APOLLO SR FLOATING RATE FD I
COM · CUSIP 037636107
57
institutional holders
+6 vs Q3 2022
5.3m
shares reported held*
$65.3mreported value*
12 new
16 added
15 reduced
4 sold out
net bought ≈ $4.3m (+348.7k shares)
* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $12.34.
Trends to Q4 2022
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 51 |
| Q4 2022 | 57 |
Biggest buyers
| MORGAN STANLEY | Added | +151.9k |
| Saba Capital Management, L.P. | Added | +115.5k |
| Logan Stone Capital, LLC | Added | +109.8k |
| OAKTREE CAPITAL MANAGEMENT LP | Added | +96.7k |
| BANK OF AMERICA CORP /DE/ | Added | +63.7k |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD | Added | +40.0k |
| AQR Arbitrage LLC | New | +28.6k |
| WOLVERINE ASSET MANAGEMENT LLC | Added | +26.0k |
| HighTower Advisors, LLC | New | +22.9k |
| Matisse Capital | New | +21.6k |
Biggest sellers
| GUGGENHEIM CAPITAL LLC | Reduced | -99.1k |
| Janney Montgomery Scott LLC | Reduced | -80.5k |
| Advisors Asset Management, Inc. | Reduced | -70.3k |
| SIT INVESTMENT ASSOCIATES INC | Reduced | -53.5k |
| Quantedge Capital Pte Ltd | Sold out | -26.5k |
| WELLS FARGO & COMPANY/MN | Reduced | -17.7k |
| OneDigital Investment Advisors LLC | Reduced | -15.9k |
| Gilman Hill Asset Management, LLC | Sold out | -10.0k |
| LPL Financial LLC | Reduced | -6.8k |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | Reduced | -6.5k |
Holders, Q4 2022
| Manager | Shares | Change |
|---|---|---|
| MORGAN STANLEY 0.00% of their portfolio | 772.0k $9.5m | Added +151.9k |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 479.0k $5.9m | Reduced -17.7k |
| Next Capital Management LLC 2.54% of their portfolio | 380.9k $4.7m | Reduced -1.3k |
| OAKTREE CAPITAL MANAGEMENT LP 0.05% of their portfolio | 372.8k $4.6m | Added +96.7k |
| Advisors Asset Management, Inc. 0.08% of their portfolio | 299.5k $3.7m | Reduced -70.3k |
| OneDigital Investment Advisors LLC 0.10% of their portfolio | 288.4k $3.6m | Reduced -15.9k |
| Invesco Ltd. 0.00% of their portfolio | 251.7k $3.1m | Added +4.9k |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 246.1k $3.0m | Added +63.7k |
| GUGGENHEIM CAPITAL LLC 0.02% of their portfolio | 195.3k $2.4m | Reduced -99.1k |
| SIT INVESTMENT ASSOCIATES INC 0.07% of their portfolio | 193.8k $2.4m | Reduced -53.5k |
| LPL Financial LLC 0.00% of their portfolio | 179.8k $2.2m | Reduced -6.8k |
| Logan Stone Capital, LLC 0.76% of their portfolio | 164.8k $2.0m | Added +109.8k |
| Saba Capital Management, L.P. 0.03% of their portfolio | 141.3k $1.7m | Added +115.5k |
| Shaker Financial Services, LLC 0.80% of their portfolio | 139.0k $1.7m | Added +6.5k |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 0.13% of their portfolio | 129.2k $1.6m | Added +40.0k |
| Hennion & Walsh Asset Management, Inc. 0.08% of their portfolio | 105.9k $1.3m | Reduced -2.8k |
| Apollo Management Holdings, L.P. 0.01% of their portfolio | 105.2k $1.3m | Unchanged |
| Janney Montgomery Scott LLC 0.00% of their portfolio | 86.0k $1.1m | Reduced -80.5k |
| Garner Asset Management Corp 0.50% of their portfolio | 84.5k $1.0m | Unchanged |
| WOLVERINE ASSET MANAGEMENT LLC 0.02% of their portfolio | 83.0k $1.0m | Added +26.0k |
| STIFEL FINANCIAL CORP 0.00% of their portfolio | 78.0k $962.9k | Added +6.1k |
| UBS Group AG 0.00% of their portfolio | 55.7k $687.4k | Reduced -3.4k |
| SHUFRO ROSE & CO LLC 0.06% of their portfolio | 52.9k $652.8k | Added +2.2k |
| CLOUGH CAPITAL PARTNERS L P 0.06% of their portfolio | 48.1k $593.6k | Unchanged |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 47.7k $589.0k | Added +3.0k |
| Capital Investment Advisors, LLC 0.02% of their portfolio | 45.2k $557.0k | Reduced -4.6k |
| AQR Arbitrage LLC 0.01% of their portfolio | 28.6k $353.1k | New |
| HighTower Advisors, LLC 0.00% of their portfolio | 22.9k $276.0k | New |
| Matisse Capital 0.13% of their portfolio | 21.6k $266.0k | New |
| SUMMIT WEALTH & RETIREMENT PLANNING, INC. 0.10% of their portfolio | 20.0k $246.9k | New |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 18.2k $225.2k | Reduced -3.4k |
| Qube Research & Technologies Ltd 0.00% of their portfolio | 16.5k $203.1k | Unchanged |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio | 14.7k $181.2k | New |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.03% of their portfolio | 14.5k $179.2k | Reduced -6.5k |
| ZAZOVE ASSOCIATES LLC 0.02% of their portfolio | 14.5k $179.0k | Unchanged |
| ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio | 13.5k $167.0k | Added +570 |
| MELFA WEALTH MANAGEMENT, INC. 0.14% of their portfolio | 11.1k $137.4k | First filing |
| Westchester Capital Management, LLC 0.00% of their portfolio | 11.1k $137.3k | Unchanged |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.01% of their portfolio | 11.1k $137.1k | New |
| FIRST FOUNDATION ADVISORS 0.01% of their portfolio | 11.0k $136.0k | Unchanged |
| Wealthcare Advisory Partners LLC 0.01% of their portfolio | 10.4k $128.3k | Reduced -5.1k |
| CoreCap Advisors, LLC 0.01% of their portfolio | 7.5k $92.5k | New |
| JPMORGAN CHASE & CO 0.00% of their portfolio | 6.1k $76.0k | Added +686 |
| Stonebridge Capital Advisors LLC 0.01% of their portfolio | 4.0k $49.4k | New |
| Anchor Investment Management, LLC 0.00% of their portfolio | 2.7k $33.3k | Unchanged |
| Accel Wealth Management 0.01% of their portfolio | 2.1k $26.2k | New |
| Baldrige Asset Management LLC 0.01% of their portfolio | 1.4k $17.0k | New |
| Steward Partners Investment Advisory, LLC 0.00% of their portfolio | 1.0k $12.3k | Unchanged |
| FIFTH THIRD BANCORP 0.00% of their portfolio | 621 $7.7k | Unchanged |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio | 389 $4.8k | Reduced -4.5k |
| BESSEMER GROUP INC 0.00% of their portfolio | 371 $5.0k | Added +80 |
| NewEdge Advisors, LLC 0.00% of their portfolio | 300 $4.0k | New |
| IFP Advisors, Inc 0.00% of their portfolio | 162 $6.0k | Added +9 |
| ROBINSON CAPITAL MANAGEMENT, LLC 0.00% of their portfolio | 125 $1.6k | New |
| EverSource Wealth Advisors, LLC 0.00% of their portfolio | 27 $333 | Unchanged |
| CWM, LLC 0.00% of their portfolio | 13 $0 | Unchanged |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |