Q3 2023
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| Buy | FS Credit Opportunities Corp | $26,352,712 | +28.9% | 4,862,124 | +13.0% | 10.18% | +25.0% | |
| HFRO | Sell | Highland Floating Rate Opportunities Fund | $23,088,235 | -12.5% | 2,871,671 | -1.7% | 8.92% | -15.1% |
| NRGX | Buy | PIMCO Enrgy Tactical Cr Opp | $20,512,093 | +79.9% | 1,034,397 | +43.0% | 7.92% | +74.5% |
| Sell | Saba Capital Income & Opportunities Fund | $10,953,930 | -32.0% | 1,426,293 | -31.9% | 4.23% | -34.1% | |
| NHF | Sell | Nexpoint Diversified Rel Et | $10,272,156 | -34.7% | 1,179,352 | -6.2% | 3.97% | -36.7% |
| JPS | Buy | Nuveen Pfd Securities Income Fund | $7,553,030 | +1.1% | 1,224,154 | +4.5% | 2.92% | -2.0% |
| VCIF | Buy | Carlyle Credit Income Fund | $6,408,858 | +56.4% | 783,479 | +68.5% | 2.48% | +51.7% |
| OCCI | Buy | OFS Credit Company Inc | $6,247,878 | +55.7% | 881,224 | +83.6% | 2.41% | +50.9% |
| TLT | New | iShares Tr20 yr tr bd etf | $5,986,575 | – | 67,500 | – | 2.31% | – |
| BIF | Sell | SRH Total Return Fund Inc | $5,719,092 | -8.6% | 440,608 | -6.5% | 2.21% | -11.4% |
| JFR | New | Nuveen Floating Rate Income | $4,937,773 | – | 601,434 | – | 1.91% | – |
| FTF | Buy | Franklin Limited Duration Income Trust | $4,924,538 | +6.9% | 808,627 | +8.5% | 1.90% | +3.7% |
| Buy | Destra Multi-Alternative Fd | $4,820,466 | +61.5% | 806,098 | +35.3% | 1.86% | +56.6% | |
| NDP | Sell | Tortoise Energy Independence | $4,185,856 | +7.2% | 132,171 | -2.7% | 1.62% | +3.9% |
| CEM | Buy | Clearbridge MLP And Midstrm | $3,876,850 | +38.1% | 110,044 | +35.9% | 1.50% | +33.9% |
| DMO | Buy | Western Asset Mortgage Opp Fund Inc. | $3,816,401 | +3.5% | 356,340 | +2.2% | 1.47% | +0.3% |
| Sell | Thornburg Incm Builder Opp Tr | $3,700,093 | -8.7% | 253,431 | -4.8% | 1.43% | -11.5% | |
| QID | New | ProShares TRultrapro sht qqq | $3,342,500 | – | 238,750 | – | 1.29% | – |
| CET | Sell | Central Securities Corp | $3,317,624 | -8.3% | 93,586 | -5.6% | 1.28% | -11.1% |
| BIL | Buy | SPDR Ser Trspdr bloomberg | $3,275,679 | +226.7% | 35,675 | +226.7% | 1.26% | +217.0% |
| GAM | Sell | General American Investors Co Inc | $3,247,674 | -5.3% | 78,942 | -4.0% | 1.25% | -8.3% |
| Buy | Wisdomtree Trfloating rat trea | $3,094,328 | +308.6% | 61,493 | +308.6% | 1.20% | +295.7% | |
| JLS | Buy | Nuveen Mortgage and Income Fund | $3,028,618 | +9.0% | 190,719 | +10.6% | 1.17% | +5.7% |
| ASGI | Sell | Aberdeen Std Global Infrastructure | $2,829,639 | -24.9% | 175,754 | -17.0% | 1.09% | -27.2% |
| TPZ | Buy | Tortoise Pwr & Energy Infras | $2,785,173 | +15.8% | 208,471 | +14.5% | 1.08% | +12.3% |
| PEO | Sell | Adams Natural Resources Fund Inc | $2,700,508 | -2.7% | 116,804 | -12.4% | 1.04% | -5.7% |
| CTR | Buy | Clearbridge MLP and Midstrm | $2,569,384 | +26.3% | 80,118 | +25.0% | 0.99% | +22.5% |
| TFLO | Buy | iShares Trtrs flt rt bd | $2,500,264 | +804.1% | 49,276 | +802.8% | 0.97% | +778.2% |
| DIAX | Sell | Nuveen Dow 30 Dynamic Overwrite Fund | $2,420,708 | -8.3% | 176,694 | -5.5% | 0.94% | -11.0% |
| SSSS | Buy | Suro Capital Corp | $2,375,589 | +5089.0% | 656,240 | +4479.8% | 0.92% | +5000.0% |
| LDP | Buy | Cohen & Steers Limited Duration Preferred and Income Fund, Inc. | $2,358,323 | +5.9% | 138,156 | +12.9% | 0.91% | +2.7% |
| GDV | Sell | The Gabelli Dividend & Income Trust | $2,294,289 | -13.0% | 118,019 | -5.4% | 0.89% | -15.6% |
| JQC | Buy | Nuveen Credit Strategies Income Fund | $2,231,688 | +21.3% | 441,045 | +21.1% | 0.86% | +17.6% |
| NBXG | Sell | Neuberger Brman Next Genera | $2,119,282 | -7.2% | 203,386 | -2.8% | 0.82% | -9.9% |
| Sell | BlackRock ESG Cap Allc Tr | $1,925,303 | -28.0% | 130,176 | -23.8% | 0.74% | -30.1% | |
| BCAT | Sell | BlackRock Cap Allocation Tr | $1,908,608 | -25.3% | 131,719 | -21.3% | 0.74% | -27.5% |
| HNW | Buy | Pioneer Diversified High Income Trust | $1,868,298 | +1338.1% | 182,808 | +1321.2% | 0.72% | +1288.5% |
| BGB | Sell | Blackstone Strategic Cred 20 | $1,652,511 | -7.1% | 150,365 | -7.6% | 0.64% | -10.0% |
| DCF | Buy | BNY Mellon Alcentra Global Credit Income 2024 Target Term Fund, Inc. | $1,649,000 | +201.4% | 212,500 | +193.3% | 0.64% | +192.2% |
| CUBA | Buy | The Herzfeld Caribbean Basin Fund Inc | $1,618,190 | -13.2% | 484,488 | +2.6% | 0.62% | -15.9% |
| BMEZ | Sell | BlackRock Health Sciences Trust II | $1,491,435 | -24.7% | 103,500 | -14.2% | 0.58% | -27.0% |
| ASLE | Buy | Aersale Corporation | $1,482,138 | +13.0% | 99,206 | +11.2% | 0.57% | +9.6% |
| HQL | Buy | Tekla Life Sciences Investorssh ben int | $1,457,793 | +4.0% | 116,904 | +13.0% | 0.56% | +0.9% |
| BSTZ | Sell | BlackRock Science and Technology Trust II | $1,213,641 | -12.0% | 73,554 | -3.4% | 0.47% | -14.6% |
| PGTI | Sell | PGT Innovations Inc | $1,196,497 | -14.7% | 43,117 | -10.4% | 0.46% | -17.4% |
| CEFS | Buy | Exchange Listed FDS Trsaba int rate | $823,282 | +152.4% | 46,991 | +165.8% | 0.32% | +144.6% |
| OXLC | Sell | Oxford Lane Cap Corp | $817,811 | -88.1% | 163,890 | -88.4% | 0.32% | -88.4% |
| IHI | Sell | iShares U.S. Medical Devices ETFu.s. med dvc etf | $729,149 | -14.1% | 15,034 | -0.0% | 0.28% | -16.6% |
| JAAA | New | Janus Detroit Str Trhendrson aaa cl | $722,236 | – | 14,350 | – | 0.28% | – |
| CLM | Sell | Cornerstone Strategic Value Fund Inc | $706,259 | -50.8% | 87,734 | -48.8% | 0.27% | -52.3% |
| CRF | Sell | Cornerstone Total Rtrn Fd In | $653,758 | -4.9% | 81,822 | -4.8% | 0.25% | -7.7% |
| GRX | Sell | The Gabelli Healthcare & Wellness Trust | $478,661 | -85.2% | 55,788 | -82.8% | 0.18% | -85.6% |
| FXY | Buy | Investco CurrencyShares Japanjapanese yen | $452,619 | +90.6% | 7,278 | +97.8% | 0.18% | +84.2% |
| EDD | Sell | Morgan Stanley Emerging Mkts | $429,067 | -89.8% | 100,720 | -88.7% | 0.17% | -90.1% |
| CMU | Buy | MFS High Yield Municipal Trustsh ben int | $358,917 | +5675.0% | 114,670 | +5841.5% | 0.14% | +6850.0% |
| CXH | Buy | MFS Investment Grade Municipal Trustsh ben int | $356,250 | +5666.4% | 50,389 | +5898.7% | 0.14% | +6800.0% |
| LLY | Sell | Eli Lilly & Co | $355,043 | +14.4% | 661 | -0.2% | 0.14% | +10.5% |
| INSI | Sell | Insight Select Income Fd | $333,666 | -80.4% | 22,200 | -79.6% | 0.13% | -81.0% |
| MHF | Buy | Western Asset Mun Hi Incm Fd | $318,860 | +1837.2% | 52,358 | +1983.5% | 0.12% | +1657.1% |
| DTF | Buy | DTF Tax-Free Income Inc | $317,144 | +1863.1% | 29,723 | +1881.5% | 0.12% | +1933.3% |
| NUW | Buy | Nuveen Amt- Free Mun Value Fd | $298,070 | +1895.4% | 22,244 | +1944.5% | 0.12% | +1816.7% |
| NIM | Buy | Nuveen Select Maturities Municipal Fundsh ben int | $251,025 | +1850.5% | 29,637 | +1972.5% | 0.10% | +1840.0% |
| JPT | Buy | Nuveen Preferred and Income Fundsh ben int | $232,470 | +47.7% | 14,807 | +51.6% | 0.09% | +42.9% |
| WIA | Buy | Western Asset/Claymore Inflation-Linked Securities & Income Fund | $213,150 | -4.7% | 27,257 | +0.7% | 0.08% | -7.9% |
| NUV | Buy | Nuveen Mun Value Fd Inc. | $170,404 | +1878.5% | 20,630 | +1983.8% | 0.07% | +2100.0% |
| MLN | New | Vaneck ETF Trustlong muni etf | $121,482 | – | 7,270 | – | 0.05% | – |
| PIM | Sell | Putnam Master Intermediate Income Trustsh ben int | $119,803 | -79.9% | 39,670 | -79.0% | 0.05% | -80.7% |
| TTP | Buy | Tortoise Pipeline & Energy Fund, Inc. | $119,547 | +12.3% | 4,268 | +9.8% | 0.05% | +9.5% |
| TEAF | Buy | Ecofin Sustainable and Social Impact Term Fundsh ben int | $113,930 | +13.0% | 9,510 | +17.7% | 0.04% | +10.0% |
| ENX | Buy | Eaton Vance New York Mun Bd | $112,877 | +3.1% | 13,616 | +16.9% | 0.04% | 0.0% |
| GIM | New | Templeton Global Income Fund | $102,406 | – | 26,530 | – | 0.04% | – |
| SONY | Buy | Sony Group Corpsponsored adr | $96,008 | -2.1% | 1,165 | +7.0% | 0.04% | -5.1% |
| GDX | Sell | VanEck Vectors Gold Miners ETFgold miners etf | $85,547 | -10.6% | 3,179 | -0.0% | 0.03% | -13.2% |
| NVO | Buy | Novo Nordisk A/S ADRadr | $85,847 | +29.7% | 944 | +130.8% | 0.03% | +26.9% |
| TWN | Buy | The Taiwan Fund Inc | $76,359 | +2.1% | 2,547 | +6.7% | 0.03% | -3.3% |
| ASA | Sell | ASA Gold and Precious Metals Ltd | $67,237 | -10.4% | 5,044 | -0.0% | 0.03% | -13.3% |
| SU | Buy | Suncor Energy Inc. | $65,631 | +24.8% | 1,909 | +6.5% | 0.02% | +19.0% |
| QQQX | Buy | Nuveen NASDAQ 100 Dynamic Overwrite Fund | $51,546 | -8.3% | 2,294 | +1.7% | 0.02% | -9.1% |
| JCE | Buy | Nuveen Core Equity Alpha Fund | $49,782 | -0.2% | 4,005 | +2.5% | 0.02% | -5.0% |
| CNI | Buy | Canadian National Railway Company | $49,507 | -6.6% | 457 | +4.3% | 0.02% | -9.5% |
| SNN | Buy | Smith & Nephew PLCspdn adr | $48,376 | -18.4% | 1,953 | +6.3% | 0.02% | -20.8% |
| WIW | Buy | Western Asset/Claymore Inflation-Linked Opportunities & Income Fund | $48,615 | -5.9% | 5,907 | +1.4% | 0.02% | -9.5% |
| FB | Sell | Meta Platforms Inccl a | $45,632 | +4.3% | 152 | -0.7% | 0.02% | +5.9% |
| BKR | Sell | Baker Hughes Companycl a | $47,399 | -0.4% | 1,342 | -10.9% | 0.02% | -5.3% |
| RVT | Buy | Royce Value Trust Inc | $47,709 | -4.9% | 3,707 | +2.0% | 0.02% | -10.0% |
| GDL | Buy | The GDL Fund | $42,269 | +0.3% | 5,454 | +1.5% | 0.02% | -5.9% |
| GAB | Buy | Gabelli Equity Trust Inc | $41,779 | -9.1% | 8,144 | +2.8% | 0.02% | -11.1% |
| ASG | Buy | Liberty All Star Growth Fund Inc | $37,727 | -6.7% | 7,637 | +2.1% | 0.02% | -6.2% |
| MA | Buy | MasterCard, Inc.cl a | $39,195 | +641.3% | 99 | +661.5% | 0.02% | +650.0% |
| USA | Buy | Liberty All Star Equity Fundsh ben int | $39,137 | -6.2% | 6,611 | +2.6% | 0.02% | -11.8% |
| TY | Buy | Tri-Continental Corp | $36,003 | -2.1% | 1,354 | +1.0% | 0.01% | -6.7% |
| ADX | Buy | Adams Diversified Equity Fund Inc | $37,473 | -0.7% | 2,252 | +0.3% | 0.01% | -6.7% |
| YUMC | Buy | Yum China Hldgs Inc | $34,212 | +26.9% | 614 | +28.7% | 0.01% | +18.2% |
| AVGO | Sell | Broadcom, Inc. | $33,223 | -14.6% | 40 | -11.1% | 0.01% | -18.8% |
| TSM | Sell | Taiwan Semiconductor Manufacturing Company Limitedsponsored adr | $29,198 | -18.3% | 336 | -5.1% | 0.01% | -21.4% |
| STK | Buy | Columbia Seligman Premium Technology Growth Fund | $29,670 | -5.1% | 1,090 | +6.9% | 0.01% | -8.3% |
| STM | Buy | STMicroelectronics N Vny registry | $25,464 | +459.8% | 590 | +548.4% | 0.01% | +400.0% |
| EQIX | Sell | Equinix Inc | $26,145 | -60.6% | 36 | -57.6% | 0.01% | -61.5% |
| PYPL | Sell | PayPal Holdings, Inc. | $20,870 | -53.8% | 357 | -47.3% | 0.01% | -55.6% |
| PVI | Buy | Invesco Exch Traded Fd Tr IIvrdo tax free | $21,110 | +670.7% | 850 | +672.7% | 0.01% | +700.0% |
| JRI | Sell | Nuveen Real Asset Income and Growth Fund | $16,833 | -99.3% | 1,585 | -99.3% | 0.01% | -99.3% |
| BDJ | Buy | BlackRock Enhanced Equity Dividend Trust | $17,290 | -6.9% | 2,272 | +2.1% | 0.01% | 0.0% |
| Sell | Nuveen Mutli Asset Income Fund | $17,647 | -99.3% | 1,587 | -99.3% | 0.01% | -99.3% | |
| GF | Sell | The New Germany Fund Inc | $15,548 | -9.5% | 1,903 | -0.5% | 0.01% | -14.3% |
| MXE | Buy | Mexico Equity & Income Fd | $13,931 | +12.8% | 1,482 | +20.5% | 0.01% | 0.0% |
| AGD | Sell | Aberdeen Global Dynamic Dividend Fund | $12,263 | -9.9% | 1,416 | -0.7% | 0.01% | 0.0% |
| MCD | Sell | McDonald's Corp | $12,909 | -13.1% | 49 | -2.0% | 0.01% | -16.7% |
| JEQ | Buy | Aberdeen Japan Equity Fund Inc | $9,111 | -10.8% | 1,703 | +1.2% | 0.00% | 0.0% |
| GHY | Sell | PGIM Global Short Duration High Yield Fund, Inc. | $10,694 | -2.7% | 992 | -1.0% | 0.00% | 0.0% |
| SE | Sell | Sea Limitedadr | $9,757 | -60.1% | 222 | -47.3% | 0.00% | -60.0% |
| ZTR | Buy | Virtus Total Return Fund Inc. | $10,310 | -18.1% | 2,148 | +3.7% | 0.00% | -20.0% |
| JOF | Sell | Japan Smaller Capitalization Fund Inc | $8,269 | -3.7% | 1,163 | -2.5% | 0.00% | 0.0% |
| JPM | Sell | JPMorgan Chase & Co | $8,846 | -1.2% | 61 | -1.6% | 0.00% | -25.0% |
| SRE | Buy | Sempra Energy | $8,708 | -6.5% | 128 | +100.0% | 0.00% | -25.0% |
| EEA | Sell | The European Equity Fund Inc | $5,541 | -7.8% | 697 | -0.1% | 0.00% | 0.0% |
| TCOM | Sell | Trip.com Group Ltd ADRads | $5,595 | -11.1% | 160 | -11.1% | 0.00% | -33.3% |
| BABA | Buy | Alibaba Group Holding Limitedsponsored ads | $5,638 | +7.4% | 65 | +3.2% | 0.00% | 0.0% |
| NKE | Sell | Nike, Inc.cl b | $5,068 | -14.6% | 53 | -1.9% | 0.00% | 0.0% |
| ZTS | Sell | Zoetis Inc.cl a | $5,741 | -1.5% | 33 | -2.9% | 0.00% | 0.0% |
| GGZ | Buy | Gabelli Global Small & Mid C | $5,771 | -12.0% | 557 | +1.8% | 0.00% | -33.3% |
| REGN | Sell | Regeneron Pharmaceuticals, Inc. | $4,938 | -0.4% | 6 | -14.3% | 0.00% | 0.0% |
| AEF | Sell | Aberdeen Emerging Markets Equity Inc. | $6,406 | -8.8% | 1,343 | -0.7% | 0.00% | -33.3% |
| HTHT | Buy | H World Group Ltdsponsored ads | $1,617 | +43.7% | 41 | +41.4% | 0.00% | – |
| NOW | Sell | ServiceNow, Inc. | $3,354 | -12.8% | 6 | -14.3% | 0.00% | -50.0% |
| IBKR | Sell | Interactive Brokers Group In | $3,809 | -26.0% | 44 | -29.0% | 0.00% | -50.0% |
| IDXX | Sell | IDEXX Labs Inc. | $2,624 | -22.5% | 6 | -14.3% | 0.00% | 0.0% |
| PDD | New | PDD Holdings Inc.sponsored ads | $2,256 | – | 23 | – | 0.00% | – |
| PBR | Buy | Petroleo Brasileiro S.A. PETROBRASsponsored adr | $3,837 | +23.9% | 256 | +14.3% | 0.00% | 0.0% |
| FAST | Sell | Fastenal Company | $2,623 | -8.5% | 48 | -2.0% | 0.00% | 0.0% |
| CAF | Sell | Morgan Stanley China A Sh Fd | $2,579 | -50.1% | 207 | -49.1% | 0.00% | -50.0% |
| BIGZ | Buy | BlackRock Innovation and Grw | $3,626 | -9.6% | 521 | +2.0% | 0.00% | -50.0% |
| BLK | Sell | BlackRock, Inc. | $3,879 | -16.4% | 6 | -14.3% | 0.00% | -50.0% |
| NXPI | New | NXP Semiconductors NV | $3,399 | – | 17 | – | 0.00% | – |
| ROL | Buy | Rollins Inc | $3,882 | +16.2% | 104 | +33.3% | 0.00% | 0.0% |
| NVDA | New | Nvidia Corporation | $870 | – | 2 | – | 0.00% | – |
| ZTO | New | ZTO Express (Cayman) Incsponsored ads a | $1,209 | – | 50 | – | 0.00% | – |
| LVS | New | Las Vegas Sands Corp | $1,238 | – | 27 | – | 0.00% | – |
| JCI | New | Johnson Ctls Intl PLC | $1,011 | – | 19 | – | 0.00% | – |
| LRCX | Sell | Lam Research Corp | $1,254 | -51.2% | 2 | -50.0% | 0.00% | -100.0% |
| ITUB | Exit | Itau Unibanco Holding S.A.spon adr rep pfd | $0 | – | -407 | – | -0.00% | – |
| NCA | Exit | Nuveen California Municipal Value Fund | $0 | – | -1,120 | – | -0.00% | – |
| DPG | Exit | Duff & Phelps Utility and Infrastructure Fund Inc. | $0 | – | -5,890 | – | -0.02% | – |
| FXE | Exit | Invesco CurrencyShares Euro Currency Trust | $0 | – | -1,126 | – | -0.04% | – |
| FXB | Exit | Invesco CurrencyShares British Pound Sterling Trustbrit poun strl | $0 | – | -973 | – | -0.05% | – |
| SZC | Exit | NXG NextGen Intrastruacture Inc Fund | $0 | – | -6,603 | – | -0.10% | – |
| JSD | Exit | Nuveen Short Duration Cr Opp | $0 | – | -351,887 | – | -1.62% | – |
Q2 2023
Q4 2022
Q3 2022
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| Buy | Wisdomtree Trfloating rat trea | $33,914,000 | +238.3% | 674,504 | +238.7% | 14.46% | +248.4% | |
| HFRO | Sell | Highland Floating Rate Opportunities Fund | $23,280,000 | -16.9% | 2,395,110 | -3.7% | 9.93% | -14.4% |
| NHF | Buy | Nexpoint Diversified Rel Et | $19,332,000 | -23.2% | 1,540,366 | +1.0% | 8.24% | -20.9% |
| AGG | New | iShares Trcore us aggbd et | $13,812,000 | – | 143,372 | – | 5.89% | – |
| NRGX | Buy | PIMCO Enrgy Tactical Cr Opp | $10,298,000 | +26.2% | 761,103 | +19.7% | 4.39% | +29.9% |
| Buy | Saba Capital Income & Opportunities Fund | $9,926,000 | +14.7% | 1,254,873 | +16.5% | 4.23% | +18.1% | |
| SJB | New | ProShares TRshrt high yield | $8,969,000 | – | 448,202 | – | 3.82% | – |
| BIF | Sell | Boulder Growth & Income Fund Inc | $5,094,000 | -21.5% | 468,200 | -13.8% | 2.17% | -19.2% |
| NDP | Buy | Tortoise Energy Independence | $5,053,000 | +14.9% | 178,485 | +10.2% | 2.16% | +18.3% |
| VCIF | Buy | Vertical Capital Income Fund | $4,011,000 | -1.4% | 449,644 | +3.3% | 1.71% | +1.5% |
| CEM | Buy | Clearbridge MLP And Midstrm | $3,965,000 | +4.5% | 133,067 | +0.8% | 1.69% | +7.6% |
| BCAT | Sell | BlackRock Cap Allocation Tr | $3,802,000 | -16.2% | 279,358 | -9.8% | 1.62% | -13.8% |
| PEO | Buy | Adams Natural Resources Fund Inc | $3,540,000 | +4.3% | 181,936 | +4.4% | 1.51% | +7.5% |
| CET | Buy | Central Securities Corp | $3,533,000 | -3.0% | 104,706 | +1.2% | 1.51% | -0.1% |
| Sell | BlackRock ESG Cap Allc Tr | $3,466,000 | -23.1% | 270,582 | -14.1% | 1.48% | -20.8% | |
| PCF | Sell | High Income Secs Fd Shs | $3,009,000 | -52.2% | 436,726 | -49.5% | 1.28% | -50.8% |
| JSD | Buy | Nuveen Short Duration Cr Opp | $3,005,000 | +37.6% | 254,008 | +39.9% | 1.28% | +41.8% |
| CLM | Sell | Cornerstone Strategic Value Fund Inc | $2,993,000 | -69.3% | 349,299 | -69.2% | 1.28% | -68.4% |
| FINS | Sell | Angel Oak Final Strategies Incm Trm Trst | $2,937,000 | -23.5% | 219,172 | -16.8% | 1.25% | -21.2% |
| AIF | Sell | Apollo Tactical Income Fund Inc | $2,889,000 | -8.9% | 245,245 | -6.9% | 1.23% | -6.2% |
| Sell | Nuveen Mutli Asset Income Fund | $2,605,000 | -21.7% | 246,300 | -2.2% | 1.11% | -19.3% | |
| GAM | Sell | General American Investors Co Inc | $2,463,000 | -5.2% | 72,773 | -1.0% | 1.05% | -2.4% |
| CTR | Sell | Clearbridge MLP and Midstrm | $2,401,000 | -0.1% | 91,246 | -2.8% | 1.02% | +2.8% |
| JRI | Buy | Nuveen Real Asset Income and Growth Fund | $2,278,000 | -10.0% | 204,320 | +5.5% | 0.97% | -7.3% |
| CUBA | Buy | The Herzfeld Caribbean Basin Fund Inc | $2,270,000 | -1.8% | 626,151 | +8.6% | 0.97% | +1.1% |
| FBP | Sell | First BanCorp/Puerto Rico | $2,197,000 | -9.6% | 160,604 | -14.7% | 0.94% | -6.9% |
| EMO | Buy | Clearbridge Energy Midstrm O | $2,040,000 | +10.2% | 81,552 | +4.0% | 0.87% | +13.4% |
| DMO | Buy | Western Asset Mortgage Opp Fund Inc. | $2,032,000 | +5.1% | 182,867 | +10.5% | 0.87% | +8.4% |
| JLS | Buy | Nuveen Mortgage and Income Fund | $2,018,000 | +4.2% | 125,468 | +7.0% | 0.86% | +7.4% |
| CRF | Sell | Cornerstone Total Rtrn Fd In | $1,944,000 | -51.0% | 239,420 | -49.8% | 0.83% | -49.6% |
| Sell | Thornburg Incm Builder Opp Tr | $1,922,000 | -18.3% | 150,830 | -7.0% | 0.82% | -15.8% | |
| BPOP | Sell | Popular Inc | $1,866,000 | -21.3% | 25,899 | -16.0% | 0.80% | -18.9% |
| ASLE | Buy | Aersale Corporation | $1,839,000 | +31.5% | 99,206 | +2.9% | 0.78% | +35.4% |
| NEE | Sell | NextEra Energy Inc | $1,570,000 | -8.0% | 20,025 | -9.1% | 0.67% | -5.1% |
| SRV | New | Cushing MLP & Infrastruct | $1,516,000 | – | 46,524 | – | 0.65% | – |
| WIW | Buy | Western Asset/Claymore Inflation-Linked Opportunities & Income Fund | $1,512,000 | -13.0% | 166,671 | +1.1% | 0.64% | -10.3% |
| PDI | Sell | PIMCO Dynamic Income Fd | $1,431,000 | -60.5% | 73,818 | -57.5% | 0.61% | -59.3% |
| GER | New | Goldman Sachs MLP Energy Ren | $1,336,000 | – | 111,354 | – | 0.57% | – |
| NCLH | Buy | Norwegian Cruise Line Holdings Ltd | $1,324,000 | +29.8% | 116,578 | +27.1% | 0.56% | +33.9% |
| ASGI | Buy | Aberdeen Std Global Infrastructure | $1,295,000 | +16.5% | 82,304 | +33.5% | 0.55% | +19.7% |
| RCL | Buy | Royal Caribbean Cruises Ltd | $1,058,000 | +54.5% | 27,926 | +42.2% | 0.45% | +58.8% |
| SPE | Sell | Special Opportunities Fund Inc. | $931,000 | -60.4% | 83,913 | -55.9% | 0.40% | -59.2% |
| PLYA | Buy | Playa Hotels & Resorts Nv | $574,000 | +12.3% | 98,605 | +32.5% | 0.24% | +15.6% |
| CWCO | Sell | Consolidated Water Co Ltdord | $570,000 | -10.8% | 37,092 | -15.9% | 0.24% | -8.3% |
| Buy | Destra Multi-Alternative Fd | $450,000 | +67.9% | 69,294 | +77.3% | 0.19% | +73.0% | |
| FXY | New | Investco CurrencyShares Japanjapanese yen | $338,000 | – | 5,226 | – | 0.14% | – |
| TPZ | New | Tortoise Pwr & Energy Infras | $336,000 | – | 26,910 | – | 0.14% | – |
| New | ProShares UltraShort S&P50ultrashrt s&p500 | $237,000 | – | 4,345 | – | 0.10% | – | |
| WIA | Buy | Western Asset/Claymore Inflation-Linked Securities & Income Fund | $237,000 | -7.8% | 26,483 | +0.7% | 0.10% | -4.7% |
| SSSS | Sell | Sutter Rock Cap Corp | $224,000 | -94.6% | 57,826 | -91.0% | 0.10% | -94.4% |
| New | Center Coast Brkfld MLP Enrg | $196,000 | – | 11,849 | – | 0.08% | – | |
| CEFS | Sell | Exchange Listed FDS Trsaba int rate | $198,000 | -15.0% | 11,862 | -12.5% | 0.08% | -12.5% |
| TRIN | New | Trinity Cap Inc. | $151,000 | – | 12,023 | – | 0.06% | – |
| QID | New | ProShares TRultrapro sht qqq | $120,000 | – | 4,370 | – | 0.05% | – |
| SZC | New | Cushing Nextgen Infra Incm Fund | $116,000 | – | 3,165 | – | 0.05% | – |
| FXE | New | Invesco CurrencyShares Euro Currency Trust | $102,000 | – | 1,126 | – | 0.04% | – |
| FXB | New | Invesco CurrencyShares British Pound Sterling Trustbrit poun strl | $104,000 | – | 973 | – | 0.04% | – |
| PVI | Sell | Invesco Exch Traded Fd Tr IIvrdo tax free | $80,000 | -20.0% | 3,200 | -20.0% | 0.03% | -17.1% |
| NVO | Buy | Novo Nordisk A/S ADRadr | $74,000 | -6.3% | 741 | +4.2% | 0.03% | -3.0% |
| SONY | Buy | Sony Corpsponsored adr | $73,000 | +28.1% | 1,134 | +63.4% | 0.03% | +29.2% |
| ASML | Buy | ASML Holding N V | $68,000 | +1.5% | 163 | +15.6% | 0.03% | +3.6% |
| TMO | Buy | Thermo Fisher Scientific, Inc. | $53,000 | +488.9% | 104 | +550.0% | 0.02% | +475.0% |
| RVT | Buy | Royce Value Trust Inc | $43,000 | -8.5% | 3,423 | +2.2% | 0.02% | -5.3% |
| QQQX | Buy | Nuveen NASDAQ 100 Dynamic Overwrite Fund | $43,000 | -4.4% | 2,109 | +2.2% | 0.02% | -5.3% |
| GDL | New | The GDL Fund | $41,000 | – | 5,133 | – | 0.02% | – |
| GAB | Buy | Gabelli Equity Trust Inc | $40,000 | -9.1% | 7,333 | +2.5% | 0.02% | -5.6% |
| JCE | Buy | Nuveen Core Equity Alpha Fund | $39,000 | -11.4% | 3,418 | +3.0% | 0.02% | -5.6% |
| EQIX | Sell | Equinix Inc | $40,000 | -29.8% | 70 | -18.6% | 0.02% | -29.2% |
| SU | New | Suncor Energy Inc. | $40,000 | – | 1,426 | – | 0.02% | – |
| TSLA | Buy | Tesla Inc | $38,000 | +5.6% | 142 | +167.9% | 0.02% | +6.7% |
| MSFT | Sell | Microsoft Corp | $36,000 | -14.3% | 156 | -4.9% | 0.02% | -11.8% |
| ASG | Buy | Liberty All Star Growth Fund Inc | $35,000 | -12.5% | 7,031 | +1.9% | 0.02% | -11.8% |
| CNI | Sell | Canadian National Railway Company | $33,000 | -31.2% | 307 | -28.3% | 0.01% | -30.0% |
| BKR | Sell | Baker Hughes Companycl a | $32,000 | -41.8% | 1,523 | -20.7% | 0.01% | -39.1% |
| USA | Buy | Liberty All Star Equity Fundsh ben int | $33,000 | -10.8% | 5,989 | +2.5% | 0.01% | -6.7% |
| TY | Buy | Tri-Continental Corp | $32,000 | -3.0% | 1,268 | +1.0% | 0.01% | 0.0% |
| ADX | Sell | Adams Diversified Equity Fund Inc | $31,000 | -98.7% | 2,106 | -98.6% | 0.01% | -98.6% |
| GDV | Buy | The Gabelli Dividend & Income Trust | $27,000 | -6.9% | 1,438 | +1.6% | 0.01% | 0.0% |
| AVGO | Sell | Broadcom, Inc. | $20,000 | -23.1% | 46 | -13.2% | 0.01% | -18.2% |
| PUK | New | Prudential PLCadr | $18,000 | – | 907 | – | 0.01% | – |
| MUB | New | iShares National Muni Bondetf | $19,000 | – | 182 | – | 0.01% | – |
| GOOG | Buy | Alphabet, Inc. Cl Ccl c | $18,000 | +1700.0% | 185 | +1955.6% | 0.01% | – |
| Sell | GXO Logistics Incorporated | $17,000 | -34.6% | 476 | -21.1% | 0.01% | -36.4% | |
| BDJ | Buy | BlackRock Enhanced Equity Dividend Trust | $16,000 | -5.9% | 2,006 | +1.8% | 0.01% | 0.0% |
| TFC | Buy | Truist Financial Corp | $13,000 | 0.0% | 291 | +9.8% | 0.01% | +20.0% |
| Sell | Oppfi Inc Comcl a | $14,000 | -39.1% | 5,898 | -15.7% | 0.01% | -40.0% | |
| PNC | Buy | The PNC Financial Services Group Inc | $13,000 | +8.3% | 87 | +10.1% | 0.01% | +20.0% |
| SBUX | Buy | Starbucks Corp. | $12,000 | +33.3% | 146 | +22.7% | 0.01% | +25.0% |
| CVX | Buy | Chevron Corp. | $12,000 | 0.0% | 87 | +7.4% | 0.01% | 0.0% |
| ZTR | Buy | Virtus Total Return Fund Inc. | $12,000 | -20.0% | 1,851 | +3.1% | 0.01% | -16.7% |
| New | Collaborative Investmnt Sershort de spac | $10,000 | – | 200 | – | 0.00% | – | |
| GHY | Sell | PGIM Global Short Duration High Yield Fund, Inc. | $10,000 | -91.2% | 982 | -90.1% | 0.00% | -91.5% |
| JPM | Sell | JPMorgan Chase & Co | $9,000 | -43.8% | 84 | -40.0% | 0.00% | -42.9% |
| Sell | Rice Acquisition Corp*w exp 99/99/999 | $9,000 | -18.2% | 29,742 | -15.7% | 0.00% | -20.0% | |
| Sell | TMC The Metals Company Inc | $9,000 | -18.2% | 8,959 | -15.8% | 0.00% | -20.0% | |
| AMZN | Sell | Amazon Com Inc | $10,000 | -16.7% | 87 | -23.7% | 0.00% | -20.0% |
| PCTTW | Sell | Purecycle Technologies Incw exp 01/28/202 | $8,000 | -11.1% | 2,457 | -26.2% | 0.00% | -25.0% |
| KSA | Buy | Ishares Trmsci saudi arabia | $6,000 | +200.0% | 153 | +163.8% | 0.00% | +200.0% |
| FIS | Buy | Fidelity Natl Information Sv | $7,000 | +16.7% | 93 | +40.9% | 0.00% | +50.0% |
| COST | Buy | Costco Wholesale Corp. | $7,000 | +75.0% | 14 | +55.6% | 0.00% | +50.0% |
| CSCO | Sell | Cisco Systems, Inc. | $6,000 | -33.3% | 161 | -26.5% | 0.00% | -25.0% |
| CHPT | Sell | Chargepoint Holdings Inc. | $7,000 | 0.0% | 445 | -15.9% | 0.00% | 0.0% |
| USB | Buy | U.S. Bancorp | $8,000 | +60.0% | 206 | +83.9% | 0.00% | +50.0% |
| Sell | Wallbox NV*w exp 99/99/999 | $6,000 | -45.5% | 4,552 | -16.4% | 0.00% | -40.0% | |
| BG | Sell | Bunge Limited | $4,000 | -20.0% | 44 | -24.1% | 0.00% | 0.0% |
| BIGZ | Sell | BlackRock Innovation and Grw | $5,000 | -99.7% | 698 | -99.7% | 0.00% | -99.8% |
| V | Buy | Visa Inc | $4,000 | +100.0% | 22 | +144.4% | 0.00% | +100.0% |
| WMB | New | Williams Cos Inc. | $4,000 | – | 134 | – | 0.00% | – |
| ON | New | ON Semiconductor Corporation | $5,000 | – | 82 | – | 0.00% | – |
| MCO | Sell | Moody's Corp. | $4,000 | -33.3% | 15 | -31.8% | 0.00% | 0.0% |
| GLW | Buy | Corning Inc. | $5,000 | 0.0% | 181 | +16.8% | 0.00% | 0.0% |
| BP | New | BP p.l.c.spondored adr | $3,000 | – | 109 | – | 0.00% | – |
| New | Wolfspeed, Inc. | $2,000 | – | 21 | – | 0.00% | – | |
| TCOM | Buy | Trip.com Group Ltd ADRads | $3,000 | +50.0% | 103 | +24.1% | 0.00% | 0.0% |
| BAP | Buy | Credicorp Ltd | $2,000 | 0.0% | 19 | +18.8% | 0.00% | 0.0% |
| ESSCW | Sell | East Stone Acquisition Corp*w exp 12/31/202 | $2,000 | -60.0% | 26,327 | -15.8% | 0.00% | -50.0% |
| New | Forge Global Holdings Inc. | $2,000 | – | 1,000 | – | 0.00% | – | |
| Sell | Matterport Inccl a | $3,000 | 0.0% | 731 | -13.0% | 0.00% | 0.0% | |
| ALNY | New | Alnylam Pharmaceuticals, Inc. | $3,000 | – | 14 | – | 0.00% | – |
| ASX | Buy | Ase Technology Hldg Co. Ltd.sponsored ads | $2,000 | +100.0% | 352 | +38.0% | 0.00% | – |
| AES | New | AES Corp | $3,000 | – | 148 | – | 0.00% | – |
| SLB | Sell | Schlumberger Ltd | $3,000 | -25.0% | 87 | -26.3% | 0.00% | -50.0% |
| BSTZ | Sell | BlackRock Science and Technology Trust II | $2,000 | -99.9% | 100 | -99.9% | 0.00% | -99.9% |
| RYAAY | Sell | Ryanair Holdings plc ADRsponsored ads | $2,000 | -88.2% | 29 | -88.4% | 0.00% | -85.7% |
| BBY | Sell | Best Buy Inc. | $3,000 | -40.0% | 53 | -27.4% | 0.00% | -50.0% |
| GRFS | Exit | Grifols S Asp adr rep b nvt | $0 | – | -91 | – | 0.00% | – |
| SQM | Sell | Sociedad Quimica Y Minera Despon adr ser b | $1,000 | -50.0% | 16 | -27.3% | 0.00% | -100.0% |
| Sell | Ginkgo Bioworks Holdings Inc.*w exp 08/01/202 | $1,000 | 0.0% | 1,690 | -15.5% | 0.00% | – | |
| LCII | New | LCI Inds | $1,000 | – | 12 | – | 0.00% | – |
| BEKE | Exit | KE Hldgs Inc.sponsored ads | $0 | – | -55 | – | 0.00% | – |
| PSTHWS | Exit | Pershing Square Tontine Hldg*w exp 07/24/202 | $0 | – | -3,000 | – | 0.00% | – |
| PIPPWS | Exit | Pine Island Acquisition Corp*w exp 10/19/202 | $0 | – | -4,597 | – | 0.00% | – |
| Exit | Alpha Tau Medical*w exp 03/07/202 | $0 | – | -2,500 | – | 0.00% | – | |
| Exit | Thoughtworks Holding Inc. | $0 | – | -82 | – | 0.00% | – | |
| JQC | Exit | Nuveen Credit Strategies Income Fund | $0 | – | 0 | – | 0.00% | – |
| Exit | Lottery Com Inc.*w exp 05/09/202 | $0 | – | -4,529 | – | 0.00% | – | |
| WEN | Exit | The Wendy's Co | $0 | – | -42 | – | 0.00% | – |
| SMAR | Exit | Smartsheet, Inc. Cl A | $0 | – | -47 | – | 0.00% | – |
| Exit | Doma Holdings Inc.*w exp 07/28/202 | $0 | – | -5,000 | – | 0.00% | – | |
| RARE | Exit | Ultragenyx Pharmaceutical In | $0 | – | -30 | – | -0.00% | – |
| Exit | WeWork Inc.*w exp 10/20/202 | $0 | – | -2,399 | – | -0.00% | – | |
| ELAN | Exit | Elanco Animal Health Inc. | $0 | – | -105 | – | -0.00% | – |
| LSEAW | Exit | Landsea Homes Corpw exp 01/07/202 | $0 | – | -12,738 | – | -0.00% | – |
| Exit | Oppfi Incw exp 07/20/202 | $0 | – | -6,315 | – | -0.00% | – | |
| Exit | Forge Global Holdings Inc.*w exp 03/29/202 added | $0 | – | -44,802 | – | -0.00% | – | |
| LU | Exit | Lufax Holdings LTD | $0 | – | -335 | – | -0.00% | – |
| CMCSA | Exit | Comcast Corp. Cl A Common Stockcl a | $0 | – | -114 | – | -0.00% | – |
| STM | Exit | STMicroelectronics N Vny registry | $0 | – | -178 | – | -0.00% | – |
| SOGU | Exit | Collaborative Investmnt Sershort de spac | $0 | – | -238 | – | -0.01% | – |
| BCS | Exit | Barclays PLCadr | $0 | – | -4,560 | – | -0.01% | – |
| SMM | Exit | Salient Midstream & MLP Fdsh ben int | $0 | – | -5,000 | – | -0.02% | – |
| PGP | Exit | PIMCO Global StocksPLS Inc. | $0 | – | -7,535 | – | -0.02% | – |
| SNY | Exit | Sanofisponsored adr | $0 | – | -1,239 | – | -0.03% | – |
| STK | Exit | Columbia Seligman Premium Technology Growth Fund | $0 | – | -3,853 | – | -0.04% | – |
| ISD | Exit | PGIM Short Duration High Yield Fund, Inc. | $0 | – | -10,878 | – | -0.06% | – |
| PFX | Exit | Phenixfin Corp | $0 | – | -3,700 | – | -0.06% | – |
| MXE | Exit | Mexico Equity & Income Fd | $0 | – | -24,888 | – | -0.08% | – |
| LRFC | Exit | Logan Ridge Finance Corp | $0 | – | -13,763 | – | -0.09% | – |
| OCCI | Exit | OFS Credit Company Inc | $0 | – | -81,141 | – | -0.31% | – |
| OXLC | Exit | Oxford Lane Cap Corp | $0 | – | -157,641 | – | -0.37% | – |
| ECC | Exit | Eagle Pt Cr Co LLC | $0 | – | -94,431 | – | -0.46% | – |
| NPCT | Exit | Nuveen Core Plus Impact Fund | $0 | – | -113,293 | – | -0.55% | – |
| AIO | Exit | AllianzGI Artificial Intelligence Opp Fund | $0 | – | -92,226 | – | -0.62% | – |
| SAR | Exit | Saratoga Invt Corp | $0 | – | -81,998 | – | -0.81% | – |
| NBXG | Exit | Neuberger Brman Next Genera | $0 | – | -208,715 | – | -0.86% | – |
| PTA | Exit | Cohen & Steers Tax Advan Pfd | $0 | – | -114,494 | – | -0.90% | – |
| WDI | Exit | Western Asset Diversifised In | $0 | – | -168,494 | – | -0.97% | – |
| VVR | Exit | Invesco Sr Income Tr | $0 | – | -642,734 | – | -1.04% | – |
| TBF | Exit | ProShares TRshrt 20+ yr tre | $0 | – | -160,345 | – | -1.33% | – |
Q2 2022
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| HFRO | New | Highland Floating Rate Opportunities Fund | $28,009,000 | – | 2,487,502 | – | 11.60% | – |
| NHF | New | Nexpoint Diversified Rel Et | $25,158,000 | – | 1,525,663 | – | 10.42% | – |
| New | Wisdomtree Trfloating rat trea | $10,024,000 | – | 199,158 | – | 4.15% | – | |
| CLM | New | Cornerstone Strategic Value Fund Inc | $9,740,000 | – | 1,135,154 | – | 4.03% | – |
| New | Saba Capital Income & Opportunities Fund | $8,653,000 | – | 1,077,557 | – | 3.58% | – | |
| NRGX | New | PIMCO Enrgy Tactical Cr Opp | $8,162,000 | – | 635,708 | – | 3.38% | – |
| BIF | New | Boulder Growth & Income Fund Inc | $6,491,000 | – | 543,192 | – | 2.69% | – |
| PCF | New | High Income Secs Fd Shs | $6,292,000 | – | 864,245 | – | 2.61% | – |
| BCAT | New | BlackRock Cap Allocation Tr | $4,539,000 | – | 309,844 | – | 1.88% | – |
| New | BlackRock ESG Cap Allc Tr | $4,509,000 | – | 315,084 | – | 1.87% | – | |
| NDP | New | Tortoise Energy Independence | $4,397,000 | – | 161,997 | – | 1.82% | – |
| SSSS | New | Sutter Rock Cap Corp | $4,112,000 | – | 642,490 | – | 1.70% | – |
| VCIF | New | Vertical Capital Income Fund | $4,070,000 | – | 435,278 | – | 1.68% | – |
| CRF | New | Cornerstone Total Rtrn Fd In | $3,970,000 | – | 476,644 | – | 1.64% | – |
| FINS | New | Angel Oak Final Strategies Incm Trm Trst | $3,839,000 | – | 263,329 | – | 1.59% | – |
| CEM | New | Clearbridge MLP And Midstrm | $3,794,000 | – | 132,040 | – | 1.57% | – |
| CET | New | Central Securities Corp | $3,643,000 | – | 103,454 | – | 1.51% | – |
| PDI | New | PIMCO Dynamic Income Fd | $3,623,000 | – | 173,618 | – | 1.50% | – |
| PEO | New | Adams Natural Resources Fund Inc | $3,393,000 | – | 174,268 | – | 1.40% | – |
| New | Nuveen Mutli Asset Income Fund | $3,325,000 | – | 251,930 | – | 1.38% | – | |
| TBF | New | ProShares TRshrt 20+ yr tre | $3,215,000 | – | 160,345 | – | 1.33% | – |
| AIF | New | Apollo Tactical Income Fund Inc | $3,170,000 | – | 263,305 | – | 1.31% | – |
| GAM | New | General American Investors Co Inc | $2,599,000 | – | 73,494 | – | 1.08% | – |
| JRI | New | Nuveen Real Asset Income and Growth Fund | $2,532,000 | – | 193,729 | – | 1.05% | – |
| NFE | New | New Fortress Energy Inccl a | $2,517,000 | – | 63,602 | – | 1.04% | – |
| BSTZ | New | BlackRock Science and Technology Trust II | $2,500,000 | – | 127,614 | – | 1.04% | – |
| VVR | New | Invesco Sr Income Tr | $2,500,000 | – | 642,734 | – | 1.04% | – |
| FBP | New | First BanCorp/Puerto Rico | $2,430,000 | – | 188,211 | – | 1.01% | – |
| CTR | New | Clearbridge MLP and Midstrm | $2,404,000 | – | 93,881 | – | 1.00% | – |
| BPOP | New | Popular Inc | $2,371,000 | – | 30,814 | – | 0.98% | – |
| SPE | New | Special Opportunities Fund Inc. | $2,352,000 | – | 190,145 | – | 0.97% | – |
| New | Thornburg Incm Builder Opp Tr | $2,353,000 | – | 162,149 | – | 0.97% | – | |
| WDI | New | Western Asset Diversifised In | $2,335,000 | – | 168,494 | – | 0.97% | – |
| CUBA | New | The Herzfeld Caribbean Basin Fund Inc | $2,312,000 | – | 576,462 | – | 0.96% | – |
| ADX | New | Adams Diversified Equity Fund Inc | $2,308,000 | – | 150,426 | – | 0.96% | – |
| PTA | New | Cohen & Steers Tax Advan Pfd | $2,182,000 | – | 114,494 | – | 0.90% | – |
| JSD | New | Nuveen Short Duration Cr Opp | $2,184,000 | – | 181,507 | – | 0.90% | – |
| MTZ | New | MasTec Inc | $2,140,000 | – | 29,868 | – | 0.89% | – |
| NBXG | New | Neuberger Brman Next Genera | $2,070,000 | – | 208,715 | – | 0.86% | – |
| BIGZ | New | BlackRock Innovation and Grw | $1,972,000 | – | 248,303 | – | 0.82% | – |
| SAR | New | Saratoga Invt Corp | $1,965,000 | – | 81,998 | – | 0.81% | – |
| JLS | New | Nuveen Mortgage and Income Fund | $1,937,000 | – | 117,260 | – | 0.80% | – |
| DMO | New | Western Asset Mortgage Opp Fund Inc. | $1,933,000 | – | 165,498 | – | 0.80% | – |
| EMO | New | Clearbridge Energy Midstrm O | $1,852,000 | – | 78,437 | – | 0.77% | – |
| WIW | New | Western Asset/Claymore Inflation-Linked Opportunities & Income Fund | $1,737,000 | – | 164,918 | – | 0.72% | – |
| NEE | New | NextEra Energy Inc | $1,706,000 | – | 22,025 | – | 0.71% | – |
| AIO | New | AllianzGI Artificial Intelligence Opp Fund | $1,493,000 | – | 92,226 | – | 0.62% | – |
| ASLE | New | Aersale Corporation | $1,399,000 | – | 96,418 | – | 0.58% | – |
| NPCT | New | Nuveen Core Plus Impact Fund | $1,328,000 | – | 113,293 | – | 0.55% | – |
| PGTI | New | PGT Innovations Inc | $1,283,000 | – | 77,117 | – | 0.53% | – |
| CPA | New | Copa Holdings SAcl a | $1,283,000 | – | 20,250 | – | 0.53% | – |
| MLM | New | Martin Marietta Materials Inc | $1,197,000 | – | 4,000 | – | 0.50% | – |
| ECC | New | Eagle Pt Cr Co LLC | $1,112,000 | – | 94,431 | – | 0.46% | – |
| ASGI | New | Aberdeen Std Global Infrastructure | $1,112,000 | – | 61,670 | – | 0.46% | – |
| NCLH | New | Norwegian Cruise Line Holdings Ltd | $1,020,000 | – | 91,717 | – | 0.42% | – |
| ASR | New | Grupo Aeroportuario del Sureste SAB de CVspon adr ser b | $1,016,000 | – | 5,175 | – | 0.42% | – |
| BIL | New | SPDR Ser Trspdr bloomberg | $999,000 | – | 10,919 | – | 0.41% | – |
| OXLC | New | Oxford Lane Cap Corp | $895,000 | – | 157,641 | – | 0.37% | – |
| IHI | New | iShares U.S. Medical Devices ETFu.s. med dvc etf | $890,000 | – | 17,638 | – | 0.37% | – |
| FMX | New | Fomento Economico Mexicano SAB de CVspon adr units | $885,000 | – | 13,110 | – | 0.37% | – |
| LEN | New | Lennar Corpcl a | $882,000 | – | 12,500 | – | 0.36% | – |
| VAC | New | Marriott Vacations Worldwide Corp | $784,000 | – | 6,745 | – | 0.32% | – |
| OCCI | New | OFS Credit Company Inc | $738,000 | – | 81,141 | – | 0.31% | – |
| VMC | New | Vulcan Materials Co | $711,000 | – | 5,000 | – | 0.29% | – |
| CX | New | Cemex SAB de CVspon adr new | $708,000 | – | 180,645 | – | 0.29% | – |
| RCL | New | Royal Caribbean Cruises Ltd | $685,000 | – | 19,633 | – | 0.28% | – |
| CWCO | New | Consolidated Water Co Ltdord | $639,000 | – | 44,092 | – | 0.26% | – |
| CIB | New | Bancolombia SAspon adr pref | $625,000 | – | 20,280 | – | 0.26% | – |
| EVTC | New | EVERTEC Inc | $625,000 | – | 16,956 | – | 0.26% | – |
| SHY | New | Ishares Tr 13 Yr1 3 yr treas bd | $619,000 | – | 7,481 | – | 0.26% | – |
| SEB | New | Seaboard Corp | $532,000 | – | 137 | – | 0.22% | – |
| ESRT | New | Empire State Realty Trust Inccl a | $519,000 | – | 73,894 | – | 0.22% | – |
| LIVN | New | LivaNova PLC | $520,000 | – | 8,330 | – | 0.22% | – |
| PLYA | New | Playa Hotels & Resorts Nv | $511,000 | – | 74,412 | – | 0.21% | – |
| MINT | New | PIMCO Enhanced Short Maturity Active Exchange-Traded Fundenhan shrt ma ac | $356,000 | – | 3,587 | – | 0.15% | – |
| IBB | New | iShares Nasdaq Biotechnology ETFnasdaq biotech | $335,000 | – | 2,850 | – | 0.14% | – |
| New | Destra Multi-Alternative Fd | $268,000 | – | 39,084 | – | 0.11% | – | |
| MRK | New | Merck & Co Inc | $258,000 | – | 2,830 | – | 0.11% | – |
| WIA | New | Western Asset/Claymore Inflation-Linked Securities & Income Fund | $257,000 | – | 26,286 | – | 0.11% | – |
| GLD | New | SPDR Gold Tr | $236,000 | – | 1,398 | – | 0.10% | – |
| CEFS | New | Exchange Listed FDS Trsaba int rate | $233,000 | – | 13,557 | – | 0.10% | – |
| AMX | New | America Movil SAB de CV | $225,000 | – | 10,998 | – | 0.09% | – |
| LRFC | New | Logan Ridge Finance Corp | $217,000 | – | 13,763 | – | 0.09% | – |
| LLY | New | Eli Lilly & Co | $215,000 | – | 663 | – | 0.09% | – |
| MXE | New | Mexico Equity & Income Fd | $200,000 | – | 24,888 | – | 0.08% | – |
| AMGN | New | Amgen Inc | $170,000 | – | 700 | – | 0.07% | – |
| CCL | New | Carnival Corpunit 99/99/9999 | $152,000 | – | 17,559 | – | 0.06% | – |
| SPY | New | SPDR S&P 500 ETF Trtr unit | $147,000 | – | 390 | – | 0.06% | – |
| PFX | New | Phenixfin Corp | $135,000 | – | 3,700 | – | 0.06% | – |
| CEF | New | Sprott Physical Gold and Silver Trusttr unit | $135,000 | – | 8,000 | – | 0.06% | – |
| ISD | New | PGIM Short Duration High Yield Fund, Inc. | $134,000 | – | 10,878 | – | 0.06% | – |
| BMY | New | Bristol-Myers Squibb Co | $131,000 | – | 1,700 | – | 0.05% | – |
| UNH | New | UnitedHealth Group Inc | $116,000 | – | 225 | – | 0.05% | – |
| GSIE | New | Goldman Sachs ETF TRactivebeta int | $117,000 | – | 4,197 | – | 0.05% | – |
| GHY | New | PGIM Global Short Duration High Yield Fund, Inc. | $114,000 | – | 9,925 | – | 0.05% | – |
| ABBV | New | AbbVie, Inc. | $108,000 | – | 704 | – | 0.04% | – |
| NVS | New | Novartis AGsponsored adr | $105,000 | – | 1,244 | – | 0.04% | – |
| USO | New | United States Oil Fund LPunits | $100,000 | – | 1,250 | – | 0.04% | – |
| PVI | New | Invesco Exch Traded Fd Tr IIvrdo tax free | $100,000 | – | 4,000 | – | 0.04% | – |
| STK | New | Columbia Seligman Premium Technology Growth Fund | $97,000 | – | 3,853 | – | 0.04% | – |
| NVO | New | Novo Nordisk A/S ADRadr | $79,000 | – | 711 | – | 0.03% | – |
| QQQ | New | Invesco QQQ Trunit ser 1 | $76,000 | – | 270 | – | 0.03% | – |
| ASA | New | ASA Gold and Precious Metals Ltd | $74,000 | – | 5,038 | – | 0.03% | – |
| ASML | New | ASML Holding N V | $67,000 | – | 141 | – | 0.03% | – |
| SNY | New | Sanofisponsored adr | $62,000 | – | 1,239 | – | 0.03% | – |
| MDY | New | SPDR S&P MidCap 400 ETF Trutser1 s&pdcrp | $62,000 | – | 150 | – | 0.03% | – |
| EQIX | New | Equinix Inc | $57,000 | – | 86 | – | 0.02% | – |
| PGP | New | PIMCO Global StocksPLS Inc. | $59,000 | – | 7,535 | – | 0.02% | – |
| SONY | New | Sony Corpsponsored adr | $57,000 | – | 694 | – | 0.02% | – |
| TAK | New | Takeda Pharmaceutical Co Ltdsponsored adr | $56,000 | – | 4,000 | – | 0.02% | – |
| BKR | New | Baker Hughes Companycl a | $55,000 | – | 1,920 | – | 0.02% | – |
| CNI | New | Canadian National Railway Company | $48,000 | – | 428 | – | 0.02% | – |
| QQQX | New | Nuveen NASDAQ 100 Dynamic Overwrite Fund | $45,000 | – | 2,063 | – | 0.02% | – |
| RVT | New | Royce Value Trust Inc | $47,000 | – | 3,348 | – | 0.02% | – |
| JCE | New | Nuveen Core Equity Alpha Fund | $44,000 | – | 3,320 | – | 0.02% | – |
| GAB | New | Gabelli Equity Trust Inc | $44,000 | – | 7,151 | – | 0.02% | – |
| MSFT | New | Microsoft Corp | $42,000 | – | 164 | – | 0.02% | – |
| ASG | New | Liberty All Star Growth Fund Inc | $40,000 | – | 6,903 | – | 0.02% | – |
| CRSP | New | CRISPR Therapeutics AGnamen akt | $38,000 | – | 625 | – | 0.02% | – |
| SMM | New | Salient Midstream & MLP Fdsh ben int | $38,000 | – | 5,000 | – | 0.02% | – |
| USA | New | Liberty All Star Equity Fundsh ben int | $37,000 | – | 5,845 | – | 0.02% | – |
| TSLA | New | Tesla Inc | $36,000 | – | 53 | – | 0.02% | – |
| BCS | New | Barclays PLCadr | $35,000 | – | 4,560 | – | 0.01% | – |
| TY | New | Tri-Continental Corp | $33,000 | – | 1,255 | – | 0.01% | – |
| GDV | New | The Gabelli Dividend & Income Trust | $29,000 | – | 1,416 | – | 0.01% | – |
| TSM | New | Taiwan Semiconductor Manufacturing Company Limitedsponsored adr | $30,000 | – | 367 | – | 0.01% | – |
| MDT | New | Medtronic plc | $27,000 | – | 297 | – | 0.01% | – |
| AVGO | New | Broadcom, Inc. | $26,000 | – | 53 | – | 0.01% | – |
| New | GXO Logistics Incorporated | $26,000 | – | 603 | – | 0.01% | – | |
| New | Oppfi Inc Comcl a | $23,000 | – | 7,000 | – | 0.01% | – | |
| NFLX | New | Netflix, Inc. | $21,000 | – | 122 | – | 0.01% | – |
| SOGU | New | Collaborative Investmnt Sershort de spac | $16,000 | – | 238 | – | 0.01% | – |
| HD | New | The Home Depot Inc | $16,000 | – | 59 | – | 0.01% | – |
| BDJ | New | BlackRock Enhanced Equity Dividend Trust | $17,000 | – | 1,970 | – | 0.01% | – |
| INCY | New | Incyte Corp | $18,000 | – | 242 | – | 0.01% | – |
| RYAAY | New | Ryanair Holdings plc ADRsponsored ads | $17,000 | – | 249 | – | 0.01% | – |
| JPM | New | JPMorgan Chase & Co | $16,000 | – | 140 | – | 0.01% | – |
| GF | New | The New Germany Fund Inc | $14,000 | – | 1,633 | – | 0.01% | – |
| PEP | New | PepsiCo, Inc. | $15,000 | – | 89 | – | 0.01% | – |
| MDLZ | New | Mondelez International, Inc.cl a | $14,000 | – | 226 | – | 0.01% | – |
| ZTR | New | Virtus Total Return Fund Inc. | $15,000 | – | 1,796 | – | 0.01% | – |
| PG | New | Procter & Gamble Co. (The) | $15,000 | – | 103 | – | 0.01% | – |
| BLK | New | BlackRock, Inc. | $15,000 | – | 24 | – | 0.01% | – |
| MXF | New | The Mexico Fund, Inc. | $12,000 | – | 845 | – | 0.01% | – |
| PNC | New | The PNC Financial Services Group Inc | $12,000 | – | 79 | – | 0.01% | – |
| O | New | Realty Income Corp. | $11,000 | – | 156 | – | 0.01% | – |
| New | Rice Acquisition Corp*w exp 99/99/999 | $11,000 | – | 35,267 | – | 0.01% | – | |
| APD | New | Air products and Chemicals, Inc. | $12,000 | – | 50 | – | 0.01% | – |
| CVX | New | Chevron Corp. | $12,000 | – | 81 | – | 0.01% | – |
| AMZN | New | Amazon Com Inc | $12,000 | – | 114 | – | 0.01% | – |
| AMT | New | American Tower Corporation | $11,000 | – | 43 | – | 0.01% | – |
| CCI | New | Crown Castle Intl Corp. | $11,000 | – | 64 | – | 0.01% | – |
| New | Wallbox NV*w exp 99/99/999 | $11,000 | – | 5,442 | – | 0.01% | – | |
| FB | New | Meta Platforms Inccl a | $12,000 | – | 76 | – | 0.01% | – |
| IBN | New | ICICI Bank Ltdadr | $13,000 | – | 742 | – | 0.01% | – |
| UPS | New | United Parcel Service Inccl b | $11,000 | – | 58 | – | 0.01% | – |
| TFC | New | Truist Financial Corp | $13,000 | – | 265 | – | 0.01% | – |
| TXN | New | Texas Instruments, Inc | $11,000 | – | 70 | – | 0.01% | – |
| TWN | New | The Taiwan Fund Inc | $12,000 | – | 477 | – | 0.01% | – |
| New | TMC The Metals Company Inc | $11,000 | – | 10,635 | – | 0.01% | – | |
| MMC | New | Marsh & McLennan Companies, Inc. | $11,000 | – | 68 | – | 0.01% | – |
| AGD | New | Aberdeen Global Dynamic Dividend Fund | $13,000 | – | 1,426 | – | 0.01% | – |
| IRL | New | The New Ireland Fund Inc | $11,000 | – | 1,356 | – | 0.01% | – |
| TSI | New | TCW Strategic Income Fund Inc | $10,000 | – | 2,000 | – | 0.00% | – |
| SBUX | New | Starbucks Corp. | $9,000 | – | 119 | – | 0.00% | – |
| ADP | New | Automatic Data Processing, Inc. | $9,000 | – | 42 | – | 0.00% | – |
| AZN | New | AstraZeneca Group plc ADRsponsored adr | $9,000 | – | 135 | – | 0.00% | – |
| VALE | New | Vale SAadr | $9,000 | – | 604 | – | 0.00% | – |
| SRE | New | Sempra Energy | $10,000 | – | 64 | – | 0.00% | – |
| CSCO | New | Cisco Systems, Inc. | $9,000 | – | 219 | – | 0.00% | – |
| CB | New | Chubb Ltd | $9,000 | – | 45 | – | 0.00% | – |
| QCOM | New | Qualcomm Inc | $9,000 | – | 70 | – | 0.00% | – |
| PCTTW | New | Purecycle Technologies Incw exp 01/28/202 | $9,000 | – | 3,331 | – | 0.00% | – |
| MCD | New | McDonald's Corp | $10,000 | – | 42 | – | 0.00% | – |
| LMT | New | Lockheed Martin Corp. | $9,000 | – | 21 | – | 0.00% | – |
| TMO | New | Thermo Fisher Scientific, Inc. | $9,000 | – | 16 | – | 0.00% | – |
| KDP | New | Keurig Dr. Pepper Inc. | $7,000 | – | 209 | – | 0.00% | – |
| BGY | New | BlackRock Enhanced International Dividend Trust | $7,000 | – | 1,464 | – | 0.00% | – |
| BABA | New | Alibaba Group Holding Limitedsponsored ads | $7,000 | – | 64 | – | 0.00% | – |
| AOD | New | Aberdeen Total Dynamic Dividend Fund | $8,000 | – | 947 | – | 0.00% | – |
| CHPT | New | Chargepoint Holdings Inc. | $7,000 | – | 529 | – | 0.00% | – |
| ABT | New | Abbott Laboratories | $8,000 | – | 73 | – | 0.00% | – |
| AEF | New | Aberdeen Emerging Markets Equity Inc. | $7,000 | – | 1,353 | – | 0.00% | – |
| HDB | New | HDFC Bank Ltdsponsored ads | $7,000 | – | 120 | – | 0.00% | – |
| EFX | New | Equifax, Inc. | $7,000 | – | 36 | – | 0.00% | – |
| PLD | New | ProLogis, Inc. | $8,000 | – | 64 | – | 0.00% | – |
| ITW | New | Illinois Tool Works, Inc. | $5,000 | – | 30 | – | 0.00% | – |
| AWP | New | Aberdeen Global Premier Properties Fund | $4,000 | – | 840 | – | 0.00% | – |
| JEQ | New | Aberdeen Japan Equity Fund Inc | $6,000 | – | 1,061 | – | 0.00% | – |
| ADBE | New | Adobe Systems, Inc. | $5,000 | – | 15 | – | 0.00% | – |
| AMAT | New | Applied Materials, Inc. | $4,000 | – | 46 | – | 0.00% | – |
| GOLD | New | Barrick Gold Corp | $6,000 | – | 349 | – | 0.00% | – |
| BSY | New | Bentley Sys Inc. | $5,000 | – | 139 | – | 0.00% | – |
| WRB | New | Berkley W R Corp | $6,000 | – | 90 | – | 0.00% | – |
| BBY | New | Best Buy Inc. | $5,000 | – | 73 | – | 0.00% | – |
| BTI | New | British American Tobacco PLCsponsored adr | $6,000 | – | 133 | – | 0.00% | – |
| CME | New | CME Group Inc. | $6,000 | – | 30 | – | 0.00% | – |
| CARR | New | Carrier Global Corporation | $5,000 | – | 142 | – | 0.00% | – |
| CAT | New | Caterpillar Inc. | $5,000 | – | 29 | – | 0.00% | – |
| CRL | New | Charles Riv Labs Intl Inc | $4,000 | – | 20 | – | 0.00% | – |
| CHT | New | Chungwa Telecom Co Ltdspon adr | $4,000 | – | 100 | – | 0.00% | – |
| CMCSA | New | Comcast Corp. Cl A Common Stockcl a | $4,000 | – | 114 | – | 0.00% | – |
| COP | New | ConocoPhillips | $4,000 | – | 43 | – | 0.00% | – |
| COO | New | Cooper Cos Inc. | $4,000 | – | 12 | – | 0.00% | – |
| CPRT | New | Copart Inc. | $4,000 | – | 36 | – | 0.00% | – |
| GLW | New | Corning Inc. | $5,000 | – | 155 | – | 0.00% | – |
| COST | New | Costco Wholesale Corp. | $4,000 | – | 9 | – | 0.00% | – |
| EEA | New | The European Equity Fund Inc | $5,000 | – | 728 | – | 0.00% | – |
| EXPO | New | Exponent Inc | $4,000 | – | 46 | – | 0.00% | – |
| FIS | New | Fidelity Natl Information Sv | $6,000 | – | 66 | – | 0.00% | – |
| GGZ | New | Gabelli Global Small & Mid C | $6,000 | – | 557 | – | 0.00% | – |
| HLT | New | Hilton, Inc | $5,000 | – | 49 | – | 0.00% | – |
| INFY | New | Infosys Ltdsponsored ads | $4,000 | – | 241 | – | 0.00% | – |
| ISRG | New | Intuitive Surgical, Inc. | $6,000 | – | 31 | – | 0.00% | – |
| JD | New | JD.Com Incspon adr cl a | $5,000 | – | 75 | – | 0.00% | – |
| LPLA | New | LPL Finl Hldgs Inc | $5,000 | – | 29 | – | 0.00% | – |
| MA | New | MasterCard, Inc.cl a | $5,000 | – | 15 | – | 0.00% | – |
| MCO | New | Moody's Corp. | $6,000 | – | 22 | – | 0.00% | – |
| CAF | New | Morgan Stanley China A Sh Fd | $5,000 | – | 297 | – | 0.00% | – |
| NKE | New | Nike, Inc.cl b | $6,000 | – | 59 | – | 0.00% | – |
| NDSN | New | Nordson Corp | $4,000 | – | 22 | – | 0.00% | – |
| PAYX | New | Paychex, Inc | $6,000 | – | 56 | – | 0.00% | – |
| PFE | New | Pfizer Inc | $6,000 | – | 109 | – | 0.00% | – |
| POOL | New | Pool Corp | $5,000 | – | 14 | – | 0.00% | – |
| SVXY | New | ProShares Short VIX Short-Term Futures ETFsht vix st trm | $5,000 | – | 110 | – | 0.00% | – |
| REGN | New | Regeneron Pharmaceuticals, Inc. | $5,000 | – | 8 | – | 0.00% | – |
| SLB | New | Schlumberger Ltd | $4,000 | – | 118 | – | 0.00% | – |
| SGEN | New | Seattle Genetics, In | $4,000 | – | 22 | – | 0.00% | – |
| NOW | New | ServiceNow, Inc. | $4,000 | – | 8 | – | 0.00% | – |
| SHG | New | Shinhan Financial Group Co Lspn adr restrd | $4,000 | – | 132 | – | 0.00% | – |
| SITE | New | Siteone Landsscape Supply Inc | $4,000 | – | 32 | – | 0.00% | – |
| STM | New | STMicroelectronics N Vny registry | $6,000 | – | 178 | – | 0.00% | – |
| EMF | New | Templeton Emerging Markets Fund | $4,000 | – | 369 | – | 0.00% | – |
| TER | New | Teradyne Inc | $4,000 | – | 44 | – | 0.00% | – |
| TTE | New | Totalenergies SEsponsored ads | $4,000 | – | 80 | – | 0.00% | – |
| USB | New | U.S. Bancorp | $5,000 | – | 112 | – | 0.00% | – |
| VRTX | New | Vertex Pharmaceuticals, Inc. | $6,000 | – | 22 | – | 0.00% | – |
| WEC | New | WEC Energy Group, Inc. | $6,000 | – | 62 | – | 0.00% | – |
| YUMC | New | Yum China Hldgs Inc | $4,000 | – | 73 | – | 0.00% | – |
| ZBRA | New | Zebra Technologies Corpcl a | $4,000 | – | 15 | – | 0.00% | – |
| ZTS | New | Zoetis Inc.cl a | $6,000 | – | 37 | – | 0.00% | – |
| BG | New | Bunge Limited | $5,000 | – | 58 | – | 0.00% | – |
| ESSCW | New | East Stone Acquisition Corp*w exp 12/31/202 | $5,000 | – | 31,250 | – | 0.00% | – |
| ETN | New | Eaton Corp. plc (Ireland) | $6,000 | – | 44 | – | 0.00% | – |
| LIN | New | Linde plc | $4,000 | – | 15 | – | 0.00% | – |
| SQM | New | Sociedad Quimica Y Minera Despon adr ser b | $2,000 | – | 22 | – | 0.00% | – |
| NTES | New | Netease Incsponsored ads | $3,000 | – | 34 | – | 0.00% | – |
| IIF | New | Morgan Stanley India Investment Fund Inc | $2,000 | – | 76 | – | 0.00% | – |
| MU | New | Micron Technology Inc | $2,000 | – | 39 | – | 0.00% | – |
| CHE | New | Chemed Corp New | $3,000 | – | 6 | – | 0.00% | – |
| New | Matterport Inccl a | $3,000 | – | 840 | – | 0.00% | – | |
| SUZ | New | Suzano Papel e Celulose S.A.spon ads | $2,000 | – | 160 | – | 0.00% | – |
| ELAN | New | Elanco Animal Health Inc. | $2,000 | – | 105 | – | 0.00% | – |
| BAP | New | Credicorp Ltd | $2,000 | – | 16 | – | 0.00% | – |
| BUD | New | Anheuser-Busch Inbev SA/NV ADRsponsored adr | $2,000 | – | 45 | – | 0.00% | – |
| New | SK Telecom Ltdsponsored adr | $3,000 | – | 145 | – | 0.00% | – | |
| ROL | New | Rollins Inc | $3,000 | – | 74 | – | 0.00% | – |
| QSR | New | Restaurant Brands International Inc | $3,000 | – | 68 | – | 0.00% | – |
| PSX | New | Phillips 66 | $3,000 | – | 38 | – | 0.00% | – |
| PBR | New | Petroleo Brasileiro S.A. PETROBRASsponsored adr | $2,000 | – | 192 | – | 0.00% | – |
| SAP | New | SAP SEspon adr | $3,000 | – | 36 | – | 0.00% | – |
| MMYT | New | MakeMyTrip Limited Mauritius | $2,000 | – | 65 | – | 0.00% | – |
| SMG | New | Scotts Miracle-Gro Cocl a | $3,000 | – | 42 | – | 0.00% | – |
| PYPL | New | PayPal Holdings, Inc. | $3,000 | – | 43 | – | 0.00% | – |
| New | Oppfi Incw exp 07/20/202 | $2,000 | – | 6,315 | – | 0.00% | – | |
| FN | New | Fabrinet | $2,000 | – | 22 | – | 0.00% | – |
| SHW | New | Sherwin-Williams Co. (The) | $3,000 | – | 14 | – | 0.00% | – |
| DLB | New | Dolby Laboratories Inccl a | $3,000 | – | 42 | – | 0.00% | – |
| LU | New | Lufax Holdings LTD | $2,000 | – | 335 | – | 0.00% | – |
| LII | New | Lennox Intl Inc | $2,000 | – | 12 | – | 0.00% | – |
| LSEAW | New | Landsea Homes Corpw exp 01/07/202 | $3,000 | – | 12,738 | – | 0.00% | – |
| LRCX | New | Lam Research Corp | $2,000 | – | 4 | – | 0.00% | – |
| TRP | New | Tc Energy Corp | $3,000 | – | 56 | – | 0.00% | – |
| TDY | New | Teledyne Technologies Inc. | $3,000 | – | 9 | – | 0.00% | – |
| CVE | New | Cenovus Energy Inc | $3,000 | – | 180 | – | 0.00% | – |
| NVCR | New | Novocure Ltd | $2,000 | – | 22 | – | 0.00% | – |
| KF | New | The Korea Fund Inc | $3,000 | – | 108 | – | 0.00% | – |
| JOF | New | Japan Smaller Capitalization Fund Inc | $3,000 | – | 553 | – | 0.00% | – |
| THO | New | Thor Inds Inc | $3,000 | – | 38 | – | 0.00% | – |
| KSA | New | Ishares Trmsci saudi arabia | $2,000 | – | 58 | – | 0.00% | – |
| IBKR | New | Interactive Brokers Group In | $3,000 | – | 55 | – | 0.00% | – |
| PODD | New | Insulet Corp. | $3,000 | – | 15 | – | 0.00% | – |
| TRMB | New | Trimble, Inc. | $3,000 | – | 50 | – | 0.00% | – |
| TCOM | New | Trip.com Group Ltd ADRads | $2,000 | – | 83 | – | 0.00% | – |
| IFN | New | The India Fund Inc | $2,000 | – | 93 | – | 0.00% | – |
| CP | New | Canadian Pac Ry Ltd | $2,000 | – | 28 | – | 0.00% | – |
| RARE | New | Ultragenyx Pharmaceutical In | $2,000 | – | 30 | – | 0.00% | – |
| UMC | New | United Microelectronics Corpspon adr new | $2,000 | – | 248 | – | 0.00% | – |
| IDXX | New | IDEXX Labs Inc. | $3,000 | – | 9 | – | 0.00% | – |
| HUBS | New | HubSpot Inc. | $2,000 | – | 8 | – | 0.00% | – |
| JKHY | New | Henry Jack & Assoc Inc | $3,000 | – | 16 | – | 0.00% | – |
| BFAM | New | Bright Horizons Fam Sol In D | $2,000 | – | 25 | – | 0.00% | – |
| V | New | Visa Inc | $2,000 | – | 9 | – | 0.00% | – |
| GS | New | Goldman Sachs Group, Inc. (The) | $2,000 | – | 8 | – | 0.00% | – |
| GDDY | New | GoDaddy, Inc.cl a | $3,000 | – | 44 | – | 0.00% | – |
| GMED | New | Globus Med Inccl a | $2,000 | – | 44 | – | 0.00% | – |
| BGNE | New | BeiGene, Ltd.sponsored adr | $2,000 | – | 15 | – | 0.00% | – |
| WSO | New | Watsco Inc. | $3,000 | – | 13 | – | 0.00% | – |
| New | Forge Global Holdings Inc.*w exp 03/29/202 added | $3,000 | – | 44,802 | – | 0.00% | – | |
| FICO | New | Fair Isaac Corp | $2,000 | – | 5 | – | 0.00% | – |
| ES | New | Eversource Energy | $3,000 | – | 40 | – | 0.00% | – |
| New | WeWork Inc.*w exp 10/20/202 | $2,000 | – | 2,399 | – | 0.00% | – | |
| New | Aspen Technology Inc. | $3,000 | – | 14 | – | 0.00% | – | |
| BIDU | New | Baidu Inc.spon adr rep a | $2,000 | – | 12 | – | 0.00% | – |
| AAPL | New | Apple Inc | $3,000 | – | 22 | – | 0.00% | – |
| ALLE | New | Allegion PLC | $3,000 | – | 31 | – | 0.00% | – |
| ANSS | New | Ansys Inc | $2,000 | – | 8 | – | 0.00% | – |
| New | TDCX Inc.ads | $1,000 | – | 111 | – | 0.00% | – | |
| New | Ginkgo Bioworks Holdings Inc.*w exp 08/01/202 | $1,000 | – | 2,000 | – | 0.00% | – | |
| New | Lottery Com Inc.*w exp 05/09/202 | $1,000 | – | 4,529 | – | 0.00% | – | |
| PAGS | New | Pagseguro Digital Ltd | $1,000 | – | 121 | – | 0.00% | – |
| New | Doma Holdings Inc.*w exp 07/28/202 | $1,000 | – | 5,000 | – | 0.00% | – | |
| GRFS | New | Grifols S Asp adr rep b nvt | $1,000 | – | 91 | – | 0.00% | – |
| PSTHWS | New | Pershing Square Tontine Hldg*w exp 07/24/202 | $1,000 | – | 3,000 | – | 0.00% | – |
| GOOG | New | Alphabet, Inc. Cl Ccl c | $1,000 | – | 9 | – | 0.00% | – |
| PIPPWS | New | Pine Island Acquisition Corp*w exp 10/19/202 | $1,000 | – | 4,597 | – | 0.00% | – |
| JQC | New | Nuveen Credit Strategies Income Fund | $0 | – | 0 | – | 0.00% | – |
| New | Alpha Tau Medical*w exp 03/07/202 | $1,000 | – | 2,500 | – | 0.00% | – | |
| BEKE | New | KE Hldgs Inc.sponsored ads | $1,000 | – | 55 | – | 0.00% | – |
| ASX | New | Ase Technology Hldg Co. Ltd.sponsored ads | $1,000 | – | 255 | – | 0.00% | – |
| SMAR | New | Smartsheet, Inc. Cl A | $1,000 | – | 47 | – | 0.00% | – |
| WEN | New | The Wendy's Co | $1,000 | – | 42 | – | 0.00% | – |
| New | Thoughtworks Holding Inc. | $1,000 | – | 82 | – | 0.00% | – |
Q4 2021
Q3 2021
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| HFRO | Buy | Highland Floating Rate Opportunities Fund | $27,312,000 | +0.0% | 2,535,919 | +1.3% | 12.06% | +5.9% |
| NHF | Buy | NexPoint Credit Strategies Fund | $17,580,000 | +2.7% | 1,263,868 | +1.6% | 7.76% | +8.7% |
| SHY | Buy | Ishares Tr 13 Yr1 3 yr treas bd | $7,761,000 | +303.6% | 90,086 | +303.6% | 3.43% | +327.3% |
| CET | Sell | Central Securities Corp | $7,134,000 | -2.5% | 168,850 | -2.7% | 3.15% | +3.2% |
| BIF | Buy | Boulder Growth & Income Fund Inc | $6,753,000 | +8.8% | 515,095 | +12.4% | 2.98% | +15.2% |
| BSTZ | Sell | BlackRock Science and Technology Trust II | $6,518,000 | -10.2% | 168,939 | -2.9% | 2.88% | -5.0% |
| CRF | Sell | Cornerstone Total Rtrn Fd In | $6,117,000 | -8.8% | 492,938 | -16.6% | 2.70% | -3.5% |
| CLM | Sell | Cornerstone Strategic Value Fund Inc | $5,970,000 | -9.6% | 466,403 | -18.0% | 2.64% | -4.2% |
| TBF | Buy | ProShares TRshrt 20+ yr tre | $5,759,000 | +23.8% | 345,258 | +25.3% | 2.54% | +31.1% |
| NRGX | Buy | PIMCO Enrgy Tactical Cr Opp | $5,322,000 | +11.2% | 435,849 | +13.8% | 2.35% | +17.7% |
| OCCI | Sell | OFS Credit Company Inc | $5,127,000 | -11.9% | 376,716 | -5.7% | 2.26% | -6.7% |
| PCI | Buy | PIMCO Dynamic Credit and Mortgage Income Fund | $5,087,000 | +18.2% | 240,745 | +25.2% | 2.25% | +25.1% |
| AIF | Sell | Apollo Tactical Income Fund Inc | $4,153,000 | -15.0% | 262,524 | -16.0% | 1.83% | -10.1% |
| GAM | Buy | General American Investors Co Inc | $3,952,000 | +26.4% | 91,774 | +27.4% | 1.74% | +33.8% |
| VCIF | Buy | Vertical Capital Income Fund | $3,303,000 | +0.1% | 314,917 | +3.1% | 1.46% | +6.0% |
| SPE | Sell | Special Opportunities Fund Inc. | $3,248,000 | -1.3% | 211,351 | -2.6% | 1.43% | +4.4% |
| NDP | Sell | Tortoise Energy Independence | $3,109,000 | +4.2% | 143,739 | -2.5% | 1.37% | +10.3% |
| ADX | Sell | Adams Diversified Equity Fund Inc | $3,043,000 | -12.9% | 153,672 | -13.0% | 1.34% | -7.8% |
| GHY | Sell | PGIM Global Short Duration High Yield Fund, Inc. | $2,943,000 | -47.1% | 191,112 | -45.3% | 1.30% | -44.0% |
| ISD | Sell | PGIM Short Duration High Yield Fund, Inc. | $2,909,000 | -50.4% | 179,151 | -50.3% | 1.28% | -47.5% |
| AIO | Sell | AllianzGI Artificial Intelligence Opp Fund | $2,887,000 | -7.2% | 108,212 | -3.5% | 1.28% | -1.7% |
| ECC | Buy | Eagle Pt Cr Co LLC | $2,839,000 | +52.6% | 208,479 | +51.9% | 1.25% | +61.6% |
| CUBA | Buy | The Herzfeld Caribbean Basin Fund Inc | $2,825,000 | -1.3% | 494,718 | +8.4% | 1.25% | +4.5% |
| JTD | Sell | Nuveen Tax-Advanteaged Divid | $2,815,000 | -1.8% | 177,689 | -0.4% | 1.24% | +4.0% |
| OXLC | Buy | Oxford Lane Cap Corp | $2,748,000 | +48.2% | 381,077 | +52.3% | 1.21% | +56.9% |
| WIW | Buy | Western Asset/Claymore Inflation-Linked Opportunities & Income Fund | $2,635,000 | +4.2% | 198,255 | +2.7% | 1.16% | +10.3% |
| JRI | Sell | Nuveen Real Asset Income and Growth Fund | $2,602,000 | -9.6% | 170,646 | -4.7% | 1.15% | -4.3% |
| BRW | Sell | Saba Capital Income & Opportunities Fund | $2,247,000 | -17.5% | 493,949 | -14.5% | 0.99% | -12.6% |
| NEE | Sell | NextEra Energy Inc | $2,133,000 | +7.0% | 27,169 | -0.1% | 0.94% | +13.4% |
| DMO | Buy | Western Asset Mortgage Opp Fund Inc. | $2,094,000 | +2.5% | 135,433 | +3.3% | 0.92% | +8.6% |
| IBMJ | New | iShares Tribonds dec 2021 | $2,013,000 | – | 78,690 | – | 0.89% | – |
| JLS | Buy | Nuveen Mortgage and Income Fund | $1,967,000 | +1.8% | 94,802 | +2.5% | 0.87% | +7.8% |
| PGP | Buy | PIMCO Global StocksPLS Inc. | $1,876,000 | +107.3% | 173,426 | +112.7% | 0.83% | +119.6% |
| JRO | Buy | Nuveen Fltng Rte Incm Opp Fd | $1,819,000 | +4.8% | 182,277 | +2.5% | 0.80% | +10.9% |
| RCL | Buy | Royal Caribbean Cruises Ltd | $1,746,000 | +4.4% | 19,633 | +0.1% | 0.77% | +10.6% |
| CEM | Sell | Clearbridge MLP And Midstrm | $1,743,000 | -12.8% | 64,191 | -6.1% | 0.77% | -7.7% |
| FUMB | New | First Trust Ultra Short Duration Municipalultra sht dur mu | $1,588,000 | – | 78,717 | – | 0.70% | – |
| NML | Buy | Neuberger Berman MLP Income Fund Inc | $1,368,000 | -1.4% | 277,507 | +0.0% | 0.60% | +4.3% |
| TYG | Sell | Tortoise Energy Infra Corp | $1,348,000 | -10.6% | 49,725 | -5.0% | 0.60% | -5.4% |
| EMO | Sell | Clearbridge Energy Midstrm O | $1,274,000 | -7.5% | 58,299 | -2.4% | 0.56% | -2.1% |
| SMM | Buy | Salient Midstream & MLP Fdsh ben int | $1,092,000 | +6.5% | 171,988 | +0.0% | 0.48% | +12.6% |
| JMST | New | JP Morgan Exchange-Traded Fultra sht muncpl | $1,087,000 | – | 21,275 | – | 0.48% | – |
| IHI | Buy | iShares U.S. Medical Devices ETFu.s. med dvc etf | $1,077,000 | +526.2% | 17,148 | +500.0% | 0.48% | +561.1% |
| RVI | Sell | Retail Value Inc. | $1,045,000 | -3.3% | 39,698 | -20.1% | 0.46% | +2.2% |
| SUB | New | iShares Trshrt nat mun etf | $889,000 | – | 8,266 | – | 0.39% | – |
| FAX | Sell | Aberdeen Asia Pacific Income | $665,000 | -84.0% | 160,265 | -82.9% | 0.29% | -83.0% |
| BFZ | Sell | BlackRock Calif Mun Income | $609,000 | -42.9% | 41,321 | -41.9% | 0.27% | -39.6% |
| JRS | New | Nuveen Real Estate Income Fund | $552,000 | – | 51,956 | – | 0.24% | – |
| CXH | Sell | MFS Investment Grade Municipal Trustsh ben int | $482,000 | -35.2% | 48,165 | -33.5% | 0.21% | -31.3% |
| SBI | Sell | Western Assest Intm Muni Fd | $432,000 | -6.9% | 44,288 | -6.8% | 0.19% | -1.5% |
| SSSS | Sell | Sutter Rock Cap Corp | $362,000 | -39.2% | 28,074 | -36.3% | 0.16% | -35.5% |
| WIA | Buy | Western Asset/Claymore Inflation-Linked Securities & Income Fund | $353,000 | -1.4% | 25,625 | +0.3% | 0.16% | +4.7% |
| BMEZ | Sell | BlackRock Health Sciences Trust II | $341,000 | -65.0% | 12,648 | -62.5% | 0.15% | -62.9% |
| NUO | Buy | Nuveen Ohio Qlty Mun Income | $308,000 | -2.5% | 19,446 | +0.8% | 0.14% | +3.0% |
| GPM | New | Guggenheim Enhanced Equity Income Fund | $226,000 | – | 25,136 | – | 0.10% | – |
| VPV | Sell | Invesco PA Value Mun Inc Tr | $215,000 | -13.0% | 16,250 | -12.1% | 0.10% | -7.8% |
| EVV | Sell | Eaton Vance Limited Duration Income Fund | $210,000 | -95.2% | 15,953 | -95.2% | 0.09% | -94.9% |
| DTF | Buy | DTF Tax-Free Income Inc | $185,000 | -1.1% | 12,774 | +2.4% | 0.08% | +5.1% |
| BWG | Sell | BrandywineGLOBAL - Global Income Opportunities Fund Inc. | $185,000 | -77.0% | 14,803 | -76.8% | 0.08% | -75.6% |
| LRFC | New | Logan Ridge Finance Corp | $154,000 | – | 6,000 | – | 0.07% | – |
| MHI | Sell | Pioneer Municipal High Income Trust | $145,000 | -29.6% | 11,914 | -25.0% | 0.06% | -25.6% |
| PFX | Buy | Phenixfin Corp | $141,000 | +65.9% | 3,283 | +57.6% | 0.06% | +77.1% |
| TY | Buy | Tri-Continental Corp | $136,000 | -2.2% | 4,073 | +0.2% | 0.06% | +3.4% |
| ASLEW | New | Aersale Corporationw exp 12/22/202 | $123,000 | – | 20,000 | – | 0.05% | – |
| CEV | Buy | Eaton Vance Calif Mun Incomsh ben int | $120,000 | +0.8% | 8,782 | +2.8% | 0.05% | +6.0% |
| NEWT | New | Newtek Business Svcs Corp | $111,000 | – | 4,000 | – | 0.05% | – |
| PEO | Buy | Adams Natural Resources Fund Inc | $109,000 | -2.7% | 6,935 | +0.3% | 0.05% | +2.1% |
| VMM | Sell | Delaware Investments Minnesota Municipal Income Fund II Inc | $109,000 | -45.8% | 7,663 | -46.1% | 0.05% | -42.9% |
| SONY | Buy | Sony Corpsponsored adr | $105,000 | +45.8% | 951 | +28.2% | 0.05% | +53.3% |
| AVK | Sell | Advent Claymore Convertible Securities and Income Fund | $100,000 | -96.6% | 5,586 | -96.4% | 0.04% | -96.5% |
| VTN | Sell | Invesco Tr Invt Grade New Yo | $98,000 | -9.3% | 7,286 | -6.4% | 0.04% | -4.4% |
| PCF | New | High Income Secs Fd Shs | $95,000 | – | 10,878 | – | 0.04% | – |
| NXJ | Sell | Nuveen New Jersey Quality Municipal Income Fund | $85,000 | -15.8% | 5,482 | -15.1% | 0.04% | -9.5% |
| ENX | Sell | Eaton Vance New York Mun Bd | $87,000 | -68.2% | 7,088 | -66.8% | 0.04% | -66.7% |
| VFL | Sell | Delaware Invts Natl Mun Incosh ben int | $84,000 | -8.7% | 5,984 | -7.9% | 0.04% | -2.6% |
| CNI | Buy | Canadian National Railway Company | $77,000 | +28.3% | 670 | +18.6% | 0.03% | +36.0% |
| BGX | Buy | Blackstone / GSO Long-Short Credit Income Fund | $74,000 | +1.4% | 4,893 | +0.9% | 0.03% | +10.0% |
| PNI | Sell | Pimco New York Municipal Income Fund II | $71,000 | -82.5% | 6,113 | -81.9% | 0.03% | -81.7% |
| PYPL | Buy | PayPal Holdings, Inc. | $67,000 | -5.6% | 258 | +6.2% | 0.03% | 0.0% |
| PUK | Buy | Prudential PLCadr | $60,000 | +20.0% | 1,537 | +17.9% | 0.03% | +23.8% |
| SE | Sell | Sea Limitedadr | $60,000 | +1.7% | 187 | -12.6% | 0.03% | +4.0% |
| RYAAY | Buy | Ryanair Holdings plc ADRsponsored ads | $56,000 | +12.0% | 513 | +10.1% | 0.02% | +19.0% |
| QQQX | Buy | Nuveen NASDAQ 100 Dynamic Overwrite Fund | $56,000 | -1.8% | 1,966 | +1.5% | 0.02% | +4.2% |
| RVT | Buy | Royce Value Trust Inc | $55,000 | -3.5% | 3,065 | +1.9% | 0.02% | 0.0% |
| JMM | Buy | Nuveen Multi-Market Income Fund Inc | $52,000 | +2.0% | 6,926 | +0.7% | 0.02% | +9.5% |
| ASG | Buy | Liberty All Star Growth Fund Inc | $53,000 | -1.9% | 6,196 | +2.0% | 0.02% | 0.0% |
| JCE | Buy | Nuveen Core Equity Alpha Fund | $50,000 | +2.0% | 3,028 | +1.8% | 0.02% | +10.0% |
| SNY | Buy | Sanofisponsored adr | $50,000 | +8.7% | 1,039 | +17.7% | 0.02% | +15.8% |
| TM | Sell | Toyota Motor Corp | $49,000 | -29.0% | 277 | -30.1% | 0.02% | -24.1% |
| BCS | New | Barclays PLCadr | $48,000 | – | 4,636 | – | 0.02% | – |
| USA | Buy | Liberty All Star Equity Fundsh ben int | $46,000 | -2.1% | 5,389 | +2.6% | 0.02% | 0.0% |
| CRSP | Sell | CRISPR Therapeutics AGnamen akt | $45,000 | -32.8% | 400 | -3.6% | 0.02% | -28.6% |
| NVO | Buy | Novo Nordisk A/S ADRadr | $43,000 | +760.0% | 445 | +641.7% | 0.02% | +850.0% |
| GDL | Buy | The GDL Fund | $44,000 | +2.3% | 4,849 | +1.3% | 0.02% | +5.6% |
| GAB | Buy | Gabelli Equity Trust Inc | $44,000 | -2.2% | 6,672 | +2.2% | 0.02% | 0.0% |
| TSM | Buy | Taiwan Semiconductor Manufacturing Company Limitedsponsored adr | $36,000 | -2.7% | 326 | +4.5% | 0.02% | +6.7% |
| CDNS | Sell | Cadence Design Systems, Inc. | $36,000 | -21.7% | 236 | -29.8% | 0.02% | -15.8% |
| OTIS | Sell | Otis Worldwide Corp | $35,000 | -31.4% | 427 | -32.1% | 0.02% | -28.6% |
| GDV | Buy | The Gabelli Dividend & Income Trust | $35,000 | 0.0% | 1,356 | +1.3% | 0.02% | 0.0% |
| JPM | Sell | JPMorgan Chase & Co | $34,000 | 0.0% | 209 | -5.4% | 0.02% | +7.1% |
| AMZN | Buy | Amazon Com Inc | $30,000 | +7.1% | 9 | +12.5% | 0.01% | +8.3% |
| GOOG | Buy | Alphabet, Inc. Cl Ccl c | $24,000 | +20.0% | 9 | +12.5% | 0.01% | +37.5% |
| FINS | New | Angel Oak Final Strategies Incm Trm Trst | $26,000 | – | 1,556 | – | 0.01% | – |
| FTCH | New | Farfetch Ltd | $21,000 | – | 547 | – | 0.01% | – |
| HD | Sell | The Home Depot Inc | $21,000 | -4.5% | 63 | -10.0% | 0.01% | 0.0% |
| New | Docebo Inc. | $17,000 | – | 228 | – | 0.01% | – | |
| BDJ | Buy | BlackRock Enhanced Equity Dividend Trust | $18,000 | 0.0% | 1,831 | +1.4% | 0.01% | 0.0% |
| New | Li-Cycle Holdings Corp.w exp 8/10/202 | $15,000 | – | 6,044 | – | 0.01% | – | |
| New | Angel Oak Finl Strategies inright 10/14/2021 | $16,000 | – | 73,420 | – | 0.01% | – | |
| ZTR | Buy | Virtus Total Return Fund Inc. | $15,000 | -6.2% | 1,661 | +2.5% | 0.01% | 0.0% |
| GENIWS | Sell | Genius Sports Limitedw exp 04/30/202 | $13,000 | -35.0% | 1,869 | -24.4% | 0.01% | -25.0% |
| MOTVWS | New | Motive Capital Corpw exp 12/31/202 | $13,000 | – | 10,000 | – | 0.01% | – |
| New | Matterport Incw exp 08/24/202 | $13,000 | – | 1,640 | – | 0.01% | – | |
| CHPT | New | Chargepoint Holdings Inc. | $11,000 | – | 529 | – | 0.01% | – |
| New | Archaea Energy Inc.w exp 10/26/202 | $12,000 | – | 1,588 | – | 0.01% | – | |
| JQC | Sell | Nuveen Credit Strategies Income Fund | $12,000 | -98.5% | 1,819 | -98.5% | 0.01% | -98.5% |
| KPLT | Buy | Katapult Holdings Inc. | $8,000 | +60.0% | 1,420 | +238.1% | 0.00% | +100.0% |
| AGD | Sell | Aberdeen Global Dynamic Dividend Fund | $8,000 | -95.7% | 719 | -95.4% | 0.00% | -94.9% |
| ADBE | Buy | Adobe Systems, Inc. | $9,000 | +80.0% | 15 | +87.5% | 0.00% | +100.0% |
| AVPT | New | Avepoint Inc. | $8,000 | – | 967 | – | 0.00% | – |
| IBN | Buy | ICICI Bank Ltdadr | $10,000 | +25.0% | 519 | +9.3% | 0.00% | +33.3% |
| MCO | Buy | Moody's Corp. | $8,000 | 0.0% | 22 | +4.8% | 0.00% | +33.3% |
| New | Oppfi Incw exp 07/20/202 | $10,000 | – | 6,315 | – | 0.00% | – | |
| PAYX | Sell | Paychex, Inc | $9,000 | -18.2% | 80 | -21.6% | 0.00% | -20.0% |
| STM | Buy | STMicroelectronics N Vny registry | $8,000 | +100.0% | 178 | +47.1% | 0.00% | +100.0% |
| TMO | Sell | Thermo Fisher Scientific, Inc. | $9,000 | -18.2% | 16 | -27.3% | 0.00% | -20.0% |
| MDT | Buy | Medtronic plc | $10,000 | +11.1% | 83 | +13.7% | 0.00% | 0.0% |
| RONIU | New | Rice Acquisition Corpcorp ii unit 99/99 | $10,000 | – | 1,000 | – | 0.00% | – |
| AMAT | New | Applied Materials, Inc. | $6,000 | – | 46 | – | 0.00% | – |
| UPS | Buy | United Parcel Service Inccl b | $6,000 | +20.0% | 34 | +54.5% | 0.00% | +50.0% |
| BBY | Buy | Best Buy Inc. | $6,000 | 0.0% | 60 | +13.2% | 0.00% | 0.0% |
| New | TMC The Metals Company Incw exp 09/09/202 | $6,000 | – | 6,739 | – | 0.00% | – | |
| EQIX | Sell | Equinix Inc | $6,000 | -89.3% | 8 | -88.6% | 0.00% | -87.0% |
| CME | New | CME Group Inc. | $6,000 | – | 30 | – | 0.00% | – |
| HLT | Buy | Hilton, Inc | $6,000 | +50.0% | 49 | +36.1% | 0.00% | +50.0% |
| IDXX | Buy | IDEXX Labs Inc. | $6,000 | +20.0% | 9 | +12.5% | 0.00% | +50.0% |
| SUNLWS | New | Sunlight Financial Holdingsw exp 07/09/202 | $4,000 | – | 3,250 | – | 0.00% | – |
| GLW | New | Corning Inc. | $4,000 | – | 112 | – | 0.00% | – |
| COST | Sell | Costco Wholesale Corp. | $4,000 | -33.3% | 9 | -35.7% | 0.00% | -33.3% |
| CARR | Buy | Carrier Global Corporation | $4,000 | 0.0% | 84 | +1.2% | 0.00% | 0.0% |
| SAP | New | SAP SEspon adr | $5,000 | – | 36 | – | 0.00% | – |
| TTE | Buy | Totalenergies SEsponsored ads | $5,000 | 0.0% | 104 | +1.0% | 0.00% | 0.0% |
| HUBS | New | HubSpot Inc. | $5,000 | – | 8 | – | 0.00% | – |
| AOD | Sell | Aberdeen Total Dynamic Dividend Fund | $5,000 | -99.0% | 516 | -98.9% | 0.00% | -99.0% |
| HDB | Buy | HDFC Bank Ltdsponsored ads | $4,000 | +33.3% | 59 | +28.3% | 0.00% | +100.0% |
| WEC | Sell | WEC Energy Group, Inc. | $5,000 | -16.7% | 62 | -12.7% | 0.00% | -33.3% |
| UMC | New | United Microelectronics Corpspon adr new | $2,000 | – | 208 | – | 0.00% | – |
| ACMR | New | ACM Reseach Inc. | $2,000 | – | 16 | – | 0.00% | – |
| New | Jackson Financial Inc. | $2,000 | – | 76 | – | 0.00% | – | |
| RDY | Sell | Dr Reddys Labs Ltdadr | $2,000 | -33.3% | 24 | -47.8% | 0.00% | 0.0% |
| MOMO | Exit | Momo Incadr | $0 | – | -75 | – | 0.00% | – |
| NTCO | New | Natura & Co Hldgs S Aads | $1,000 | – | 63 | – | 0.00% | – |
| IQ | Exit | Iqiyi Incsponsored ads | $0 | – | -86 | – | 0.00% | – |
| LU | New | Lufax Holdings LTD | $1,000 | – | 186 | – | 0.00% | – |
| GDS | New | GDS Holdingssponsored ads | $1,000 | – | 26 | – | 0.00% | – |
| TCOM | Sell | Trip.com Group Ltd ADRads | $1,000 | -66.7% | 42 | -53.3% | 0.00% | -100.0% |
| ADSK | Exit | Autodesk, Inc. | $0 | – | -9 | – | -0.00% | – |
| RIO | Exit | Rio Tinto PLCsponsored adr | $0 | – | -20 | – | -0.00% | – |
| VIH | Exit | VPC Impact Acquisition Hldng | $0 | – | -346 | – | -0.00% | – |
| FREE | Exit | Whole Earth Brands, Inc. | $0 | – | -274 | – | -0.00% | – |
| NVCR | Exit | Novocure Ltd | $0 | – | -22 | – | -0.00% | – |
| DMYI | Exit | DMY Technology Group Inc. III | $0 | – | -575 | – | -0.00% | – |
| VIHAW | Exit | VPC Impact Acquisition Hldngw exp 10/22/202 | $0 | – | -4,547 | – | -0.00% | – |
| VT | Exit | Vanguard Intl Equity Index Ftt wrld st etf | $0 | – | -63 | – | -0.00% | – |
| SPRQWS | Exit | Spartan Acquisition Corp IIw exp 11/30/202 | $0 | – | -3,250 | – | -0.00% | – |
| SOACWS | Exit | Sustainable Opportnts Acq Cow exp 99/99/999 | $0 | – | -6,739 | – | -0.00% | – |
| TBSAW | Exit | TPG Pace Tech Opportunitiesw exp 10/09/202 | $0 | – | -5,109 | – | -0.00% | – |
| NEBCW | Exit | Nebula Caravel Acquisition Cw exp 10/01/202 | $0 | – | -3,647 | – | -0.00% | – |
| GHVIW | Exit | Gores Holdings VI Incw exp 08/24/202 | $0 | – | -1,640 | – | -0.00% | – |
| MUI | Exit | BlackRock Muni Intermediate Duration Fund Inc | $0 | – | -780 | – | -0.01% | – |
| RICEWS | Exit | Rice Acquisition Corpw exp 10/26/202 | $0 | – | -1,988 | – | -0.01% | – |
| APXT | Exit | Apex Technology Acquisition | $0 | – | -967 | – | -0.01% | – |
| FGNAWS | Exit | FG New Amer Acquisition Corpw exp 8/31/202 | $0 | – | -6,315 | – | -0.01% | – |
| KPTI | Exit | Karyopharm Therapeutics Inc | $0 | – | -1,500 | – | -0.01% | – |
| PDACWS | Exit | Peridot Aqcuisition Corpw exp 11/30/202 | $0 | – | -6,044 | – | -0.01% | – |
| BKNG | Exit | Booking Holdings Inc. | $0 | – | -8 | – | -0.01% | – |
| ASML | Exit | ASML Holding N V | $0 | – | -33 | – | -0.01% | – |
| CHPTWS | Exit | Chargepoint Holdings Inc.w exp 07/25/202 | $0 | – | -1,261 | – | -0.01% | – |
| EIC | Exit | Eagle Pointe Income Company | $0 | – | -1,800 | – | -0.01% | – |
| INO | Exit | Inovio Pharmaceuticals Inc | $0 | – | -5,000 | – | -0.02% | – |
| EFT | Exit | Eaton Vance Flting Rate Inc | $0 | – | -3,467 | – | -0.02% | – |
| NUW | Exit | Nuveen Amt- Free Mun Value Fd | $0 | – | -5,000 | – | -0.04% | – |
| PZC | Exit | PIMCO California Municipal Income Fund III | $0 | – | -9,469 | – | -0.04% | – |
| VTOL | Exit | Bristow Group, Inc. | $0 | – | -4,491 | – | -0.05% | – |
| MFM | Exit | MFS Municipal Income Trustsh ben int | $0 | – | -17,193 | – | -0.05% | – |
| PHK | Exit | PIMCO High Income Fund | $0 | – | -24,998 | – | -0.07% | – |
| TV | Exit | Grupo Televisa SABspon adr rep ord | $0 | – | -13,504 | – | -0.08% | – |
| RMM | Exit | Rivernorth Managed Duration Municipal Income Fund Inc. | $0 | – | -12,041 | – | -0.10% | – |
| KTF | Exit | Deutsche Municipal Income Trust | $0 | – | -21,663 | – | -0.11% | – |
| PCK | Exit | PIMCO Calif Mun Income Fd II | $0 | – | -30,152 | – | -0.12% | – |
| MNP | Exit | Western Asset Municipal Partners Fund | $0 | – | -20,025 | – | -0.14% | – |
| RMI | Exit | Rivernorth Opportunistic Mun | $0 | – | -14,642 | – | -0.14% | – |
| RFM | Exit | Rivernorth Flexible Mun Income | $0 | – | -18,561 | – | -0.18% | – |
| NMCO | Exit | Nuveen Municipal Credit Opp Fund | $0 | – | -33,574 | – | -0.22% | – |
| FSD | Exit | First Trust High Income Long/Short Fund | $0 | – | -65,459 | – | -0.43% | – |
| RMRM | Exit | RMR Real Estate Income Fund | $0 | – | -187,276 | – | -0.93% | – |
Q2 2021
Q4 2020
Q3 2020
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| HFRO | Sell | Highland Floating Rate Opportunities Fund | $16,882,000 | -10.0% | 2,150,544 | -7.1% | 11.34% | +23.4% |
| NHF | Sell | NexPoint Credit Strategies Fund | $15,233,000 | -14.1% | 1,668,446 | -9.4% | 10.23% | +17.8% |
| JQC | Sell | Nuveen Credit Strategies Income Fund | $7,588,000 | -24.8% | 1,310,608 | -23.6% | 5.10% | +3.1% |
| CLM | Sell | Cornerstone Strategic Value Fund Inc | $7,069,000 | -37.6% | 656,381 | -37.6% | 4.75% | -14.5% |
| EVV | Sell | Eaton Vance Limited Duration Income Fund | $6,832,000 | -21.3% | 583,896 | -21.9% | 4.59% | +7.9% |
| GHY | Sell | PGIM Global Short Duration High Yield Fund, Inc. | $6,535,000 | -25.5% | 513,342 | -22.9% | 4.39% | +2.1% |
| ISD | Sell | PGIM Short Duration High Yield Fund, Inc. | $6,129,000 | -28.8% | 452,966 | -27.9% | 4.12% | -2.4% |
| CET | Sell | Central Securities Corp | $4,833,000 | -26.4% | 171,491 | -24.5% | 3.25% | +0.9% |
| FAX | Buy | Aberdeen Asia Pacific In Com | $4,541,000 | +11.4% | 1,195,079 | +19.9% | 3.05% | +52.7% |
| BIF | Sell | Boulder Growth & Income Fund Inc | $4,333,000 | -12.8% | 455,145 | -10.2% | 2.91% | +19.5% |
| AIF | Sell | Apollo Tactical Income Fund Inc | $3,716,000 | -1.8% | 295,651 | -1.9% | 2.50% | +34.5% |
| PCI | Buy | PIMCO Dynamic Credit and Mortgage Income Fund | $3,473,000 | +29.4% | 183,974 | +32.9% | 2.33% | +77.4% |
| SDS | Buy | ProShares UltraShort S&P50ultrashrt s&p500 | $3,173,000 | -0.1% | 191,398 | +3.8% | 2.13% | +37.0% |
| ADX | Sell | Adams Diversified Equity Fund Inc | $2,907,000 | -2.0% | 186,841 | -1.2% | 1.95% | +34.3% |
| VCIF | Buy | Vertical Capital Income Fund | $2,647,000 | +16.1% | 266,295 | +13.0% | 1.78% | +59.2% |
| BMEZ | Buy | BlackRock Health Sciences Trust II | $2,618,000 | +72.2% | 111,991 | +66.5% | 1.76% | +136.1% |
| BSTZ | Buy | BlackRock Science and Technology Trust II | $2,502,000 | +402.4% | 95,563 | +383.4% | 1.68% | +588.9% |
| AIO | Buy | AllianzGI Artificial Intelligence Opp Fund | $2,461,000 | +5.3% | 116,729 | +4.6% | 1.65% | +44.4% |
| CRF | Sell | Cornerstone Total Rtrn Fd In | $2,377,000 | -47.3% | 223,611 | -48.4% | 1.60% | -27.8% |
| GAM | Sell | General American Investors Co Inc | $2,377,000 | -1.8% | 72,280 | -0.9% | 1.60% | +34.5% |
| BGY | Sell | BlackRock Enhanced International Dividend Trust | $2,006,000 | -13.2% | 403,527 | -4.5% | 1.35% | +19.0% |
| WIW | Buy | Western Asset/Claymore Inflation-Linked Opportunities & Income Fund | $1,943,000 | +9.0% | 170,449 | +7.9% | 1.30% | +49.3% |
| MIN | New | MFS Inter Income Trsh ben int | $1,933,000 | – | 518,132 | – | 1.30% | – |
| AWP | Sell | Aberdeen Global Premier Properties Fund | $1,841,000 | -16.6% | 422,333 | -7.2% | 1.24% | +14.3% |
| CUBA | Sell | The Herzfeld Caribbean Basin Fund Inc | $1,737,000 | +2.1% | 486,477 | -0.6% | 1.17% | +39.9% |
| FPF | Buy | First Tr Inter Dur Pfd & In | $1,704,000 | -1.4% | 79,019 | +0.2% | 1.14% | +35.2% |
| VTA | Buy | Invesco Dynamic Credit Opportunities Fund | $1,575,000 | +61.2% | 170,279 | +55.8% | 1.06% | +120.9% |
| DSU | Sell | BlackRock Debt Strategies Fund | $1,360,000 | -31.8% | 142,736 | -29.9% | 0.91% | -6.4% |
| BWG | Sell | BrandywineGLOBAL - Global Income Opportunities Fund Inc. | $1,319,000 | -24.6% | 119,828 | -14.2% | 0.89% | +3.4% |
| MAV | Sell | Pioneer Municipal High Income Advantage Trust | $1,316,000 | -53.0% | 120,724 | -51.5% | 0.88% | -35.6% |
| FSD | Buy | First Trust High Income Long/Short Fund | $1,174,000 | +31.5% | 87,029 | +36.7% | 0.79% | +80.1% |
| AOD | Sell | Aberdeen Total Dynamic Dividend Fund | $1,129,000 | -32.9% | 154,458 | -27.6% | 0.76% | -8.1% |
| MMT | New | MFS Multimarket Income Trsh ben int | $1,127,000 | – | 198,836 | – | 0.76% | – |
| AGD | Sell | Aberdeen Global Dynamic Dividend Fund | $1,109,000 | -26.9% | 129,266 | -22.6% | 0.74% | +0.1% |
| RMRM | Sell | RMR Real Estate Income Fund | $1,042,000 | -38.7% | 148,002 | -0.2% | 0.70% | -16.0% |
| PHK | Sell | PIMCO High Income Fund | $1,005,000 | -14.9% | 190,677 | -16.4% | 0.68% | +16.6% |
| DMO | Sell | Western Asset Mortgage Opp Fund Inc. | $988,000 | -9.3% | 74,829 | -2.7% | 0.66% | +24.3% |
| IHI | Buy | iShares U.S. Medical Devices ETFu.s. med dvc etf | $917,000 | +35.1% | 3,075 | +32.8% | 0.62% | +85.0% |
| JLS | Buy | Nuveen Mortgage and Income Fund | $889,000 | +452.2% | 47,676 | +460.4% | 0.60% | +655.7% |
| RMI | Sell | Rivernorth Opportunistic Mun | $699,000 | -11.2% | 34,703 | -5.9% | 0.47% | +21.8% |
| AWF | Buy | AllianceBernstern Global High Income Fund | $685,000 | -2.3% | 66,601 | +1.1% | 0.46% | +33.7% |
| BFZ | Buy | BlackRock Calif Mun Income | $618,000 | +5.8% | 47,529 | +12.3% | 0.42% | +45.1% |
| CXH | Sell | MFS Investment Grade Municipal Trustsh ben int | $509,000 | -29.3% | 55,877 | -24.1% | 0.34% | -3.1% |
| NEE | Sell | NextEra Energy Inc | $444,000 | -78.3% | 6,059 | -16.8% | 0.30% | -70.3% |
| SBI | Buy | Western Assest Intm Muni Fd | $324,000 | +6.2% | 37,291 | +9.2% | 0.22% | +46.3% |
| WIA | Buy | Western Asset/Claymore Inflation-Linked Securities & Income Fund | $313,000 | -2.2% | 25,322 | +0.1% | 0.21% | +33.8% |
| MHI | Sell | Pioneer Municipal High Income Trust | $252,000 | -28.4% | 22,221 | -24.3% | 0.17% | -2.3% |
| PNI | Sell | Pimco New York Municipal Income Fund II | $250,000 | -32.1% | 24,670 | -27.1% | 0.17% | -6.7% |
| KTF | Buy | Deutsche Municipal Income Trust | $242,000 | -4.3% | 22,238 | +0.2% | 0.16% | +31.5% |
| MRK | Buy | Merck & Co Inc | $210,000 | -5.8% | 2,794 | +0.6% | 0.14% | +29.4% |
| SSSS | Buy | Sutter Rock Cap Corp | $198,000 | -2.0% | 24,000 | +50.0% | 0.13% | +34.3% |
| AMX | Buy | America Movil SAB de CV | $190,000 | -5.0% | 15,948 | +0.6% | 0.13% | +30.6% |
| MUI | Sell | BlackRock Muni Intermediate Duration Fund Inc | $186,000 | -60.4% | 13,284 | -59.8% | 0.12% | -45.7% |
| MHF | Sell | Western Asset Mun Hi Incm Fd | $183,000 | -64.7% | 25,481 | -64.0% | 0.12% | -51.6% |
| RCS | Buy | PIMCO Strategic Income Fd | $169,000 | +7.0% | 27,497 | +12.9% | 0.11% | +48.1% |
| NAD | Sell | Nuveen Quality Municipal Income Fund | $164,000 | -46.9% | 11,363 | -46.1% | 0.11% | -27.2% |
| AFB | Sell | AllianceBernstein National Municipal Income Fund Inc | $161,000 | -48.9% | 11,825 | -48.0% | 0.11% | -29.9% |
| MUC | Sell | BlackRock Munihldngs Cali QL | $156,000 | -38.8% | 10,937 | -37.2% | 0.10% | -16.0% |
| OPP | Sell | Rivernorth Doubleline Strate | $142,000 | -92.6% | 10,563 | -92.2% | 0.10% | -89.9% |
| DTF | Buy | DTF Tax-Free Income Inc | $116,000 | +4.5% | 8,138 | +5.2% | 0.08% | +44.4% |
| TY | Buy | Tri-Continental Corp | $100,000 | -2.0% | 3,958 | +0.3% | 0.07% | +34.0% |
| RFM | New | Rivernorth Flexible Mun Income | $97,000 | – | 4,828 | – | 0.06% | – |
| NEA | Sell | Nuveen AMT-Free Quality Municipal Income Fund | $94,000 | -44.0% | 6,528 | -43.4% | 0.06% | -23.2% |
| PYPL | Buy | PayPal Holdings, Inc. | $66,000 | -4.3% | 354 | +0.9% | 0.04% | +29.4% |
| BGX | Buy | Blackstone / GSO Long-Short Credit Income Fund | $65,000 | +3.2% | 5,194 | +1.2% | 0.04% | +41.9% |
| PEO | Buy | Adams Natural Resources Fund Inc | $64,000 | -17.9% | 6,789 | +0.3% | 0.04% | +13.2% |
| FAM | Buy | First Trust Aberdeen Global Opportunity Income Fund | $60,000 | +33.3% | 6,328 | +48.0% | 0.04% | +81.8% |
| PZC | Sell | PIMCO California Municipal Income Fund III | $51,000 | -56.0% | 5,099 | -52.8% | 0.03% | -40.4% |
| MDLZ | Buy | Mondelez International, Inc.cl a | $49,000 | 0.0% | 927 | +4.5% | 0.03% | +37.5% |
| JMM | Buy | Nuveen Multi-Market Income Fund Inc | $47,000 | +2.2% | 6,761 | +0.6% | 0.03% | +39.1% |
| UN | Sell | Unilever N.V. | $46,000 | -6.1% | 806 | -3.0% | 0.03% | +29.2% |
| QQQX | Buy | Nuveen NASDAQ 100 Dynamic Overwrite Fund | $42,000 | -4.5% | 1,848 | +1.7% | 0.03% | +27.3% |
| ASG | Buy | Liberty All Star Growth Fund Inc | $41,000 | +2.5% | 5,649 | +1.8% | 0.03% | +40.0% |
| GDL | Buy | The GDL Fund | $39,000 | +5.4% | 4,596 | +1.4% | 0.03% | +44.4% |
| RVT | Sell | Royce Value Trust Inc | $36,000 | -90.4% | 2,875 | -89.9% | 0.02% | -86.9% |
| SE | Sell | Sea Limitedadr | $34,000 | +6.2% | 214 | -17.1% | 0.02% | +43.8% |
| JCE | Buy | Nuveen Core Equity Alpha Fund | $34,000 | -2.9% | 2,819 | +1.8% | 0.02% | +35.3% |
| GAB | Buy | Gabelli Equity Trust Inc | $33,000 | +10.0% | 6,109 | +2.9% | 0.02% | +46.7% |
| OCCI | Sell | OFS Credit Company Inc | $33,000 | -93.5% | 3,324 | -94.3% | 0.02% | -91.1% |
| USA | Sell | Liberty All Star Equity Fundsh ben int | $28,000 | -3.4% | 4,880 | -1.8% | 0.02% | +35.7% |
| TSLA | Buy | Tesla Inc | $27,000 | +35.0% | 70 | +400.0% | 0.02% | +80.0% |
| EQIX | Buy | Equinix Inc | $23,000 | -4.2% | 31 | +3.3% | 0.02% | +25.0% |
| GDV | Buy | The Gabelli Dividend & Income Trust | $23,000 | 0.0% | 1,282 | +1.7% | 0.02% | +36.4% |
| INCY | Sell | Incyte Corp | $23,000 | -11.5% | 260 | -2.3% | 0.02% | +15.4% |
| JPM | Buy | JPMorgan Chase & Co | $18,000 | 0.0% | 188 | +1.1% | 0.01% | +33.3% |
| SPCE | Sell | Virgin Galactic Holdings, Inc. | $17,000 | -50.0% | 1,000 | -33.3% | 0.01% | -35.3% |
| VOD | Buy | Vodafone Group plc ADRsponsored adr | $16,000 | +33.3% | 1,161 | +42.3% | 0.01% | +83.3% |
| CNI | Buy | Canadian National Railway Company | $17,000 | +21.4% | 174 | +17.6% | 0.01% | +57.1% |
| CDNS | Sell | Cadence Design Systems, Inc. | $17,000 | -19.0% | 160 | -17.1% | 0.01% | +10.0% |
| AVGO | Buy | Broadcom, Inc. | $15,000 | +15.4% | 44 | +10.0% | 0.01% | +66.7% |
| VLDRW | New | Velodyne Lidar Inc.*w exp 09/29/202 | $13,000 | – | 5,000 | – | 0.01% | – |
| FB | Buy | Facebook, Inc.cl a | $14,000 | +7.7% | 54 | +1.9% | 0.01% | +50.0% |
| HNW | Sell | Pioneer Diversified High Income Trust | $14,000 | -48.1% | 1,165 | -45.6% | 0.01% | -30.8% |
| HON | Buy | Honeywell Intl, Inc. | $14,000 | +16.7% | 84 | +3.7% | 0.01% | +50.0% |
| EVG | Sell | Eaton Vance Short Duration Diversified Income Fund | $14,000 | -98.8% | 1,195 | -98.9% | 0.01% | -98.5% |
| KCAC | New | Kensington Cap Acquisition C | $13,000 | – | 1,100 | – | 0.01% | – |
| BDJ | Buy | BlackRock Enhanced Equity Dividend Trust | $12,000 | 0.0% | 1,713 | +2.0% | 0.01% | +33.3% |
| RYAAY | Buy | Ryanair Holdings plc ADRsponsored ads | $11,000 | +450.0% | 133 | +533.3% | 0.01% | +600.0% |
| FEAC | New | Flying Eagle Acquistion Cor | $10,000 | – | 902 | – | 0.01% | – |
| ZTR | Buy | Virtus Total Return Fund Inc. | $11,000 | -8.3% | 1,496 | +3.0% | 0.01% | +16.7% |
| IPOC | New | Social Capital Hedosophia Holdings Corp. lll | $10,000 | – | 1,000 | – | 0.01% | – |
| IBN | Buy | ICICI Bank Ltdadr | $9,000 | +12.5% | 847 | +0.2% | 0.01% | +50.0% |
| GF | Sell | The New Germany Fund Inc | $9,000 | -10.0% | 586 | -9.6% | 0.01% | +20.0% |
| ABBV | Buy | AbbVie, Inc. | $7,000 | 0.0% | 87 | +16.0% | 0.01% | +66.7% |
| KCACWS | New | Kensington Cap Acquisition C*w exp 07/01/202 | $7,000 | – | 3,000 | – | 0.01% | – |
| TMO | Buy | Thermo Fisher Scientific, Inc. | $7,000 | +16.7% | 15 | +7.1% | 0.01% | +66.7% |
| WEC | Sell | WEC Energy Group, Inc. | $8,000 | -11.1% | 80 | -11.1% | 0.01% | +25.0% |
| FREEW | New | Whole Earth Brands Inc.*w exp 06/25/202 | $6,000 | – | 6,250 | – | 0.00% | – |
| JNJ | Sell | Johnson & Johnson | $6,000 | -33.3% | 43 | -33.8% | 0.00% | 0.0% |
| PLD | Buy | ProLogis, Inc. | $6,000 | +50.0% | 64 | +82.9% | 0.00% | +100.0% |
| BSX | Buy | Boston Scientific Corp. | $4,000 | 0.0% | 129 | +13.2% | 0.00% | +50.0% |
| V | Sell | Visa Inc | $5,000 | -28.6% | 30 | -16.7% | 0.00% | 0.0% |
| QCOM | New | Qualcomm Inc | $5,000 | – | 40 | – | 0.00% | – |
| ETN | Buy | Eaton Corp. plc (Ireland) | $4,000 | +100.0% | 35 | +59.1% | 0.00% | +200.0% |
| SHOP | Buy | Shopify, Inc.cl a | $5,000 | +25.0% | 5 | +25.0% | 0.00% | +50.0% |
| LCAHW | New | Landcadia Hldgs II Inc*w exp 05/09/202 | $5,000 | – | 1,500 | – | 0.00% | – |
| CB | Buy | Chubb Ltd | $5,000 | +25.0% | 35 | +2.9% | 0.00% | +50.0% |
| SHW | Buy | Sherwin-Williams Co. (The) | $3,000 | 0.0% | 5 | +25.0% | 0.00% | +100.0% |
| NOW | Sell | ServiceNow, Inc. | $3,000 | -25.0% | 7 | -30.0% | 0.00% | 0.0% |
| RDSB | Buy | ROYAL DUTCH SHELL PLCspon adr b | $3,000 | -96.5% | 109 | +36.2% | 0.00% | -95.2% |
| NVO | Buy | Novo Nordisk A/S ADRadr | $3,000 | +50.0% | 44 | +41.9% | 0.00% | +100.0% |
| IIF | Sell | Morgan Stanley India Investment Fund Inc | $3,000 | -25.0% | 163 | -22.7% | 0.00% | 0.0% |
| IDXX | New | IDEXX Labs Inc. | $3,000 | – | 6 | – | 0.00% | – |
| IEX | Buy | IDEX Corp. | $3,000 | 0.0% | 18 | +5.9% | 0.00% | +100.0% |
| BTI | Buy | British American Tobacco PLCsponsored adr | $3,000 | 0.0% | 90 | +4.7% | 0.00% | +100.0% |
| HLT | Buy | Hilton, Inc | $2,000 | 0.0% | 26 | +4.0% | 0.00% | 0.0% |
| EFX | Buy | Equifax, Inc. | $2,000 | 0.0% | 11 | +10.0% | 0.00% | 0.0% |
| CRSP | New | CRISPR Therapeutics AGnamen akt | $2,000 | – | 17 | – | 0.00% | – |
| ICE | Buy | Intercontinental Exchange Group, Inc. | $2,000 | 0.0% | 22 | +4.8% | 0.00% | 0.0% |
| AAPL | New | Apple Inc | $2,000 | – | 17 | – | 0.00% | – |
| RARE | New | Ultragenyx Pharmaceutical In | $2,000 | – | 15 | – | 0.00% | – |
| TEVA | New | Teva Pharmaceutical Inds Ltdsponsored adr | $1,000 | – | 166 | – | 0.00% | – |
| AMT | Buy | American Tower Corporation | $1,000 | 0.0% | 6 | +50.0% | 0.00% | – |
| SMAR | New | Smartsheet, Inc. Cl A | $2,000 | – | 34 | – | 0.00% | – |
| SLB | Buy | Schlumberger Ltd | $2,000 | 0.0% | 106 | +2.9% | 0.00% | 0.0% |
| AYX | Exit | Alteryx, Inc.cl a | $0 | – | -7 | – | 0.00% | – |
| INTC | Exit | Intel Corp. | $0 | – | -28 | – | 0.00% | – |
| DE | Exit | Deere & Co. | $0 | – | -6 | – | 0.00% | – |
| NBO | Exit | Neuberger Brman NY Muni Fd | $0 | – | -196 | – | -0.00% | – |
| MXIM | Exit | Maxim Integrated Products, Inc. | $0 | – | -56 | – | -0.00% | – |
| ENB | Exit | Enbridge, Inc. | $0 | – | -110 | – | -0.00% | – |
| OPES | Exit | Opes Acquisition Corp. | $0 | – | -500 | – | -0.00% | – |
| XP | Exit | XP Inc.cl a | $0 | – | -134 | – | -0.00% | – |
| BAC | Exit | Bank of America Corp. | $0 | – | -300 | – | -0.00% | – |
| GRAFWS | Exit | Graf Industrial Corp*w exp 12/31/202 | $0 | – | -5,000 | – | -0.01% | – |
| DKNG | Exit | DraftKings Inc. | $0 | – | -330 | – | -0.01% | – |
| ARYA | Exit | ARYA SCIENCES ACQUIS UTS EXP | $0 | – | -1,000 | – | -0.01% | – |
| BTT | Exit | BlackRock Municipal 2030 Target Term Trust | $0 | – | -607 | – | -0.01% | – |
| VVNTWS | Exit | Vivint Smart Home Inc.*w exp 01/17/202 | $0 | – | -4,000 | – | -0.01% | – |
| IPOBU | Exit | Social Capital Hedosophia Holdings Corp. IIIunit 99/99/9999 | $0 | – | -2,000 | – | -0.01% | – |
| FMCI | Exit | Forum Merger II Corp. Cl Acl a | $0 | – | -2,000 | – | -0.01% | – |
| ERC | Exit | Wells Fargo Advantage Multi-Sector Income Fund | $0 | – | -2,953 | – | -0.02% | – |
| CMU | Exit | MFS High Yield Municipal Trustsh ben int | $0 | – | -12,637 | – | -0.03% | – |
| VTOL | Exit | Bristow Group, Inc. | $0 | – | -4,491 | – | -0.03% | – |
| PNF | Exit | PIMCO NY Municipal Income Fd | $0 | – | -5,966 | – | -0.04% | – |
| NMCO | Exit | Nuveen Municipal Credit Opp Fund | $0 | – | -6,372 | – | -0.04% | – |
| FT | Exit | Franklin Unvl Trsh ben int | $0 | – | -15,168 | – | -0.05% | – |
| GDX | Exit | VanEck Vectors Gold Miners ETFgold miners etf | $0 | – | -3,059 | – | -0.06% | – |
| OXSQ | Exit | Oxford Square Capital Corp. | $0 | – | -50,759 | – | -0.07% | – |
| TV | Exit | Grupo Televisa SABspon adr rep ord | $0 | – | -28,400 | – | -0.07% | – |
| NMZ | Exit | Nuveen Muni High Income Opp Fund | $0 | – | -12,335 | – | -0.08% | – |
| EIM | Exit | Eaton Vance Mun Bd Fd | $0 | – | -13,488 | – | -0.09% | – |
| PGZ | Exit | Principal Real Estate Income Fund | $0 | – | -18,112 | – | -0.10% | – |
| JRI | Exit | Nuveen Real Asset Income and Growth Fund | $0 | – | -18,344 | – | -0.11% | – |
| CCL | Exit | Carnival Corpunit 99/99/9999 | $0 | – | -25,559 | – | -0.21% | – |
| EVTC | Exit | EVERTEC Inc | $0 | – | -16,956 | – | -0.23% | – |
| VAC | Exit | Marriott Vacations Worldwide Corp | $0 | – | -6,745 | – | -0.27% | – |
| VMC | Exit | Vulcan Materials Co | $0 | – | -5,000 | – | -0.28% | – |
| SEB | Exit | Seaboard Corp | $0 | – | -204 | – | -0.29% | – |
| CIB | Exit | Bancolombia SAspon adr pref | $0 | – | -23,280 | – | -0.30% | – |
| MLM | Exit | Martin Marietta Materials Inc | $0 | – | -3,000 | – | -0.30% | – |
| ASR | Exit | Grupo Aeroportuario del Sureste SAB de CVspon adr ser b | $0 | – | -6,600 | – | -0.36% | – |
| CX | Exit | Cemex SAB de CVspon adr new | $0 | – | -270,645 | – | -0.38% | – |
| AVK | Exit | Advent Claymore Convertible Securities and Income Fund | $0 | – | -61,427 | – | -0.42% | – |
| FMX | Exit | Fomento Economico Mexicano SAB de CVspon adr units | $0 | – | -14,610 | – | -0.44% | – |
| SOR | Exit | Source Capital Inc | $0 | – | -26,689 | – | -0.47% | – |
| CWCO | Exit | Consolidated Water Co Ltdord | $0 | – | -70,025 | – | -0.50% | – |
| CPA | Exit | Copa Holdings SAcl a | $0 | – | -20,250 | – | -0.50% | – |
| LEN | Exit | Lennar Corpcl a | $0 | – | -18,500 | – | -0.56% | – |
| FDP | Exit | Fresh Del Monte Produce Incord | $0 | – | -48,850 | – | -0.59% | – |
| PGTI | Exit | PGT Innovations Inc | $0 | – | -77,117 | – | -0.59% | – |
| NCLH | Exit | Norwegian Cruise Line Holdings Ltd | $0 | – | -76,717 | – | -0.62% | – |
| Exit | Medley Capital Corporation | $0 | – | -102,371 | – | -0.71% | – | |
| FBP | Exit | First BanCorp/Puerto Rico | $0 | – | -289,477 | – | -0.79% | – |
| RCL | Exit | Royal Caribbean Cruises Ltd | $0 | – | -35,120 | – | -0.87% | – |
| BPOP | Exit | Popular Inc | $0 | – | -55,230 | – | -1.01% | – |
| HIX | Exit | Western Asset High Incm Fd | $0 | – | -348,617 | – | -1.12% | – |
| MTZ | Exit | MasTec Inc | $0 | – | -102,297 | – | -2.25% | – |
Q2 2020
Q4 2019
Q3 2019
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| NHF | Sell | NexPoint Credit Strategies Fund | $24,752,000 | -7.2% | 1,380,452 | -2.1% | 9.13% | -10.1% |
| HFRO | Buy | Highland Floating Rate Opportunities Fund | $14,589,000 | +11.9% | 1,092,809 | +16.1% | 5.38% | +8.4% |
| CLM | Buy | Cornerstone Strategic Value Fund Inc | $13,256,000 | +23.5% | 1,166,932 | +26.5% | 4.89% | +19.6% |
| BIF | Buy | Boulder Growth & Income Fund Inc | $12,445,000 | +11.8% | 1,111,151 | +12.2% | 4.59% | +8.2% |
| JQC | Buy | Nuveen Credit Strategies Income Fund | $11,865,000 | -0.3% | 1,586,173 | +5.6% | 4.38% | -3.4% |
| CET | Buy | Central Securities Corp | $11,344,000 | +5.5% | 361,259 | +2.5% | 4.18% | +2.1% |
| OCCI | Buy | OFS Credit Company Inc | $9,092,000 | +64.4% | 518,513 | +68.2% | 3.35% | +59.2% |
| EVV | Buy | Eaton Vance Limited Duration Income Fund | $8,195,000 | +23.8% | 655,610 | +25.3% | 3.02% | +20.0% |
| ISD | Buy | PGIM Short Duration High Yield Fund, Inc. | $7,593,000 | +11.3% | 507,924 | +8.9% | 2.80% | +7.7% |
| CUBA | Buy | The Herzfeld Caribbean Basin Fund Inc | $6,767,000 | +1.4% | 1,063,952 | +1.4% | 2.50% | -1.8% |
| GAM | Buy | General American Investors Co Inc | $6,541,000 | +11.9% | 179,946 | +9.2% | 2.41% | +8.4% |
| GHY | Buy | PGIM Global Short Duration High Yield Fund, Inc. | $6,470,000 | +7.5% | 450,220 | +8.1% | 2.39% | +4.1% |
| AIF | Sell | Apollo Tactical Income Fund Inc | $5,537,000 | -0.6% | 365,499 | -3.2% | 2.04% | -3.8% |
| CRF | Buy | Cornerstone Total Rtrn Fd In | $5,418,000 | +31.6% | 493,020 | +35.5% | 2.00% | +27.3% |
| BTZ | Buy | BlackRock Credit Allocation Income Trust | $5,415,000 | +99.7% | 397,545 | +90.1% | 2.00% | +93.3% |
| FIF | Buy | First Trust Energy Infrastructure Fund | $3,975,000 | +267.4% | 240,764 | +254.7% | 1.47% | +255.8% |
| ADX | Buy | Adams Diversified Equity Fund Inc | $3,839,000 | +5.7% | 242,336 | +3.2% | 1.42% | +2.4% |
| RMRM | Buy | RMR Real Estate Income Fund | $3,411,000 | +91.5% | 167,304 | +72.2% | 1.26% | +85.5% |
| JRO | Sell | Nuveen Floating Rate Income Opportunity Fund | $3,090,000 | -2.4% | 323,905 | -0.4% | 1.14% | -5.5% |
| PPR | Buy | Voya Prime Rate Trustsh ben int | $3,071,000 | +0.8% | 652,015 | +1.9% | 1.13% | -2.3% |
| BHK | Buy | Blackrock Core Bd Tr | $2,893,000 | +42.9% | 200,235 | +39.0% | 1.07% | +38.4% |
| AOD | Sell | Aberdeen Total Dynamic Dividend Fund | $2,580,000 | -4.5% | 309,379 | -4.5% | 0.95% | -7.5% |
| TPZ | Buy | Tortoise Power and Energy Infrastructure Fund Inc | $2,496,000 | +21.7% | 138,583 | +23.8% | 0.92% | +17.9% |
| VVR | Buy | Invesco Senior Income Trust | $2,332,000 | +9.0% | 555,234 | +12.1% | 0.86% | +5.5% |
| MMT | New | MFS Multimarket Income Trustsh ben int | $2,268,000 | – | 383,739 | – | 0.84% | – |
| LEN | Sell | Lennar Corpcl a | $2,262,000 | -1.7% | 40,500 | -14.7% | 0.83% | -4.9% |
| SOR | Buy | Source Capital Inc | $2,200,000 | +14.1% | 60,257 | +14.3% | 0.81% | +10.5% |
| TWN | Sell | The Taiwan Fund Inc | $1,809,000 | -9.2% | 97,932 | -16.7% | 0.67% | -12.1% |
| GF | Buy | The New Germany Fund Inc | $1,766,000 | -1.0% | 127,395 | +1.6% | 0.65% | -4.1% |
| ARDC | Buy | Ares Dynamic Credit Allocation Fund, Inc. | $1,630,000 | +0.1% | 109,363 | +1.6% | 0.60% | -3.1% |
| AGD | Sell | Aberdeen Global Dynamic Dividend Fund | $1,488,000 | -4.4% | 154,235 | -4.5% | 0.55% | -7.4% |
| FDP | Sell | Fresh Del Monte Produce Incord | $1,444,000 | +26.1% | 42,341 | -0.4% | 0.53% | +22.2% |
| IFN | Sell | The India Fund Inc | $1,441,000 | -4.1% | 70,182 | -0.7% | 0.53% | -7.0% |
| FMX | Sell | Fomento Economico Mexicano SAB de CVspon adr units | $1,364,000 | -6.4% | 14,896 | -1.1% | 0.50% | -9.4% |
| MCR | New | MFS Charter Income Trustsh ben int | $1,361,000 | – | 163,787 | – | 0.50% | – |
| SMMU | Buy | PIMCO ETF Trshtrm mun bd act | $1,280,000 | +14.8% | 25,278 | +14.7% | 0.47% | +11.1% |
| BWG | Buy | BrandywineGLOBAL - Global Income Opportunities Fund Inc. | $1,269,000 | +4.1% | 104,917 | +1.1% | 0.47% | +0.9% |
| GECC | Sell | Great Elm Cap Corp | $1,234,000 | -9.4% | 150,525 | -3.9% | 0.46% | -12.3% |
| SHV | Sell | Ishares Trshort treas bd | $1,196,000 | -85.8% | 10,814 | -85.8% | 0.44% | -86.3% |
| MINT | Sell | PIMCO Enhanced Short Maturity Active Exchange-Traded Fundenhan shrt ma ac | $1,159,000 | -40.2% | 11,397 | -40.2% | 0.43% | -42.1% |
| CWCO | Sell | Consolidated Water Co Ltdord | $1,155,000 | -33.4% | 70,025 | -42.4% | 0.43% | -35.6% |
| AVHOQ | Sell | Avianca Holdings SAspon adr rep pfd | $1,092,000 | -6.4% | 300,029 | -0.3% | 0.40% | -9.4% |
| CX | Sell | Cemex SAB de CVspon adr new | $1,061,000 | -19.4% | 270,645 | -12.9% | 0.39% | -22.1% |
| IIF | Sell | Morgan Stanley India Investment Fund Inc | $1,026,000 | -10.5% | 54,122 | -1.0% | 0.38% | -13.5% |
| VTA | Sell | Invesco Dynamic Credit Opportunities Fund | $1,026,000 | -1.6% | 93,230 | -0.0% | 0.38% | -4.8% |
| AWP | New | Aberdeen Global Premier Properties Fund | $996,000 | – | 160,195 | – | 0.37% | – |
| MUI | Buy | BlackRock Muni Intermediate Duration Fund Inc | $925,000 | +21.4% | 65,248 | +20.3% | 0.34% | +17.6% |
| EVG | Buy | Eaton Vance Short Duration Diversified Income Fund | $906,000 | +7.9% | 69,601 | +12.2% | 0.33% | +4.4% |
| SEB | Buy | Seaboard Corp | $893,000 | +24.0% | 204 | +17.2% | 0.33% | +20.1% |
| OXSQ | Buy | Oxford Square Capital Corp. | $881,000 | -1.6% | 141,463 | +1.2% | 0.32% | -4.7% |
| CXH | Sell | MFS Investment Grade Municipal Trustsh ben int | $848,000 | -10.8% | 85,413 | -14.0% | 0.31% | -13.5% |
| FAX | Buy | Aberdeen Asia Pacific In Com | $790,000 | +11.9% | 188,539 | +11.6% | 0.29% | +8.2% |
| EHI | New | Western Asset Global High Income Fund Inc. | $774,000 | – | 77,924 | – | 0.28% | – |
| FT | Buy | Franklin Unvl Trsh ben int | $704,000 | +102.9% | 93,375 | +97.1% | 0.26% | +97.0% |
| KMF | Sell | Kayne Anderson Midstream/Energy Fund Inc | $690,000 | -62.3% | 63,756 | -59.7% | 0.26% | -63.4% |
| RDSB | Sell | Royal Dutch Shell PLCspon adr b | $661,000 | -16.9% | 276 | -10.4% | 0.24% | -19.5% |
| FAM | Buy | First Trust Aberdeen Global Opportunity Income Fund | $644,000 | +45.7% | 60,947 | +43.6% | 0.24% | +41.7% |
| SHY | Sell | Ishares Tr 13 Yr1 3 yr treas bd | $635,000 | -58.8% | 7,481 | -58.9% | 0.23% | -60.2% |
| MAV | Buy | Pioneer Municipal High Income Advantage Trust | $621,000 | +18.5% | 56,726 | +16.4% | 0.23% | +14.5% |
| INF | Buy | Brookfield Global Listed Infr | $570,000 | +1040.0% | 41,562 | +970.6% | 0.21% | +1005.3% |
| VCIF | New | Vertical Capital Income Fund | $559,000 | – | 52,328 | – | 0.21% | – |
| RA | Sell | Brookfield Real Assets Incom | $546,000 | -41.4% | 24,171 | -43.8% | 0.20% | -43.4% |
| RMI | Buy | Rivernorth Opportunistic Mun | $530,000 | +327.4% | 23,861 | +310.3% | 0.20% | +314.9% |
| PGZ | Buy | Principal Real Estate Income Fund | $427,000 | +57.6% | 20,749 | +45.9% | 0.16% | +53.4% |
| MGU | Buy | Macquarie Global Infrastructure Total Return Fund Inc | $419,000 | +149.4% | 17,400 | +145.7% | 0.16% | +142.2% |
| WIW | Buy | Western Asset/Claymore Inflation-Linked Opportunities & Income Fund | $414,000 | +44.8% | 37,385 | +46.1% | 0.15% | +40.4% |
| SUB | Buy | Ishares Tr Short Termshrt nat mun etf | $408,000 | +39.2% | 3,826 | +39.2% | 0.15% | +33.9% |
| ECC | New | Eagle Point Credit Co Inc | $360,000 | – | 22,817 | – | 0.13% | – |
| MGF | New | MFS Government Markets Income Trustsh ben int | $358,000 | – | 77,693 | – | 0.13% | – |
| MHF | Sell | Western Asset Mun Hi Incm Fd | $343,000 | -46.9% | 45,227 | -47.0% | 0.13% | -48.4% |
| AEF | Buy | Aberdeen Emerging Markets Equity Inc. | $338,000 | +37.4% | 48,590 | +44.3% | 0.12% | +33.0% |
| JRI | Buy | Nuveen Real Asset Income and Growth Fund | $332,000 | +232.0% | 18,986 | +222.8% | 0.12% | +221.1% |
| WIA | Buy | Western Asset/Claymore Inflation-Linked Securities & Income Fund | $292,000 | -0.3% | 25,178 | +0.2% | 0.11% | -3.6% |
| KTF | New | Deutsche Municipal Income Trust | $291,000 | – | 25,136 | – | 0.11% | – |
| JOF | Sell | Japan Smaller Capitalization Fund Inc | $286,000 | -43.8% | 32,620 | -45.5% | 0.10% | -45.9% |
| SBI | Buy | Western Assest Intm Muni Fd | $282,000 | +154.1% | 30,684 | +147.1% | 0.10% | +147.6% |
| DSU | Buy | BlackRock Debt Strategies Fund | $278,000 | +109.0% | 25,871 | +108.8% | 0.10% | +102.0% |
| BTT | Sell | BlackRock Municipal 2030 Target Term Trust | $265,000 | -27.2% | 11,216 | -28.5% | 0.10% | -29.5% |
| IVH | Sell | Ivy High Income Opportunities Fund | $257,000 | -9.5% | 18,781 | -10.4% | 0.10% | -12.0% |
| PNI | Buy | Pimco New York Municipal Income Fund II | $255,000 | +67.8% | 21,356 | +63.6% | 0.09% | +62.1% |
| MRK | Buy | Merck & Co Inc | $233,000 | +1.7% | 2,763 | +1.4% | 0.09% | -1.1% |
| EIM | Buy | Eaton Vance Mun Bd Fd | $228,000 | +6.0% | 17,594 | +1.6% | 0.08% | +2.4% |
| MUC | Buy | BlackRock Munihldngs Cali QL | $219,000 | +14.1% | 15,476 | +10.1% | 0.08% | +11.0% |
| KYN | Sell | Kayne Anderson MLP Investment Company | $201,000 | -89.6% | 13,922 | -88.9% | 0.07% | -89.9% |
| DUC | Sell | Duff & Phelps Util Copr | $185,000 | -73.0% | 20,049 | -74.4% | 0.07% | -73.9% |
| EMD | Buy | Western Asset Emrg Mkt Debt | $184,000 | +234.5% | 13,220 | +246.9% | 0.07% | +223.8% |
| MXE | Sell | The Mexico Equity & Income Fund Inc | $181,000 | -5.7% | 17,199 | -0.4% | 0.07% | -8.2% |
| RVT | Buy | Royce Value Trust Inc | $177,000 | +0.6% | 12,888 | +1.9% | 0.06% | -3.0% |
| FMY | Sell | First Trust Mortgage Income Fund | $171,000 | -46.7% | 12,210 | -46.9% | 0.06% | -48.4% |
| MFM | Sell | MFS Municipal Income Trustsh ben int | $159,000 | -6.5% | 22,614 | -7.2% | 0.06% | -9.2% |
| EEA | Buy | The European Equity Fund Inc | $153,000 | +0.7% | 17,201 | +0.1% | 0.06% | -3.4% |
| EVN | Sell | Eaton Vance Muni Income Trustsh ben int | $127,000 | -9.3% | 9,869 | -12.2% | 0.05% | -11.3% |
| NVS | Buy | Novartis AGsponsored adr | $119,000 | -3.3% | 1,368 | +1.3% | 0.04% | -6.4% |
| PEO | Buy | Adams Natural Resources Fund Inc | $105,000 | -3.7% | 6,605 | +0.2% | 0.04% | -7.1% |
| NEA | Sell | Nuveen AMT-Free Quality Municipal Income Fund | $102,000 | -83.5% | 7,136 | -84.1% | 0.04% | -83.9% |
| TY | Buy | Tri-Continental Corp | $102,000 | +2.0% | 3,735 | +0.9% | 0.04% | 0.0% |
| JEQ | Sell | Aberdeen Japan Equity Fund Inc | $99,000 | -94.1% | 13,569 | -94.3% | 0.04% | -94.2% |
| BLW | New | BlackRock Limited Duration Income Trust | $100,000 | – | 6,424 | – | 0.04% | – |
| SONY | Sell | Sony Corpsponsored adr | $89,000 | +12.7% | 1,501 | -0.7% | 0.03% | +10.0% |
| PCEF | Sell | Invesco Exchng Traded Fd Tr | $79,000 | -59.5% | 3,500 | -59.5% | 0.03% | -60.8% |
| BFZ | Sell | BlackRock Calif Mun Income | $75,000 | -29.2% | 5,503 | -31.2% | 0.03% | -30.0% |
| TAK | Sell | Takeda Pharmaceutical Co Ltdsponsored adr | $74,000 | -5.1% | 4,279 | -2.7% | 0.03% | -10.0% |
| KF | Sell | The Korea Fund Inc | $73,000 | -7.6% | 2,671 | -2.7% | 0.03% | -10.0% |
| EVM | Sell | Eaton Vance Calif Mun Bd Fd | $64,000 | -36.6% | 5,615 | -38.4% | 0.02% | -36.8% |
| GDV | Buy | The Gabelli Dividend & Income Trust | $64,000 | 0.0% | 2,985 | +0.6% | 0.02% | 0.0% |
| RCI | Buy | Rogers Communications Inccl b | $58,000 | +5.5% | 1,198 | +17.5% | 0.02% | 0.0% |
| CEE | Sell | Central and Eastern European Fund Inc | $47,000 | -4.1% | 1,790 | -0.1% | 0.02% | -10.5% |
| VIAV | Buy | Viacom Inc. | $40,000 | +21.2% | 2,875 | +16.6% | 0.02% | +15.4% |
| BABA | Buy | Alibaba Group Holding Limitedsponsored ads | $40,000 | +17.6% | 238 | +17.2% | 0.02% | +15.4% |
| GDL | Buy | The GDL Fund | $40,000 | 0.0% | 4,355 | +1.1% | 0.02% | 0.0% |
| ASML | Sell | ASML Holding N V | $41,000 | -26.8% | 164 | -39.5% | 0.02% | -28.6% |
| JCE | Buy | Nuveen Core Equity Alpha Fund | $37,000 | +2.8% | 2,610 | +1.8% | 0.01% | 0.0% |
| QQQX | Buy | Nuveen NASDAQ 100 Dynamic Overwrite Fund | $38,000 | 0.0% | 1,722 | +1.7% | 0.01% | 0.0% |
| GAB | Buy | Gabelli Equity Trust Inc | $33,000 | 0.0% | 5,447 | +2.5% | 0.01% | -7.7% |
| USA | Buy | Liberty All Star Equity Fundsh ben int | $30,000 | +3.4% | 4,613 | +2.7% | 0.01% | 0.0% |
| ASG | Sell | Liberty All Star Growth Fund Inc | $31,000 | -80.0% | 5,235 | -80.4% | 0.01% | -81.4% |
| TIF | New | Tiffany & Co. | $29,000 | – | 314 | – | 0.01% | – |
| ON | New | ON Semiconductor Corporation | $27,000 | – | 1,429 | – | 0.01% | – |
| CHN | Sell | The China Fund Inc | $26,000 | -3.7% | 1,341 | -0.1% | 0.01% | 0.0% |
| DEO | Buy | Diageo PLCspon adr new | $28,000 | -3.4% | 173 | +3.0% | 0.01% | -9.1% |
| CEV | Sell | Eaton Vance California Municipal Income Trustsh ben int | $22,000 | -87.7% | 1,618 | -88.8% | 0.01% | -88.2% |
| EQIX | Sell | Equinix Inc | $23,000 | -37.8% | 40 | -45.2% | 0.01% | -42.9% |
| MOR | New | MorphoSys AGsponsored ads | $23,000 | – | 837 | – | 0.01% | – |
| ASA | New | ASA Gold and Precious Metals Ltd | $19,000 | – | 5,021 | – | 0.01% | – |
| ACN | Buy | Accenture PLC Ireland | $18,000 | +12.5% | 93 | +4.5% | 0.01% | +16.7% |
| SU | Buy | Suncor Energy Inc | $19,000 | +18.8% | 607 | +18.3% | 0.01% | +16.7% |
| AON | Buy | Aon Plc | $18,000 | +80.0% | 94 | +77.4% | 0.01% | +75.0% |
| QD | New | Qudian Inc.adr | $16,000 | – | 2,263 | – | 0.01% | – |
| V | Sell | Visa Inc | $13,000 | -7.1% | 74 | -9.8% | 0.01% | 0.0% |
| NGG | Buy | Nuveen Preferred Income Opportunities Fundsponsored adr | $13,000 | +8.3% | 239 | +8.6% | 0.01% | 0.0% |
| JPM | Sell | JPMorgan Chase & Co | $14,000 | 0.0% | 116 | -4.1% | 0.01% | 0.0% |
| RPAY | New | Repay Holdings Corporation | $13,000 | – | 1,000 | – | 0.01% | – |
| SE | Sell | Sea Limitedadr | $13,000 | -35.0% | 419 | -31.8% | 0.01% | -37.5% |
| ZF | Sell | Virtus Total Return Fund Inc | $14,000 | -53.3% | 1,246 | -55.7% | 0.01% | -54.5% |
| BDJ | Buy | BlackRock Enhanced Equity Dividend Trust | $14,000 | 0.0% | 1,576 | +1.6% | 0.01% | 0.0% |
| CCEP | Buy | Coca Cola European Partners | $14,000 | +7.7% | 244 | +3.8% | 0.01% | 0.0% |
| INFO | Sell | HIS Markit Ltd | $14,000 | -6.7% | 211 | -11.0% | 0.01% | -16.7% |
| TD | Sell | The Toronto-Dominion Bank | $10,000 | -33.3% | 167 | -34.5% | 0.00% | -33.3% |
| MCD | Sell | McDonald's Corp | $10,000 | 0.0% | 45 | -10.0% | 0.00% | 0.0% |
| LULU | Sell | Lululemon Athletica Inc | $10,000 | -9.1% | 52 | -13.3% | 0.00% | 0.0% |
| AXP | Buy | American Express Co | $11,000 | +22.2% | 91 | +31.9% | 0.00% | +33.3% |
| WMT | Buy | Wal-Mart Stores Inc | $12,000 | +20.0% | 99 | +10.0% | 0.00% | 0.0% |
| SYK | Buy | Stryker Corporation | $10,000 | +11.1% | 45 | +4.7% | 0.00% | +33.3% |
| PEP | Buy | PepsiCo, Inc. | $12,000 | +33.3% | 88 | +22.2% | 0.00% | +33.3% |
| TTE | Buy | Total S.A.sponsored adr | $10,000 | +25.0% | 191 | +33.6% | 0.00% | +33.3% |
| IPOA | New | Social Capital Hedosophia Holdings Corp.cl a | $11,000 | – | 1,000 | – | 0.00% | – |
| NOC | Buy | Northrop Grumman Corporation | $10,000 | +66.7% | 27 | +35.0% | 0.00% | +100.0% |
| RELX | Buy | RELX Plcsponsored adr | $10,000 | +25.0% | 406 | +26.5% | 0.00% | +33.3% |
| QSR | New | Restaurant Brands International Inc | $8,000 | – | 112 | – | 0.00% | – |
| MHI | Sell | Pioneer Municipal High Income Trust | $7,000 | -97.2% | 600 | -97.1% | 0.00% | -96.8% |
| CSCO | New | Cisco Systems, Inc. | $7,000 | – | 132 | – | 0.00% | – |
| VZ | Buy | Verizon Communications Inc | $7,000 | +40.0% | 113 | +41.2% | 0.00% | +50.0% |
| HDB | Buy | HDFC Bank Ltdsponsored ads | $7,000 | -12.5% | 130 | +100.0% | 0.00% | 0.0% |
| HD | Sell | The Home Depot Inc | $9,000 | -18.2% | 40 | -23.1% | 0.00% | -25.0% |
| WM | Buy | Waste Management, Inc. | $8,000 | +14.3% | 68 | +15.3% | 0.00% | 0.0% |
| PHG | Sell | Koninklijke Philips NVny reg sh new | $9,000 | -10.0% | 204 | -12.8% | 0.00% | -25.0% |
| JMM | Sell | Nuveen Multi-Market Income Fund Inc | $7,000 | -98.9% | 1,002 | -98.8% | 0.00% | -98.7% |
| NML | Sell | Neuberger Berman MLP Income Fund Inc | $9,000 | -99.0% | 1,296 | -98.9% | 0.00% | -99.1% |
| MDT | New | Medtronic plc | $8,000 | – | 71 | – | 0.00% | – |
| PAGS | New | PagSeguro Digital Ltd. | $7,000 | – | 146 | – | 0.00% | – |
| CYBR | Buy | CyberArk Software Ltd. | $8,000 | -11.1% | 76 | +10.1% | 0.00% | 0.0% |
| RY | Buy | Royal Bk Cda Montreal Que | $9,000 | +28.6% | 106 | +12.8% | 0.00% | 0.0% |
| INTU | Sell | Intuit | $6,000 | -25.0% | 24 | -20.0% | 0.00% | -33.3% |
| PFE | Sell | Pfizer Inc | $5,000 | -37.5% | 129 | -29.9% | 0.00% | -33.3% |
| EDU | Sell | New Oriental Education & Technology Group Incspon adr | $6,000 | -25.0% | 56 | -32.5% | 0.00% | -33.3% |
| ERJ | Sell | Embraer S A | $6,000 | -14.3% | 325 | -1.5% | 0.00% | -33.3% |
| TSM | Sell | Taiwan Semiconductor Manufacturing Company Limitedsponsored adr | $6,000 | 0.0% | 139 | -6.1% | 0.00% | 0.0% |
| WIX | Sell | Wix Com Ltd | $5,000 | -28.6% | 42 | -19.2% | 0.00% | -33.3% |
| PUK | Sell | Prudential PLCadr | $5,000 | -44.4% | 136 | -37.0% | 0.00% | -33.3% |
| BNS | New | The Bank of Nova Scotia | $4,000 | – | 73 | – | 0.00% | – |
| NXR | Sell | Nuveen Select Tax-Free Income 3 Portfoliosh ben int | $3,000 | -99.3% | 186 | -99.3% | 0.00% | -99.4% |
| XOM | Sell | Exxon Mobil Corp | $3,000 | -50.0% | 45 | -38.4% | 0.00% | -50.0% |
| BBD | Sell | Banco Bradesco S.A.sp adr pfd | $4,000 | -33.3% | 456 | -27.6% | 0.00% | -50.0% |
| DBL | Exit | Doubleline Opportunitic Cr | $0 | – | -56 | – | 0.00% | – |
| SNP | Exit | China Petroleum & Chemical Corp | $0 | – | -51 | – | -0.00% | – |
| ABB | Exit | ABB Ltdsponsored adr | $0 | – | -150 | – | -0.00% | – |
| PNC | Exit | The PNC Financial Services Group Inc | $0 | – | -47 | – | -0.00% | – |
| CNQ | Exit | Canadian Natural Resources Ltd | $0 | – | -145 | – | -0.00% | – |
| ADP | Exit | Automatic Data Processing, Inc. | $0 | – | -38 | – | -0.00% | – |
| BHP | Exit | BHP Billiton Ltdsponsored adr | $0 | – | -212 | – | -0.01% | – |
| EFF | Exit | Eaton Vance Fltg Rate Income Tr | $0 | – | -1,335 | – | -0.01% | – |
| FPF | Exit | First Tr Inter Dur Pfd & In | $0 | – | -969 | – | -0.01% | – |
| Exit | Flaherty & Crumrine Dynamic Preferred and Income Fund | $0 | – | -815 | – | -0.01% | – | |
| ABEV | Exit | Ambev SA | $0 | – | -7,250 | – | -0.01% | – |
| NMT | Exit | Nuveen Massachusets Qlt Mun | $0 | – | -2,983 | – | -0.02% | – |
| EOS | Exit | Eaton Vance Enh Eqty Inc. | $0 | – | -2,396 | – | -0.02% | – |
| DMF | Exit | Dreyfus Mun Income Inc | $0 | – | -5,000 | – | -0.02% | – |
| PCK | Exit | PIMCO California Municipal Income Fund II | $0 | – | -4,600 | – | -0.02% | – |
| TIP | Exit | iShares TIPS Bond ETFtips bd etf | $0 | – | -410 | – | -0.02% | – |
| Exit | ASA Gold and Precious Metals Ltd | $0 | – | -5,021 | – | -0.02% | – | |
| NXP | Exit | Nuveen Select Tax-Free Income Portfoliosh ben int | $0 | – | -5,386 | – | -0.03% | – |
| FLC | Exit | Flaherty & Crumine Total Return | $0 | – | -4,361 | – | -0.03% | – |
| JPI | Exit | Nuveen Pfd & Income Term Fd | $0 | – | -4,456 | – | -0.04% | – |
| JMLP | Exit | Nuveen All Cap Ene MLP Oppo | $0 | – | -20,729 | – | -0.05% | – |
| NKX | Exit | Nuveen California Amt Qlt Mu | $0 | – | -10,000 | – | -0.06% | – |
| EXD | Exit | Eaton Vance Tax Adv Bd Opt S | $0 | – | -16,009 | – | -0.06% | – |
| CBH | Exit | AllianzGI Convertible & Income 2024 Target Term Fund | $0 | – | -18,896 | – | -0.07% | – |
| HIX | Exit | Western Asset High Incm Fd | $0 | – | -24,805 | – | -0.07% | – |
| NXQ | Exit | Nuveen Select Tax-Free Income 2 Portfoliosh ben int | $0 | – | -19,746 | – | -0.11% | – |
| VMO | Exit | Invesco Municipal Opportunity Trust | $0 | – | -23,131 | – | -0.11% | – |
| CEM | Exit | Clearbridge MLP and Midstrm | $0 | – | -54,769 | – | -0.25% | – |
| TTP | Exit | Tortoise Pipeline & Energy Fund Inc | $0 | – | -78,117 | – | -0.43% | – |
| SMM | Exit | Salient Midstream & MLP Fundsh ben int | $0 | – | -153,746 | – | -0.50% | – |
Q2 2019
Q4 2018
Q3 2018
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| NHF | Sell | NexPoint Credit Strategies Fund | $18,338,000 | -25.0% | 818,672 | -26.5% | 6.50% | -27.2% |
| CET | Buy | Central Securities Corp | $13,922,000 | +6.6% | 471,937 | +0.7% | 4.94% | +3.4% |
| BIF | Sell | Boulder Growth & Income Fund Inc | $12,116,000 | -3.1% | 1,080,839 | -11.1% | 4.30% | -6.0% |
| ECC | Buy | Eagle Point Credit Co Inc | $11,982,000 | +7.1% | 669,370 | +8.7% | 4.25% | +3.8% |
| THQ | Sell | Tekla Healthcare Opportunities Fund | $11,183,000 | +8.4% | 596,720 | -1.4% | 3.97% | +5.1% |
| FLOT | New | iShares Floating Rate Bond ETFfltg rate nt etf | $8,155,000 | – | 159,830 | – | 2.89% | – |
| CUBA | Sell | The Herzfeld Caribbean Basin Fund Inc | $8,039,000 | -3.6% | 1,252,227 | -0.9% | 2.85% | -6.5% |
| THW | Sell | Tekla World Healthcare Fund | $7,491,000 | +4.0% | 533,903 | -4.7% | 2.66% | +0.8% |
| GAM | Sell | General American Investors Co Inc | $6,837,000 | +6.1% | 184,920 | -1.5% | 2.42% | +2.9% |
| AOD | Sell | Aberdeen Total Dynamic Dividend Fund | $6,580,000 | -1.5% | 749,443 | -1.8% | 2.33% | -4.4% |
| JQC | Buy | Nuveen Credit Strategies Income Fund | $5,813,000 | +78.1% | 729,387 | +77.6% | 2.06% | +72.8% |
| ISD | Buy | PGIM Short Duration High Yield Fund, Inc. | $5,682,000 | +21.8% | 401,805 | +20.6% | 2.02% | +18.1% |
| OXLC | Buy | Oxford Lane Capital Corp | $5,459,000 | +221.5% | 515,267 | +216.2% | 1.94% | +211.8% |
| AIF | Buy | Apollo Tactical Income Fund Inc | $5,423,000 | +4.5% | 349,187 | +5.0% | 1.92% | +1.3% |
| MINT | Buy | PIMCO Enhanced Short Maturity Active Exchange-Traded Fundenhan shrt ma ac | $5,337,000 | +49.1% | 52,517 | +49.0% | 1.89% | +44.6% |
| MTZ | Buy | MasTec Inc | $5,237,000 | -9.7% | 117,297 | +2.6% | 1.86% | -12.4% |
| WIW | Sell | Western Asset/Claymore Inflation-Linked Opportunities & Income Fund | $4,748,000 | -15.3% | 437,962 | -12.9% | 1.68% | -17.8% |
| TWN | Sell | The Taiwan Fund Inc | $4,645,000 | -5.9% | 242,290 | -1.2% | 1.65% | -8.7% |
| ADX | Sell | Adams Diversified Equity Fund Inc | $4,001,000 | -50.8% | 240,035 | -54.5% | 1.42% | -52.3% |
| RCL | Sell | Royal Caribbean Cruises Ltd | $3,798,000 | +18.9% | 29,229 | -5.2% | 1.35% | +15.3% |
| TTP | Sell | Tortoise Pipeline & Energy Fund Inc | $3,755,000 | -0.0% | 217,030 | -0.8% | 1.33% | -3.0% |
| KMF | Buy | Kayne Anderson Midstream/Energy Fund Inc | $3,275,000 | -0.9% | 255,876 | +0.2% | 1.16% | -4.0% |
| SOR | Sell | Source Capital Inc | $3,274,000 | -0.6% | 81,432 | -1.7% | 1.16% | -3.6% |
| GF | Sell | The New Germany Fund Inc | $2,940,000 | -1.0% | 161,544 | -0.7% | 1.04% | -4.0% |
| GHY | Buy | PGIM Global Short Duration High Yield Fund, Inc. | $2,915,000 | +62.3% | 210,130 | +59.8% | 1.03% | +57.4% |
| JRO | Buy | Nuveen Floating Rate Income Opportunity Fund | $2,915,000 | +307.7% | 282,734 | +311.9% | 1.03% | +296.2% |
| PPR | Buy | Voya Prime Rate Trustsh ben int | $2,803,000 | +118.5% | 562,801 | +120.7% | 0.99% | +111.9% |
| FMO | Sell | Fiduciary/Claymore MLP Opportunity Fund | $2,802,000 | +1.7% | 229,459 | -2.7% | 0.99% | -1.4% |
| GRX | Sell | The Gabelli Healthcare & WellnessRx Trust | $2,784,000 | +8.3% | 252,668 | -1.5% | 0.99% | +5.0% |
| PEO | Buy | Adams Natural Resources Fund Inc | $2,704,000 | -0.7% | 135,601 | +0.0% | 0.96% | -3.7% |
| SMM | Buy | Salient Midstream & MLP Fundsh ben int | $2,670,000 | +46.1% | 261,990 | +42.8% | 0.95% | +41.8% |
| JEQ | Sell | Aberdeen Japan Equity Fund Inc | $2,400,000 | -6.3% | 286,101 | -1.2% | 0.85% | -9.1% |
| AGD | Sell | Aberdeen Global Dynamic Dividend Fund | $2,389,000 | +0.1% | 231,029 | -0.8% | 0.85% | -3.0% |
| TPZ | Buy | Tortoise Power and Energy Infrastructure Fund Inc | $2,227,000 | +46.3% | 116,796 | +44.6% | 0.79% | +41.8% |
| FSD | Buy | First Trust High Income Long/Short Fund | $2,220,000 | +40.9% | 150,509 | +40.7% | 0.79% | +36.6% |
| WIA | Sell | Western Asset/Claymore Inflation-Linked Securities & Income Fund | $2,088,000 | -3.3% | 185,446 | -1.9% | 0.74% | -6.2% |
| VVR | Buy | Invesco Senior Income Trust | $2,084,000 | +79.7% | 484,711 | +78.9% | 0.74% | +74.3% |
| NAC | Buy | Nuveen California Quality Municipal Income Fund | $1,986,000 | +0.5% | 153,485 | +3.8% | 0.70% | -2.6% |
| CPA | Buy | Copa Holdings SAcl a | $1,946,000 | -15.5% | 24,373 | +0.1% | 0.69% | -18.1% |
| IFN | Sell | The India Fund Inc | $1,896,000 | -9.8% | 85,690 | -1.1% | 0.67% | -12.6% |
| AEF | Sell | Aberdeen Emerging Markets Equity Inc. | $1,893,000 | -2.6% | 275,917 | -0.7% | 0.67% | -5.6% |
| NML | Sell | Neuberger Berman MLP Income Fund Inc | $1,888,000 | -3.2% | 217,296 | -2.3% | 0.67% | -6.0% |
| HQH | Buy | Tekla Healthcare Investorssh ben int | $1,867,000 | +8.5% | 80,639 | +0.8% | 0.66% | +5.2% |
| CWCO | Sell | Consolidated Water Co Ltdord | $1,685,000 | +0.8% | 121,638 | -6.1% | 0.60% | -2.1% |
| JOF | Sell | Japan Smaller Capitalization Fund Inc | $1,663,000 | -6.4% | 150,232 | -1.4% | 0.59% | -9.2% |
| VAC | Buy | Marriott Vacations Worldwide Corp | $1,648,000 | +14.4% | 14,745 | +15.7% | 0.58% | +10.8% |
| EVV | Buy | Eaton Vance Limited Duration Income Fund | $1,526,000 | +21.6% | 120,378 | +20.6% | 0.54% | +17.9% |
| VTA | Buy | Invesco Dynamic Credit Opportunities Fund | $1,524,000 | +75.8% | 132,906 | +78.1% | 0.54% | +70.3% |
| FMX | Buy | Fomento Economico Mexicano SAB de CVspon adr units | $1,473,000 | +13.0% | 14,882 | +0.2% | 0.52% | +9.4% |
| WSO | Sell | Watsco Inc | $1,425,000 | -16.7% | 8,000 | -16.7% | 0.50% | -19.3% |
| KYN | Buy | Kayne Anderson MLP Investment Company | $1,334,000 | +126.9% | 74,740 | +133.7% | 0.47% | +120.0% |
| IIF | Buy | Morgan Stanley India Investment Fund Inc | $1,259,000 | +1225.3% | 53,674 | +1360.9% | 0.45% | +1177.1% |
| CCL | Sell | Carnival Corpunit 99/99/9999 | $1,245,000 | -9.5% | 19,518 | -18.7% | 0.44% | -12.1% |
| ARDC | Buy | Ares Dynamic Credit Allocation Fund, Inc. | $1,012,000 | +65.6% | 65,154 | +71.5% | 0.36% | +61.0% |
| MXE | Sell | The Mexico Equity & Income Fund Inc | $952,000 | -45.2% | 77,505 | -53.9% | 0.34% | -46.8% |
| MIE | Sell | Cohen & Steers MLP Income and Energy Opportunity Fund Inc | $909,000 | -22.8% | 87,044 | -25.8% | 0.32% | -25.3% |
| FIF | Sell | First Trust Energy Infrastructure Fund | $889,000 | -6.1% | 56,461 | -1.9% | 0.32% | -9.0% |
| SPE | Sell | Special Opportunities Fund Inc | $812,000 | -2.1% | 53,866 | -2.4% | 0.29% | -5.0% |
| EVG | Buy | Eaton Vance Short Duration Diversified Income Fund | $766,000 | +34.9% | 59,358 | +36.2% | 0.27% | +30.8% |
| TYG | Sell | Tortoise Energy Infrastructure Corporation | $748,000 | -29.4% | 27,762 | -30.0% | 0.26% | -31.5% |
| JFR | New | Nuveen Floating Rate Income Fund | $747,000 | – | 71,857 | – | 0.26% | – |
| JMM | Buy | Nuveen Multi-Market Income Fund Inc | $734,000 | +11.4% | 104,578 | +11.2% | 0.26% | +7.9% |
| KIO | Sell | KKR Income Opportunities Fund | $592,000 | -66.8% | 36,096 | -66.4% | 0.21% | -67.7% |
| CIK | Buy | Credit Suisse Asset Management Income Fund Inc | $556,000 | +171.2% | 175,459 | +170.5% | 0.20% | +162.7% |
| PCK | Buy | PIMCO California Municipal Income Fund II | $523,000 | +375.5% | 62,544 | +372.7% | 0.18% | +362.5% |
| EVTC | Sell | EVERTEC Inc | $515,000 | -0.4% | 21,356 | -9.7% | 0.18% | -3.2% |
| RDSB | Buy | Royal Dutch Shell PLCspon adr b | $506,000 | +114.4% | 188 | +116.1% | 0.18% | +108.1% |
| CBH | Buy | AllianzGI Convertible & Income 2024 Target Term Fund | $490,000 | +5.8% | 53,225 | +6.2% | 0.17% | +3.0% |
| HNW | Buy | Pioneer Diversified High Income Trust | $462,000 | +28.3% | 31,588 | +27.9% | 0.16% | +24.2% |
| IVH | Buy | Ivy High Income Opportunities Fund | $405,000 | +610.5% | 28,424 | +611.5% | 0.14% | +585.7% |
| SVVC | New | Firsthand Technology Value Fund, Inc. | $391,000 | – | 23,078 | – | 0.14% | – |
| KF | Sell | The Korea Fund Inc | $384,000 | -4.7% | 10,481 | -0.6% | 0.14% | -7.5% |
| ATNI | Sell | ATN International Inc | $378,000 | -40.3% | 5,116 | -57.3% | 0.13% | -42.0% |
| TAHO | Buy | Tahoe Resources Inc | $368,000 | -8.7% | 131,900 | +61.1% | 0.13% | -10.9% |
| FUND | Buy | Sprott Focus Trust Inc | $327,000 | -5.2% | 44,242 | +0.4% | 0.12% | -7.9% |
| PHT | Buy | Pioneer High Income Trust | $318,000 | +34.2% | 34,336 | +34.6% | 0.11% | +29.9% |
| FMY | Buy | First Trust Mortgage Income Fund | $285,000 | +2.2% | 21,246 | +2.2% | 0.10% | -1.0% |
| PYN | Sell | PIMCO New York Municipal Income Fund III | $259,000 | -8.2% | 27,435 | -11.3% | 0.09% | -10.7% |
| PGZ | Sell | Principal Real Estate Income Fund | $253,000 | -31.2% | 14,683 | -29.1% | 0.09% | -33.3% |
| JRI | Buy | Nuveen Real Asset Income and Growth Fund | $234,000 | 0.0% | 14,502 | +0.0% | 0.08% | -3.5% |
| BZM | Sell | BlackRock Maryland Municipal Bond Trust | $224,000 | -17.3% | 16,260 | -19.4% | 0.08% | -20.2% |
| PZC | Sell | PIMCO California Municipal Income Fund III | $217,000 | -25.2% | 21,359 | -23.6% | 0.08% | -27.4% |
| MHI | Sell | Pioneer Municipal High Income Trust | $191,000 | -3.0% | 17,188 | -0.6% | 0.07% | -5.6% |
| AVK | New | Advent Claymore Convertible Securities and Income Fund | $187,000 | – | 11,915 | – | 0.07% | – |
| CXE | Sell | MFS High Income Municipal Trustsh ben int | $175,000 | -13.8% | 35,467 | -13.0% | 0.06% | -16.2% |
| JPC | New | Jupai Holdings Limited | $176,000 | – | 18,975 | – | 0.06% | – |
| CLM | Buy | Cornerstone Strategic Value Fund Inc | $172,000 | +616.7% | 12,315 | +613.1% | 0.06% | +577.8% |
| CEV | Sell | Eaton Vance California Municipal Income Trustsh ben int | $159,000 | -30.3% | 14,171 | -28.6% | 0.06% | -32.5% |
| KTF | New | Deutsche Municipal Income Trust | $136,000 | – | 13,000 | – | 0.05% | – |
| NEAR | Sell | iShares Short Maturity Bond ETFsht mat bd etf | $135,000 | -73.1% | 2,700 | -73.0% | 0.05% | -73.9% |
| RVT | Buy | Royce Value Trust Inc | $128,000 | +11.3% | 7,816 | +7.4% | 0.04% | +7.1% |
| ERC | New | Wells Fargo Advantage Multi-Sector Income Fund | $123,000 | – | 10,142 | – | 0.04% | – |
| CTR | Buy | ClearBridge Energy MLP Total Return Fund Inc | $123,000 | +4.2% | 10,788 | +2.5% | 0.04% | +2.3% |
| NXR | Sell | Nuveen Select Tax-Free Income 3 Portfoliosh ben int | $109,000 | -47.6% | 7,810 | -45.5% | 0.04% | -48.7% |
| AKP | Sell | Alliance California Municipal Income Fund Inc | $103,000 | -58.3% | 7,615 | -59.4% | 0.04% | -58.9% |
| BTA | Buy | BlackRock Long-Term Municipal Advantage Trust | $98,000 | +84.9% | 8,685 | +83.3% | 0.04% | +84.2% |
| TY | Sell | Tri-Continental Corp | $97,000 | -50.8% | 3,470 | -53.4% | 0.03% | -52.8% |
| MMD | Sell | MainStay DefinedTerm Municipal Opportunities Fund | $88,000 | -53.2% | 4,463 | -54.0% | 0.03% | -55.1% |
| SGMO | New | Sangamo Therapeutics, Inc. | $85,000 | – | 5,000 | – | 0.03% | – |
| GDV | Sell | The Gabelli Dividend & Income Trust | $70,000 | -37.5% | 2,912 | -41.5% | 0.02% | -39.0% |
| SONY | Sell | Sony Corpsponsored adr | $64,000 | +12.3% | 1,054 | -4.9% | 0.02% | +9.5% |
| CBA | Buy | ClearBridge American Energy MLP Fund Inc | $60,000 | +5.3% | 7,666 | +0.8% | 0.02% | 0.0% |
| GDX | Buy | VanEck Vectors Gold Miners ETFgold miners etf | $56,000 | -16.4% | 3,024 | +0.0% | 0.02% | -16.7% |
| CMU | Sell | MFS High Yield Municipal Trustsh ben int | $50,000 | -82.3% | 11,077 | -82.3% | 0.02% | -82.5% |
| ASA | Sell | ASA Gold and Precious Metals Ltd | $44,000 | -91.4% | 5,010 | -90.0% | 0.02% | -91.4% |
| BIDU | Buy | Baidu Incspon adr rep a | $46,000 | +31.4% | 201 | +40.6% | 0.02% | +23.1% |
| CEE | Buy | Central and Eastern European Fund Inc | $43,000 | +4.9% | 1,783 | +0.1% | 0.02% | 0.0% |
| IBN | Sell | ICICI Bank Ltdadr | $41,000 | -8.9% | 4,771 | -14.1% | 0.02% | -6.2% |
| DEO | Sell | Diageo PLCspon adr new | $39,000 | -2.5% | 276 | -0.7% | 0.01% | -6.7% |
| BWG | Sell | BrandywineGLOBAL - Global Income Opportunities Fund Inc. | $40,000 | -9.1% | 3,659 | -5.3% | 0.01% | -12.5% |
| QQQX | Buy | Nuveen NASDAQ 100 Dynamic Overwrite Fund | $38,000 | -7.3% | 1,602 | +1.6% | 0.01% | -13.3% |
| BDJ | Buy | BlackRock Enhanced Equity Dividend Trust | $38,000 | +5.6% | 3,977 | +0.6% | 0.01% | 0.0% |
| JCE | Buy | Nuveen Core Equity Alpha Fund | $38,000 | +8.6% | 2,419 | +1.9% | 0.01% | 0.0% |
| GDL | Buy | The GDL Fund | $38,000 | 0.0% | 4,173 | +1.1% | 0.01% | -7.1% |
| ASG | Buy | Liberty All Star Growth Fund Inc | $31,000 | 0.0% | 4,813 | +1.9% | 0.01% | 0.0% |
| BBVA | Sell | Banco Bilbao Vizcaya Argentaria SAsponsored adr | $32,000 | -25.6% | 5,143 | -16.2% | 0.01% | -31.2% |
| GAB | Buy | Gabelli Equity Trust Inc | $32,000 | +6.7% | 4,897 | +2.3% | 0.01% | 0.0% |
| SU | Buy | Suncor Energy Inc | $31,000 | +72.2% | 799 | +83.3% | 0.01% | +57.1% |
| USA | Buy | Liberty All Star Equity Fundsh ben int | $29,000 | +7.4% | 4,258 | +2.4% | 0.01% | 0.0% |
| PNI | New | Pimco New York Municipal Income | $28,000 | – | 2,454 | – | 0.01% | – |
| ITUB | New | Itau Unibanco Holding S.A.spon adr rep pfd | $27,000 | – | 2,477 | – | 0.01% | – |
| ZF | Buy | Virtus Total Return Fund Inc | $28,000 | -3.4% | 2,681 | +1.4% | 0.01% | -9.1% |
| EQIX | Buy | Equinix Inc | $26,000 | +4.0% | 60 | +5.3% | 0.01% | 0.0% |
| GFY | New | Western Asset Variable Rate | $22,000 | – | 1,308 | – | 0.01% | – |
| NTG | New | Tortoise MLP Fund, Inc | $19,000 | – | 1,164 | – | 0.01% | – |
| BMRN | Sell | BioMarin Pharmaceutical Inc | $20,000 | -33.3% | 205 | -35.1% | 0.01% | -36.4% |
| BTZ | Buy | BlackRock Credit Allocation Income Trust | $16,000 | 0.0% | 1,301 | +0.1% | 0.01% | 0.0% |
| SLB | Sell | Schlumberger Ltd | $16,000 | -30.4% | 269 | -22.7% | 0.01% | -25.0% |
| BTI | Buy | British American Tobacco PLCsponsored adr | $18,000 | +5.9% | 394 | +17.6% | 0.01% | 0.0% |
| SVXY | New | ProShares Short VIX Short-Term Futures ETFsht vix st trm | $14,000 | – | 244 | – | 0.01% | – |
| MVC | Buy | MVC Capital Inc | $13,000 | 0.0% | 1,359 | +1.6% | 0.01% | 0.0% |
| UN | Buy | Unilever N.V. | $10,000 | +42.9% | 175 | +47.1% | 0.00% | +33.3% |
| PHG | Buy | Koninklijke Philips NVny reg sh new | $11,000 | +10.0% | 231 | +2.2% | 0.00% | 0.0% |
| EDU | Buy | New Oriental Education & Technology Group Incspon adr | $10,000 | +11.1% | 132 | +40.4% | 0.00% | +33.3% |
| TD | Sell | The Toronto-Dominion Bank | $8,000 | -33.3% | 133 | -33.8% | 0.00% | -25.0% |
| VALE | Sell | Vale SAadr | $8,000 | -20.0% | 527 | -35.4% | 0.00% | -25.0% |
| NSL | New | NuStar Energy L.P. | $9,000 | – | 1,400 | – | 0.00% | – |
| MLCO | Buy | Melco Resorts & Entertainment Ltdadr | $8,000 | +14.3% | 389 | +51.4% | 0.00% | 0.0% |
| NGG | New | Nuveen Preferred Income Opportunities Fundsponsored adr | $8,000 | – | 148 | – | 0.00% | – |
| BHP | Sell | BHP Billiton Ltdsponsored adr | $7,000 | -36.4% | 140 | -33.3% | 0.00% | -50.0% |
| SAP | Sell | SAP SEspon adr | $7,000 | -22.2% | 56 | -27.3% | 0.00% | -33.3% |
| TSM | New | Taiwan Semiconductor Manufacturing Company Limitedsponsored adr | $5,000 | – | 121 | – | 0.00% | – |
| ABB | Sell | ABB Ltdsponsored adr | $5,000 | -28.6% | 226 | -28.9% | 0.00% | -33.3% |
| ING | Buy | ING Groep NVsponsored adr | $7,000 | +16.7% | 578 | +41.3% | 0.00% | 0.0% |
| HSBC | New | HSBC Holdings plcspon adr | $5,000 | – | 124 | – | 0.00% | – |
| GWPH | Sell | GW Pharmaceuticals PLCads | $7,000 | 0.0% | 41 | -19.6% | 0.00% | -33.3% |
| SNP | Sell | China Petroleum & Chemical Corp | $7,000 | -41.7% | 70 | -47.0% | 0.00% | -50.0% |
| CNQ | Sell | Canadian Natural Resources Ltd | $7,000 | -30.0% | 211 | -22.4% | 0.00% | -50.0% |
| ALLE | Sell | Allegion PLC | $7,000 | 0.0% | 75 | -21.1% | 0.00% | -33.3% |
| ASML | Sell | ASML Holding N V | $6,000 | -33.3% | 30 | -30.2% | 0.00% | -33.3% |
| BBD | New | Banco Bradesco S.A.sp adr pfd | $5,000 | – | 682 | – | 0.00% | – |
| QSR | Exit | Restaurant Brands International Inc | $0 | – | -10 | – | 0.00% | – |
| MAV | Sell | Pioneer Municipal High Income Advantage Trust | $1,000 | -98.3% | 105 | -98.1% | 0.00% | -100.0% |
| WEN | Exit | The Wendy's Co | $0 | – | -42 | – | 0.00% | – |
| Exit | Flaherty & Crumrine Dynamic Preferred and Income Fund | $0 | – | -191 | – | -0.00% | – | |
| KST | Exit | Deutsche Strategic Income Trust | $0 | – | -400 | – | -0.00% | – |
| GIL | Exit | Gildan Activewear Inc | $0 | – | -178 | – | -0.00% | – |
| MFC | Exit | Manulife Financial Corp | $0 | – | -303 | – | -0.00% | – |
| PAM | Exit | Pampa Energia S Aspons adr lvl i | $0 | – | -127 | – | -0.00% | – |
| SVXY | Exit | ProShares Short VIX Short-Term Futures ETFsht vix st trm | $0 | – | -977 | – | -0.00% | – |
| NMY | Exit | Nuveen Maryland Quality Municipal Income Fund | $0 | – | -1,448 | – | -0.01% | – |
| FAM | Exit | First Trust Aberdeen Global Opportunity Income Fund | $0 | – | -2,100 | – | -0.01% | – |
| AGC | Exit | Advent Claymore Convertible Securities & Income Fund II | $0 | – | -4,042 | – | -0.01% | – |
| IQI | Exit | Invesco Quality Municipal Income Trust | $0 | – | -1,725 | – | -0.01% | – |
| GPM | Exit | Guggenheim Enhanced Equity Income Fund | $0 | – | -2,774 | – | -0.01% | – |
| AEG | Exit | Aegon N Vny registry sh | $0 | – | -4,144 | – | -0.01% | – |
| SWZ | Exit | The Swiss Helvetia Fund Inc | $0 | – | -1,950 | – | -0.01% | – |
| NTES | Exit | NetEase Incsponsored adr | $0 | – | -125 | – | -0.01% | – |
| NXQ | Exit | Nuveen Select Tax-Free Income 2 Portfoliosh ben int | $0 | – | -2,722 | – | -0.01% | – |
| TSLA | Exit | Tesla Inc | $0 | – | -166 | – | -0.02% | – |
| KYE | Exit | Kayne Anderson Energy Total Return Fund Inc | $0 | – | -9,000 | – | -0.03% | – |
| BGB | Exit | Blackstone / GSO Strategic Credit Fund | $0 | – | -5,581 | – | -0.03% | – |
| VPV | Exit | Invesco Pennsylvania Value Municipal Income Trust | $0 | – | -7,659 | – | -0.03% | – |
| EVJ | Exit | Eaton Vance New Jersey Municipal Income Trustsh ben int | $0 | – | -8,591 | – | -0.04% | – |
| NID | Exit | Nuveen Intermediate Duration Municipal Term Fund | $0 | – | -7,710 | – | -0.04% | – |
| NRK | Exit | Nuveen New York AMT-Free Quality Municipal Income Fund | $0 | – | -10,000 | – | -0.04% | – |
| IPFF | Exit | iShares International Preferred Stock ETFintl pfd stk etf | $0 | – | -8,200 | – | -0.05% | – |
| KTF | Exit | Deutsche Municipal Income Trust | $0 | – | -13,000 | – | -0.05% | – |
| FEN | Exit | First Trust Energy Income and Growth Fund | $0 | – | -6,257 | – | -0.05% | – |
| NDP | Exit | Tortoise Energy Independence Fund Inc | $0 | – | -11,512 | – | -0.05% | – |
| PFF | Exit | iShares US Preferred Stock ETFs&p us pfd stk | $0 | – | -3,933 | – | -0.05% | – |
| LCM | Exit | Advent/Claymore Enhanced Growth & Income Fund | $0 | – | -21,133 | – | -0.06% | – |
| PFL | Exit | PIMCO Income Strategy Fund | $0 | – | -18,623 | – | -0.08% | – |
| DTF | Exit | DTF Tax-Free Income Inc | $0 | – | -18,445 | – | -0.09% | – |
| PMF | Exit | PIMCO Municipal Income Fund | $0 | – | -28,122 | – | -0.14% | – |
| PCI | Exit | PIMCO Dynamic Credit and Mortgage Income Fund | $0 | – | -16,450 | – | -0.14% | – |
| BSV | Exit | Vanguard Short-Term Bond ETFshort trm bond | $0 | – | -6,300 | – | -0.18% | – |
| OXSQ | Exit | Oxford Square Capital Corp. | $0 | – | -75,725 | – | -0.19% | – |
| FOF | Exit | Cohen & Steers Closed-End Opportunity Fund, Inc. | $0 | – | -49,197 | – | -0.23% | – |
| KED | Exit | Kayne Anderson Energy Development Company | $0 | – | -44,676 | – | -0.28% | – |
| UTG | Exit | Reaves Utility Income Fund | $0 | – | -165,892 | – | -1.75% | – |
Q2 2018
Q4 2017
Q3 2017
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| NHF | Sell | NexPoint Credit Strategies Fund | $20,270,000 | -26.7% | 879,410 | -30.8% | 8.94% | -26.4% |
| BIF | Sell | Boulder Growth & Income Fund Inc | $15,106,000 | +4.6% | 1,480,991 | -0.4% | 6.66% | +5.1% |
| BST | Buy | BlackRock Science & Technology Trust | $13,480,000 | +14.4% | 551,798 | +4.0% | 5.94% | +14.9% |
| THQ | Buy | Tekla Healthcare Opportunities Fund | $10,615,000 | +15.3% | 571,609 | +13.9% | 4.68% | +15.9% |
| CET | Buy | Central Securities Corp | $10,485,000 | +16.4% | 405,624 | +12.3% | 4.62% | +17.0% |
| CUBA | Buy | The Herzfeld Caribbean Basin Fund Inc | $7,598,000 | +2.9% | 1,047,942 | +2.2% | 3.35% | +3.4% |
| ADX | Sell | Adams Diversified Equity Fund Inc | $7,484,000 | +5.6% | 492,075 | -0.8% | 3.30% | +6.1% |
| THW | Buy | Tekla World Healthcare Fund | $6,699,000 | +9.1% | 460,084 | +13.3% | 2.95% | +9.7% |
| AOD | Buy | Alpine Total Dynamic Dividend Fund | $6,455,000 | +3.8% | 717,254 | +0.3% | 2.85% | +4.4% |
| USA | Buy | Liberty All Star Equity Fundsh ben int | $6,396,000 | +8.7% | 1,060,726 | +2.1% | 2.82% | +9.3% |
| GAM | Buy | General American Investors Co Inc | $5,336,000 | +9.5% | 148,150 | +4.5% | 2.35% | +10.1% |
| MTZ | Sell | MasTec Inc | $4,747,000 | -7.3% | 102,297 | -9.8% | 2.09% | -6.9% |
| TTP | Buy | Tortoise Pipeline & Energy Fund Inc | $3,920,000 | +25.5% | 203,550 | +26.7% | 1.73% | +26.1% |
| RCL | Sell | Royal Caribbean Cruises Ltd | $3,892,000 | -14.0% | 32,829 | -20.7% | 1.72% | -13.5% |
| SOR | Buy | Source Capital Inc | $3,482,000 | +8.1% | 86,566 | +3.8% | 1.54% | +8.6% |
| CPA | Sell | Copa Holdings SAcl a | $3,272,000 | -13.3% | 26,273 | -18.6% | 1.44% | -12.9% |
| AGD | Sell | Alpine Global Dynamic Dividend Fund | $2,997,000 | -5.7% | 282,457 | -9.1% | 1.32% | -5.2% |
| GRX | Buy | The Gabelli Healthcare & WellnessRx Trust | $2,835,000 | -6.4% | 280,396 | +0.5% | 1.25% | -5.9% |
| GF | Sell | The New Germany Fund Inc | $2,585,000 | +11.5% | 139,188 | -0.2% | 1.14% | +12.1% |
| JEQ | Sell | Aberdeen Japan Equity Fund Inc | $2,560,000 | +1.9% | 293,968 | -0.6% | 1.13% | +2.5% |
| MINT | Buy | PIMCO Enhanced Short Maturity Active Exchange-Traded Fundenhan shrt ma ac | $2,538,000 | +3.3% | 24,932 | +3.3% | 1.12% | +3.9% |
| NCLH | Sell | Norwegian Cruise Line Holdings Ltd | $2,537,000 | -22.0% | 46,944 | -21.7% | 1.12% | -21.7% |
| CX | Buy | Cemex SAB de CVspon adr new | $2,457,000 | +6.2% | 270,645 | +10.2% | 1.08% | +6.7% |
| RVT | Sell | Royce Value Trust Inc | $2,412,000 | +6.6% | 152,731 | -1.5% | 1.06% | +7.0% |
| PEO | Sell | Adams Natural Resources Fund Inc | $2,356,000 | -16.8% | 119,891 | -20.8% | 1.04% | -16.3% |
| BPOP | Buy | Popular Inc | $2,189,000 | +67.1% | 60,900 | +93.9% | 0.96% | +67.8% |
| JOF | Sell | Japan Smaller Capitalization Fund Inc | $2,177,000 | +6.0% | 173,496 | -3.0% | 0.96% | +6.7% |
| ZF | Sell | Virtus Total Return Fund Inc | $2,105,000 | +5.9% | 161,443 | -0.6% | 0.93% | +6.4% |
| FBP | Buy | First BanCorp/Puerto Rico | $1,899,000 | +42.0% | 370,875 | +60.6% | 0.84% | +42.8% |
| JQC | Buy | Nuveen Credit Strategies Income Fund | $1,595,000 | -0.7% | 187,872 | +0.6% | 0.70% | -0.3% |
| KMF | New | Kayne Anderson Midstream/Energy Fund Inc | $1,573,000 | – | 106,994 | – | 0.69% | – |
| NFJ | Sell | AllianzGI NFJ Dividend Interest & Premium Strategy Fund | $1,498,000 | -1.2% | 111,788 | -3.5% | 0.66% | -0.8% |
| TY | Sell | Tri-Continental Corp | $1,470,000 | -43.1% | 57,534 | -45.8% | 0.65% | -42.8% |
| FDP | Buy | Fresh Del Monte Produce Incord | $1,409,000 | +452.5% | 31,000 | +520.0% | 0.62% | +454.5% |
| TPZ | Buy | Tortoise Power and Energy Infrastructure Fund Inc | $1,360,000 | +11.5% | 63,871 | +10.0% | 0.60% | +12.1% |
| SMM | Buy | Salient Midstream & MLP Fundsh ben int | $1,362,000 | +258.4% | 117,694 | +263.3% | 0.60% | +259.3% |
| BTZ | Buy | BlackRock Credit Allocation Income Trust | $1,312,000 | +4.1% | 96,695 | +3.2% | 0.58% | +4.5% |
| JRI | New | Nuveen Real Asset Income and Growth Fund | $1,285,000 | – | 71,412 | – | 0.57% | – |
| NML | Buy | Neuberger Berman MLP Income Fund Inc | $1,271,000 | +51.1% | 133,755 | +53.0% | 0.56% | +51.8% |
| MXE | Buy | The Mexico Equity & Income Fund Inc | $1,237,000 | +12.1% | 106,740 | +10.5% | 0.54% | +12.6% |
| FDEU | Sell | First Trust Dynamic Europe Equity Income Fund | $1,119,000 | -31.9% | 58,226 | -34.2% | 0.49% | -31.6% |
| MIE | Buy | Cohen & Steers MLP Income and Energy Opportunity Fund Inc | $1,113,000 | +49.0% | 106,671 | +55.1% | 0.49% | +49.7% |
| SPE | Sell | Special Opportunities Fund Inc | $971,000 | +1.6% | 61,204 | -2.7% | 0.43% | +2.1% |
| FIF | Buy | First Trust Energy Infrastructure Fund | $858,000 | +3.0% | 45,736 | +3.1% | 0.38% | +3.6% |
| HOMB | New | Home BancShares Inc | $717,000 | – | 28,416 | – | 0.32% | – |
| JMM | Buy | Nuveen Multi-Market Income Fund Inc | $546,000 | +2.8% | 71,936 | +1.4% | 0.24% | +3.4% |
| BSV | Sell | Vanguard Short-Term Bond ETFshort trm bond | $503,000 | -11.3% | 6,300 | -11.3% | 0.22% | -10.8% |
| DEX | Sell | Delaware Enhanced Global Dividend & Income Fund | $435,000 | +0.7% | 36,655 | -3.2% | 0.19% | +1.6% |
| TAHO | Buy | Tahoe Resources Inc | $432,000 | +57.1% | 81,900 | +156.7% | 0.19% | +57.0% |
| AIF | New | Apollo Tactical Income Fund Inc | $401,000 | – | 24,766 | – | 0.18% | – |
| FUND | Buy | Sprott Focus Trust Inc | $385,000 | +6.1% | 49,836 | +1.1% | 0.17% | +6.9% |
| GDV | Buy | The Gabelli Dividend & Income Trust | $371,000 | +2.8% | 16,565 | +0.1% | 0.16% | +3.8% |
| CEV | Sell | Eaton Vance California Municipal Income Trustsh ben int | $339,000 | -17.7% | 27,156 | -17.5% | 0.15% | -17.7% |
| EEA | Buy | The European Equity Fund Inc | $337,000 | +296.5% | 34,836 | +276.3% | 0.15% | +302.7% |
| CHN | Buy | The China Fund Inc | $275,000 | +52.8% | 13,537 | +40.7% | 0.12% | +53.2% |
| ASG | Sell | Liberty All Star Growth Fund Inc | $269,000 | -25.9% | 51,462 | -30.3% | 0.12% | -25.2% |
| ABE | Buy | Aberdeen Emerging Markets Smaller Co Opportunities Fund Inc | $251,000 | +2.9% | 17,980 | +1.7% | 0.11% | +3.7% |
| PMO | Sell | Putnam Municipal Opportunities Trustsh ben int | $250,000 | -17.5% | 19,790 | -18.4% | 0.11% | -17.3% |
| AKP | Buy | Alliance California Municipal Income Fund Inc | $246,000 | +2.5% | 17,781 | +1.5% | 0.11% | +2.9% |
| CBA | Sell | ClearBridge American Energy MLP Fund Inc | $235,000 | -24.9% | 27,406 | -21.3% | 0.10% | -24.1% |
| NXP | Sell | Nuveen Select Tax-Free Income Portfoliosh ben int | $234,000 | -8.2% | 15,655 | -11.8% | 0.10% | -8.0% |
| BTT | New | BlackRock Municipal 2030 Target Term Trust | $232,000 | – | 10,231 | – | 0.10% | – |
| AFB | Sell | AllianceBernstein National Municipal Income Fund Inc | $216,000 | -30.3% | 15,462 | -31.8% | 0.10% | -30.1% |
| FSD | Sell | First Trust High Income Long/Short Fund | $205,000 | -41.9% | 12,018 | -41.4% | 0.09% | -41.9% |
| TTF | Buy | The Thai Fund Inc | $202,000 | +14.8% | 20,786 | +2.5% | 0.09% | +15.6% |
| RDSB | New | Royal Dutch Shell PLCspon adr b | $197,000 | – | 86 | – | 0.09% | – |
| DTF | New | DTF Tax-Free Income Inc | $186,000 | – | 13,000 | – | 0.08% | – |
| BA | Buy | The Boeing Co | $182,000 | +29.1% | 717 | +0.6% | 0.08% | +29.0% |
| LCM | Sell | Advent/Claymore Enhanced Growth & Income Fund | $182,000 | -60.9% | 21,133 | -60.3% | 0.08% | -60.8% |
| MHI | Sell | Pioneer Municipal High Income Trust | $181,000 | -68.6% | 15,073 | -68.3% | 0.08% | -68.4% |
| NYH | Sell | Eaton Vance New York Municipal Bond Fund II | $179,000 | -24.5% | 15,000 | -25.0% | 0.08% | -24.0% |
| PGZ | New | Principal Real Estate Income Fund | $176,000 | – | 9,815 | – | 0.08% | – |
| PMM | Sell | Putnam Managed Municipal Income Trust | $175,000 | -41.9% | 23,094 | -42.4% | 0.08% | -41.7% |
| MRK | Buy | Merck & Co Inc | $174,000 | +0.6% | 2,712 | +0.2% | 0.08% | +1.3% |
| ARDC | Buy | Ares Dynamic Credit Allocation Fund Inc | $175,000 | +10.1% | 10,696 | +10.3% | 0.08% | +10.0% |
| BIT | Sell | BlackRock Multi-Sector Income Trust | $167,000 | -13.5% | 8,946 | -16.0% | 0.07% | -12.9% |
| GS | Buy | The Goldman Sachs Group Inc | $166,000 | +7.1% | 700 | +0.3% | 0.07% | +7.4% |
| NXQ | Sell | Nuveen Select Tax-Free Income 2 Portfoliosh ben int | $165,000 | -40.9% | 11,722 | -42.4% | 0.07% | -40.2% |
| NXR | Sell | Nuveen Select Tax-Free Income 3 Portfoliosh ben int | $158,000 | -55.9% | 10,382 | -57.6% | 0.07% | -55.4% |
| UNH | Buy | UnitedHealth Group Inc | $146,000 | +5.8% | 747 | +0.3% | 0.06% | +4.9% |
| RGT | Sell | Royce Global Value Trust Inc | $140,000 | +6.1% | 13,480 | -1.8% | 0.06% | +6.9% |
| RMRM | Sell | RMR Real Estate Income Fund | $128,000 | -93.5% | 6,625 | -92.7% | 0.06% | -93.5% |
| BCX | Sell | BlackRock Resources & Commodities Strategy Trust | $126,000 | 0.0% | 14,156 | -10.2% | 0.06% | +1.8% |
| MAV | Sell | Pioneer Municipal High Income Advantage Trust | $126,000 | -60.7% | 10,879 | -60.3% | 0.06% | -60.3% |
| HD | Buy | The Home Depot Inc | $125,000 | +7.8% | 762 | +0.5% | 0.06% | +7.8% |
| MCD | Sell | McDonald's Corp | $122,000 | +1.7% | 781 | -0.1% | 0.05% | +1.9% |
| EIA | Sell | Eaton Vance California Municipal Bond Fund II | $122,000 | -64.3% | 10,109 | -64.7% | 0.05% | -64.0% |
| AAPL | Buy | Apple Inc | $116,000 | +7.4% | 753 | +0.3% | 0.05% | +8.5% |
| IBM | Sell | International Business Machines Corp | $112,000 | -5.9% | 774 | -0.1% | 0.05% | -5.8% |
| NAD | Sell | Nuveen Quality Municipal Income Fund | $112,000 | -20.0% | 7,920 | -20.8% | 0.05% | -19.7% |
| AABA | New | Altaba Inc | $110,000 | – | 1,658 | – | 0.05% | – |
| MUI | Sell | BlackRock Muni Intermediate Duration Fund Inc | $108,000 | -20.0% | 7,590 | -20.8% | 0.05% | -18.6% |
| IF | Sell | The Aberdeen Indonesia Fund Inc | $107,000 | -17.1% | 13,727 | -19.3% | 0.05% | -17.5% |
| JNJ | Buy | Johnson & Johnson | $100,000 | -2.0% | 772 | +0.5% | 0.04% | -2.2% |
| SGF | Sell | Aberdeen Singapore Fund Inc | $99,000 | -26.1% | 8,525 | -29.7% | 0.04% | -25.4% |
| UTX | Sell | United Technologies Corp | $90,000 | -5.3% | 773 | -0.6% | 0.04% | -4.8% |
| NEA | Sell | Nuveen AMT-Free Quality Municipal Income Fund | $91,000 | -51.1% | 6,553 | -51.6% | 0.04% | -51.2% |
| CAT | Buy | Caterpillar Inc | $89,000 | +17.1% | 713 | +0.7% | 0.04% | +18.2% |
| TRV | Buy | The Travelers Cos Inc | $86,000 | -3.4% | 705 | +0.6% | 0.04% | -2.6% |
| PCI | New | PIMCO Dynamic Credit and Mortgage Income Fund | $86,000 | – | 3,733 | – | 0.04% | – |
| CVX | Buy | Chevron Corp | $85,000 | +13.3% | 727 | +0.8% | 0.04% | +12.1% |
| V | Buy | Visa Inc | $81,000 | +24.6% | 770 | +11.3% | 0.04% | +24.1% |
| JPM | Buy | JPMorgan Chase & Co | $79,000 | +5.3% | 824 | +0.5% | 0.04% | +6.1% |
| DIS | Buy | The Walt Disney Co | $76,000 | -6.2% | 769 | +0.5% | 0.03% | -5.6% |
| DMB | Sell | Dreyfus Municipal Bond Infrastructure Fund Inc | $77,000 | -75.6% | 5,776 | -76.0% | 0.03% | -75.4% |
| AXP | Buy | American Express Co | $72,000 | +7.5% | 796 | +0.4% | 0.03% | +10.3% |
| PG | Buy | The Procter & Gamble Co | $72,000 | +4.3% | 794 | +0.6% | 0.03% | +6.7% |
| DWDP | New | DowDuPont Inc | $70,000 | – | 1,018 | – | 0.03% | – |
| JTD | Sell | Nuveen Tax-Advantaged Dividend Growth Fund | $67,000 | -45.5% | 3,950 | -48.5% | 0.03% | -44.4% |
| XOM | Sell | Exxon Mobil Corp | $65,000 | 0.0% | 789 | -2.2% | 0.03% | 0.0% |
| ECC | Buy | Eagle Point Credit Co Inc | $64,000 | +1.6% | 3,109 | +1.9% | 0.03% | 0.0% |
| WMT | Buy | Wal-Mart Stores Inc | $64,000 | +3.2% | 822 | +0.5% | 0.03% | +3.7% |
| EMD | New | Western Asset Emerging Markets Debt Fund Inc | $64,000 | – | 4,048 | – | 0.03% | – |
| MSFT | Sell | Microsoft Corp | $61,000 | +7.0% | 816 | -1.8% | 0.03% | +8.0% |
| JCE | Sell | Nuveen Core Equity Alpha Fund | $61,000 | -14.1% | 3,935 | -18.2% | 0.03% | -12.9% |
| UTF | New | Cohen & Steers Infrastructure Fund Inc | $60,000 | – | 2,602 | – | 0.03% | – |
| SONY | Buy | Sony Corpsponsored adr | $58,000 | +11.5% | 1,558 | +13.7% | 0.03% | +13.0% |
| DSL | New | DoubleLine Income Solutions Fund | $52,000 | – | 2,462 | – | 0.02% | – |
| DEO | Buy | Diageo PLCspon adr new | $45,000 | +462.5% | 338 | +382.9% | 0.02% | +400.0% |
| LDF | Buy | The Latin American Discovery Fund Inc | $46,000 | +70.4% | 3,808 | +46.9% | 0.02% | +66.7% |
| KO | Buy | The Coca-Cola Co | $42,000 | +7.7% | 940 | +8.5% | 0.02% | +11.8% |
| VZ | Buy | Verizon Communications Inc | $44,000 | +15.8% | 890 | +4.1% | 0.02% | +11.8% |
| NVS | New | Novartis AGsponsored adr | $43,000 | – | 500 | – | 0.02% | – |
| FAM | New | First Trust Aberdeen Global Opportunity Income Fund | $40,000 | – | 3,396 | – | 0.02% | – |
| RCG | Sell | RENN Fund Inc | $40,000 | +8.1% | 28,272 | -0.4% | 0.02% | +12.5% |
| STO | Buy | Statoil ASAsponsored adr | $41,000 | +115.8% | 2,056 | +78.9% | 0.02% | +125.0% |
| NKE | Buy | NIKE Inccl b | $36,000 | -12.2% | 696 | +0.3% | 0.02% | -11.1% |
| FMY | Buy | First Trust Mortgage Income Fund | $36,000 | 0.0% | 2,536 | +0.0% | 0.02% | 0.0% |
| BBVA | Sell | Banco Bilbao Vizcaya Argentaria SAsponsored adr | $36,000 | -5.3% | 4,091 | -10.6% | 0.02% | -5.9% |
| QQQX | Buy | Nuveen NASDAQ 100 Dynamic Overwrite Fund | $33,000 | +3.1% | 1,502 | +1.6% | 0.02% | +7.1% |
| INTC | Sell | Intel Corp | $33,000 | +6.5% | 854 | -8.4% | 0.02% | +7.1% |
| PFE | Buy | Pfizer Inc | $35,000 | +6.1% | 990 | +0.7% | 0.02% | +7.1% |
| VALE | Sell | Vale SAadr | $30,000 | -14.3% | 2,997 | -25.9% | 0.01% | -13.3% |
| ASML | Buy | ASML Holding NV | $27,000 | +80.0% | 159 | +35.9% | 0.01% | +71.4% |
| GAB | Buy | Gabelli Equity Trust Inc | $28,000 | +3.7% | 4,404 | +2.3% | 0.01% | 0.0% |
| NTES | Buy | NetEase Incsponsored adr | $24,000 | +140.0% | 90 | +164.7% | 0.01% | +175.0% |
| CSCO | Buy | Cisco Systems Inc | $24,000 | +9.1% | 716 | +0.8% | 0.01% | +10.0% |
| SLB | New | Schlumberger Ltd | $26,000 | – | 370 | – | 0.01% | – |
| MN | New | Manning & Napier Inccl a | $24,000 | – | 6,000 | – | 0.01% | – |
| CLM | Buy | Cornerstone Strategic Value Fund Inc | $22,000 | +46.7% | 1,506 | +60.9% | 0.01% | +42.9% |
| GE | Sell | General Electric Co | $22,000 | -21.4% | 905 | -11.4% | 0.01% | -16.7% |
| FTI | Buy | TechnipFMC PLC | $19,000 | +72.7% | 669 | +60.8% | 0.01% | +60.0% |
| PHG | Sell | Koninklijke Philips NVny reg sh new | $17,000 | -48.5% | 407 | -56.1% | 0.01% | -50.0% |
| BDJ | Buy | BlackRock Enhanced Equity Dividend Trust | $13,000 | +8.3% | 1,389 | +1.6% | 0.01% | +20.0% |
| MA | Sell | Mastercard Inccl a | $13,000 | -55.2% | 92 | -60.9% | 0.01% | -53.8% |
| DDF | Buy | Delaware Investments Dividend & Income Fund Inc | $14,000 | +1300.0% | 1,278 | +2562.5% | 0.01% | – |
| MVC | Sell | MVC Capital Inc | $13,000 | -35.0% | 1,300 | -35.6% | 0.01% | -33.3% |
| ALXN | Sell | Alexion Pharmaceuticals Inc | $12,000 | -25.0% | 88 | -34.3% | 0.01% | -28.6% |
| BIDU | Sell | Baidu Incspon adr rep a | $12,000 | +33.3% | 47 | -4.1% | 0.01% | +25.0% |
| PM | Buy | Philip Morris International Inc | $10,000 | +25.0% | 89 | +34.8% | 0.00% | 0.0% |
| SPG | Sell | Simon Property Group Inc | $8,000 | 0.0% | 47 | -9.6% | 0.00% | 0.0% |
| HQH | New | Tekla Healthcare Investorssh ben int | $10,000 | – | 404 | – | 0.00% | – |
| SNP | Sell | China Petroleum & Chemical Corp | $8,000 | -11.1% | 110 | -3.5% | 0.00% | 0.0% |
| CCEP | Sell | Coca-Cola European Partners PLC | $9,000 | -10.0% | 207 | -12.7% | 0.00% | 0.0% |
| IR | Sell | Ingersoll-Rand PLC | $8,000 | -20.0% | 91 | -18.0% | 0.00% | 0.0% |
| RTN | New | Raytheon Co | $9,000 | – | 46 | – | 0.00% | – |
| USB | Sell | US Bancorp | $5,000 | -37.5% | 97 | -38.2% | 0.00% | -50.0% |
| IRL | New | The New Ireland Fund Inc | $5,000 | – | 340 | – | 0.00% | – |
| MET | Sell | MetLife Inc | $5,000 | -44.4% | 105 | -41.7% | 0.00% | -50.0% |
| BNS | New | The Bank of Nova Scotia | $5,000 | – | 81 | – | 0.00% | – |
| OXY | Sell | Occidental Petroleum Corp | $5,000 | -16.7% | 83 | -20.2% | 0.00% | -33.3% |
| HQL | Buy | Tekla Life Sciences Investorssh ben int | $1,000 | 0.0% | 69 | +1.5% | 0.00% | – |
| CVS | Exit | CVS Health Corp | $0 | – | -48 | – | -0.00% | – |
| INB | Exit | Cohen & Steers Global Income Builder Inc | $0 | – | -635 | – | -0.00% | – |
| BXMX | Exit | Nuveen S&P 500 Buy-Write Income Fund | $0 | – | -400 | – | -0.00% | – |
| EL | Exit | The Estee Lauder Cos Inccl a | $0 | – | -123 | – | -0.01% | – |
| AZN | Exit | AstraZeneca PLCsponsored adr | $0 | – | -352 | – | -0.01% | – |
| HTD | Exit | John Hancock Tax-Advantaged Dividend Income Fund | $0 | – | -656 | – | -0.01% | – |
| VRX | Exit | Valeant Pharmaceuticals International Inc | $0 | – | -1,300 | – | -0.01% | – |
| NUV | Exit | Nuveen Municipal Value Fund Inc | $0 | – | -2,500 | – | -0.01% | – |
| DMF | Exit | Dreyfus Municipal Income Inc | $0 | – | -3,441 | – | -0.01% | – |
| DD | Exit | EI du Pont de Nemours & Co | $0 | – | -808 | – | -0.03% | – |
| INSI | Exit | Insight Select Income Fund | $0 | – | -3,300 | – | -0.03% | – |
| MUC | Exit | BlackRock MuniHoldings California Quality Fund Inc | $0 | – | -5,000 | – | -0.03% | – |
| NZF | Exit | Nuveen Municipal Credit Income Fund | $0 | – | -6,352 | – | -0.04% | – |
| OXLC | Exit | Oxford Lane Capital Corp | $0 | – | -14,813 | – | -0.06% | – |
| CXH | Exit | MFS Investment Grade Municipal Trustsh ben int | $0 | – | -19,157 | – | -0.08% | – |
| FTF | Exit | Franklin Limited Duration Income Trust | $0 | – | -28,651 | – | -0.15% | – |
| SGBK | Exit | Stonegate Bank | $0 | – | -12,962 | – | -0.26% | – |
| JPC | Exit | Nuveen Preferred Income Opportunities Fund | $0 | – | -82,235 | – | -0.38% | – |
| DRA | Exit | Diversified Real Asset Income Fund | $0 | – | -72,321 | – | -0.55% | – |
| ACP | Exit | Avenue Income Credit Strategies Fund | $0 | – | -153,861 | – | -0.94% | – |
Q2 2017
Q4 2016
Q3 2016
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| BIF | Buy | Boulder Growth and Income Fund, Inc. | $13,732,000 | +7.3% | 1,638,672 | +4.1% | 7.31% | +7.8% |
| BST | Buy | BlackRock Science and Technology Trust | $9,530,000 | +19.4% | 511,548 | +5.7% | 5.08% | +19.9% |
| THQ | Sell | Tekla Healthcare Opportunities Fund | $8,658,000 | +0.7% | 495,314 | -4.2% | 4.61% | +1.1% |
| NHF | Buy | NexPoint Credit Strategies Fund | $8,105,000 | +9.3% | 364,595 | +4.8% | 4.32% | +9.8% |
| THW | Buy | Tekla World Healthcare Fund | $6,281,000 | +8.4% | 427,835 | +4.1% | 3.34% | +8.9% |
| ADX | Buy | Adams Diversified Equity Fund, Inc. | $5,772,000 | +6.3% | 438,936 | +2.4% | 3.07% | +6.7% |
| AOD | Buy | Alpine Total Dynamic Dividend Fund | $5,225,000 | +6.1% | 684,803 | +0.9% | 2.78% | +6.5% |
| TY | Buy | Tri-Continental Corp. | $4,870,000 | +4.8% | 227,771 | +0.7% | 2.59% | +5.3% |
| USA | Buy | Liberty All-Star Equity Fundsh ben int | $4,855,000 | +5.2% | 937,316 | +1.9% | 2.58% | +5.6% |
| PCI | Sell | PIMCO Dynamic Credit Income Fund | $4,403,000 | +4.1% | 215,935 | -2.3% | 2.34% | +4.6% |
| TTP | Sell | Tortoise Pipeline & Energy Fund | $3,950,000 | +11.0% | 186,495 | -2.5% | 2.10% | +11.4% |
| GAM | Buy | General American Investors Company, Inc. | $3,793,000 | +7.7% | 116,186 | +1.7% | 2.02% | +8.2% |
| CPA | Sell | Copa Holdings SAcl a | $3,741,000 | +41.6% | 42,550 | -15.8% | 1.99% | +42.2% |
| RCL | Buy | Royal Caribbean Cruises Ltd. | $3,104,000 | +25.2% | 41,413 | +12.2% | 1.65% | +25.8% |
| FIF | Sell | First Trust Energy Infrastructure Fund | $2,935,000 | -16.5% | 152,919 | -24.1% | 1.56% | -16.1% |
| AGD | Sell | Alpine Global Dynamic Dividend Fund | $2,918,000 | +1.4% | 335,383 | -1.4% | 1.55% | +1.8% |
| SMM | Sell | Salient Midstream & MLP Fundsh ben int | $2,757,000 | +8.2% | 217,396 | -4.3% | 1.47% | +8.7% |
| PEO | Sell | Adams Natural Resources Fund, Inc. | $2,623,000 | -15.9% | 131,615 | -15.1% | 1.40% | -15.5% |
| MINT | Buy | PIMCO Enhanced Short Maturity Active ETFenhan shrt ma ac | $2,566,000 | +0.5% | 25,300 | +0.3% | 1.37% | +1.0% |
| GRX | Sell | Gabelli Healthcare & Wellness (Rx) Trust | $2,531,000 | -15.3% | 243,149 | -13.1% | 1.35% | -14.9% |
| JEQ | Buy | Aberdeen Japan Equity Fund, Inc. | $2,527,000 | +10.9% | 307,474 | +3.5% | 1.35% | +11.4% |
| CET | Buy | Central Securities Corp. | $2,496,000 | +40.2% | 117,506 | +29.7% | 1.33% | +40.8% |
| JQC | Buy | Nuveen Credit Strategies Income Fund | $2,426,000 | +6.2% | 286,125 | +1.2% | 1.29% | +6.7% |
| RMRM | Sell | RMR Real Estate Income Fund | $2,199,000 | -23.7% | 101,090 | -24.9% | 1.17% | -23.4% |
| NCLH | Buy | Norwegian Cruise Line Holdings Ltd. | $2,090,000 | +18.0% | 55,443 | +24.8% | 1.11% | +18.5% |
| CCL | Buy | Carnival Corp.unit | $2,021,000 | +33.0% | 41,400 | +20.3% | 1.08% | +33.5% |
| FDEU | Buy | First Trust Dynamic Europe Equity Income Fund | $2,010,000 | +8.1% | 127,856 | +9.9% | 1.07% | +8.5% |
| RVT | Buy | Royce Value Trust Inc. | $1,924,000 | +8.0% | 151,987 | +0.4% | 1.02% | +8.5% |
| CX | Buy | Cemex, S.A.B. de C.V.spon adr new | $1,622,000 | +31.9% | 204,298 | +2.5% | 0.86% | +32.5% |
| RDSB | Buy | Royal Dutch Shell PLCspon adr b | $1,604,000 | -1.2% | 803 | +2.0% | 0.85% | -0.7% |
| GF | Sell | New Germany Fund, Inc. | $1,592,000 | +6.8% | 110,966 | -1.1% | 0.85% | +7.3% |
| UTF | Sell | Cohen & Steers Infrastructure Fund, Inc. | $1,493,000 | -32.3% | 69,303 | -32.7% | 0.80% | -32.0% |
| DRA | Sell | Diversified Real Asset Income Fund | $1,380,000 | +1.4% | 80,067 | -2.6% | 0.74% | +1.8% |
| JOF | Sell | Japan Smaller Capitalization Fund Inc. | $1,334,000 | +7.1% | 126,410 | -0.8% | 0.71% | +7.4% |
| SPE | Sell | Special Opportunities Fund, Inc. | $1,331,000 | +8.1% | 89,267 | -0.3% | 0.71% | +8.6% |
| FMX | Buy | Fomento Economico Mexicano, S.A.B. de C.V.spon adr units | $1,115,000 | +0.5% | 12,110 | +0.9% | 0.59% | +1.0% |
| ZTR | New | Virtus Global Dividend & Income Fund Inc. | $1,071,000 | – | 88,914 | – | 0.57% | – |
| NEE | Sell | NextEra Energy, Inc. | $1,020,000 | -16.3% | 8,337 | -10.7% | 0.54% | -15.9% |
| GGE | Sell | Guggenheim Enhanced Equity Strategy Fund | $986,000 | +1.1% | 61,488 | -2.8% | 0.52% | +1.5% |
| GDV | Sell | Gabelli Dividend & Income Trust | $939,000 | -56.8% | 48,861 | -57.0% | 0.50% | -56.6% |
| AIF | Buy | Apollo Tactical Income Fund Inc | $933,000 | +27.5% | 60,320 | +18.8% | 0.50% | +28.1% |
| KF | Sell | The Korea Fund, Inc. | $830,000 | -16.2% | 23,056 | -24.7% | 0.44% | -15.8% |
| TPZ | Sell | Tortoise Power and Energy Infrastructure Fund, Inc. | $815,000 | +13.7% | 36,487 | -0.5% | 0.43% | +14.2% |
| VAC | Sell | Marriott Vacations Worldwide Corp. | $788,000 | +5.6% | 10,745 | -1.3% | 0.42% | +6.3% |
| NFJ | Sell | AllianzGI NFJ Dividend, Interest & Premium Strategy Fund | $781,000 | +0.9% | 61,787 | -1.6% | 0.42% | +1.5% |
| MIE | Buy | Cohen & Steers MLP Income and Energy Opportunity Fund | $781,000 | +597.3% | 72,621 | +563.1% | 0.42% | +605.1% |
| SPEPRB | New | Special Opportunities Fund, Inc. Preferredpfd conv se b | $728,000 | – | 28,218 | – | 0.39% | – |
| ESRT | New | Empire State Realty Trust, Inc.cl a | $710,000 | – | 33,894 | – | 0.38% | – |
| FSD | Sell | First Trust High Income Long/Short Fund | $698,000 | +5.0% | 44,775 | -0.1% | 0.37% | +5.4% |
| ASG | Buy | Liberty All-Star Growth Fund, Inc. | $622,000 | +7.6% | 144,302 | +2.2% | 0.33% | +8.2% |
| CAF | Sell | Morgan Stanley China A Share Fund | $600,000 | -76.1% | 32,081 | -77.2% | 0.32% | -75.9% |
| JMM | Sell | Nuveen Multi-Market Income Fund, Inc. | $521,000 | -16.5% | 69,474 | -16.7% | 0.28% | -16.3% |
| NSC | Sell | Norfolk Southern Corp. | $461,000 | -5.7% | 4,750 | -17.4% | 0.24% | -5.4% |
| LCM | Sell | Advent/Claymore Enhanced Growth & Income Fund | $444,000 | -2.0% | 53,177 | -4.0% | 0.24% | -1.7% |
| SCD | Sell | LMP Capital and Income Fund, Inc. | $420,000 | -0.9% | 30,797 | -4.7% | 0.22% | -0.4% |
| GGT | Sell | Gabelli Multimedia Trust Inc. | $395,000 | -43.3% | 51,423 | -48.0% | 0.21% | -43.2% |
| DEX | Sell | Delaware Enhanced Global Dividend & Income Fund | $379,000 | +0.8% | 37,455 | -4.1% | 0.20% | +1.5% |
| MGU | Sell | Macquarie Global Infrastructure Total Return Fund Inc. | $355,000 | -30.0% | 16,273 | -31.3% | 0.19% | -29.7% |
| JGH | Sell | Nuveen Global High Income Fund | $345,000 | +4.9% | 21,985 | -4.0% | 0.18% | +5.7% |
| FUND | Sell | Sprott Focus Trust, Inc. | $346,000 | +4.2% | 50,116 | -3.1% | 0.18% | +4.5% |
| NML | New | Neuberger Berman MLP Income Fund Inc. | $330,000 | – | 35,596 | – | 0.18% | – |
| NZF | Sell | Nuveen Dividend Advantage Municipal Fund 3 | $319,000 | -9.9% | 20,284 | -8.7% | 0.17% | -9.6% |
| FOF | Sell | Cohen & Steers Closed-End Opportunity Fund, Inc. | $285,000 | -83.4% | 23,218 | -84.3% | 0.15% | -83.3% |
| BIT | Sell | BlackRock Multi-Sector Income Trust | $266,000 | -4.0% | 15,591 | -7.0% | 0.14% | -3.4% |
| TDF | Sell | Templeton Dragon Fund, Inc. | $244,000 | -12.5% | 13,842 | -14.0% | 0.13% | -12.2% |
| NVG | Sell | Nuveen Dividend Advantage Municipal Income Fund | $241,000 | -45.0% | 14,977 | -44.4% | 0.13% | -44.8% |
| TWN | Sell | Taiwan Fund, Inc. | $236,000 | -55.8% | 13,644 | -61.0% | 0.13% | -55.5% |
| MXE | Sell | Mexico Equity and Income Fund, Inc. | $229,000 | -6.5% | 22,117 | -1.6% | 0.12% | -6.2% |
| MXF | Buy | The Mexico Fund, Inc. | $213,000 | +66.4% | 13,345 | +74.8% | 0.11% | +66.2% |
| SZC | Sell | Cushing Renaissance Fund | $213,000 | -0.9% | 12,905 | -5.8% | 0.11% | -0.9% |
| AFB | Sell | AllianceBernstein National Municipal Income Fund | $211,000 | -47.0% | 14,355 | -45.5% | 0.11% | -46.9% |
| MMM | Buy | 3M Company | $171,000 | +0.6% | 972 | +0.4% | 0.09% | +1.1% |
| SGF | Sell | Aberdeen Singapore Fund, Inc. | $168,000 | -26.3% | 17,917 | -28.9% | 0.09% | -26.4% |
| MRK | Buy | Merck & Co. Inc. | $168,000 | +8.4% | 2,691 | +0.2% | 0.09% | +8.5% |
| TTF | Sell | Thai Fund, Inc. | $166,000 | 0.0% | 20,286 | -3.6% | 0.09% | 0.0% |
| SPXX | Sell | Nuveen S&P 500 Dynamic Overwrite Fund | $158,000 | -30.7% | 11,471 | -32.0% | 0.08% | -30.6% |
| PHF | Sell | Pacholder High Yield Fund, Inc. | $153,000 | -1.9% | 21,390 | -3.1% | 0.08% | -2.4% |
| NAD | New | Nuveen Dividend Advantage Municipal Fund | $152,000 | – | 10,085 | – | 0.08% | – |
| MUI | Sell | BlackRock Muni Intermediate Duration Fund, Inc. | $136,000 | -44.3% | 9,000 | -43.8% | 0.07% | -44.2% |
| JPW | Sell | Nuveen Flexible Investment Income Fund | $129,000 | -7.9% | 7,481 | -15.8% | 0.07% | -6.8% |
| SRV | Sell | Cushing MLP Total Return Fund | $129,000 | -3.7% | 9,899 | -9.2% | 0.07% | -2.8% |
| HD | Buy | The Home Depot, Inc. | $125,000 | +0.8% | 972 | +0.4% | 0.07% | +1.5% |
| ZF | Sell | Zweig Fund, Inc. | $126,000 | -10.6% | 9,711 | -13.4% | 0.07% | -10.7% |
| RGT | Sell | Royce Global Value Trust, Inc. | $124,000 | +6.9% | 15,208 | -0.7% | 0.07% | +8.2% |
| MCD | Buy | McDonald's Corp. | $124,000 | -3.1% | 1,072 | +0.6% | 0.07% | -2.9% |
| JNJ | Buy | Johnson & Johnson | $119,000 | -2.5% | 1,007 | +0.5% | 0.06% | -3.1% |
| EQS | Sell | Equus Total Return, Inc. | $113,000 | +3.7% | 60,735 | -0.7% | 0.06% | +3.4% |
| GS | Buy | The Goldman Sachs Group, Inc. | $111,000 | +8.8% | 691 | +0.3% | 0.06% | +9.3% |
| IBM | Buy | International Business Machines Corporation | $111,000 | +5.7% | 698 | +0.9% | 0.06% | +5.4% |
| UTX | Buy | United Technologies Corporation | $109,000 | -0.9% | 1,075 | +0.4% | 0.06% | 0.0% |
| AKP | Sell | Alliance California Municipal Income Fund, Inc. | $108,000 | -75.9% | 7,021 | -75.8% | 0.06% | -75.6% |
| IRL | Sell | New Ireland Fund, Inc. | $106,000 | -3.6% | 8,688 | -6.3% | 0.06% | -3.4% |
| CXH | Sell | MFS Investment Grade Municipal Trustsh ben int | $104,000 | -52.9% | 10,000 | -52.2% | 0.06% | -53.0% |
| PG | Buy | The Procter & Gamble Company | $101,000 | +6.3% | 1,124 | +0.4% | 0.05% | +8.0% |
| DIS | Buy | The Walt Disney Company | $98,000 | -4.9% | 1,057 | +0.5% | 0.05% | -5.5% |
| UNH | Buy | UnitedHealth Group Incorporated | $97,000 | 0.0% | 692 | +0.4% | 0.05% | +2.0% |
| JPM | Buy | JPMorgan Chase & Co. | $97,000 | +7.8% | 1,450 | +0.3% | 0.05% | +8.3% |
| XOM | Buy | Exxon Mobil Corporation | $97,000 | -6.7% | 1,112 | +0.5% | 0.05% | -5.5% |
| IF | Sell | Aberdeen Indonesia Fund, Inc. | $93,000 | -5.1% | 14,020 | -12.0% | 0.05% | -3.8% |
| BA | Buy | The Boeing Company | $92,000 | +2.2% | 697 | +0.9% | 0.05% | +2.1% |
| BMY | New | Bristol-Myers Squibb Company | $92,000 | – | 1,700 | – | 0.05% | – |
| WMT | Buy | Wal-Mart Stores Inc. | $91,000 | -1.1% | 1,266 | +0.4% | 0.05% | -2.0% |
| ACP | Sell | Avenue Income Credit Strategies Fund | $89,000 | +7.2% | 6,864 | -1.4% | 0.05% | +6.8% |
| DD | Buy | E.I. du Pont de Nemours and Company | $84,000 | +3.7% | 1,249 | +0.3% | 0.04% | +4.7% |
| MSFT | Buy | Microsoft Corporation | $78,000 | +13.0% | 1,353 | +0.4% | 0.04% | +13.5% |
| AAPL | Buy | Apple Inc. | $78,000 | +18.2% | 689 | +0.4% | 0.04% | +20.0% |
| VZ | Buy | Verizon Communications Inc. | $74,000 | -6.3% | 1,419 | +0.5% | 0.04% | -7.1% |
| EEA | Sell | European Equity Fund, Inc. | $74,000 | -33.9% | 9,358 | -35.2% | 0.04% | -33.9% |
| INTC | Buy | Intel Corporation | $71,000 | +14.5% | 1,886 | +0.2% | 0.04% | +15.2% |
| CVX | Buy | Chevron Corporation | $72,000 | -1.4% | 700 | +1.0% | 0.04% | -2.6% |
| GE | Buy | General Electric Company | $70,000 | -5.4% | 2,364 | +0.2% | 0.04% | -5.1% |
| PFE | Buy | Pfizer Inc. | $67,000 | -4.3% | 1,985 | +0.3% | 0.04% | -2.7% |
| KO | Buy | The Coca-Cola Company | $65,000 | -5.8% | 1,527 | +0.3% | 0.04% | -5.4% |
| PFN | Sell | PIMCO Income Strategy Fund II | $65,000 | -44.0% | 6,823 | -45.7% | 0.04% | -42.6% |
| INF | Sell | Brookfield Global Listed Infrastructure Income Fund | $63,000 | -71.4% | 4,561 | -72.7% | 0.03% | -70.9% |
| JCE | Buy | Nuveen Core Equity Alpha Fund | $64,000 | 0.0% | 4,693 | +0.8% | 0.03% | 0.0% |
| CAT | Buy | Caterpillar Inc. | $61,000 | +17.3% | 692 | +0.9% | 0.03% | +14.3% |
| CTR | Sell | ClearBridge Energy MLP Total Return Fund Inc. | $57,000 | -78.2% | 4,326 | -78.8% | 0.03% | -78.3% |
| V | Buy | Visa Inc. | $57,000 | +11.8% | 688 | +0.1% | 0.03% | +11.1% |
| ING | Sell | ING Groep N.V.sponsored adr | $55,000 | +7.8% | 4,473 | -8.7% | 0.03% | +7.4% |
| VOD | Buy | Vodafone Group PLCspnsr adr | $55,000 | +3.8% | 1,888 | +10.8% | 0.03% | +3.6% |
| ABE | Sell | Aberdeen Emerging Markets Smaller Company Opportunities Fund, Inc. | $52,000 | -13.3% | 4,147 | -16.5% | 0.03% | -12.5% |
| NEA | New | Nuveen AMT-Free Quality Municipal Income Fund | $52,000 | – | 3,553 | – | 0.03% | – |
| MET | Buy | MetLife, Inc. | $53,000 | +29.3% | 1,183 | +16.0% | 0.03% | +27.3% |
| IBN | Buy | ICIC Bank Ltd.adr | $46,000 | +119.0% | 6,123 | +108.1% | 0.02% | +118.2% |
| RCG | Buy | RENN Global Entrepreneurs Fund, Inc. | $46,000 | +666.7% | 35,303 | +550.7% | 0.02% | +700.0% |
| PHG | Buy | Koninklijke Philips N.V.ny reg sh new | $46,000 | +142.1% | 1,566 | +107.7% | 0.02% | +140.0% |
| AXP | Buy | American Express Company | $44,000 | +4.8% | 689 | +0.4% | 0.02% | +4.5% |
| TEVA | Sell | Teva Pharmaceutical Industries Limitedadr | $43,000 | -21.8% | 945 | -13.6% | 0.02% | -20.7% |
| SBSAA | Buy | Spanish Broadcasting System Inc.cl a new | $42,000 | +16.7% | 10,530 | +5.0% | 0.02% | +15.8% |
| PPT | Sell | Putnam Premier Income Trustsh ben int | $41,000 | -80.8% | 8,382 | -81.5% | 0.02% | -80.5% |
| AEF | Sell | Aberdeen Chile Fund Inc. | $35,000 | -14.6% | 5,560 | -14.5% | 0.02% | -13.6% |
| CVS | Buy | CVS Health Corporation | $35,000 | +16.7% | 389 | +24.3% | 0.02% | +18.8% |
| NKE | Buy | Nike, Inc.cl b | $36,000 | -5.3% | 687 | +0.1% | 0.02% | -5.0% |
| ASML | Buy | ASML Holding NV | $35,000 | +12.9% | 317 | +0.3% | 0.02% | +18.8% |
| BCV | Sell | Bancroft Fund Ltd. | $36,000 | -93.0% | 1,703 | -93.8% | 0.02% | -93.0% |
| CEE | Sell | Central Europe Russia and Turkey Fund | $34,000 | -8.1% | 1,776 | -12.4% | 0.02% | -10.0% |
| SNP | Sell | China Petroleum & Chemical Corp. | $34,000 | -2.9% | 466 | -4.7% | 0.02% | -5.3% |
| GWPH | Sell | GW Pharmaceuticals PLCads | $34,000 | +41.7% | 253 | -1.9% | 0.02% | +38.5% |
| NTES | New | NetEase, Inc.sponsored adr | $33,000 | – | 135 | – | 0.02% | – |
| LDF | Buy | Latin American Discovery Fund Inc. | $34,000 | +88.9% | 3,393 | +69.6% | 0.02% | +80.0% |
| BIDU | Sell | Baidu, Inc.spon adr rep a | $32,000 | 0.0% | 176 | -9.3% | 0.02% | 0.0% |
| CCEP | New | Coca-Cola European Partners PLC | $31,000 | – | 774 | – | 0.02% | – |
| BTT | Sell | BlackRock Municipal 2030 Target Term Trust | $30,000 | -74.4% | 1,241 | -74.4% | 0.02% | -74.2% |
| BOI | Sell | Brookfield Mortgage Opportunity Income Fund | $28,000 | -37.8% | 1,835 | -38.9% | 0.02% | -37.5% |
| VALE | New | Vale S.A.adr | $28,000 | – | 5,052 | – | 0.02% | – |
| BAP | Sell | Credicorp Ltd. | $28,000 | -36.4% | 187 | -34.4% | 0.02% | -34.8% |
| SONY | Sell | Sony Corporationadr new | $27,000 | -6.9% | 807 | -18.6% | 0.01% | -6.7% |
| DDF | New | Delaware Investments Dividend and Income Fund, Inc. | $26,000 | – | 2,624 | – | 0.01% | – |
| QQQX | Buy | Nuveen NASDAQ 100 Dynamic Overwrite Fund | $27,000 | +8.0% | 1,401 | +2.0% | 0.01% | +7.7% |
| IR | New | Ingersoll-Rand PLC | $26,000 | – | 382 | – | 0.01% | – |
| SHPG | Sell | Shire PLCsponsored adr | $27,000 | -47.1% | 140 | -49.1% | 0.01% | -48.1% |
| GIL | New | Gildan Activewear Inc. | $24,000 | – | 851 | – | 0.01% | – |
| JDD | Sell | Nuveen Diversified Dividend and Income Fund | $25,000 | -60.3% | 2,114 | -60.9% | 0.01% | -60.6% |
| CXE | Sell | MFS High Income Municipal Trustsh ben int | $25,000 | -83.2% | 4,687 | -82.7% | 0.01% | -83.5% |
| TRIP | Buy | TripAdvisor Inc. | $24,000 | +9.1% | 385 | +11.9% | 0.01% | +8.3% |
| TKF | Sell | Turkish Investment Fund, Inc. | $24,000 | -25.0% | 2,944 | -21.0% | 0.01% | -23.5% |
| ITUB | New | Itau Unibanco Holding S.A.spon adr rep pfd | $24,000 | – | 2,153 | – | 0.01% | – |
| BBVA | New | Banco Bilbao Vizcaya Argentaria, S.A.sponsored adr | $24,000 | – | 4,079 | – | 0.01% | – |
| AZN | Sell | AstraZeneca PLCsponsored adr | $23,000 | -58.9% | 690 | -63.1% | 0.01% | -60.0% |
| GAB | Buy | Gabelli Equity Trust, Inc. | $23,000 | +9.5% | 3,991 | +2.7% | 0.01% | +9.1% |
| CSCO | Buy | Cisco Systems, Inc. | $22,000 | +10.0% | 691 | +0.7% | 0.01% | +9.1% |
| EL | Buy | The Estee Lauder Companies Inc.cl a | $19,000 | +46.2% | 216 | +54.3% | 0.01% | +42.9% |
| LBTYA | New | Liberty Global PLC | $19,000 | – | 545 | – | 0.01% | – |
| EXG | Sell | Eaton Vance Tax-Managed Global Diversified Equity Income Fund | $11,000 | -96.4% | 1,300 | -96.3% | 0.01% | -96.3% |
| ALXN | Sell | Alexion Pharmaceuticals, Inc. | $12,000 | -20.0% | 98 | -23.4% | 0.01% | -25.0% |
| CLM | Buy | Cornerstone Strategic Value Fund Inc. | $12,000 | -7.7% | 809 | +5.2% | 0.01% | -14.3% |
| GDL | Sell | GDL Fund | $10,000 | -83.1% | 1,000 | -83.2% | 0.01% | -83.9% |
| BDJ | Buy | BlackRock Enhanced Equity Dividend Trust | $10,000 | 0.0% | 1,300 | +1.8% | 0.01% | 0.0% |
| HQH | Sell | Tekla Healthcare Investorssh ben int | $7,000 | -84.4% | 288 | -85.1% | 0.00% | -83.3% |
| KST | Sell | Deutsche Strategic Income Trust | $5,000 | -76.2% | 400 | -78.4% | 0.00% | -72.7% |
| NDP | Sell | Tortoise Energy Independence Fund, Inc. | $3,000 | -99.7% | 180 | -99.7% | 0.00% | -99.6% |
| DMB | Sell | Dreyfus Municipal Bond Infrastructure Fund, Inc. | $1,000 | -99.1% | 37 | -99.5% | 0.00% | -98.3% |
| HQL | Buy | Tekla Life Sciences Investorssh ben int | $1,000 | 0.0% | 65 | +3.2% | 0.00% | 0.0% |
| E103PS | Exit | Western Asset Emerging Markets Income Fund Inc. | $0 | – | -1,200 | – | -0.01% | – |
| FBR | Exit | Fibria Celulose SA | $0 | – | -2,263 | – | -0.01% | – |
| BCS | Exit | Barclays PLCadr | $0 | – | -2,384 | – | -0.01% | – |
| VIV | Exit | Telefonica Brasil SAsponsored adr | $0 | – | -1,489 | – | -0.01% | – |
| TM | Exit | Toyota Motor Corporation | $0 | – | -199 | – | -0.01% | – |
| TSM | Exit | Taiwan Semiconductor Manufacturing Company Limitedsponsored adr | $0 | – | -817 | – | -0.01% | – |
| SBW | Exit | Western Asset Worldwide Income Fund Inc. | $0 | – | -2,196 | – | -0.01% | – |
| NXPI | Exit | NXP Semiconductors NV | $0 | – | -302 | – | -0.01% | – |
| NMY | Exit | Nuveen Maryland Premium Income Municipal Fund | $0 | – | -2,000 | – | -0.02% | – |
| IQI | Exit | Invesco Quality Municipal Income Trust | $0 | – | -2,000 | – | -0.02% | – |
| ISD | Exit | Prudential Short Duration High Yield Fund, Inc. | $0 | – | -1,891 | – | -0.02% | – |
| FDX | Exit | FedEx Corporation | $0 | – | -200 | – | -0.02% | – |
| UN | Exit | Unilever NV | $0 | – | -790 | – | -0.02% | – |
| NRO | Exit | Neuberger Berman Real Estate Securities Income Fund | $0 | – | -7,218 | – | -0.02% | – |
| BTA | Exit | BlackRock Long-Term Municipal Advantage Trust | $0 | – | -4,206 | – | -0.03% | – |
| XIV | Exit | Velocity Shares Daily Inverse VIXinvrs vix sterm | $0 | – | -2,500 | – | -0.03% | – |
| VKQ | Exit | Invesco Municipal Trust | $0 | – | -5,000 | – | -0.04% | – |
| EMO | Exit | ClearBridge Energy MLP Opportunity Fund Inc. | $0 | – | -6,306 | – | -0.04% | – |
| NRK | Exit | Nuveen New York AMT-Free Municipal Income Fund | $0 | – | -5,700 | – | -0.04% | – |
| JFC | Exit | JPMorgan China Region Fund, Inc. | $0 | – | -6,567 | – | -0.05% | – |
| ETX | Exit | Eaton Vance Municipal Income 2028 Term Trust | $0 | – | -5,186 | – | -0.06% | – |
| NMO | Exit | Nuveen Municipal Market Opportunity Fund, Inc. | $0 | – | -8,685 | – | -0.07% | – |
| NTC | Exit | Nuveen Connecticut Premium Income Municipal Fund | $0 | – | -10,400 | – | -0.08% | – |
| NQS | Exit | Nuveen Select Quality Municipal Fund, Inc. | $0 | – | -10,890 | – | -0.09% | – |
| PFL | Exit | PIMCO Income Strategy Fund | $0 | – | -17,520 | – | -0.10% | – |
| TYG | Exit | Tortoise Energy Infrastructure | $0 | – | -7,780 | – | -0.13% | – |
| GPM | Exit | Guggenheim Enhanced Equity Income Fund | $0 | – | -93,259 | – | -0.37% | – |
| NTG | Exit | Tortoise MLP Fund, Inc. | $0 | – | -52,728 | – | -0.52% | – |
| ZTR | Exit | Zweig Total Return Fund Inc. | $0 | – | -92,464 | – | -0.59% | – |
Q2 2016
Q4 2015
Q3 2015
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| OXLCO | Buy | Oxford Lane Capital, 7.50% Pfd Series 2023preferred stock | $18,752,000 | +5.1% | 777,784 | +4.8% | 8.14% | +8.6% |
| OXLCN | Buy | Oxford Lane Capital, 8.125% Pfd Series 2024preferred stock | $11,655,000 | +5.8% | 462,849 | +5.4% | 5.06% | +9.4% |
| BIF | Buy | Boulder Growth and Income Fund, Inc. | $11,615,000 | -10.3% | 1,559,113 | +1.6% | 5.04% | -7.3% |
| THQ | Buy | Tekla Healthcare Opportunities Fund | $10,015,000 | -16.4% | 614,424 | +1.2% | 4.35% | -13.6% |
| BST | Buy | BlackRock Science and Technology Trust | $7,477,000 | -1.9% | 471,704 | +7.9% | 3.25% | +1.4% |
| PCI | Buy | PIMCO Dynamic Credit Income Fund | $6,695,000 | +4.7% | 366,429 | +13.8% | 2.91% | +8.2% |
| ADX | Buy | Adams Diversified Equity Fund, Inc. | $6,022,000 | -2.4% | 472,297 | +6.6% | 2.62% | +0.9% |
| AOD | Buy | Alpine Total Dynamic Dividend Fund | $5,282,000 | -3.9% | 704,323 | +10.0% | 2.29% | -0.6% |
| TY | Buy | Tri-Continental Corp. | $4,981,000 | +7.6% | 255,411 | +16.9% | 2.16% | +11.3% |
| PDI | Buy | PIMCO Dynamic Income Fund | $4,646,000 | +27.7% | 161,319 | +27.7% | 2.02% | +32.1% |
| USA | Buy | Liberty All-Star Equity Fund | $4,255,000 | -1.7% | 837,690 | +8.6% | 1.85% | +1.7% |
| MINT | Buy | PIMCO Enchanced Short Maturity Active ETF | $3,963,000 | +89.2% | 39,336 | +89.8% | 1.72% | +95.6% |
| TTP | Buy | Tortoise Pipeline & Energy Fund | $3,842,000 | +11.7% | 214,256 | +59.4% | 1.67% | +15.4% |
| PEO | Buy | Adams Natural Resources Fund, Inc. | $3,738,000 | -11.7% | 205,851 | +8.0% | 1.62% | -8.7% |
| MVCBCL | Buy | MVC Capital 7.25% Preferredpreferred stock | $3,475,000 | +19.4% | 147,289 | +26.1% | 1.51% | +23.5% |
| GAM | Buy | General American Investors Company, Inc. | $3,458,000 | -9.8% | 111,624 | +1.4% | 1.50% | -6.7% |
| SMM | Buy | Salient Midstream & MLP Fund | $3,086,000 | -7.7% | 220,595 | +33.1% | 1.34% | -4.6% |
| DCA | Buy | Virtus Total Return Fund | $3,065,000 | -10.0% | 810,751 | +3.6% | 1.33% | -6.9% |
| CAF | Buy | Morgan Stanley China A Share Fund | $3,060,000 | +621.7% | 136,343 | +990.7% | 1.33% | +646.6% |
| JQC | Buy | Nuveen Credit Strategies Income Fund | $2,933,000 | +1.2% | 367,524 | +8.0% | 1.27% | +4.7% |
| GRX | Buy | Gabelli Healthcare & Wellness (Rx) Trust | $2,916,000 | -12.0% | 300,934 | +2.2% | 1.27% | -9.0% |
| NHF | New | NexPoint Credit Strategies Fund | $2,901,000 | – | 507,103 | – | 1.26% | – |
| AGD | Buy | Alpine Global Dynamic Dividend Fund | $2,685,000 | -12.6% | 314,089 | +0.5% | 1.17% | -9.7% |
| DSL | Buy | DoubleLine Income Solutions Fund | $2,577,000 | -8.9% | 149,041 | +2.5% | 1.12% | -5.9% |
| RMRM | Sell | RMR Real Estate Income Fund | $2,498,000 | -3.1% | 138,294 | -0.6% | 1.08% | +0.2% |
| LEN | Buy | Lennar Corp. | $2,382,000 | +4.9% | 49,500 | +11.2% | 1.03% | +8.5% |
| GDV | Buy | Gabelli Dividend & Income Trust | $2,146,000 | -0.4% | 122,229 | +17.0% | 0.93% | +3.0% |
| CPA | Buy | Copa Holdings SA | $2,036,000 | -44.6% | 48,550 | +9.1% | 0.88% | -42.7% |
| JEQ | Sell | Aberdeen Japan Equity Fund, Inc. | $2,023,000 | -17.2% | 294,864 | -0.3% | 0.88% | -14.4% |
| HQH | Buy | Tekla Healthcare Investors | $1,818,000 | +60500.0% | 65,883 | +67127.6% | 0.79% | +78800.0% |
| UTF | Sell | Cohen & Steers Infrastructure Fund, Inc. | $1,817,000 | -11.2% | 95,289 | -2.2% | 0.79% | -8.3% |
| RVT | Buy | Royce Value Trust Inc. | $1,808,000 | -11.6% | 157,186 | +5.9% | 0.78% | -8.6% |
| FSD | Buy | First Trust High Income Long/Short Fund | $1,766,000 | -2.7% | 125,314 | +6.5% | 0.77% | +0.7% |
| DRA | Sell | Diversified Real Asset Income Fund | $1,673,000 | -7.4% | 104,029 | -0.6% | 0.73% | -4.3% |
| ZTR | Buy | Zweig Total Return Fund Inc. | $1,561,000 | -10.3% | 136,670 | +0.2% | 0.68% | -7.3% |
| FIF | Buy | First Trust Energy Infrastructure Fund | $1,478,000 | +806.7% | 92,455 | +1052.7% | 0.64% | +844.1% |
| THW | New | Tekla World Healthcare Fund | $1,455,000 | – | 101,183 | – | 0.63% | – |
| GF | Buy | New Germany Fund, Inc. | $1,422,000 | +2.7% | 98,685 | +7.4% | 0.62% | +6.2% |
| BTZ | Sell | BlackRock Credit Allocation Income Trust | $1,332,000 | -3.4% | 109,443 | -0.7% | 0.58% | -0.2% |
| JOF | Sell | Japan Smaller Capitalization Fund Inc. | $1,325,000 | -7.5% | 130,294 | -1.9% | 0.58% | -4.3% |
| NEE | Buy | NextEra Energy, Inc. | $1,298,000 | +0.6% | 13,307 | +1.2% | 0.56% | +4.1% |
| AIF | Buy | Apollo Tactical Income Fund Inc | $1,253,000 | +5.1% | 86,448 | +13.5% | 0.54% | +8.6% |
| PCF | Sell | Putnam High Income Securities Fund | $1,235,000 | -12.1% | 175,234 | -3.2% | 0.54% | -9.2% |
| KF | Sell | The Korea Fund, Inc. | $1,099,000 | -18.1% | 30,935 | -6.5% | 0.48% | -15.4% |
| FMX | Buy | Fomento Economico Mexicano, S.A.B. de C.V. | $1,071,000 | +9.3% | 12,000 | +9.1% | 0.46% | +12.9% |
| GGE | Buy | Guggenheim Enhanced Equity Strategy Fund | $1,057,000 | +13.5% | 70,973 | +24.8% | 0.46% | +17.4% |
| FAX | Sell | Aberdeen Asia-Pacific Income Fund, Inc. | $1,042,000 | -9.5% | 231,502 | -1.0% | 0.45% | -6.6% |
| JMM | Buy | Nuveen Multi-Market Income Fund, Inc. | $865,000 | -1.5% | 124,459 | +1.0% | 0.38% | +1.9% |
| PPT | Sell | Putnam Premier Income Trust | $861,000 | -3.8% | 176,047 | -0.1% | 0.37% | -0.5% |
| CET | Buy | Central Securities Corp. | $832,000 | -5.6% | 42,117 | +2.0% | 0.36% | -2.4% |
| EVT | Buy | Eaton Vance Tax-Advantaged Dividend Income Fund | $773,000 | +48.1% | 42,074 | +58.5% | 0.34% | +53.4% |
| TV | Sell | Grupo Televisa, S.A.B. | $757,000 | -33.2% | 29,093 | -0.4% | 0.33% | -30.9% |
| PFL | Buy | PIMCO Income Strategy Fund | $754,000 | +220.9% | 77,919 | +254.2% | 0.33% | +230.3% |
| AVHOQ | Buy | Avianca Holdings S.A. | $748,000 | -30.3% | 157,794 | +50.6% | 0.32% | -27.9% |
| FMY | Sell | First Trust Mortgage Income Fund | $744,000 | -11.4% | 52,108 | -13.4% | 0.32% | -8.5% |
| KMF | Sell | Kayne Anderson Midstream/Energy Fund | $728,000 | -79.6% | 38,547 | -70.6% | 0.32% | -78.9% |
| FPL | Buy | First Trust New Opportunities MLP & Energy Fund | $694,000 | +11.9% | 55,853 | +39.5% | 0.30% | +15.8% |
| RFI | Sell | Cohen & Steers Total Return Realty Fund | $669,000 | -2.6% | 56,274 | -0.5% | 0.29% | +0.7% |
| ASG | Sell | Liberty All-Star Growth Fund, Inc. | $669,000 | -10.2% | 147,296 | -0.6% | 0.29% | -7.0% |
| GLO | Sell | Clough Global Opportunities Fund | $663,000 | -53.9% | 61,990 | -48.5% | 0.29% | -52.3% |
| BGB | Sell | Blackstone/GSO Strategic Credit Fund | $644,000 | -10.8% | 45,350 | -2.5% | 0.28% | -7.6% |
| JHP | Buy | Nuveen Quality Preferred Income Fund 3 | $618,000 | -0.2% | 77,064 | +0.1% | 0.27% | +3.1% |
| GPM | New | Guggenheim Enhanced Equity Income Fund | $586,000 | – | 81,412 | – | 0.25% | – |
| SRV | New | Cushing MLP Total Return Fund | $576,000 | – | 48,951 | – | 0.25% | – |
| LCM | Sell | Advent/Claymore Enhanced Growth & Income Fund | $511,000 | -9.9% | 62,278 | -2.7% | 0.22% | -6.7% |
| EWW | Buy | iShares MSCI Mexico Capped | $505,000 | +47.2% | 9,800 | +63.3% | 0.22% | +52.1% |
| TWN | Sell | Taiwan Fund, Inc. | $500,000 | -19.0% | 34,571 | -0.3% | 0.22% | -16.2% |
| QQQX | Buy | Nasdaq Premium Income & Growth Fund | $446,000 | +1839.1% | 25,887 | +1933.5% | 0.19% | +1840.0% |
| MGU | Sell | Macquarie Global Infrastructure Total Return Fund Inc. | $428,000 | -19.7% | 22,222 | -2.8% | 0.19% | -17.0% |
| SCD | Sell | LMP Capital and Income Fund, Inc. | $411,000 | -19.7% | 33,771 | -0.4% | 0.18% | -17.2% |
| BIT | Sell | BlackRock Multi-Sector Income Trust | $401,000 | -5.6% | 25,510 | -1.8% | 0.17% | -2.2% |
| HTR | Buy | Brookfield Total Return Fund | $399,000 | +6.4% | 18,693 | +10.6% | 0.17% | +10.2% |
| DEX | Sell | Delaware Enhanced Global Dividend & Income Fund | $399,000 | -15.8% | 43,107 | -3.1% | 0.17% | -13.1% |
| NTG | Sell | Tortoise MLP Fund, Inc. | $388,000 | -23.5% | 21,178 | -11.2% | 0.17% | -21.1% |
| AKP | New | Alliance California Municipal Income Fund, Inc. | $354,000 | – | 25,859 | – | 0.15% | – |
| JGH | Sell | Nuveen Global High Income Fund | $348,000 | -14.7% | 24,149 | -2.8% | 0.15% | -11.7% |
| CLM | Buy | Cornerstone Strategic Value Fund Inc. | $330,000 | +2650.0% | 20,974 | +3372.5% | 0.14% | +2760.0% |
| PCN | Buy | PIMCO Corporate & Income Strategy Fund | $325,000 | +38.9% | 24,748 | +47.8% | 0.14% | +43.9% |
| PFN | Buy | PIMCO Income Strategy Fund II | $325,000 | +190.2% | 36,740 | +216.5% | 0.14% | +200.0% |
| CTR | New | ClearBridge Energy MLP Total Return Fund Inc. | $315,000 | – | 22,892 | – | 0.14% | – |
| FUND | Buy | Sprott Focus Trust, Inc. | $302,000 | -15.4% | 51,112 | +1.2% | 0.13% | -12.7% |
| BXMX | New | Nuveen S&P 500 Buy-Write Income Fund | $291,000 | – | 24,065 | – | 0.13% | – |
| INF | Sell | Brookfield Global Listed Infrastructure Income Fund | $265,000 | -26.6% | 21,131 | -4.0% | 0.12% | -24.3% |
| ZF | Buy | Zweig Fund, Inc. | $223,000 | -10.8% | 17,345 | +0.1% | 0.10% | -7.6% |
| AFB | New | AllianceBernstein National Municipal Income Fund | $223,000 | – | 16,789 | – | 0.10% | – |
| SZC | Sell | Cushing Renaissance Fund | $209,000 | -29.6% | 14,387 | -6.5% | 0.09% | -27.2% |
| ADM | New | Archer Daniels Midland Company | $207,000 | – | 5,000 | – | 0.09% | – |
| VAC | New | Marriott Vacations Worldwide Corp. | $204,000 | – | 3,000 | – | 0.09% | – |
| SGF | Sell | Aberdeen Singapore Fund, Inc. | $205,000 | -30.5% | 23,767 | -11.0% | 0.09% | -28.2% |
| MHI | Buy | Pioneer Municipal High Income Trust | $194,000 | +23.6% | 15,310 | +17.8% | 0.08% | +27.3% |
| APF | Sell | Morgan Stanley Asia Pacific Fund | $194,000 | -19.2% | 14,987 | -2.0% | 0.08% | -16.8% |
| MXE | Buy | Mexico Equity and Income Fund, Inc. | $174,000 | -7.0% | 15,791 | +3.9% | 0.08% | -3.8% |
| NVG | New | Nuveen Dividend Advantage Municipal Income Fund | $167,000 | – | 12,000 | – | 0.07% | – |
| TPZ | New | Tortoise Power and Energy Infrastructure Fund, Inc. | $165,000 | – | 8,802 | – | 0.07% | – |
| BWG | Sell | Legg Mason BW Global Income Opportunities Fund | $164,000 | -21.9% | 14,083 | -5.3% | 0.07% | -19.3% |
| SOR | Sell | Source Capital Corp. | $164,000 | -47.6% | 2,420 | -43.7% | 0.07% | -45.8% |
| CEV | New | Eaton Vance California Municipal Income Trust | $160,000 | – | 12,200 | – | 0.07% | – |
| CMU | Buy | MFS High Yield Municipal Trust | $159,000 | +695.0% | 36,291 | +625.8% | 0.07% | +762.5% |
| TTF | Sell | Thai Fund, Inc. | $154,000 | -24.5% | 21,764 | -11.5% | 0.07% | -22.1% |
| MFM | New | MFS Municipal Income Trust | $150,000 | – | 23,435 | – | 0.06% | – |
| EQS | Sell | Equus Total Return, Inc. | $138,000 | -17.4% | 78,821 | -10.6% | 0.06% | -14.3% |
| IRL | Sell | New Ireland Fund, Inc. | $131,000 | -5.1% | 9,732 | -3.0% | 0.06% | -1.7% |
| NQI | New | Nuveen Quality Municipal Fund, Inc. | $117,000 | – | 9,000 | – | 0.05% | – |
| CXE | New | MFS High Income Muicipal Trust | $112,000 | – | 23,533 | – | 0.05% | – |
| ACP | Sell | Avenue Income Credit Strategies Fund | $110,000 | -9.8% | 8,552 | -2.1% | 0.05% | -5.9% |
| NXZ | New | Nuveen Dividend Advantage Municipal Fund 2 | $109,000 | – | 8,000 | – | 0.05% | – |
| RGT | Sell | Royce Global Value Trust, Inc. | $109,000 | -23.2% | 15,573 | -8.6% | 0.05% | -21.7% |
| NQS | New | Nuveen Select Quality Municipal Fund, Inc. | $103,000 | – | 7,690 | – | 0.04% | – |
| AMGN | Buy | Amgen Inc. | $97,000 | +27.6% | 700 | +40.0% | 0.04% | +31.2% |
| EMO | New | ClearBridge Energy MLP Opportunity Fund Inc. | $91,000 | – | 6,306 | – | 0.04% | – |
| FOF | New | Cohen & Steers Closed-End Opportunity Fund, Inc. | $89,000 | – | 8,197 | – | 0.04% | – |
| ISD | Sell | Prudential Short Duration High Yield Fund, Inc. | $87,000 | -18.7% | 5,931 | -15.3% | 0.04% | -15.6% |
| CELG | New | Celgene Corporation | $87,000 | – | 800 | – | 0.04% | – |
| JCE | Sell | Nuveen Core Equity Alpha Fund | $82,000 | -27.4% | 5,967 | -16.4% | 0.04% | -23.4% |
| MIE | Sell | Cohen & Steers MLP Income and Energy Opportunity Fund | $78,000 | -40.0% | 6,526 | -13.9% | 0.03% | -38.2% |
| PCM | Buy | PCM Fund Inc. | $65,000 | +116.7% | 6,839 | +128.0% | 0.03% | +115.4% |
| AZN | Buy | AstraZeneca PLC | $63,000 | +125.0% | 1,973 | +122.4% | 0.03% | +125.0% |
| SKM | Buy | SK Telecom Co. Ltd. | $56,000 | +51.4% | 2,284 | +52.4% | 0.02% | +50.0% |
| WIA | Sell | Western Asset/Claymore Inflation-Linked Securities & Income Fund | $56,000 | -41.7% | 5,340 | -37.6% | 0.02% | -40.0% |
| TYG | Sell | Tortoise Energy Infrastructure | $54,000 | -98.2% | 2,000 | -97.5% | 0.02% | -98.2% |
| WIW | Sell | Western Asset/Claymore Inflation-Linked Opportunities & Income Fund | $52,000 | -82.6% | 5,000 | -81.3% | 0.02% | -81.6% |
| TEVA | Sell | Teva Parmaceutical Industries Limited | $51,000 | -28.2% | 899 | -25.0% | 0.02% | -26.7% |
| INB | New | Cohen & Steers Global Income Builder, Inc. | $49,000 | – | 5,103 | – | 0.02% | – |
| MRK | New | Merck & Co. Inc. | $49,000 | – | 1,000 | – | 0.02% | – |
| CEE | Sell | Central Europe Russia and Turkey Fund | $44,000 | -48.8% | 2,460 | -40.6% | 0.02% | -47.2% |
| MCD | Buy | McDonald's Corp. | $43,000 | +104.8% | 434 | +98.2% | 0.02% | +111.1% |
| BMRN | New | BioMarin Pharmaceutical Inc. | $42,000 | – | 400 | – | 0.02% | – |
| SPG | Buy | Simon Property Group Inc. | $42,000 | +133.3% | 230 | +125.5% | 0.02% | +125.0% |
| RMT | Sell | Royce Micro-Cap Trust, Inc. | $40,000 | -41.2% | 5,162 | -30.0% | 0.02% | -41.4% |
| KHC | New | The Kraft Heinz Company | $39,000 | – | 555 | – | 0.02% | – |
| TMO | Buy | Thermo Fisher Scientific, Inc. | $39,000 | +85.7% | 316 | +97.5% | 0.02% | +88.9% |
| JPM | Buy | JPMorgan Chase & Co. | $39,000 | +77.3% | 639 | +97.8% | 0.02% | +88.9% |
| PFE | Buy | Pfizer Inc. | $40,000 | +81.8% | 1,288 | +97.5% | 0.02% | +88.9% |
| DDF | Buy | Delaware Investments Dividend & Income Fund, Inc. | $39,000 | – | 4,703 | +9697.9% | 0.02% | – |
| GE | Buy | General Electric Company | $39,000 | +95.0% | 1,527 | +98.3% | 0.02% | +112.5% |
| ABT | Buy | Abbott Laboratories | $37,000 | +60.9% | 925 | +97.6% | 0.02% | +60.0% |
| CP | Buy | Canadian Pacific Railway Limited | $36,000 | -7.7% | 253 | +4.1% | 0.02% | 0.0% |
| STT | Buy | State Street Corporation | $36,000 | +71.4% | 536 | +97.1% | 0.02% | +77.8% |
| MMM | Buy | 3M Company | $36,000 | +80.0% | 253 | +97.7% | 0.02% | +100.0% |
| NKE | Buy | Nike, Inc. | $34,000 | +78.9% | 280 | +60.0% | 0.02% | +87.5% |
| HD | Buy | The Home Depot, Inc. | $35,000 | +105.9% | 300 | +97.4% | 0.02% | +114.3% |
| NXPI | New | NXP Semiconductors NV | $35,000 | – | 407 | – | 0.02% | – |
| HDB | Buy | HDFC Bank Ltd. | $35,000 | +20.7% | 570 | +17.3% | 0.02% | +25.0% |
| PM | Buy | Philip Morris International, Inc. | $32,000 | +128.6% | 402 | +129.7% | 0.01% | +133.3% |
| MO | Buy | Altria Group Inc. | $33,000 | +120.0% | 615 | +97.7% | 0.01% | +133.3% |
| BA | New | The Boeing Company | $29,000 | – | 219 | – | 0.01% | – |
| TRF | New | Templeton Russia and East European Fund, Inc. | $29,000 | – | 3,000 | – | 0.01% | – |
| KO | Buy | The Coca-Cola Company | $31,000 | +106.7% | 763 | +98.7% | 0.01% | +116.7% |
| SNP | New | China Petroleum & Chemical Corp. | $30,000 | – | 489 | – | 0.01% | – |
| AEF | Sell | Aberdeen Chile Fund Inc. | $29,000 | -19.4% | 4,800 | -4.0% | 0.01% | -13.3% |
| ASML | Buy | ASML Holding NV | $31,000 | +34.8% | 358 | +59.8% | 0.01% | +30.0% |
| LBTYA | Sell | Liberty Global PLC | $30,000 | -30.2% | 702 | -16.3% | 0.01% | -27.8% |
| JPI | Sell | Nuveen Preferred & Income Term Fund | $30,000 | -26.8% | 1,350 | -27.0% | 0.01% | -23.5% |
| VZ | Buy | Verizon Communications Inc. | $29,000 | +123.1% | 662 | +129.9% | 0.01% | +160.0% |
| PG | Buy | The Procter & Gamble Company | $28,000 | +64.7% | 395 | +77.1% | 0.01% | +71.4% |
| XOM | Buy | Exxon Mobil Corporation | $28,000 | +115.4% | 378 | +131.9% | 0.01% | +140.0% |
| OXY | Buy | Occidental Petroleum Corporation | $28,000 | +75.0% | 429 | +106.2% | 0.01% | +71.4% |
| SHPG | Buy | Shire PLC | $28,000 | -6.7% | 134 | +8.9% | 0.01% | -7.7% |
| JNJ | Buy | Johnson & Johnson | $27,000 | +92.9% | 284 | +97.2% | 0.01% | +100.0% |
| D | Buy | Dominion Resources, Inc. | $28,000 | +115.4% | 396 | +98.0% | 0.01% | +140.0% |
| CVS | Buy | CVS Health Corporation | $27,000 | +50.0% | 285 | +63.8% | 0.01% | +50.0% |
| AEP | Buy | American Electric Power Co., Inc. | $27,000 | +107.7% | 481 | +97.9% | 0.01% | +140.0% |
| WMT | Buy | Wal-Mart Stores Inc. | $27,000 | +50.0% | 417 | +61.6% | 0.01% | +50.0% |
| INTC | Buy | Intel Corporation | $27,000 | +92.9% | 896 | +97.4% | 0.01% | +100.0% |
| BIDU | Buy | Baidu, Inc. | $25,000 | -19.4% | 185 | +18.6% | 0.01% | -15.4% |
| CNQ | Sell | Canadian Natural Resrouces Limited | $26,000 | -33.3% | 1,341 | -6.9% | 0.01% | -31.2% |
| ASA | Sell | ASA Gold and Precious Metals Limited | $23,000 | -77.0% | 3,000 | -70.9% | 0.01% | -76.2% |
| MAT | New | Mattel, Inc. | $24,000 | – | 1,151 | – | 0.01% | – |
| LYG | New | Lloyds Banking Group PLC | $23,000 | – | 5,072 | – | 0.01% | – |
| EL | Buy | The Estee Lauder Companies Inc. | $22,000 | +46.7% | 270 | +60.7% | 0.01% | +66.7% |
| HPQ | New | Hewlett-Packard Company | $24,000 | – | 951 | – | 0.01% | – |
| SLB | Buy | Schlumberger Limited | $24,000 | +60.0% | 353 | +97.2% | 0.01% | +66.7% |
| COP | Buy | Conocophillips | $23,000 | +53.3% | 489 | +98.8% | 0.01% | +66.7% |
| ARDC | New | Ares Dynamic Credit Allocation Fund, Inc. | $22,000 | – | 1,596 | – | 0.01% | – |
| ALXN | Buy | Alexion Pharmaceuticals, Inc. | $22,000 | 0.0% | 138 | +12.2% | 0.01% | +11.1% |
| DPG | Sell | Duff & Phelps Global Utility Income Fund, Inc. | $21,000 | -51.2% | 1,410 | -41.5% | 0.01% | -50.0% |
| ING | Sell | ING Groep N.V. | $21,000 | -61.8% | 1,469 | -56.4% | 0.01% | -60.9% |
| GAB | Buy | Gabelli Equity Trust, Inc. | $19,000 | -13.6% | 3,551 | +2.8% | 0.01% | -11.1% |
| GWPH | Sell | GW Pharmaceuticals PLC | $18,000 | -48.6% | 198 | -30.5% | 0.01% | -46.7% |
| PDT | Sell | John Hancock Premium Dividend Fund | $19,000 | -50.0% | 1,509 | -49.1% | 0.01% | -50.0% |
| MGA | New | Magna International Inc. | $15,000 | – | 312 | – | 0.01% | – |
| TSM | New | Taiwan Semiconductor Manufacturing Company Limited | $14,000 | – | 698 | – | 0.01% | – |
| SYT | Sell | Syngenta AG | $11,000 | -59.3% | 179 | -46.6% | 0.01% | -54.5% |
| AME | Sell | Ametek Inc. | $12,000 | -50.0% | 230 | -48.4% | 0.01% | -50.0% |
| GGNPRB | New | GAMCO Global Gold, Natural Resources & Income Trust by Gabelli Preferred Series Bpreferred stock | $11,000 | – | 500 | – | 0.01% | – |
| BDJ | Sell | BlackRock Enhanced Equity Dividend Trust | $9,000 | -18.2% | 1,208 | -15.0% | 0.00% | -20.0% |
| NHS | Sell | Neuberger Berman High Yield Strategies Fund | $7,000 | -65.0% | 700 | -59.8% | 0.00% | -62.5% |
| ALNY | New | Alnylam Pharmaceuticals, Inc. | $4,000 | – | 50 | – | 0.00% | – |
| LILA | New | Liberty LiLAC Group | $1,000 | – | 41 | – | 0.00% | – |
| FPRX | New | Five Prime Therapeutics, Inc. | $1,000 | – | 50 | – | 0.00% | – |
| QTWWQ | New | Quantum Fuel Systems Technologies Worldwide Inc. | $1,000 | – | 1,000 | – | 0.00% | – |
| HQL | New | Tekla Life Sciences Investors | $1,000 | – | 60 | – | 0.00% | – |
| CBD | Exit | Companhia Brasileira de Disrtibuicao | $0 | – | 0 | – | 0.00% | – |
| TAI | Exit | Transamerica Income Shares Inc. | $0 | – | -429 | – | -0.00% | – |
| HPQ | Exit | Hewlett-Packard Company | $0 | – | -400 | – | -0.01% | – |
| GGN | Exit | GAMCO Global Gold, Natural Resources & Income Trust by Gabelli Preferred Series Bpreferred stock | $0 | – | -500 | – | -0.01% | – |
| CEN | Exit | Center Coast MLP & Infrastructure Fund | $0 | – | -901 | – | -0.01% | – |
| HYB | Exit | New America High Income Fund, Inc. | $0 | – | -2,000 | – | -0.01% | – |
| UTX | Exit | United Technologies Corporation | $0 | – | -143 | – | -0.01% | – |
| ITUB | Exit | Itau Unibanco Holdings S.A. | $0 | – | -1,599 | – | -0.01% | – |
| NVO | Exit | Novo Nordisk A/S | $0 | – | -406 | – | -0.01% | – |
| KRFT | Exit | Kraft Foods Group, Inc. | $0 | – | -274 | – | -0.01% | – |
| ARMF | Exit | Ares Multi-Strategy Credit Fund | $0 | – | -1,316 | – | -0.01% | – |
| BKT | Exit | BlackRock Income Trust, Inc. | $0 | – | -5,000 | – | -0.01% | – |
| BP | Exit | BP PLC | $0 | – | -928 | – | -0.02% | – |
| Exit | NXP Semiconductors NV | $0 | – | -407 | – | -0.02% | – | |
| NML | Exit | Neuberger Berman MLP Income Fund | $0 | – | -5,015 | – | -0.03% | – |
| FXBY | Exit | Foxby Corp. | $0 | – | -76,580 | – | -0.06% | – |
| PCEF | Exit | Powershares ETF Trust II | $0 | – | -10,000 | – | -0.10% | – |
| GLV | Exit | Clough Global Allocation Fund | $0 | – | -16,752 | – | -0.10% | – |
| CEM | Exit | ClearBridge Energy MLP Fund Inc. | $0 | – | -13,807 | – | -0.14% | – |
| GLQ | Exit | Clough Global Equity Fund | $0 | – | -38,727 | – | -0.24% | – |
| SRV | Exit | Cushing MLP Total Return Fund | $0 | – | -218,220 | – | -0.34% | – |
| STNR | Exit | Steiner Leisure Ltd. | $0 | – | -22,467 | – | -0.51% | – |
| NDP | Exit | Tortoise Energy Independence Fund, Inc. | $0 | – | -91,887 | – | -0.71% | – |
| NHF | Exit | NexPoint Credit Strategies Fund | $0 | – | -319,361 | – | -0.98% | – |
Q2 2015
Q4 2014
Q3 2014
Q2 2014
Q4 2013
Q3 2013
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| T108PS | Sell | First Opportunity Fund | $5,029,000 | -8.5% | 607,350 | -9.5% | 3.24% | -7.4% |
| DCA | Sell | Virtus Total Return Fund | $4,478,000 | -0.7% | 1,136,598 | -2.5% | 2.88% | +0.4% |
| AOD | Buy | Alpine Total Dynamic Dividend Fund | $4,408,000 | +5.2% | 1,096,520 | +2.3% | 2.84% | +6.3% |
| PEO | Sell | Petroleum & Resources Corp. | $4,146,000 | +3.9% | 153,315 | -1.4% | 2.67% | +5.1% |
| ADX | Sell | Adams Express Company | $4,109,000 | +3.0% | 331,678 | -0.5% | 2.64% | +4.2% |
| FTT | Sell | Federated Enhanced Treasury Income Fund | $3,831,000 | -3.2% | 297,923 | -2.0% | 2.47% | -2.1% |
| TY | Sell | Tri-Continental Corp. | $3,778,000 | -8.0% | 206,235 | -10.1% | 2.43% | -6.9% |
| SEB | Sell | SEABOARD CORP | $2,836,000 | -11.4% | 1,032 | -12.7% | 1.82% | -10.4% |
| EDD | Buy | Morgan Stanley Emerging Markets Domestic Debt Fund | $2,675,000 | -0.0% | 189,751 | +2.4% | 1.72% | +1.1% |
| GAM | Buy | General American Investors | $2,599,000 | +8.3% | 76,117 | +1.3% | 1.67% | +9.6% |
| AGD | Buy | Alpine Global Dynamic Dividend Fund | $2,454,000 | +4.8% | 515,603 | +1.3% | 1.58% | +6.0% |
| KOF | Buy | COCA COLA FEMSA SAB SP ADR | $2,356,000 | -2.7% | 18,702 | +8.4% | 1.52% | -1.6% |
| PDI | Buy | PIMCO Dynamic Income Fund | $2,347,000 | +37.7% | 81,801 | +40.4% | 1.51% | +39.4% |
| BTZ | Buy | BlackRock Credit Allocation Income Trust IV | $2,347,000 | +2.2% | 179,992 | +1.8% | 1.51% | +3.4% |
| NZF | Buy | Nuveen Dividend Advantage Municipal Fund 3 | $2,341,000 | +4.5% | 184,347 | +9.1% | 1.51% | +5.7% |
| GLO | Buy | Clough Global Opportunities Fund | $2,299,000 | +2.0% | 178,660 | +2.1% | 1.48% | +3.2% |
| JRI | Buy | Nuveen Real Asset Income & Growth Fund | $2,200,000 | +1.7% | 117,659 | +1.7% | 1.42% | +2.8% |
| 0295SC | Buy | American Select Portfolio | $2,176,000 | -3.3% | 226,458 | +2.3% | 1.40% | -2.2% |
| ETJ | Sell | Eaton Vance Risk-Managed Diversified Equity Income Fund | $2,159,000 | -35.3% | 199,729 | -34.7% | 1.39% | -34.5% |
| JGT | Sell | Nuveen Diviersified Currency Opportunities Fund | $2,029,000 | -8.2% | 193,638 | -1.8% | 1.31% | -7.2% |
| USA | Sell | Liberty All-Star Equity Fund | $2,027,000 | -26.1% | 374,731 | -29.0% | 1.30% | -25.3% |
| RMRM | Buy | RMR Real Estate Income Fund | $2,021,000 | -10.7% | 117,103 | +4.5% | 1.30% | -9.7% |
| RVT | Buy | Royce Value Trust | $1,848,000 | -0.9% | 124,461 | +1.2% | 1.19% | +0.2% |
| ACG | Buy | AllianceBernstein Income Fund | $1,769,000 | -1.4% | 251,299 | +4.5% | 1.14% | -0.3% |
| JEQ | Buy | Japan Equity Fund | $1,729,000 | +7.9% | 252,752 | +1.9% | 1.11% | +9.1% |
| MTZ | Buy | MASTEC INC | $1,721,000 | -0.9% | 56,800 | +7.6% | 1.11% | +0.3% |
| UTF | Buy | Cohen & Steers Infrastructure Fund | $1,708,000 | +6.4% | 86,550 | +1.8% | 1.10% | +7.5% |
| WSO | Sell | WATSCO INC | $1,697,000 | -3.7% | 18,000 | -14.3% | 1.09% | -2.7% |
| PPT | Buy | Putnam Premier Income Trust | $1,669,000 | +31.8% | 317,287 | +34.1% | 1.07% | +33.3% |
| LEN | Buy | LENNAR CORP A | $1,611,000 | +10.3% | 45,500 | +12.3% | 1.04% | +11.6% |
| RCL | Sell | ROYAL CARIBBEAN CRUISES LTD | $1,455,000 | -14.4% | 38,000 | -25.5% | 0.94% | -13.4% |
| NKX | Sell | Nuveen California AMT-Free Municipal Income Fund | $1,425,000 | -9.4% | 115,500 | -1.0% | 0.92% | -8.4% |
| BOE | Buy | BlackRock Global Opportunties Equity Trust | $1,401,000 | +3.7% | 100,145 | +0.1% | 0.90% | +4.9% |
| BBN | Buy | Blackrock Build America Bond Trust | $1,389,000 | +3.0% | 73,860 | +10.6% | 0.89% | +4.1% |
| PCF | Buy | Putnam High Income Securities Fund | $1,381,000 | +10.7% | 175,459 | +11.1% | 0.89% | +12.0% |
| FMY | Buy | First Trust Mortgage Income Fund | $1,372,000 | -1.2% | 88,198 | +1.1% | 0.88% | 0.0% |
| KF | Buy | Korea Fund | $1,371,000 | +15.7% | 35,274 | +2.6% | 0.88% | +17.0% |
| CCL | Buy | CARNIVAL CORP | $1,338,000 | +0.1% | 41,000 | +5.1% | 0.86% | +1.2% |
| FAX | Buy | Aberdeen Asia-Pacific Income Fund | $1,330,000 | +4.3% | 219,403 | +6.7% | 0.86% | +5.5% |
| ZTR | Buy | Zweig Total Return Fund | $1,310,000 | +4.2% | 100,018 | +2.3% | 0.84% | +5.4% |
| PSMT | Sell | PRICESMART INC | $1,295,000 | +5.5% | 13,600 | -2.9% | 0.83% | +6.8% |
| GRX | Buy | Gabelli Healthcare & Wellness (Rx) Trust | $1,282,000 | +76.6% | 125,052 | +68.8% | 0.82% | +78.6% |
| MTS | Buy | Montgomery Street Income Securities | $1,252,000 | -2.7% | 79,667 | +0.0% | 0.81% | -1.6% |
| BLX | Sell | BANCO LATINOAMERICANO COME E | $1,196,000 | +9.0% | 48,000 | -2.0% | 0.77% | +10.3% |
| CWCO | Buy | CONSOLIDATED WATER CO ORD SH | $1,120,000 | +46.6% | 74,841 | +12.0% | 0.72% | +48.4% |
| BIF | Buy | Boulder Growth and Income Fund | $1,085,000 | +2.6% | 142,167 | +0.0% | 0.70% | +3.7% |
| BDJ | Sell | BlackRock Enhanced Dividend Achievers Trust | $1,068,000 | -3.5% | 142,009 | -2.3% | 0.69% | -2.6% |
| GGNPRB | Buy | GAMCO Global Gold, Natural Resources & Income Trust by Gabelli Preferred Series Bpreferred stock | $1,042,000 | +44.1% | 51,499 | +57.9% | 0.67% | +45.9% |
| AVK | Sell | Advent Claymore Covertible Securities & Income Fund | $979,000 | +1.5% | 55,630 | -2.3% | 0.63% | +2.6% |
| JOF | Buy | Japan Smaller Capitalization Fund | $973,000 | +12.1% | 107,050 | +5.6% | 0.63% | +13.4% |
| GLQ | Sell | Clough Global Equity Fund | $957,000 | -3.4% | 63,708 | -3.8% | 0.62% | -2.4% |
| GF | Sell | New Germany Fund | $927,000 | +7.5% | 45,028 | -8.1% | 0.60% | +8.7% |
| FMX | Buy | FOMENTO ECONOMICO MEX SP ADR | $922,000 | +5.1% | 9,500 | +11.8% | 0.59% | +6.3% |
| JHP | Buy | Nuveen Quality Preferred Income Fund 3 | $900,000 | -6.2% | 114,067 | +0.0% | 0.58% | -5.2% |
| STNR | Sell | STEINER LEISURE LTD | $845,000 | +1.2% | 14,467 | -8.4% | 0.54% | +2.4% |
| OXLCO | Buy | Oxford Lane Capital, 7.50% Pfd Series 2023preferred stock | $810,000 | +62.0% | 35,190 | +76.0% | 0.52% | +63.8% |
| TTF | Sell | Thai Fund, Inc. | $776,000 | -19.9% | 39,040 | -12.9% | 0.50% | -19.1% |
| NRO | Buy | Neuberger Berman Real Estate Securities Income Fund | $718,000 | -6.3% | 158,911 | +0.0% | 0.46% | -5.3% |
| BGY | Sell | BlackRock International Growth and Income Trust | $697,000 | +4.2% | 90,500 | -0.3% | 0.45% | +5.4% |
| ATNI | Sell | ATLANTIC TELE NETWORK INC | $688,000 | -2.4% | 13,198 | -7.0% | 0.44% | -1.3% |
| CX | Buy | CEMEX SAB SPONS ADR | $666,000 | +15.4% | 59,561 | +9.2% | 0.43% | +16.9% |
| RMT | Buy | Royce Micro-Cap Trust, Inc. | $658,000 | +13.4% | 56,191 | +4.7% | 0.42% | +14.9% |
| BTF | Buy | Boulder Total Return Fund | $608,000 | +6.9% | 27,876 | +3.8% | 0.39% | +8.0% |
| DNIF | Buy | Dividend and Income Fund | $559,000 | +898.2% | 38,934 | +1008.6% | 0.36% | +900.0% |
| MGU | Buy | Macquarie Global Infrastructure Total Return Fund | $548,000 | +6.0% | 25,310 | +0.1% | 0.35% | +7.3% |
| Buy | WALMART DE MEXICO SER V | $547,000 | +3.2% | 210,222 | +10.5% | 0.35% | +4.5% | |
| DEX | Buy | Delaware Enhanced Global Dividend & Income Fund | $524,000 | +4.6% | 44,018 | +2.1% | 0.34% | +5.6% |
| NIE | Buy | AllianzGI Equity & Convertible Income Fund | $520,000 | +18.2% | 28,012 | +16.7% | 0.34% | +19.6% |
| CII | Buy | BlackRock Enhanced Capital and Income Fund | $506,000 | +2.6% | 39,112 | +0.1% | 0.33% | +3.8% |
| FDP | Sell | FRESH DEL MONTE PRODUCE INC | $463,000 | -0.4% | 15,590 | -6.6% | 0.30% | +0.7% |
| NCLH | Buy | NORWEGIAN CRUISE LINE HOLDINGS | $436,000 | +21.4% | 14,143 | +19.5% | 0.28% | +23.2% |
| SGF | New | Singapore Fund | $435,000 | – | 33,217 | – | 0.28% | – |
| GLV | Buy | Clough Global Allocation Fund | $419,000 | +2.2% | 27,486 | +1.7% | 0.27% | +3.4% |
| RNP | Buy | Cohen & Steers REIT & Preferred Income Fund | $381,000 | -4.5% | 24,591 | +6.5% | 0.24% | -3.5% |
| MXE | Sell | MEXICO EQUITY + INCOME FUND INC | $374,000 | -2.1% | 24,396 | -1.6% | 0.24% | -0.8% |
| EVTC | New | EVERTEC INC | $370,000 | – | 16,643 | – | 0.24% | – |
| ETY | Sell | Eaton Vance Tax-Managed Diversified Equity Income Fund | $335,000 | -75.1% | 33,274 | -74.8% | 0.22% | -74.8% |
| NBB | Buy | Nuveen Build America Bond Fund | $331,000 | -6.8% | 18,327 | +0.1% | 0.21% | -5.8% |
| PIM | Buy | Putnam Master Intermediate Income Trust | $309,000 | +40.5% | 63,322 | +43.5% | 0.20% | +42.1% |
| FUND | Buy | Royce Focus Trust | $304,000 | +4.1% | 42,024 | +0.4% | 0.20% | +5.4% |
| IF | Buy | Aberdeen Indonesia Fund | $304,000 | -13.6% | 30,758 | +3.4% | 0.20% | -12.5% |
| FSD | Buy | First Trust High Income Long/Short Fund | $288,000 | +22.6% | 16,401 | +22.4% | 0.18% | +23.3% |
| CET | Sell | Central Securities | $253,000 | -77.3% | 10,804 | -79.5% | 0.16% | -77.0% |
| NDP | New | Tortoise Energy Independence Fund, Inc. | $245,000 | – | 10,000 | – | 0.16% | – |
| ZF | Buy | Zweig Fund | $232,000 | +5.5% | 17,205 | +0.1% | 0.15% | +6.4% |
| INF | New | Brookfield Global Listed Income Fund, Inc. | $222,000 | – | 10,901 | – | 0.14% | – |
| CEE | Sell | Central Europe Russia and Turkey Fund | $208,000 | +1.0% | 6,424 | -7.0% | 0.13% | +2.3% |
| LCM | Buy | Advent/Claymore Enhanced Growth & Income Fund | $179,000 | +11.9% | 18,332 | +12.2% | 0.12% | +12.7% |
| EQS | Sell | Equus Total Return | $177,000 | -1.1% | 93,614 | -0.4% | 0.11% | 0.0% |
| SCD | New | LMP Capital and Income Fund, Inc. | $173,000 | – | 11,666 | – | 0.11% | – |
| OXLCP | Sell | Oxford Lane Capital, 8.50% Pfd Series 2017preferred stock | $170,000 | -50.4% | 6,472 | -50.9% | 0.11% | -50.0% |
| FUGI | Buy | FUEGO ENTERPRISES INC | $164,000 | 0.0% | 513,210 | +0.1% | 0.11% | +1.9% |
| MIY | Buy | Blackrock Muniyield Michigan Quality Fund | $143,000 | +12.6% | 11,200 | +21.7% | 0.09% | +13.6% |
| WIA | Buy | Western Asset/Claymore Inflation-Linked Securities & Income | $132,000 | -2.9% | 11,370 | +0.2% | 0.08% | -2.3% |
| KMF | New | Kayne Anderson Midstream/Energy Fund | $128,000 | – | 4,001 | – | 0.08% | – |
| GGTPRB | Sell | Gabelli Multimedia Trust Preferred Series Bpreferred stock | $123,000 | -40.0% | 4,934 | -37.8% | 0.08% | -39.2% |
| T107SC | Buy | Nuveen Equity Premium Advantage Fund | $122,000 | -1.6% | 10,053 | +0.3% | 0.08% | 0.0% |
| FFA | Buy | First Trust Enhanced Equity Income Fund | $121,000 | -1.6% | 9,743 | +0.2% | 0.08% | 0.0% |
| HTD | Buy | John Hancock Tax-Advantaged Dividend Income Fund | $105,000 | -7.1% | 6,026 | +0.2% | 0.07% | -5.6% |
| BAF | Buy | BlackRock Municipal Income Investment Quality Trust | $105,000 | +87.5% | 8,000 | +100.0% | 0.07% | +88.9% |
| JPW | New | Nuveen Flexible Investment Income Fund | $100,000 | – | 6,001 | – | 0.06% | – |
| MSP | Buy | Madison Strategic Sector Premium Fund | $91,000 | +40.0% | 7,785 | +38.0% | 0.06% | +43.9% |
| NGX | Sell | Nuveen Massachusetts AMT-Free Municipal Fund | $89,000 | -16.8% | 7,104 | -11.1% | 0.06% | -16.2% |
| ERA | Buy | ERA GROUP INC | $87,000 | +67.3% | 3,215 | +60.8% | 0.06% | +69.7% |
| SZC | Buy | Cushing Renaissance Fund | $82,000 | 0.0% | 3,603 | +9.1% | 0.05% | +1.9% |
| ACP | Sell | Avenue Income Credit Strategies Fund | $75,000 | -27.2% | 4,468 | -25.9% | 0.05% | -27.3% |
| ASG | Buy | Liberty All-Star Growth Fund | $73,000 | +102.8% | 14,802 | +85.3% | 0.05% | +104.3% |
| EMI | Buy | Eaton Vance Michigan Municipal Income Trust | $70,000 | +1.4% | 6,234 | +11.8% | 0.04% | +2.3% |
| SOR | Sell | Source Capital | $64,000 | -45.8% | 1,033 | -45.8% | 0.04% | -45.3% |
| PDT | Buy | John Hancock Patriot Premium Dividend Fund II | $51,000 | -8.9% | 4,256 | +0.5% | 0.03% | -8.3% |
| EXGI | Sell | Engex | $51,000 | +6.2% | 16,572 | -0.6% | 0.03% | +6.5% |
| GCVPRBCL | Sell | Gabelli Convertible & Income Securities Fund Preferred Series Bpreferred stock | $44,000 | -15.4% | 1,754 | -14.6% | 0.03% | -15.2% |
| GEQ | Buy | Guggenheim Equal Weight Enhanced Equity Income Fund | $43,000 | +53.6% | 2,484 | +58.9% | 0.03% | +55.6% |
| GAB | Buy | Gabelli Equity Trust | $20,000 | +5.3% | 2,942 | +2.1% | 0.01% | +8.3% |
| QQQX | Buy | Nasdaq Premium Income & Growth Fund | $18,000 | 0.0% | 1,144 | +1.9% | 0.01% | +9.1% |
| JCE | Buy | Nuveen Core Equity Alpha Fund | $19,000 | +5.6% | 1,244 | +1.8% | 0.01% | +9.1% |
| NMB | Sell | Nuveen Massachusetts Dividend Advantage Municipal Fund | $17,000 | -50.0% | 1,310 | -43.0% | 0.01% | -50.0% |
| GLU | New | Gabelli Global Utility & Income Trust | $13,000 | – | 668 | – | 0.01% | – |
| CLM | Buy | Cornerstone Strategic Value Fund | $12,000 | 0.0% | 1,727 | +4.3% | 0.01% | 0.0% |
| HMC | New | Honda Motor Co., Ltd. | $11,000 | – | 300 | – | 0.01% | – |
| GRR | Sell | Asia Tigers Fund | $10,000 | -23.1% | 892 | -22.0% | 0.01% | -25.0% |
| F | New | Ford Motor Co. | $6,000 | – | 350 | – | 0.00% | – |
| INFRT | New | Brookfield Global Listed Income Fund, Inc. Rights | $3,000 | – | 8,901 | – | 0.00% | – |
| CXE | Exit | MFS High Income Municipal Trust | $0 | – | -300 | – | -0.00% | – |
| S | Exit | Sprint Nextel Corporation | $0 | – | -126 | – | -0.00% | – |
| GRXRT | Exit | Gabelli Healthcare & Wellness (Rx) Trust Rights | $0 | – | -51,075 | – | -0.01% | – |
| LTS | Exit | Ladenburg Thalmann Financial Services | $0 | – | -5,815 | – | -0.01% | – |
| EOI | Exit | Eaton Vance Enhanced Equity Income Fund | $0 | – | -1,000 | – | -0.01% | – |
| NPVPRCCL | Exit | Nuveen Virginia Premium Income Municipal Fund, 2.65% Pfd 2/1/2015preferred stock | $0 | – | -2,500 | – | -0.02% | – |
| GRF | Exit | Eagle Capital Growth Fund | $0 | – | -3,770 | – | -0.02% | – |
| EMF | Exit | Templeton Emerging Markets Fund | $0 | – | -2,500 | – | -0.03% | – |
| KCG | Exit | Knight Capital Group, Inc. | $0 | – | -5,000 | – | -0.03% | – |
| ASR | Exit | GRUPO AEROPORTUARIO SUR ADR | $0 | – | -1,000 | – | -0.07% | – |
| EOS | Exit | Eaton Vance Enhanced Equity Income Fund II | $0 | – | -15,000 | – | -0.11% | – |
| ETW | Exit | Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund | $0 | – | -16,646 | – | -0.12% | – |
| EXG | Exit | Eaton Vance Tax-Mgd. Global Diversified Equity Income Fund | $0 | – | -34,700 | – | -0.20% | – |
| SGF | Exit | Singapore Fund | $0 | – | -33,674 | – | -0.28% | – |
| WU | Exit | WESTERN UNION CO | $0 | – | -31,000 | – | -0.34% | – |
| EWW | Exit | ISHARES MSCI MEXICO CAPPED INVESTMENT | $0 | – | -12,400 | – | -0.51% | – |