Vault-13

APOLLO SR FLOATING RATE FD I

COM · CUSIP 037636107

48 institutional holders +2 vs Q1 2024
3,985,4644.0m shares reported held*
$57.9mreported value*
7 new 13 added 12 reduced 5 sold out net sold ≈ $39.7m (-2.7m 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 ≈ $14.54.

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 51Q4 22: 57Q1 23: 47Q2 23: 50Q3 23: 46Q4 23: 52Q1 24: 46Q2 24: 4848Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 202251
Q4 202257
Q1 202347
Q2 202350
Q3 202346
Q4 202352
Q1 202446
Q2 202448

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 outQ2 23: 19 bought or addedQ2 23: 19 cut or sold outQ2 23Q3 23: 22 bought or addedQ3 23: 20 cut or sold outQ4 23: 26 bought or addedQ4 23: 21 cut or sold outQ4 23Q1 24: 21 bought or addedQ1 24: 31 cut or sold outQ2 24: 20 bought or addedQ2 24: 17 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 20222819
Q1 20231628
Q2 20231919
Q3 20232220
Q4 20232621
Q1 20242131
Q2 20242017

Biggest buyers

Compound Planning, Inc. New +24,988+25.0k
Advisory Services Network, LLC New +23,394+23.4k
Invesco Ltd. Added +21,556+21.6k
STIFEL FINANCIAL CORP Added +19,463+19.5k
GUGGENHEIM CAPITAL LLC Added +19,031+19.0k
Alpine Global Management, LLC New +17,000+17.0k
SUSQUEHANNA INTERNATIONAL GROUP, LLP New +15,076+15.1k
Virtu Financial LLC New +12,231+12.2k
ENVESTNET ASSET MANAGEMENT INC New +12,083+12.1k
Garner Asset Management Corp Added +9,700+9.7k

Biggest sellers

MORGAN STANLEY Reduced -2,320,685-2.3m
Pathstone Holdings, LLC Reduced -300,774-300.8k
Next Capital Management LLC Reduced -151,326-151.3k
BANK OF AMERICA CORP /DE/ Reduced -32,833-32.8k
OneDigital Investment Advisors LLC Reduced -26,872-26.9k
OSAIC HOLDINGS, INC. Reduced -24,150-24.1k
Advisors Asset Management, Inc. Reduced -16,909-16.9k
ZAZOVE ASSOCIATES LLC Sold out -14,507-14.5k
JONES ROAD CAPITAL MANAGEMENT, L.P. Sold out -14,014-14.0k
Shaker Financial Services, LLC Sold out -13,694-13.7k

Holders, Q2 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,058,1611.1m $15.4m $15.4m 0.00% Reduced -2.3m -2,320,685
2 GUGGENHEIM CAPITAL LLC 0.03% of their portfolio CHICAGO, IL 331,759331.8k $4.8m $4.8m 0.03% Added +19.0k +19,031
3 Advisors Asset Management, Inc. 0.09% of their portfolio Monument, CO 302,779302.8k $4.4m $4.4m 0.09% Reduced -16.9k -16,909
4 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 263,267263.3k $3.8m $3.8m 0.00% Added +21.6k +21,556
5 Pathstone Holdings, LLC 0.01% of their portfolio ENGLEWOOD, NJ 211,034211.0k $3.1m $3.1m 0.01% Reduced -300.8k -300,774
6 Next Capital Management LLC 1.24% of their portfolio NEW YORK, NY 202,529202.5k $2.9m $2.9m 1.24% Reduced -151.3k -151,326
7 OneDigital Investment Advisors LLC 0.03% of their portfolio OVERLAND PARK, KS 189,649189.6k $2.8m $2.8m 0.03% Reduced -26.9k -26,872
8 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 182,591182.6k $2.7m $2.7m 0.00% Added +2.1k +2,130
9 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 175,608175.6k $2.6m $2.6m 0.00% Added +1.7k +1,652
10 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 161,778161.8k $2.4m $2.4m 0.00% Added +19.5k +19,463
11 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 160,310160.3k $2.3m $2.3m 0.00% Reduced -32.8k -32,833
12 Apollo Management Holdings, L.P. 0.03% of their portfolio New York, NY 105,236105.2k $1.5m $1.5m 0.03% Unchanged
13 Garner Asset Management Corp 0.51% of their portfolio PLANO, TX 74,44974.4k $1.1m $1.1m 0.51% Added +9.7k +9,700
14 UBS Group AG 0.00% of their portfolio ZURICH, V8 61,78861.8k $898.4k $898.4k 0.00% Added +9.0k +8,993
15 Bramshill Investments, LLC 0.09% of their portfolio NAPLES, FL 59,13759.1k $859.9k $859.9k 0.09% Added +5.5k +5,529
16 SHUFRO ROSE & CO LLC 0.06% of their portfolio NEW YORK, NY 52,20052.2k $759.0k $759.0k 0.06% Unchanged
17 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 45,93045.9k $668.0k $668.0k 0.00% Reduced -3.5k -3,459
18 United Advisor Group, LLC 0.20% of their portfolio CINCINNATI, OH 43,39743.4k $631.0k $631.0k 0.20% Added +1.9k +1,875
19 Capital Investment Advisors, LLC 0.01% of their portfolio ATLANTA, GA 38,62338.6k $561.6k $561.6k 0.01% Added +51 +51
20 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 35,80135.8k $521.0k $521.0k 0.00% Added +3.2k +3,213
21 Compound Planning, Inc. 0.03% of their portfolio NEW YORK, NY 24,98825.0k $363.3k $363.3k 0.03% New
22 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 23,39423.4k $340.1k $340.1k 0.01% New
23 Alpine Global Management, LLC 0.04% of their portfolio NEW YORK, NY 17,00017.0k $247.2k $247.2k 0.04% New
24 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 15,07615.1k $219.2k $219.2k 0.00% New
25 Hennion & Walsh Asset Management, Inc. 0.01% of their portfolio Parsippany, NJ 13,02013.0k $189.3k $189.3k 0.01% Reduced -213 -213
26 MELFA WEALTH MANAGEMENT, INC. 0.13% of their portfolio WESTBOROUGH, MA 12,39912.4k $180.3k $180.3k 0.13% Unchanged
27 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 12,25212.3k $178.1k $178.1k 0.00% Unchanged
28 Virtu Financial LLC 0.01% of their portfolio New York, NY 12,23112.2k $178.0k $178.0k 0.01% New
29 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 12,08312.1k $175.7k $175.7k 0.00% New
30 Williams Jones Wealth Management, LLC. 0.00% of their portfolio NEW YORK, NY 12,00012.0k $174.5k $174.5k 0.00% Unchanged
31 COMERICA BANK 0.00% of their portfolio DALLAS, TX 11,41011.4k $165.9k $165.9k 0.00% Reduced -1.1k -1,053
32 Wealthcare Advisory Partners LLC 0.00% of their portfolio WEST CHESTER, PA 10,02810.0k $145.8k $145.8k 0.00% Unchanged
33 CAROLINAS WEALTH CONSULTING LLC 0.03% of their portfolio CHARLOTTE, NC 9,8039.8k $142.5k $142.5k 0.03% Added +2.3k +2,285
34 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 9,4179.4k $136.9k $136.9k 0.00% Reduced -24.1k -24,150
35 BENJAMIN F. EDWARDS & COMPANY, INC. 0.00% of their portfolio ST. LOUIS, MO 9,1009.1k $132.0k $132.0k 0.00% Added +2.8k +2,800
36 Westchester Capital Management, LLC 0.01% of their portfolio VALHALLA, NY 8,0688.1k $117.3k $117.3k 0.01% Reduced -3.1k -3,059
37 Avior Wealth Management, LLC 0.00% of their portfolio OMAHA, NE 3,1123.1k $45.2k $45.2k 0.00% Reduced -3.1k -3,138
38 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 3,0483.0k $44.3k $44.3k 0.00% Unchanged
39 Anchor Investment Management, LLC 0.00% of their portfolio COLUMBIA, SC 2,7002.7k $39.3k $39.3k 0.00% Unchanged
40 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 2,0002.0k $29.1k $29.1k 0.00% Unchanged
41 Cape Investment Advisory, Inc. 0.01% of their portfolio MCDONOUGH, GA 1,8701.9k $27.2k $27.2k 0.01% Unchanged
42 CIBC Private Wealth Group LLC 0.00% of their portfolio ATLANTA, GA 1,8501.9k $27.6k $27.6k 0.00% Unchanged
43 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 1,3401.3k $19.5k $19.5k 0.00% New
44 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 900900 $13.4k $13.4k 0.00% Unchanged
45 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 300300 $4.4k $4.4k 0.00% Unchanged
46 ASSETMARK, INC 0.00% of their portfolio CONCORD, CA 3939 $567 $567 0.00% Unchanged
47 PRINCIPAL SECURITIES, INC. 0.00% of their portfolio DES MOINES, IA 1010 $145 $145 0.00% Unchanged
48 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged