The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
ABERDEEN ASIA-PACIFIC INCOME | COM | 003009107 | 1,646 | 396,588 | SH | SOLE | 396,588 | 0 | 0 | ||
ABERDEEN AUSTRALIA EQUITY FD | COM | 003011103 | 258 | 43,736 | SH | SOLE | 43,736 | 0 | 0 | ||
ABERDEEN EMRG MRKTS EQT INM | COM | 00301W105 | 240 | 28,809 | SH | SOLE | 24,906 | 0 | 3,903 | ||
ABERDEEN GLOBAL DYNAMIC DIVI | COM | 00302M106 | 1,127 | 96,954 | SH | SOLE | 96,826 | 0 | 128 | ||
ABERDEEN GLOBAL PREMIER PPTY | COM SH BEN INT | 00302L108 | 138 | 22,800 | SH | SOLE | 22,800 | 0 | 0 | ||
ABERDEEN JAPAN EQUITY FD INC | COM | 00306J109 | 143 | 14,700 | SH | SOLE | 14,700 | 0 | 0 | ||
ABERDEEN TOTAL DYNAMIC DIVD | COM SH BEN INT | 00326L100 | 1,516 | 155,697 | SH | SOLE | 155,697 | 0 | 0 | ||
ADAMS DIVERSIFIED EQUITY FD | COM | 006212104 | 5,470 | 276,243 | SH | SOLE | 274,741 | 0 | 1,502 | ||
ADOBE SYSTEMS INCORPORATED | COM | 00724F101 | 230 | 400 | SH | SOLE | 400 | 0 | 0 | ||
ALLIANCEBERNSTEIN GLOBAL HIG | COM | 01879R106 | 1,061 | 86,438 | SH | SOLE | 85,899 | 0 | 539 | ||
ANGEL OAK FINL STRATEGIES IN | COM BEN INT | 03464A100 | 3,008 | 176,758 | SH | SOLE | 171,330 | 0 | 5,428 | ||
ANGEL OAK FINL STRATEGIES IN | RIGHT 10/14/2021 | 03464A118 | 30 | 139,680 | SH | SOLE | 135,486 | 0 | 4,194 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 315 | 19,935 | SH | SOLE | 19,935 | 0 | 0 | ||
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 2,913 | 184,150 | SH | SOLE | 184,150 | 0 | 0 | ||
BANCROFT FD LTD | COM | 059695106 | 1,023 | 34,509 | SH | SOLE | 34,099 | 0 | 410 | ||
BARINGS GLOBAL SHORT DURATIO | COM | 06760L100 | 3,092 | 180,809 | SH | SOLE | 176,478 | 0 | 4,331 | ||
BLACKROCK DEBT STRATEGIES FD | COM NEW | 09255R202 | 1,481 | 128,364 | SH | SOLE | 127,019 | 0 | 1,345 | ||
BLACKROCK ENHANCD CAP & INM | COM | 09256A109 | 3,158 | 156,348 | SH | SOLE | 156,103 | 0 | 245 | ||
BLACKROCK ENHANCED EQUITY DI | COM | 09251A104 | 4,523 | 461,580 | SH | SOLE | 458,427 | 0 | 3,153 | ||
BLACKROCK ENHANCED GLOBAL DI | COM | 092501105 | 2,037 | 173,927 | SH | SOLE | 172,559 | 0 | 1,368 | ||
BLACKROCK ENHANCED GOVT FD I | COM | 09255K108 | 376 | 29,834 | SH | SOLE | 29,834 | 0 | 0 | ||
BLACKROCK ENHANCED INTL DIV | COM BENE INTER | 092524107 | 3,187 | 518,246 | SH | SOLE | 515,560 | 0 | 2,686 | ||
BLACKROCK FLOATING RATE INCO | COM | 09255X100 | 1,546 | 115,750 | SH | SOLE | 115,407 | 0 | 343 | ||
BLACKROCK GLOBAL FLOATING RA | COM | 091941104 | 1,735 | 130,619 | SH | SOLE | 129,473 | 0 | 1,146 | ||
BLACKROCK SCIENCE & TECHNOLO | SHS | 09258G104 | 1,076 | 20,623 | SH | SOLE | 19,973 | 0 | 650 | ||
BLACKSTONE STRATEGIC CREDIT | COM SHS BEN IN | 09257R101 | 2,735 | 197,459 | SH | SOLE | 196,485 | 0 | 974 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 8,381 | 639,251 | SH | SOLE | 634,932 | 0 | 4,319 | ||
CALAMOS GBL DYN INCOME FUND | COM | 12811L107 | 981 | 102,524 | SH | SOLE | 102,524 | 0 | 0 | ||
CALAMOS LNG SHR EQT DYNAMIC | COM | 12812C106 | 237 | 11,624 | SH | SOLE | 11,624 | 0 | 0 | ||
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 910 | 108,870 | SH | SOLE | 108,870 | 0 | 0 | ||
CENTRAL SECS CORP | COM | 155123102 | 7,156 | 169,384 | SH | SOLE | 168,577 | 0 | 807 | ||
CHINA FD INC | COM | 169373107 | 1,791 | 70,439 | SH | SOLE | 70,439 | 0 | 0 | ||
COHEN & STEERS CLOSED-END OP | COM | 19248P106 | 779 | 57,267 | SH | SOLE | 57,267 | 0 | 0 | ||
COHEN & STEERS QUALITY INCOM | COM | 19247L106 | 515 | 34,595 | SH | SOLE | 34,595 | 0 | 0 | ||
COLUMBIA SELIGM PREM TECH GR | COM | 19842X109 | 979 | 29,694 | SH | SOLE | 29,413 | 0 | 281 | ||
CREDIT SUISSE HIGH YIELD BD | SH BEN INT | 22544F103 | 561 | 227,314 | SH | SOLE | 214,397 | 0 | 12,917 | ||
DELAWARE ENHANCED GLOBAL DIV | COM | 246060107 | 2,790 | 275,692 | SH | SOLE | 275,175 | 0 | 517 | ||
DELAWARE INVTS DIVID & INCOM | COM | 245915103 | 749 | 67,890 | SH | SOLE | 67,195 | 0 | 695 | ||
DOUBLELINE INCOME SOLUTIONS | COM | 258622109 | 5,268 | 296,633 | SH | SOLE | 293,741 | 0 | 2,892 | ||
DOUBLELINE OPPORTUNISTIC CR | COM | 258623107 | 663 | 33,615 | SH | SOLE | 33,615 | 0 | 0 | ||
EATON VANCE ENHANCED EQUITY | COM | 278274105 | 570 | 31,849 | SH | SOLE | 31,849 | 0 | 0 | ||
EATON VANCE LTD DURATION INC | COM | 27828H105 | 1,115 | 84,598 | SH | SOLE | 84,598 | 0 | 0 | ||
EATON VANCE TAX ADVT DIV INC | COM | 27828G107 | 2,192 | 79,866 | SH | SOLE | 79,565 | 0 | 301 | ||
ELLSWORTH GROWTH & INCOME FD | COM | 289074106 | 794 | 59,437 | SH | SOLE | 59,437 | 0 | 0 | ||
EUROPEAN EQUITY FD INC | COM | 298768102 | 2,799 | 251,029 | SH | SOLE | 250,149 | 0 | 880 | ||
FIRST TR / ABERDEEN GLOBAL O | COM SHS | 337319107 | 2,490 | 245,827 | SH | SOLE | 242,740 | 0 | 3,087 | ||
FIRST TR DYNAMIC EUROPE EQUI | COM SHS | 33740d107 | 2,195 | 170,279 | SH | SOLE | 169,652 | 0 | 627 | ||
FIRST TR ENERGY INFRASTRCTR | COM | 33738C103 | 457 | 35,853 | SH | SOLE | 33,187 | 0 | 2,666 | ||
FIRST TR ENHANCED EQUITY INC | COM | 337318109 | 512 | 26,000 | SH | SOLE | 26,000 | 0 | 0 | ||
FIRST TR HIGH INCOME LONG / | COM | 33738E109 | 882 | 55,501 | SH | SOLE | 55,501 | 0 | 0 | ||
FIRST TR SPECIALTY FIN & FIN | COM BEN INTR | 33733G109 | 461 | 116,118 | SH | SOLE | 116,118 | 0 | 0 | ||
FIRST TR SR FLOATING RATE 20 | COM SHS | 33740K101 | 416 | 43,176 | SH | SOLE | 38,747 | 0 | 4,429 | ||
FIRST TR SR FLTG RATE INCOME | COM | 33733U108 | 467 | 38,129 | SH | SOLE | 33,973 | 0 | 4,156 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 1,870 | 230,617 | SH | SOLE | 226,418 | 0 | 4,199 | ||
GABELLI CONV & INC SECS FD I | COM | 36240B109 | 817 | 134,309 | SH | SOLE | 131,808 | 0 | 2,501 | ||
GABELLI DIVID & INCOME TR | COM | 36242H104 | 6,694 | 259,559 | SH | SOLE | 256,494 | 0 | 3,065 | ||
GABELLI EQUITY TR INC | COM | 362397101 | 1,475 | 221,809 | SH | SOLE | 221,750 | 0 | 59 | ||
GABELLI GLOBAL SMALL & MID C | COM | 36249W104 | 1,008 | 63,280 | SH | SOLE | 62,651 | 0 | 629 | ||
GABELLI GLOBL UTIL & INCOME | COM SH BEN INT | 36242L105 | 309 | 15,717 | SH | SOLE | 15,717 | 0 | 0 | ||
GABELLI HLTHCARE & WELLNESS | SHS | 36246K103 | 262 | 19,850 | SH | SOLE | 19,850 | 0 | 0 | ||
GAMCO NAT RES GOLD & INCOME | SH BEN INT | 36465E101 | 74 | 14,685 | SH | SOLE | 14,685 | 0 | 0 | ||
GENERAL AMERN INVS CO INC | COM | 368802104 | 7,504 | 174,275 | SH | SOLE | 172,759 | 0 | 1,516 | ||
HANCOCK JOHN INVS TR | COM | 410142103 | 248 | 13,302 | SH | SOLE | 13,302 | 0 | 0 | ||
HANCOCK JOHN TAX-ADVANTAGED | COM | 41013V100 | 1,981 | 86,564 | SH | SOLE | 86,186 | 0 | 378 | ||
HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 | 273 | 47,809 | SH | SOLE | 47,809 | 0 | 0 | ||
HIGHLAND GLOBAL ALLOCATION F | COM | 43010T104 | 555 | 61,099 | SH | SOLE | 59,396 | 0 | 1,703 | ||
INVESCO DYNAMIC CR OPPORTUNI | COM | 46132R104 | 3,559 | 304,168 | SH | SOLE | 298,519 | 0 | 5,649 | ||
INVESCO HIGH INCOME TR II | COM | 46131F101 | 235 | 16,091 | SH | SOLE | 16,091 | 0 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 569 | 127,811 | SH | SOLE | 127,811 | 0 | 0 | ||
JAPAN SMALLER CAPITALIZATION | COM | 47109U104 | 672 | 74,253 | SH | SOLE | 74,253 | 0 | 0 | ||
JOHN HANCOCK HEDGED EQUITY & | COM | 47804L102 | 227 | 18,120 | SH | SOLE | 18,120 | 0 | 0 | ||
KKR INCOME OPPORTUNITIES FD | COM | 48249T106 | 1,927 | 117,623 | SH | SOLE | 117,040 | 0 | 583 | ||
KOREA FD INC | COM NEW | 500634209 | 387 | 9,459 | SH | SOLE | 9,459 | 0 | 0 | ||
LAZARD GLOBAL TOTAL RETURN & | COM | 52106W103 | 2,594 | 129,493 | SH | SOLE | 129,493 | 0 | 0 | ||
LIBERTY ALL-STAR GROWTH FD I | COM | 529900102 | 4,321 | 500,753 | SH | SOLE | 499,653 | 0 | 1,100 | ||
LMP CAP & INCOME FD INC | COM | 50208A102 | 3,302 | 240,000 | SH | SOLE | 237,578 | 0 | 2,422 | ||
MACQUARIE / FIRST TR GLOBAL | COM | 55607W100 | 343 | 36,026 | SH | SOLE | 36,026 | 0 | 0 | ||
MEXICO FD INC | COM | 592835102 | 206 | 13,861 | SH | SOLE | 13,861 | 0 | 0 | ||
MFS CHARTER INCOME TR | SH BEN INT | 552727109 | 264 | 30,648 | SH | SOLE | 30,290 | 0 | 358 | ||
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 528 | 145,826 | SH | SOLE | 145,826 | 0 | 0 | ||
MORGAN STANLEY CHINA A SH FD | COM | 617468103 | 1,472 | 70,134 | SH | SOLE | 69,162 | 0 | 972 | ||
MORGAN STANLEY EMKT DBT FD I | COM | 61744H105 | 799 | 87,663 | SH | SOLE | 87,362 | 0 | 301 | ||
NEW GERMANY FD INC | COM | 644465106 | 4,626 | 234,213 | SH | SOLE | 231,654 | 0 | 2,559 | ||
NEW IRELAND FD INC | COM | 645673104 | 1,510 | 122,602 | SH | SOLE | 121,700 | 0 | 902 | ||
NUVEEN CORPORATE INCM NOVEME | COM | 67077N106 | 724 | 77,218 | SH | SOLE | 77,218 | 0 | 0 | ||
NUVEEN CR STRATEGIES INCOME | COM SHS | 67073D102 | 2,305 | 351,402 | SH | SOLE | 346,809 | 0 | 4,593 | ||
NUVEEN DOW 30 DYNMC OVERWRT | SHS | 67075F105 | 4,759 | 284,109 | SH | SOLE | 281,846 | 0 | 2,263 | ||
NUVEEN EMERGING MKTS DEBT 20 | COM | 67077P101 | 642 | 80,299 | SH | SOLE | 77,038 | 0 | 3,261 | ||
NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 826 | 81,979 | SH | SOLE | 80,920 | 0 | 1,059 | ||
NUVEEN FLOATING RATE INCOME | COM SHS | 6706EN100 | 2,119 | 212,370 | SH | SOLE | 209,539 | 0 | 2,831 | ||
NUVEEN GLOBAL HIGH INCOME FD | SHS | 67075G103 | 766 | 47,675 | SH | SOLE | 47,568 | 0 | 107 | ||
NUVEEN MORTGAGE AND INCOME F | COM | 670735109 | 249 | 12,024 | SH | SOLE | 10,611 | 0 | 1,413 | ||
NUVEEN MULTI-MKT INCOME FD | COM | 67075J107 | 161 | 21,438 | SH | SOLE | 21,438 | 0 | 0 | ||
NUVEEN NASDAQ 100 DYNAMIC OV | COM SHS | 670699107 | 1,945 | 68,526 | SH | SOLE | 67,384 | 0 | 1,142 | ||
NUVEEN PFD & INCM SECURTIES | COM | 67072C105 | 872 | 89,004 | SH | SOLE | 87,205 | 0 | 1,799 | ||
NUVEEN PFD & INCOME 2022 TER | COM | 67075T105 | 390 | 15,638 | SH | SOLE | 15,638 | 0 | 0 | ||
NUVEEN PFD & INCOME OPPORTUN | COM | 67073B106 | 1,424 | 143,842 | SH | SOLE | 142,726 | 0 | 1,116 | ||
NUVEEN PFD & INCOME TERM FD | COM | 67075A106 | 536 | 21,610 | SH | SOLE | 21,610 | 0 | 0 | ||
NUVEEN REAL ESTATE INCOME FD | COM | 67071B108 | 825 | 77,685 | SH | SOLE | 75,752 | 0 | 1,933 | ||
NUVEEN S&P 500 BUY-WRITE INC | COM | 6706ER101 | 2,420 | 170,091 | SH | SOLE | 169,746 | 0 | 345 | ||
NUVEEN S&P 500 DYNAMIC OVERW | COM | 6706EW100 | 3,784 | 221,428 | SH | SOLE | 219,662 | 0 | 1,766 | ||
NUVEEN SHORT DURATION CR OPP | COM | 67074X107 | 605 | 40,089 | SH | SOLE | 40,089 | 0 | 0 | ||
NUVEEN SR INCOME FD | COM | 67067Y104 | 2,605 | 445,263 | SH | SOLE | 440,899 | 0 | 4,364 | ||
NUVEEN TAX-ADVANTAGED DIVID | COM | 67073G105 | 3,699 | 233,509 | SH | SOLE | 230,481 | 0 | 3,028 | ||
NUVEEN TX ADV TOTAL RET STRG | COM | 67090H102 | 953 | 85,812 | SH | SOLE | 85,554 | 0 | 258 | ||
PGIM GLOBAL HIGH YIELD FD FO | COM | 69346J106 | 3,624 | 235,307 | SH | SOLE | 227,242 | 0 | 8,065 | ||
PGIM HIGH YIELD BOND FUND IN | COM | 69346H100 | 1,785 | 109,902 | SH | SOLE | 109,902 | 0 | 0 | ||
PIONEER DIVERSIFIED HIGH INC | COM | 723653101 | 1,102 | 70,944 | SH | SOLE | 70,361 | 0 | 583 | ||
PIONEER FLOATING RATE FUND I | COM | 72369J102 | 1,631 | 141,930 | SH | SOLE | 140,443 | 0 | 1,487 | ||
PRINCIPAL REAL ESTATE INCOME | SHS BEN INT | 74255X104 | 1,010 | 68,735 | SH | SOLE | 67,124 | 0 | 1,611 | ||
PUTNAM MASTER INTER INCOME T | SH BEN INT | 746909100 | 2,738 | 672,712 | SH | SOLE | 668,647 | 0 | 4,065 | ||
PUTNAM PREMIER INCOME TR | SH BEN INT | 746853100 | 2,209 | 483,343 | SH | SOLE | 473,755 | 0 | 9,588 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 345 | 22,308 | SH | SOLE | 22,308 | 0 | 0 | ||
ROYCE MICRO-CAP TR INC | COM | 780915104 | 5,601 | 490,424 | SH | SOLE | 485,556 | 0 | 4,868 | ||
ROYCE VALUE TR INC | COM | 780910105 | 5,413 | 300,394 | SH | SOLE | 297,105 | 0 | 3,289 | ||
SABA CAPITAL INCOME & OPRNT | SHARES | 78518H103 | 1,532 | 336,613 | SH | SOLE | 325,745 | 0 | 10,868 | ||
SOURCE CAP INC | COM | 836144105 | 6,184 | 138,562 | SH | SOLE | 136,557 | 0 | 2,005 | ||
SPROTT FOCUS TR INC | COM | 85208J109 | 1,884 | 227,202 | SH | SOLE | 224,445 | 0 | 2,757 | ||
SWISS HELVETIA FD INC | COM | 870875101 | 1,318 | 143,605 | SH | SOLE | 140,737 | 0 | 2,868 | ||
TAIWAN FD INC | COM | 874036106 | 830 | 23,574 | SH | SOLE | 23,574 | 0 | 0 | ||
TEMPLETON DRAGON FD INC | COM | 88018T101 | 1,346 | 74,908 | SH | SOLE | 72,785 | 0 | 2,123 | ||
TEMPLETON EMERGING MKTS FD | COM | 880191101 | 454 | 26,760 | SH | SOLE | 25,300 | 0 | 1,460 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 1,650 | 306,643 | SH | SOLE | 306,643 | 0 | 0 | ||
TRI CONTL CORP | COM | 895436103 | 7,566 | 226,654 | SH | SOLE | 225,350 | 0 | 1,304 | ||
VIRTUS ALLIANZGI ARTIFICIAL | COM | 92838Y100 | 2,398 | 89,874 | SH | SOLE | 88,847 | 0 | 1,027 | ||
VIRTUS ALLIANZGI CONVERTIBLE | COM | 92838U108 | 1,240 | 238,955 | SH | SOLE | 235,785 | 0 | 3,170 | ||
VIRTUS ALLIANZGI CONVERTIBLE | COM | 92838X102 | 626 | 105,030 | SH | SOLE | 105,030 | 0 | 0 | ||
VIRTUS ALLIANZGI DIVERSIFIED | COM | 92840N100 | 555 | 16,393 | SH | SOLE | 15,871 | 0 | 522 | ||
VIRTUS ALLIANZGI EQUITY & CO | COM | 92841M101 | 3,862 | 131,032 | SH | SOLE | 129,585 | 0 | 1,447 | ||
VIRTUS DIVIDEND INTEREST & P | COM | 92840R101 | 7,052 | 475,512 | SH | SOLE | 471,743 | 0 | 3,769 | ||
VIRTUS GLOBAL MULTI-SECTOR I | COM | 92829B101 | 2,712 | 230,415 | SH | SOLE | 226,156 | 0 | 4,259 | ||
VOYA ASIA PAC HIGH DIV EQT I | COM | 92912J102 | 1,061 | 123,355 | SH | SOLE | 122,539 | 0 | 816 | ||
VOYA EMERGING MKTS HIGH DIVI | COM | 92912P108 | 666 | 90,061 | SH | SOLE | 90,061 | 0 | 0 | ||
VOYA GLBL EQTY DIV & PREM OP | COM | 92912T100 | 106 | 18,000 | SH | SOLE | 18,000 | 0 | 0 | ||
WELLS FARGO ADVANTAGE INCOME | WF INC OPPTY FD | 94987B105 | 745 | 84,686 | SH | SOLE | 84,686 | 0 | 0 | ||
WELLS FARGO GLOBAL DIVID OPP | COM | 94987C103 | 204 | 37,000 | SH | SOLE | 37,000 | 0 | 0 | ||
WESTERN ASSET EMERGING MKTS | COM | 95766A101 | 730 | 53,653 | SH | SOLE | 53,155 | 0 | 498 | ||
WESTERN ASSET GBL HIGH INC F | COM | 95766B109 | 3,099 | 300,918 | SH | SOLE | 296,809 | 0 | 4,109 | ||
WESTERN ASSET GLOBAL CORP DE | COM | 95790C107 | 1,182 | 65,542 | SH | SOLE | 64,055 | 0 | 1,487 | ||
WESTERN ASSET HIGH INCOME OP | COM | 95766K109 | 1,036 | 199,572 | SH | SOLE | 197,923 | 0 | 1,649 |