Vault-13

APOLLO SR FLOATING RATE FD I

COM · CUSIP 037636107

50 institutional holders +3 vs Q1 2023
5,642,0075.6m shares reported held*
$72.8mreported value*
8 new 11 added 14 reduced 5 sold out net bought ≈ $3.0m (+230.0k 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 ≈ $12.91.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 51Q4 22: 57Q1 23: 47Q2 23: 5050Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 202251
Q4 202257
Q1 202347
Q2 202350

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
40040Q4 22: 28 bought or addedQ4 22: 19 cut or sold outQ4 22Q1 23: 16 bought or addedQ1 23: 28 cut or sold outQ1 23Q2 23: 19 bought or addedQ2 23: 19 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20222819
Q1 20231628
Q2 20231919

Biggest buyers

Saba Capital Management, L.P. Added +137,479+137.5k
MORGAN STANLEY Added +107,959+108.0k
B. Riley Wealth Advisors, Inc. New +107,682+107.7k
Logan Stone Capital, LLC Added +98,308+98.3k
AQR Arbitrage LLC Added +34,752+34.8k
Janney Montgomery Scott LLC New +31,049+31.0k
HighTower Advisors, LLC New +27,905+27.9k
Wealthcare Advisory Partners LLC New +12,028+12.0k
BENJAMIN F. EDWARDS & COMPANY, INC. New +11,800+11.8k
BANK OF AMERICA CORP /DE/ Added +5,341+5.3k

Biggest sellers

GUGGENHEIM CAPITAL LLC Reduced -89,005-89.0k
SUMMIT WEALTH & RETIREMENT PLANNING, INC. Sold out -74,530-74.5k
Hennion & Walsh Asset Management, Inc. Reduced -45,788-45.8k
Advisors Asset Management, Inc. Reduced -33,628-33.6k
WELLS FARGO & COMPANY/MN Reduced -27,282-27.3k
Almitas Capital LLC Sold out -16,801-16.8k
WOLVERINE ASSET MANAGEMENT LLC Reduced -13,590-13.6k
OneDigital Investment Advisors LLC Reduced -12,852-12.9k
Garner Asset Management Corp Reduced -10,180-10.2k
Next Capital Management LLC Reduced -6,573-6.6k

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,427,8181.4m $18.4m $18.4m 0.00% Added +108.0k +107,959
2 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 466,501466.5k $6.0m $6.0m 0.00% Reduced -27.3k -27,282
3 OAKTREE CAPITAL MANAGEMENT LP 0.07% of their portfolio LOS ANGELES, CA 372,824372.8k $4.8m $4.8m 0.07% Unchanged
4 Next Capital Management LLC 2.22% of their portfolio NEW YORK, NY 371,902371.9k $4.8m $4.8m 2.22% Reduced -6.6k -6,573
5 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 280,276280.3k $3.6m $3.6m 0.00% Added +1.1k +1,084
6 Advisors Asset Management, Inc. 0.07% of their portfolio Monument, CO 279,316279.3k $3.6m $3.6m 0.07% Reduced -33.6k -33,628
7 OneDigital Investment Advisors LLC 0.07% of their portfolio OVERLAND PARK, KS 262,182262.2k $3.4m $3.4m 0.07% Reduced -12.9k -12,852
8 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 249,795249.8k $3.2m $3.2m 0.00% Added +5.3k +5,341
9 Saba Capital Management, L.P. 0.10% of their portfolio NEW YORK, NY 233,622233.6k $3.0m $3.0m 0.10% Added +137.5k +137,479
10 Logan Stone Capital, LLC 0.83% of their portfolio CHICAGO, IL 190,396190.4k $2.5m $2.5m 0.83% Added +98.3k +98,308
11 SIT INVESTMENT ASSOCIATES INC 0.06% of their portfolio Minneapolis, MN 185,072185.1k $2.4m $2.4m 0.06% Unchanged
12 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 161,808161.8k $2.1m $2.1m 0.00% Reduced -5.4k -5,382
13 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 0.13% of their portfolio London, X0 129,168129.2k $1.7m $1.7m 0.13% Unchanged
14 B. Riley Wealth Advisors, Inc. 0.03% of their portfolio MEMPHIS, TN 107,682107.7k $1.4m $1.4m 0.03% New
15 Apollo Management Holdings, L.P. 0.01% of their portfolio New York, NY 105,236105.2k $1.4m $1.4m 0.01% Unchanged
16 GUGGENHEIM CAPITAL LLC 0.01% of their portfolio CHICAGO, IL 100,386100.4k $1.3m $1.3m 0.01% Reduced -89.0k -89,005
17 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 78,42978.4k $1.0m $1.0m 0.00% Added +2.3k +2,265
18 Garner Asset Management Corp 0.55% of their portfolio PLANO, TX 75,80975.8k $979.0k $979.0k 0.55% Reduced -10.2k -10,180
19 AQR Arbitrage LLC 0.04% of their portfolio Greenwich, CT 73,65773.7k $950.9k $950.9k 0.04% Added +34.8k +34,752
20 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 63,40663.4k $819.0k $819.0k 0.00% Added +2.3k +2,310
21 Hennion & Walsh Asset Management, Inc. 0.04% of their portfolio Parsippany, NJ 56,77656.8k $733.0k $733.0k 0.04% Reduced -45.8k -45,788
22 UBS Group AG 0.00% of their portfolio ZURICH, V8 51,41051.4k $663.7k $663.7k 0.00% Reduced -3.9k -3,941
23 SHUFRO ROSE & CO LLC 0.06% of their portfolio NEW YORK, NY 51,40051.4k $663.6k $663.6k 0.06% Reduced -2.2k -2,250
24 Capital Investment Advisors, LLC 0.02% of their portfolio ATLANTA, GA 40,24540.2k $519.6k $519.6k 0.02% Reduced -4.6k -4,595
25 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 31,04931.0k $401.0k $401.0k 0.00% New
26 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 27,90527.9k $357.0k $357.0k 0.00% New
27 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 22,71522.7k $293.3k $293.3k 0.00% Reduced -1.3k -1,311
28 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 16,45716.5k $212.5k $212.5k 0.00% Unchanged
29 ZAZOVE ASSOCIATES LLC 0.02% of their portfolio INCLINE VILLAGE, NV 14,50714.5k $187.0k $187.0k 0.02% Unchanged
30 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 14,00014.0k $180.7k $180.7k 0.00% First filing
31 JONES ROAD CAPITAL MANAGEMENT, L.P. 0.16% of their portfolio NEW YORK, NY 12,95913.0k $167.3k $167.3k 0.16% Unchanged
32 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 12,95113.0k $167.2k $167.2k 0.00% Reduced -192 -192
33 Wealthcare Advisory Partners LLC 0.01% of their portfolio WEST CHESTER, PA 12,02812.0k $155.3k $155.3k 0.01% New
34 BENJAMIN F. EDWARDS & COMPANY, INC. 0.01% of their portfolio ST. LOUIS, MO 11,80011.8k $152.0k $152.0k 0.01% New
35 MELFA WEALTH MANAGEMENT, INC. 0.15% of their portfolio WESTBOROUGH, MA 11,57211.6k $149.4k $149.4k 0.15% Added +244 +244
36 Westchester Capital Management, LLC 0.00% of their portfolio VALHALLA, NY 11,12711.1k $143.7k $143.7k 0.00% Unchanged
37 FIRST FOUNDATION ADVISORS 0.01% of their portfolio Irvine, CA 11,01811.0k $142.2k $142.2k 0.01% Unchanged
38 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 6,4116.4k $82.8k $82.8k 0.00% Added +285 +285
39 Cape Investment Advisory, Inc. 0.02% of their portfolio MCDONOUGH, GA 3,2103.2k $41.4k $41.4k 0.02% Added +60 +60
40 Anchor Investment Management, LLC 0.00% of their portfolio COLUMBIA, SC 2,7002.7k $34.9k $34.9k 0.00% Unchanged
41 WOLVERINE ASSET MANAGEMENT LLC 0.00% of their portfolio CHICAGO, IL 2,1162.1k $27.3k $27.3k 0.00% Reduced -13.6k -13,590
42 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 1,0001.0k $12.9k $12.9k 0.00% Unchanged
43 BESSEMER GROUP INC 0.00% of their portfolio WOODBRIDGE, NJ 505505 $7.0k $7.0k 0.00% New
44 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 389389 $5.0k $5.0k 0.00% Unchanged
45 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 300300 $3.9k $3.9k 0.00% Unchanged
46 ROBINSON CAPITAL MANAGEMENT, LLC 0.00% of their portfolio GROSSE POINTE FARMS, MI 125125 $1.6k $1.6k 0.00% Unchanged
47 EverSource Wealth Advisors, LLC 0.00% of their portfolio BIRMINGHAM, AL 2727 $349 $349 0.00% Unchanged
48 CWM, LLC 0.00% of their portfolio OMAHA, NE 1919 $0 $0 0.00% New
49 FMR LLC 0.00% of their portfolio BOSTON, MA 11 $13 $13 0.00% New
50 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged