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Disclosery

Relative Value Partners, LLC

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13F filer, CIK 1356223, NORTHBROOK, IL

Relative Value Partners, LLC reported $749,360,000 across 101 holdings for the quarter ended 2014-03-31, in a 13F-HR filed 2014-05-09. Its ten largest share positions make up 53.77% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001356223-14-000009

Period
2014-03-31
Reported value
$749M
Holdings
101
Top 10 weight
53.77%
New
10
Sold out
9

Largest buys vs the previous quarter

SecurityShares changeApprox. value
SPEadded+784,409$12.7M
BNDadded+143,912$11.7M
XEVGXadded+298,027$4.53M
VTIadded+37,012$3.61M
TSInew+534,526$2.92M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
ALLIANCEBERNSTEIN INCOME FUNreduced-1,206,235-$8.85M
XJQCXreduced-470,901-$4.48M
NEXPOINT CR STRATEGIES FDreduced-389,887-$4.32M
ETVexited-180,733-$2.53M
GUGGENHEIM CR ALLOCATION FDexited-92,201-$2.07M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q1 2014

Share positions as resolved from 13F-HR 0001356223-14-000009, largest first. % of portfolio is the value over $749,360,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
BTZBLACKROCK CR ALLOCATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 4,050,070 shares; 2013Q3: 4,253,490 shares; 2013Q4: 4,403,571 shares; 2014Q1: 4,539,563 shares 4,539,563$61.4M8.19%+135,992Timeline
OEFISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 734,598 shares; 2013Q3: 713,885 shares; 2013Q4: 718,376 shares; 2014Q1: 717,621 shares 717,621$59.4M7.93%-755Timeline
VTIVANGUARD INDEX FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 247,095 shares; 2013Q3: 335,723 shares; 2013Q4: 356,360 shares; 2014Q1: 393,372 shares 393,372$38.3M5.12%+37,012Timeline
XETYXEATON VANCE TAX-MANAGED DIVEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 4,109,341 shares; 2013Q3: 3,461,158 shares; 2013Q4: 3,404,270 shares; 2014Q1: 3,287,835 shares 3,287,835$36.7M4.89%-116,435Timeline
SPESPECIAL OPPORTUNITIES FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 1,377,225 shares; 2013Q3: 1,473,878 shares; 2013Q4: 1,459,057 shares; 2014Q1: 2,243,466 shares 2,243,466$36.5M4.86%+784,409Timeline
TYTRI CONTL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 1,736,798 shares; 2013Q3: 1,792,026 shares; 2013Q4: 1,814,309 shares; 2014Q1: 1,809,232 shares 1,809,232$36.3M4.85%-5,077Timeline
RVTROYCE SMALL CAP TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 2,145,856 shares; 2013Q3: 2,234,947 shares; 2013Q4: 2,251,199 shares; 2014Q1: 2,271,666 shares 2,271,666$35.7M4.77%+20,467Timeline
ETJEATON VANCE RISK-MANAGED DIVQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 2,899,049 shares; 2013Q3: 3,012,212 shares; 2013Q4: 3,067,141 shares; 2014Q1: 3,047,101 shares 3,047,101$34.4M4.59%-20,040Timeline
BDJBLACKROCK ENHANCED EQUITY DIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 2,899,537 shares; 2013Q3: 3,076,542 shares; 2013Q4: 3,948,418 shares; 2014Q1: 4,077,956 shares 4,077,956$32.4M4.32%+129,538Timeline
ZWEIG TOTAL RETURN FD INCZWEIG TOTAL RETURN FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 2,091,018 shares; 2013Q3: 2,221,648 shares; 2013Q4: 2,254,478 shares; 2014Q1: 2,262,953 shares 2,262,953$31.8M4.25%+8,475
ALLIANCEBERNSTEIN INCOME FUNALLIANCEBERNSTEIN INCOME FUNQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 5,056,951 shares; 2013Q3: 5,253,848 shares; 2013Q4: 5,397,456 shares; 2014Q1: 4,191,221 shares 4,191,221$30.8M4.11%-1,206,235
PPTFRANKLIN PREMIER INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 2,462,277 shares; 2013Q3: 3,822,309 shares; 2013Q4: 4,330,150 shares; 2014Q1: 4,506,213 shares 4,506,213$24.9M3.33%+176,063Timeline
MMTABERDEEN MULTI-MARKET INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 1,041,239 shares; 2013Q3: 2,418,031 shares; 2013Q4: 3,296,042 shares; 2014Q1: 3,265,150 shares 3,265,150$21.3M2.85%-30,892Timeline
BNDVANGUARD BD INDEX FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 375,166 shares; 2013Q3: 163,025 shares; 2013Q4: 101,113 shares; 2014Q1: 245,025 shares 245,025$19.9M2.65%+143,912Timeline
XMCRXMFS CHARTER INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 521,692 shares; 2013Q3: 1,735,132 shares; 2013Q4: 2,055,178 shares; 2014Q1: 2,105,317 shares 2,105,317$19.2M2.57%+50,139Timeline
XBOEXBLACKROCK ENHANCED GLOBALQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 1,057,691 shares; 2013Q3: 1,144,904 shares; 2013Q4: 1,227,260 shares; 2014Q1: 1,282,123 shares 1,282,123$18.8M2.5%+54,863Timeline
MINABERDEEN INTER INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 442,025 shares; 2013Q3: 1,947,217 shares; 2013Q4: 3,381,006 shares; 2014Q1: 3,494,914 shares 3,494,914$18.1M2.42%+113,908Timeline
USALIBERTY ALL STAR EQUITY FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 4,013,764 shares; 2013Q3: 3,115,347 shares; 2013Q4: 3,068,607 shares; 2014Q1: 3,005,715 shares 3,005,715$17.7M2.36%-62,892Timeline
MGFABERDEEN GOVT MARKETS INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 1,148,657 shares; 2013Q3: 1,786,018 shares; 2013Q4: 2,458,989 shares; 2014Q1: 2,898,863 shares 2,898,863$16.5M2.21%+439,874Timeline
XEVVXEATON VANCE LIMITED DURATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: 331,511 shares; 2013Q4: 961,842 shares; 2014Q1: 956,556 shares 956,556$14.6M1.95%-5,286Timeline
WESTERN ASSET INFL MGMT FD IWESTERN ASSET INFL MGMT FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 743,102 shares; 2013Q3: 759,350 shares; 2013Q4: 749,835 shares; 2014Q1: 690,434 shares 690,434$12.3M1.65%-59,401
ZWEIG FUND INC.ZWEIG FUND INC.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 852,930 shares; 2013Q3: 833,557 shares; 2013Q4: 811,187 shares; 2014Q1: 792,686 shares 792,686$12M1.61%-18,501
VGTVANGUARD WORLD FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 104,306 shares; 2013Q3: 103,799 shares; 2013Q4: 103,575 shares; 2014Q1: 106,379 shares 106,379$9.74M1.3%+2,804Timeline
XEVGXEATON VANCE SHORT DURATION DQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 41,787 shares; 2013Q3: 288,123 shares; 2013Q4: 307,817 shares; 2014Q1: 605,844 shares 605,844$9.2M1.23%+298,027Timeline
WESTERN ASSET VAR RT STRG FDWESTERN ASSET VAR RT STRG FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 100,863 shares; 2013Q3: 297,101 shares; 2013Q4: 421,100 shares; 2014Q1: 463,103 shares 463,103$7.92M1.06%+42,003
XEXGXEATON VANCE TAX-MANAGED GLOBQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 1,771,851 shares; 2013Q3: 936,134 shares; 2013Q4: 713,507 shares; 2014Q1: 645,692 shares 645,692$6.52M0.87%-67,815Timeline
FPFFIRST TR INTER DURATN PFD &Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 251,444 shares; 2014Q1: 246,284 shares 246,284$5.45M0.73%-5,160Timeline
BITBLACKROCK MULTI SECTOR INC TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 269,204 shares; 2014Q1: 290,331 shares 290,331$5.15M0.69%+21,127Timeline
XJQCXNUVEEN CR STRATEGIES INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 31,762 shares; 2013Q3: 31,763 shares; 2013Q4: 955,356 shares; 2014Q1: 484,455 shares 484,455$4.61M0.61%-470,901Timeline
ALLIANZGI EQUITY & CONV INCOALLIANZGI EQUITY & CONV INCOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 254,525 shares; 2013Q3: 243,662 shares; 2013Q4: 241,447 shares; 2014Q1: 235,005 shares 235,005$4.57M0.61%-6,442
PROSHARES TRPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 124,268 shares; 2013Q3: 113,928 shares; 2013Q4: 131,405 shares; 2014Q1: 138,767 shares 138,767$3.93M0.52%+7,362
NUVEEN EQUITY PREM ADV FDNUVEEN EQUITY PREM ADV FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 288,437 shares; 2013Q3: 288,966 shares; 2013Q4: 286,234 shares; 2014Q1: 278,441 shares 278,441$3.53M0.47%-7,793
DFPFLAHERTY & CRUMRINE DYNAMICQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 201,710 shares; 2014Q1: 157,845 shares 157,845$3.43M0.46%-43,865Timeline
Vaneck Vectors Gold Miners …Vaneck Vectors Gold Miners ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 158,052 shares; 2013Q3: 156,717 shares; 2013Q4: 143,237 shares; 2014Q1: 142,334 shares 142,334$3.36M0.45%-903
CIIBLACKROCK ENHANCED LARGE CAPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 246,887 shares; 2013Q3: 234,612 shares; 2013Q4: 232,351 shares; 2014Q1: 227,785 shares 227,785$3.18M0.42%-4,566Timeline
GDOWSTRN AST GLBL CORP OPP FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 159,457 shares; 2014Q1: 173,985 shares 173,985$3.17M0.42%+14,528Timeline
DSLDOUBLELINE INCOME SOLUTIONSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 27,675 shares; 2014Q1: 148,014 shares 148,014$3.14M0.42%+120,339Timeline
TSITCW STRATEGIC INCOME FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 534,526 shares 534,526$2.92M0.39%newTimeline
XSSPXNUVEEN S&P 500 DYNAMIC OVERWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 355,694 shares; 2013Q3: 256,273 shares; 2013Q4: 200,443 shares; 2014Q1: 193,811 shares 193,811$2.75M0.37%-6,632Timeline
APOLLO TACTICAL INCOME FD I…APOLLO TACTICAL INCOME FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 159,872 shares; 2014Q1: 151,328 shares 151,328$2.7M0.36%-8,544
ECFELLSWORTH GROWTH & INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 299,401 shares; 2013Q3: 296,360 shares; 2013Q4: 295,591 shares; 2014Q1: 293,392 shares 293,392$2.52M0.34%-2,199Timeline
NEXPOINT CR STRATEGIES FDNEXPOINT CR STRATEGIES FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 678,188 shares; 2013Q3: 656,439 shares; 2013Q4: 615,882 shares; 2014Q1: 225,995 shares 225,995$2.5M0.33%-389,887
NUVNUVEEN MUN VALUE FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 42,000 shares; 2013Q3: 27,000 shares; 2013Q4: 434,714 shares; 2014Q1: 256,357 shares 256,357$2.42M0.32%-178,357Timeline
BLACKROCK ENHANCED GOVT FD …BLACKROCK ENHANCED GOVT FD (EGF)Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 56,509 shares; 2013Q3: 56,509 shares; 2013Q4: 57,294 shares; 2014Q1: 155,543 shares 155,543$2.19M0.29%+98,249
EOIEATON VANCE ENHANCED EQUITYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 160,981 shares; 2013Q3: 161,092 shares; 2013Q4: 160,327 shares; 2014Q1: 150,336 shares 150,336$1.97M0.26%-9,991Timeline
RGTROYCE GLOBAL TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 284,544 shares; 2014Q1: 205,337 shares 205,337$1.84M0.25%-79,207Timeline
GLOCLOUGH GLOBAL OPPORTUNITIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 124,348 shares; 2013Q3: 124,348 shares; 2013Q4: 124,348 shares; 2014Q1: 123,198 shares 123,198$1.57M0.21%-1,150Timeline
MACQUARIE GLOBAL INFRASTRUC…MACQUARIE GLOBAL INFRASTRUCTURQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 59,062 shares; 2013Q3: 58,673 shares; 2013Q4: 54,319 shares; 2014Q1: 51,815 shares 51,815$1.22M0.16%-2,504
BONDPIMCO ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 64,997 shares; 2013Q3: 42,341 shares; 2013Q4: 10,517 shares; 2014Q1: 8,992 shares 8,992$959K0.13%-1,525Timeline
BXMXNUVEEN S&P 500 BUY-WRITE INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 236,536 shares; 2013Q3: 73,305 shares; 2013Q4: 72,921 shares; 2014Q1: 69,294 shares 69,294$876K0.12%-3,627Timeline
LLOEWS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 17,200 shares; 2013Q3: 17,200 shares; 2013Q4: 17,200 shares; 2014Q1: 17,200 shares 17,200$758K0.1%0Timeline
NNYNUVEEN N Y MUN VALUE FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 65,201 shares; 2014Q1: 65,201 shares 65,201$615K0.08%0Timeline
CVXCHEVRON CORPORATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 4,000 shares; 2013Q3: 4,000 shares; 2013Q4: 4,500 shares; 2014Q1: 5,000 shares 5,000$595K0.08%+500Timeline
INTCINTEL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 23,531 shares; 2013Q3: 23,531 shares; 2013Q4: 24,031 shares; 2014Q1: 22,731 shares 22,731$587K0.08%-1,300Timeline
MSFTMICROSOFT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 16,039 shares; 2013Q3: 16,039 shares; 2013Q4: 15,970 shares; 2014Q1: 13,970 shares 13,970$573K0.08%-2,000Timeline
Polonia Bancorp, Inc.Polonia Bancorp, Inc.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 58,366 shares; 2013Q3: 58,366 shares; 2013Q4: 58,366 shares; 2014Q1: 58,366 shares 58,366$569K0.08%0
GLDSPDR GOLD TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 2,000 shares; 2013Q3: 2,181 shares; 2013Q4: 2,000 shares; 2014Q1: 4,292 shares 4,292$531K0.07%+2,292Timeline
XBGYXBLACKROCK ENHANCED INTL DIVQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 92,274 shares; 2013Q3: 89,674 shares; 2013Q4: 80,681 shares; 2014Q1: 65,074 shares 65,074$524K0.07%-15,607Timeline
EFAISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 7,568 shares; 2013Q3: 9,064 shares; 2013Q4: 4,769 shares; 2014Q1: 7,558 shares 7,558$508K0.07%+2,789Timeline
JNJJOHNSON & JOHNSONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 5,120 shares; 2013Q3: 5,120 shares; 2013Q4: 5,120 shares; 2014Q1: 5,120 shares 5,120$503K0.07%0Timeline
OMNIAMERICAN BANCORP INCOMNIAMERICAN BANCORP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 21,750 shares; 2013Q3: 21,750 shares; 2013Q4: 21,250 shares; 2014Q1: 21,250 shares 21,250$484K0.06%0
NUVEEN EQTY PRM OPPORTUNITYFNUVEEN EQTY PRM OPPORTUNITYFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 295,804 shares; 2013Q3: 210,043 shares; 2013Q4: 121,117 shares; 2014Q1: 37,350 shares 37,350$470K0.06%-83,767
PIMFRANKLIN MASTER INTER INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 91,037 shares; 2014Q1: 91,037 shares 91,037$469K0.06%0Timeline
VIRTUS TOTALVIRTUS TOTALQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 143,519 shares; 2013Q3: 146,599 shares; 2013Q4: 127,783 shares; 2014Q1: 105,841 shares 105,841$468K0.06%-21,942
PMOFRANKLIN MUN OPPORTUNITIES TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 41,000 shares; 2013Q3: 41,000 shares; 2013Q4: 41,000 shares; 2014Q1: 41,000 shares 41,000$466K0.06%0Timeline
EEMISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 10,673 shares 10,673$438K0.06%newTimeline
PFEPFIZER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 10,955 shares; 2013Q3: 10,955 shares; 2013Q4: 10,955 shares; 2014Q1: 12,455 shares 12,455$400K0.05%+1,500Timeline
VBVANGUARD INDEX FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 3,419 shares 3,419$386K0.05%newTimeline
CCITIGROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 8,024 shares; 2013Q3: 8,024 shares; 2013Q4: 8,000 shares; 2014Q1: 8,000 shares 8,000$381K0.05%0Timeline
MRKMERCK & CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 6,500 shares; 2013Q3: 6,500 shares; 2013Q4: 6,500 shares; 2014Q1: 6,500 shares 6,500$369K0.05%0Timeline
XLUSELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 9,700 shares; 2013Q3: 9,700 shares; 2013Q4: 8,900 shares; 2014Q1: 8,900 shares 8,900$369K0.05%0Timeline
ALLIANZGI DIVIDEND INT & PRMALLIANZGI DIVIDEND INT & PRMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 76,406 shares; 2013Q3: 20,300 shares; 2013Q4: 20,300 shares; 2014Q1: 19,540 shares 19,540$360K0.05%-760
JPMJPMORGAN CHASE & COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 5,750 shares; 2013Q3: 5,750 shares; 2013Q4: 5,750 shares; 2014Q1: 5,750 shares 5,750$349K0.05%0Timeline
BACBANK OF AMER CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 18,226 shares; 2013Q3: 18,226 shares; 2013Q4: 18,226 shares; 2014Q1: 18,226 shares 18,226$313K0.04%0Timeline
AMERICAN STRATEGIC INCOME IIAMERICAN STRATEGIC INCOME IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 43,000 shares 43,000$306K0.04%new
GDLGDL FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 27,485 shares; 2013Q3: 27,485 shares; 2013Q4: 27,485 shares; 2014Q1: 27,485 shares 27,485$303K0.04%0Timeline
GENERAL ELEC COGENERAL ELEC COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 10,559 shares; 2013Q3: 10,559 shares; 2013Q4: 10,560 shares; 2014Q1: 11,559 shares 11,559$299K0.04%+999
FEZSPDR INDEX SHS FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 9,542 shares; 2013Q3: 13,587 shares; 2013Q4: 7,690 shares; 2014Q1: 6,875 shares 6,875$293K0.04%-815Timeline
SPDR SERIES TRUST BLOOMBERG…SPDR SERIES TRUST BLOOMBERG BRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 6,859 shares 6,859$283K0.04%new
GFNEW GERMANY FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 16,290 shares; 2013Q3: 14,974 shares; 2013Q4: 14,974 shares; 2014Q1: 13,103 shares 13,103$255K0.03%-1,871Timeline
SHVISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 3,499 shares; 2013Q3: 2,220 shares; 2013Q4: 2,220 shares; 2014Q1: 2,220 shares 2,220$245K0.03%0Timeline
CSCOCISCO SYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 10,400 shares; 2013Q3: 10,100 shares; 2013Q4: 10,600 shares; 2014Q1: 10,800 shares 10,800$242K0.03%+200Timeline
PGPROCTER & GAMBLE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 2,700 shares; 2013Q3: 3,000 shares; 2013Q4: 3,000 shares; 2014Q1: 3,000 shares 3,000$242K0.03%0Timeline
GENERAL MTRS COGENERAL MTRS COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 9,000 shares; 2013Q3: 9,000 shares; 2013Q4: 9,000 shares; 2014Q1: 9,450 shares 9,450$235K0.03%+450
BCXBLACKROCK RES & COMMODITIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 20,038 shares 20,038$230K0.03%newTimeline
NUVEEN DIVER CURRENCY OPPORNUVEEN DIVER CURRENCY OPPORQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 32,662 shares; 2013Q3: 32,255 shares; 2013Q4: 22,790 shares; 2014Q1: 21,584 shares 21,584$226K0.03%-1,206
SDYSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 3,000 shares; 2014Q1: 3,000 shares 3,000$221K0.03%0Timeline
MFS INTERMARKET INCOME TRUSTMFS INTERMARKET INCOME TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 34,733 shares; 2013Q3: 27,191 shares; 2013Q4: 26,880 shares; 2014Q1: 26,224 shares 26,224$218K0.03%-656
ALPS ETF TRALPS ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 11,892 shares; 2013Q3: 11,892 shares; 2013Q4: not reported; 2014Q1: 11,892 shares 11,892$210K0.03%new
UNPUNION PAC CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 1,090 shares 1,090$205K0.03%newTimeline
COPCONOCOPHILLIPSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: 2,900 shares; 2013Q4: 2,900 shares; 2014Q1: 2,900 shares 2,900$204K0.03%0Timeline
UNMUNUM GROUPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 5,750 shares; 2014Q1: 5,750 shares 5,750$203K0.03%0Timeline
ETWEATON VANCE TAX-MANAGED GLOBQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 51,273 shares; 2013Q3: 41,258 shares; 2013Q4: 21,007 shares; 2014Q1: 15,410 shares 15,410$186K0.02%-5,597Timeline
INTERVEST BANCSHARES CORP-AINTERVEST BANCSHARES CORP-AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 24,000 shares; 2013Q3: 21,000 shares; 2013Q4: 23,227 shares; 2014Q1: 24,227 shares 24,227$180K0.02%+1,000
TALMER BANCORP INCTALMER BANCORP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 11,268 shares 11,268$165K0.02%new
ISHARESISHARESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 26,572 shares; 2013Q3: 26,645 shares; 2013Q4: 20,412 shares; 2014Q1: 11,225 shares 11,225$127K0.02%-9,187
POWERSHARESPOWERSHARESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 618,497 shares; 2013Q3: 568,510 shares; 2013Q4: 8,341 shares; 2014Q1: 4,175 shares 4,175$104K0.01%-4,166
CYS INVTS INCCYS INVTS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: 10,485 shares; 2013Q4: 10,835 shares; 2014Q1: 11,035 shares 11,035$91K0.01%+200
ANWORTH MORTGAGE ASSET CPANWORTH MORTGAGE ASSET CPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 16,419 shares 16,419$81K0.01%new
ABERDEEN ASIA-PACIFIC INCOM…ABERDEEN ASIA-PACIFIC INCOME FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 27,772 shares; 2013Q3: 27,772 shares; 2013Q4: 20,494 shares; 2014Q1: 11,924 shares 11,924$73K0.01%-8,570
ALEXCO RESOURCE CORPALEXCO RESOURCE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q2: restricted; 2012Q3: restricted; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: 15,500 shares; 2013Q3: 15,500 shares; 2013Q4: 15,500 shares; 2014Q1: 15,500 shares 15,500$23K<0.01%0

Sold out in Q1 2014

Positions in the previous quarter's report that this quarter's report no longer lists.

SecurityShares beforeValue beforeType
ETVEATON VANCE TAX-MANAGED BUY-180,733$2.53Mshares
GUGGENHEIM CR ALLOCATION FDGUGGENHEIM CR ALLOCATION FD92,201$2.07Mshares
BGXBLACKSTONE LONG SHORT CR INC45,274$809Kshares
MORGAN STANLEY ASIA PAC FD IMORGAN STANLEY ASIA PAC FD I21,597$358Kshares
XLKSELECT SECTOR SPDR TR8,714$311Kshares
DXJWISDOMTREE TR5,061$257Kshares
GGNGAMCO GLOBAL GOLD NAT RES &23,753$214Kshares
UTFCOHEN & STEERS INFRASTRUCTUR9,720$200Kshares
ALPINE TOTAL DYNAMIC DIVID FALPINE TOTAL DYNAMIC DIVID F17,000$142Kshares

How Q1 2014 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0001356223-14-000009 base2014-05-09acceptance time not in the bulk data set