,585 4,469,000 7.29%
6 Thomas J. Herzfeld Advisors, Inc. 183,956 3,885,000 6.34%
7 Invesco Ltd. 155,217 3,278,000 5.35%
8 Mariner, LLC 102,579 2,166,000 3.53%
9 ROYAL BANK OF CANADA 80,746 1,705,000 2.78%
10 FIRST TRUST ADVISORS LP 75,926 1,604,000 2.62%
11 Freestone Capital Holdings, LLC 74,957 1,583,000 2.58%
12 RAYMOND JAMES & ASSOCIATES 73,683 1,556,000 2.54%
13 WELLS FARGO & COMPANY/MN 64,658 1,366,000 2.23%
14 OPPENHEIMER & CO INC 50,351 1,063,000 1.73%
15 HighTower Advisors, LLC 40,835 863,000 1.41%
16 JT STRATFORD LLC 40,612 858,000 1.40%
17 AMERIPRISE FINANCIAL INC 36,046 761,000 1.24%
18 ALPINE WOODS CAPITAL INVESTORS, LLC 36,000 760,000 1.24%
19 CAVALIER INVESTMENTS, LLC 30,174 637,000 1.04%
20 FIRST FINANCIAL EQUITY CORPORATION 23,058 485,000 0.79%
21 BANK OF AMERICA CORP /DE/ 16,458 347,000 0.57%
22 BlackRock Finance, Inc. 12,204 258,000 0.42%
23 RB CAPITAL MANAGEMENT, LLC 11,837 250,000 0.41%
24 Cambridge Investment Research Advisors, Inc. 10,419 220,000 0.36%
25 ADVISOR GROUP, INC. 9,204 195,000 0.32%
26 Hirtle Callaghan & Co LLC 5,269 111,000 0.18%
27 LADENBURG THALMANN FINANCIAL SERVICES INC. 3,923 83,000 0.14%
28 WFG Advisors, LP 3,000 63,000 0.10%
29 IFP ADVISORS, INC 2,876 61,000 0.10%
30 Liberty Capital Management, Inc. 2,000 42,000 0.07%
31 D.A. DAVIDSON & CO. 1,100 23,000 0.04%
32 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,000 21,000 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 WOLVERINE ASSET MANAGEMENT LLC 8 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.