Vault-13

APOLLO TACTICAL INCOME FD IN

COM · CUSIP 037638103

45 institutional holders -5 vs Q4 2023
4,351,8504.4m shares reported held*
$62.2mreported value*
10 new 19 added 10 reduced 15 sold out net sold ≈ $7.3m (-510.6k 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 ≈ $14.30.

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 50Q4 22: 57Q1 23: 60Q2 23: 58Q3 23: 52Q4 23: 50Q1 24: 4545Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 202250
Q4 202257
Q1 202360
Q2 202358
Q3 202352
Q4 202350
Q1 202445

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q4 22: 33 bought or addedQ4 22: 15 cut or sold outQ4 22Q1 23: 28 bought or addedQ1 23: 25 cut or sold outQ1 23Q2 23: 23 bought or addedQ2 23: 27 cut or sold outQ2 23Q3 23: 19 bought or addedQ3 23: 33 cut or sold outQ3 23Q4 23: 25 bought or addedQ4 23: 28 cut or sold outQ4 23Q1 24: 29 bought or addedQ1 24: 25 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 20223315
Q1 20232825
Q2 20232327
Q3 20231933
Q4 20232528
Q1 20242925

Biggest buyers

Cetera Investment Advisers New +114,653+114.7k
COMMONWEALTH EQUITY SERVICES, LLC New +53,079+53.1k
Citizens Business Bank Added +52,500+52.5k
LPL Financial LLC Added +47,287+47.3k
GUGGENHEIM CAPITAL LLC Added +41,298+41.3k
INDEPENDENT FINANCIAL GROUP, LLC New +38,100+38.1k
STEPHENS INC /AR/ Added +33,514+33.5k
OSAIC HOLDINGS, INC. Added +21,548+21.5k
Invesco Ltd. Added +18,531+18.5k
REGIONS FINANCIAL CORP New +15,000+15.0k

Biggest sellers

MORGAN STANLEY Reduced -417,568-417.6k
WELLS FARGO & COMPANY/MN Reduced -128,313-128.3k
Pathstone Holdings, LLC Reduced -85,937-85.9k
Hennion & Walsh Asset Management, Inc. Sold out -57,073-57.1k
FourThought Financial Partners, LLC Sold out -51,175-51.2k
Congress Park Capital LLC Reduced -42,500-42.5k
Bulldog Investors, LLP Sold out -37,375-37.4k
JPMORGAN CHASE & CO Sold out -32,288-32.3k
OPPENHEIMER & CO INC Sold out -28,300-28.3k
Atria Wealth Solutions, Inc. Sold out -26,000-26.0k

Holders, Q1 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,130,6521.1m $16.2m $16.2m 0.00% Reduced -417.6k -417,568
2 Pathstone Holdings, LLC 0.06% of their portfolio ENGLEWOOD, NJ 894,929894.9k $12.8m $12.8m 0.06% Reduced -85.9k -85,937
3 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 313,443313.4k $4.5m $4.5m 0.00% Reduced -128.3k -128,313
4 Foundations Investment Advisors, LLC 0.10% of their portfolio PHOENIX, AZ 259,221259.2k $3.7m $3.7m 0.10% Added +7.0k +7,040
5 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 229,155229.2k $3.3m $3.3m 0.00% Added +18.5k +18,531
6 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 215,813215.8k $3.1m $3.1m 0.00% Added +47.3k +47,287
7 GUGGENHEIM CAPITAL LLC 0.02% of their portfolio CHICAGO, IL 179,446179.4k $2.6m $2.6m 0.02% Added +41.3k +41,298
8 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 132,878132.9k $1.9m $1.9m 0.00% Added +803 +803
9 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 114,653114.7k $1.6m $1.6m 0.00% New
10 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 105,137105.1k $1.5m $1.5m 0.00% Added +12.9k +12,903
11 STEPHENS INC /AR/ 0.02% of their portfolio LITTLE ROCK, AR 85,41485.4k $1.2m $1.2m 0.02% Added +33.5k +33,514
12 Citizens Business Bank 0.24% of their portfolio ONTARIO, CA 80,00080.0k $1.1m $1.1m 0.24% Added +52.5k +52,500
13 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 53,07953.1k $759.0k $759.0k 0.00% New
14 Capital Investment Advisors, LLC 0.02% of their portfolio ATLANTA, GA 52,62452.6k $752.5k $752.5k 0.02% Reduced -1.9k -1,950
15 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 46,76946.8k $668.8k $668.8k 0.00% Added +21.5k +21,548
16 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 42,63442.6k $609.7k $609.7k 0.00% Unchanged
17 INDEPENDENT FINANCIAL GROUP, LLC 0.03% of their portfolio SAN DIEGO, CA 38,10038.1k $544.8k $544.8k 0.03% New
18 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 33,91333.9k $485.0k $485.0k 0.00% Reduced -15.3k -15,306
19 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 29,95029.9k $428.3k $428.3k 0.00% Added +2.7k +2,705
20 NOTTINGHAM ADVISORS, INC. 0.05% of their portfolio AMHERST, NY 28,15528.2k $402.6k $402.6k 0.05% Added +947 +947
21 UBS Group AG 0.00% of their portfolio ZURICH, V8 26,69726.7k $381.8k $381.8k 0.00% Added +499 +499
22 WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC 0.14% of their portfolio HIGHLAND PARK, IL 23,59023.6k $337.3k $337.3k 0.14% Unchanged
23 PRINCIPAL SECURITIES, INC. 0.01% of their portfolio DES MOINES, IA 22,75822.8k $325.4k $325.4k 0.01% Added +449 +449
24 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 22,58222.6k $322.9k $322.9k 0.00% Reduced -517 -517
25 Capital Market Strategies LLC 0.23% of their portfolio PALM BEACH GARDENS, FL 21,54721.5k $308.1k $308.1k 0.23% Reduced -1.5k -1,485
26 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 18,23418.2k $260.7k $260.7k 0.00% Added +648 +648
27 Moors & Cabot, Inc. 0.01% of their portfolio BOSTON, MA 17,82517.8k $254.9k $254.9k 0.01% Added +1.1k +1,075
28 Ausdal Financial Partners, Inc. 0.03% of their portfolio Davenport, IA 16,28516.3k $232.9k $232.9k 0.03% Added +125 +125
29 REDMONT WEALTH ADVISORS LLC 0.32% of their portfolio CHICAGO, IL 16,04016.0k $229.4k $229.4k 0.32% Added +333 +333
30 REGIONS FINANCIAL CORP 0.00% of their portfolio BIRMINGHAM, AL 15,00015.0k $214.5k $214.5k 0.00% New
31 HARTLINE INVESTMENT CORP/ 0.03% of their portfolio WINNETKA, IL 13,49613.5k $193.0k $193.0k 0.03% New
32 Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors 0.03% of their portfolio CONCORD, MA 13,49613.5k $193.0k $193.0k 0.03% New
33 Congress Park Capital LLC 0.08% of their portfolio SARATOGA SPRINGS, NY 12,50012.5k $178.8k $178.8k 0.08% Reduced -42.5k -42,500
34 Sovereign Financial Group, Inc. 0.04% of their portfolio STAMFORD, CT 10,29310.3k $147.2k $147.2k 0.04% Added +33 +33
35 Avior Wealth Management, LLC 0.01% of their portfolio OMAHA, NE 10,23110.2k $146.3k $146.3k 0.01% New
36 CoreCap Advisors, LLC 0.01% of their portfolio SOUTHFIELD, MI 7,4007.4k $105.8k $105.8k 0.01% New
37 Apollo Management Holdings, L.P. 0.00% of their portfolio New York, NY 5,2365.2k $74.9k $74.9k 0.00% Unchanged
38 Anfield Capital Management, LLC 0.03% of their portfolio IRVINE, CA 4,2054.2k $60.1k $60.1k 0.03% New
39 GPS Wealth Strategies Group, LLC 0.01% of their portfolio CENTENNIAL, CO 3,0223.0k $43.2k $43.2k 0.01% Reduced -730 -730
40 FinTrust Capital Advisors, LLC 0.01% of their portfolio Greenville, SC 2,6352.6k $37.7k $37.7k 0.01% Unchanged
41 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 2,2992.3k $32.9k $32.9k 0.00% Unchanged
42 Larson Financial Group LLC 0.00% of their portfolio ST LOUIS, MO 417417 $6.0k $6.0k 0.00% Added +332 +332
43 COMERICA BANK 0.00% of their portfolio DALLAS, TX 7474 $1.1k $1.1k 0.00% Reduced -237 -237
44 ASSETMARK, INC 0.00% of their portfolio CONCORD, CA 2323 $329 $329 0.00% New
45 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged