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HELIOS MULTI SEC HI INC FD I
HELIOS MULTI SEC HI INC FD I. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 18 Institutional holders with a total value of $3,987,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Horizon Kinetics LLC 208,095 1,463,000 36.69%
2 Pine River Capital Management L.P. 134,511 946,000 23.73%
3 Yorktown Management & Research Co Inc 48,757 343,000 8.60%
4 RAYMOND JAMES & ASSOCIATES 45,985 323,000 8.10%
5 OPPENHEIMER & CO INC 23,529 166,000 4.16%
6 Creative Planning 21,858 154,000 3.86%
7 First Allied Advisory Services, Inc. 20,966 148,000 3.71%
8 LPL Financial LLC 14,966 105,000 2.63%
9 LADENBURG THALMANN FINANCIAL SERVICES INC. 14,437 101,000 2.53%
10 SFMG, LLC 10,000 70,000 1.76%
11 AMERIPRISE FINANCIAL INC 6,000 42,000 1.05%
12 MORGAN STANLEY 5,780 41,000 1.03%
13 MSI Financial Services Inc 4,249 30,000 0.75%
14 BANK OF AMERICA CORP /DE/ 2,500 18,000 0.45%
15 UBS AG 2,333 17,000 0.43%
16 WELLS FARGO & COMPANY/MN 1,547 11,000 0.28%
17 WFG Advisors, LP 647 5,000 0.13%
18 DELTA ASSET MANAGEMENT LLC/TN 600 4,000 0.10%

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.