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MANAGED DURATION INVT GRD FU
MANAGED DURATION INVT GRD FU. Institutional holdings reported to the SEC.

Institutional Holders (2015Q2)
Portfolio Summary: 20 Institutional holders with a total value of $15,125,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 211,271 2,799,000 18.51%
2 ASHFORD CAPITAL MANAGEMENT INC 198,058 2,624,000 17.35%
3 SIT INVESTMENT ASSOCIATES INC 141,873 1,880,000 12.43%
4 NWAM LLC 104,000 1,384,000 9.15%
5 Advisors Asset Management, Inc. 91,844 1,217,000 8.05%
6 Nuveen Asset Management, LLC 70,292 931,000 6.16%
7 Horizon Kinetics LLC 67,117 889,000 5.88%
8 PNC FINANCIAL SERVICES GROUP, INC. 60,800 806,000 5.33%
9 WELLS FARGO & COMPANY/MN 44,681 592,000 3.91%
10 Tradewinds Capital Management, LLC 33,596 445,000 2.94%
11 BANK OF AMERICA CORP /DE/ 31,210 414,000 2.74%
12 Sigma Planning Corp 26,554 352,000 2.33%
13 Invesco Ltd. 15,169 201,000 1.33% PRN
14 WOLVERINE ASSET MANAGEMENT LLC 15,099 200,000 1.32%
15 UBS Group AG 12,686 168,000 1.11%
16 PANAGORA ASSET MANAGEMENT INC 8,721 116,000 0.77%
17 ROYAL BANK OF CANADA 6,975 92,000 0.61%
18 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 573 8,000 0.05%
19 Highlander Capital Management, LLC 414 5,000 0.03%
20 Tower Research Capital LLC (TRC) 136 2,000 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.