Sheaff Brock Investment Advisors, LLC Asset Management

Sheaff Brock Investment Advisors, LLC

$1.13 Billion
Q3 2024

Stock List

Stock	Market Cap.	Holding Value (Reported)	# of Shares.	Last Trade	Trade History
USA Liberty All Star Equity Fund	$0	$1.96 Million 0.17% of portfolio	274,230	Q3 2024 Added 0.22%
ARCC Ares Capital Corp	$0	$1.17 Million 0.1% of portfolio	55,670	Q3 2024 Added 0.02%
BFK Blackrock Municipal Income Trust	$0	$975,000 0.09% of portfolio	92,329	Q4 2023 Added 322.96%
BX Blackstone Inc.	$122B	$834,000 0.07% of portfolio	5,453	Q3 2024 Reduced 0.73%
EXG Eaton Vance Tax Managed Global Diversified Equity Income Fund	$0	$826,000 0.07% of portfolio	94,756	Q3 2024 Added 5.62%
ETW Eaton Vance Tax Managed Global Buy Write Opportunities Fund	$0	$515,000 0.05% of portfolio	59,396	Q3 2024 Added 0.04%
PMM Putnam Managed Municipal Income Trust	$0	$447,000 0.04% of portfolio	68,670	Q4 2023 Added 15.37%
RIV Rivernorth Opportunities Fund, Inc.	$0	$439,000 0.04% of portfolio	34,000	Q2 2024 Added 3.03%
MAIN Main Street Capital Corp	$4.41B	$423,000 0.04% of portfolio	8,452	Q3 2024 Reduced 2.02%
TY Tri Continental Corp	$0	$369,000 0.03% of portfolio	11,219	Q3 2024 Reduced 0.09%
OXLC Oxford Lane Capital Corp.	$0	$325,000 0.03% of portfolio	62,300	Q3 2024 Added 0.86%
BK Bank Of New York Mellon Corp	$62.1B	$316,000 0.03% of portfolio	4,400	Q4 2023 New
SPXX Nuveen S&P 500 Dynamic Overwrite Fund	$0	$305,000 0.03% of portfolio	18,231	Q3 2024 Added 0.03%
STK Columbia Seligman Premium Technology Growth Fund, Inc.	$0	$270,000 0.02% of portfolio	8,073	Q3 2024 Added 0.04%
BXSL Blackstone Secured Lending Fund	$5.34B	$268,000 0.02% of portfolio	9,150	Q2 2024 Added 5.59%
EOI Eaton Vance Enhanced Equity Income Fund	$0	$245,000 0.02% of portfolio	12,127	Q3 2024 Added 0.09%
AB Alliancebernstein Holding L.P.	$3.61B	$237,000 0.02% of portfolio	6,810	Q3 2024 New
PIM Putnam Master Intermediate Income Trust	$0	$224,000 0.02% of portfolio	66,272	Q3 2018 Reduced 2.93%
WETF Wisdom Tree Investments, Inc.	$800M	$210,000 0.02% of portfolio	38,547	Q3 2024 New
FRA Blackrock Floating Rate Income Strategies Fund, Inc.	$0	$210,000 0.02% of portfolio	16,000	Q3 2024 Reduced 3.03%
ETB Eaton Vance Tax Managed Buy Write Income Fund	$0	$208,000 0.02% of portfolio	14,453	Q3 2024 Added 0.1%
BLE Blackrock Municipal Income Trust Ii	$0	$207,000 0.02% of portfolio	18,465	Q2 2021 New
DIAX Nuveen Dow 30sm Dynamic Overwrite Fund	$0	$199,000 0.02% of portfolio	13,420	Q3 2024 Added 0.04%
BTA Black Rock Long Term Municipal Advantage Trust	$0	$192,000 0.02% of portfolio	18,000	Q1 2024 New
PPT Putnam Premier Income Trust	$0	$190,000 0.02% of portfolio	51,176	Q2 2017 New
GAB Gabelli Equity Trust Inc	$0	$183,000 0.02% of portfolio	33,495	Q2 2024 Reduced 2.57%
MMT Mfs Multimarket Income Trust	$0	$182,000 0.02% of portfolio	37,500	Q2 2017 New
GHY Pgim Global High Yield Fund, Inc.	$0	$178,000 0.02% of portfolio	14,000	Q1 2020 Reduced 3.45%
ETJ Eaton Vance Risk Managed Diversified Equity Income Fund	$0	$178,000 0.02% of portfolio	19,417	Q2 2024 Added 82.75%
AOD Aberdeen Total Dynamic Dividend Fund	$0	$177,000 0.02% of portfolio	19,476	Q1 2024 Reduced 0.02%
NAD Nuveen Quality Municipal Income Fund	$0	$163,000 0.01% of portfolio	13,178	Q4 2023 Reduced 9.32%
GOF Guggenheim Strategic Opportunities Fund	$0	$160,000 0.01% of portfolio	10,188	Q3 2024 New
BXMX Nuveen S&P 500 Buy Write Income Fund	$0	$160,000 0.01% of portfolio	11,757	Q3 2024 Reduced 0.31%
BDJ Black Rock Enhanced Equity Dividend Trust	$0	$159,000 0.01% of portfolio	18,447	Q3 2024 Reduced 1.49%
PSEC Prospect Capital Corp	$0	$156,000 0.01% of portfolio	29,260	Q3 2024 Added 7.38%
NZF Nuveen Municipal Credit Income Fund	$0	$154,000 0.01% of portfolio	11,784	Q4 2023 Reduced 16.92%
PHK Pimco High Income Fund	$0	$148,000 0.01% of portfolio	29,736	Q4 2023 Reduced 5.97%
HYI Western Asset High Yield Defined Opportunity Fund Inc.	$0	$136,000 0.01% of portfolio	11,000	Q2 2021 Reduced 9.84%
NEA Nuveen Amt Free Quality Municipal Income Fund	$0	$133,000 0.01% of portfolio	11,141	Q1 2021 New
NUV Nuveen Municipal Value Fund Inc	$0	$133,000 0.01% of portfolio	14,800	Q3 2024 Added 12.12%
PMO Putnam Municipal Opportunities Trust	$0	$130,000 0.01% of portfolio	12,000	Q1 2020 Reduced 16.08%
TSI Tcw Strategic Income Fund Inc	$0	$117,000 0.01% of portfolio	23,000	Q1 2024 Added 15.0%
EAD Allspring Income Opportunities Fund	$0	$115,000 0.01% of portfolio	16,257	Q3 2024 Added 0.36%
DNP Dnp Select Income Fund Inc	$0	$109,000 0.01% of portfolio	10,918	Q3 2024 Added 0.28%
ASG Liberty All Star Growth Fund Inc.	$0	$109,000 0.01% of portfolio	19,545	Q2 2022 Reduced 5.4%
HRZN Horizon Technology Finance Corp	$0	$108,000 0.01% of portfolio	10,205	Q4 2023 New
CLM Cornerstone Strategic Value Fund Inc	$0	$106,000 0.01% of portfolio	13,830	Q1 2024 Reduced 10.89%
GGT Gabelli Multimedia Trust Inc.	$0	$67,000 0.01% of portfolio	13,629	Q3 2024 Reduced 6.04%
JMM Nuveen Multi Market Income Fund	$0	$63,000 0.01% of portfolio	10,000	Q2 2020 New
GLO Clough Global Opportunities Fund	$0	$54,000 0.0% of portfolio	10,000	Q4 2023 Reduced 9.09%

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