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THL CR SR LN FD
THL CR SR LN FD. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 27 Institutional holders with a total value of $35,087,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Advisors Asset Management, Inc. 1,014,815 16,734,000 47.69%
2 Invesco Ltd. 207,880 3,428,000 9.77%
3 Shaker Financial Services, LLC 145,366 2,397,000 6.83%
4 RAYMOND JAMES & ASSOCIATES 144,820 2,388,000 6.81%
5 Raymond James Financial Services Advisors, Inc. 108,532 1,790,000 5.10%
6 COMERICA SECURITIES INC 81,529 1,344,000 3.83%
7 RIVERNORTH CAPITAL MANAGEMENT, LLC 80,082 1,321,000 3.76%
8 Laurion Capital Management LP 68,884 1,136,000 3.24%
9 MARINER INVESTMENT GROUP LLC 45,441 749,000 2.13%
10 ROYAL BANK OF CANADA 42,848 707,000 2.01%
11 OPPENHEIMER & CO INC 25,500 420,000 1.20%
12 DOLIVER ADVISORS, LP 24,599 406,000 1.16%
13 GUGGENHEIM CAPITAL LLC 20,345 335,000 0.95%
14 IFP ADVISORS, INC 19,711 325,000 0.93%
15 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 18,969 313,000 0.89%
16 LPL Financial LLC 16,104 264,000 0.75%
17 Zuckerman Investment Group, LLC 15,635 258,000 0.74%
18 Private Advisor Group, LLC 12,620 207,000 0.59%
19 D.A. DAVIDSON & CO. 12,459 205,000 0.58%
20 Fiduciary Trust Co International of Pennsylvania 10,000 165,000 0.47%
21 Highlander Capital Management, LLC 4,500 74,000 0.21%
22 US BANCORP \DE\ 2,000 33,000 0.09%
23 CITIGROUP INC 1,804 30,000 0.09%
24 UBS Group AG 1,538 25,000 0.07%
25 WELLS FARGO & COMPANY/MN 1,000 16,000 0.05%
26 MORGAN STANLEY 644 11,000 0.03%
27 LADENBURG THALMANN FINANCIAL SERVICES INC. 340 6,000 0.02%

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.