Vault-13

CORNERSTONE STRATEGIC INVEST CLM

COM · Closed-End Fund · CUSIP 21924B302

110 institutional holders +18 vs Q3 2023
41,562,58141.6m shares reported held*
$298.8mreported value*
22 new 38 added 19 reduced 9 sold out net bought ≈ $24.0m (+3.3m 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 ≈ $7.19.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 78Q4 22: 89Q1 23: 89Q2 23: 92Q3 23: 92Q4 23: 110110Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202278
Q4 202289
Q1 202389
Q2 202392
Q3 202392
Q4 2023110

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 50 bought or addedQ4 22: 29 cut or sold outQ4 22Q1 23: 55 bought or addedQ1 23: 36 cut or sold outQ1 23Q2 23: 46 bought or addedQ2 23: 39 cut or sold outQ2 23Q3 23: 49 bought or addedQ3 23: 33 cut or sold outQ3 23Q4 23: 60 bought or addedQ4 23: 28 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20225029
Q1 20235536
Q2 20234639
Q3 20234933
Q4 20236028

Biggest buyers

Thomas J. Herzfeld Advisors, Inc. Added +1,093,124+1.1m
CLOUGH CAPITAL PARTNERS L P New +1,057,356+1.1m
Sculptor Capital LP New +1,013,894+1.0m
Karpus Management, Inc. New +599,817+599.8k
Quarry LP New +332,105+332.1k
SUSQUEHANNA INTERNATIONAL GROUP, LLP New +257,743+257.7k
COHEN & STEERS, INC. New +190,000+190.0k
Yakira Capital Management, Inc. New +181,484+181.5k
RIVERNORTH CAPITAL MANAGEMENT, LLC New +168,296+168.3k
MORGAN STANLEY Added +159,040+159.0k

Biggest sellers

OSAIC HOLDINGS, INC. Reduced -1,589,479-1.6m
CENTAURUS FINANCIAL, INC. Reduced -962,552-962.6k
CSS LLC/IL Reduced -51,000-51.0k
Kovack Advisors, Inc. Sold out -47,503-47.5k
Global Retirement Partners, LLC Sold out -38,764-38.8k
Strategic Financial Concepts, LLC Sold out -38,167-38.2k
Virtu Financial LLC Sold out -26,079-26.1k
PFG Investments, LLC Sold out -21,236-21.2k
CoreCap Advisors, LLC Sold out -21,099-21.1k
Mariner, LLC Reduced -20,823-20.8k

Insider purchases and sales in Q4 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
101Q1 22: 0 buyingQ1 22: 0 sellingQ2 22: 0 buyingQ2 22: 0 sellingQ2 22Q3 22: 0 buyingQ3 22: 0 sellingQ4 22: 0 buyingQ4 22: 0 sellingQ4 22Q1 23: 0 buyingQ1 23: 0 sellingQ2 23: 0 buyingQ2 23: 0 sellingQ2 23Q3 23: 0 buyingQ3 23: 1 sellingQ4 23: 0 buyingQ4 23: 0 sellingQ4 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q1 20220—0——
Q2 20220—0——
Q3 20220—0——
Q4 20220—0——
Q1 20230—0——
Q2 20230—0——
Q3 20230—1$348.8k—
Q4 20230—0——

None reported in Q4 2023.

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 SIT INVESTMENT ASSOCIATES INC 1.93% of their portfolio Minneapolis, MN 10,975,47011.0m $78.9m $78.9m 1.93% Added +151.1k +151,125
2 Alpine Global Management, LLC 11.41% of their portfolio NEW YORK, NY 10,770,70210.8m $77.4m $77.4m 11.41% Added +7.4k +7,358
3 BOOTHBAY FUND MANAGEMENT, LLC 1.34% of their portfolio NEW YORK, NY 5,390,2655.4m $38.8m $38.8m 1.34% Reduced -2.5k -2,474
4 OSAIC HOLDINGS, INC. 0.03% of their portfolio SCOTTSDALE, AZ 2,205,8132.2m $15.9m $15.9m 0.03% Reduced -1.6m -1,589,479
5 CENTAURUS FINANCIAL, INC. 0.67% of their portfolio ANAHEIM, CA 1,229,1911.2m $8.8m $8.8m 0.67% Reduced -962.6k -962,552
6 Thomas J. Herzfeld Advisors, Inc. 3.12% of their portfolio MIAMI BEACH, FL 1,180,8581.2m $8.5m $8.5m 3.12% Added +1.1m +1,093,124
7 CLOUGH CAPITAL PARTNERS L P 0.84% of their portfolio Boston, MA 1,057,3561.1m $7.6m $7.6m 0.84% New
8 Sculptor Capital LP 0.18% of their portfolio New York, NY 1,013,8941.0m $7.3m $7.3m 0.18% New
9 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 688,686688.7k $5.0m $5.0m 0.00% Added +59.8k +59,785
10 Cable Car Capital, LP 4.98% of their portfolio SAN FRANCISCO, CA 661,827661.8k $4.8m $4.8m 4.98% First filing
11 Karpus Management, Inc. 0.13% of their portfolio Pittsford, NY 599,817599.8k $4.3m $4.3m 0.13% New
12 Significant Wealth Partners LLC 2.87% of their portfolio CARY, IL 547,643547.6k $3.9m $3.9m 2.87% First filing
13 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 520,570520.6k $3.7m $3.7m 0.00% Added +159.0k +159,040
14 Perennial Investment Advisors, LLC 0.45% of their portfolio Los Angeles, CA 374,851374.9k $2.7m $2.7m 0.45% Added +6.5k +6,481
15 Quarry LP 1.21% of their portfolio NEW YORK, NY 332,105332.1k $2.4m $2.4m 1.21% New
16 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 257,743257.7k $1.9m $1.9m 0.00% New
17 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 217,406217.4k $1.6m $1.6m 0.02% Reduced -10.3k -10,258
18 COHEN & STEERS, INC. 0.00% of their portfolio NEW YORK, NY 190,000190.0k $1.4m $1.4m 0.00% New
19 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 182,286182.3k $1.3m $1.3m 0.00% Added +4.4k +4,447
20 Ursa Fund Management, LLC 2.58% of their portfolio Danville, CA 182,000182.0k $1.3m $1.3m 2.58% Added +60.0k +60,000
21 Yakira Capital Management, Inc. 0.43% of their portfolio Westport, CT 181,484181.5k $1.3m $1.3m 0.43% New
22 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 173,267173.3k $1.2m $1.2m 0.00% Added +31.0k +30,966
23 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 171,165171.2k $1.2m $1.2m 0.00% Added +35.5k +35,510
24 RIVERNORTH CAPITAL MANAGEMENT, LLC 0.06% of their portfolio WEST PALM BEACH, FL 168,296168.3k $1.2m $1.2m 0.06% New
25 WOLVERINE ASSET MANAGEMENT LLC 0.02% of their portfolio CHICAGO, IL 146,076146.1k $1.1m $1.1m 0.02% New
26 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 140,464140.5k $1.0m $1.0m 0.01% Added +8.6k +8,580
27 Aptus Capital Advisors, LLC 0.03% of their portfolio FAIRHOPE, AL 121,212121.2k $871.5k $871.5k 0.03% Added +83.8k +83,762
28 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 110,703110.7k $796.0k $796.0k 0.00% New
29 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 110,631110.6k $795.0k $795.0k 0.00% Added +13.9k +13,919
30 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 94,31094.3k $678.0k $678.0k 0.00% Added +5.7k +5,687
31 Clarity Capital Partners LLC 0.44% of their portfolio Newport Beach, CA 86,69786.7k $623.4k $623.4k 0.44% First filing
32 CREATIVE FINANCIAL DESIGNS INC /ADV 0.06% of their portfolio KOKOMO, IN 85,86885.9k $617.4k $617.4k 0.06% Added +11.2k +11,202
33 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 69,67569.7k $501.0k $501.0k 0.00% Added +52.3k +52,321
34 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.04% of their portfolio Englewood, NJ 68,78168.8k $494.5k $494.5k 0.04% New
35 NOMURA HOLDINGS INC 0.00% of their portfolio TOKYO, M0 65,54265.5k $471.2k $471.2k 0.00% New
36 Garden State Investment Advisory Services LLC 0.16% of their portfolio Red Bank, NJ 54,66854.7k $393.1k $393.1k 0.16% Added +1.8k +1,804
37 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 51,30251.3k $368.9k $368.9k 0.00% Added +4.4k +4,362
38 UBS Group AG 0.00% of their portfolio ZURICH, V8 50,70250.7k $364.5k $364.5k 0.00% Added +32.2k +32,161
39 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 50,52250.5k $363.3k $363.3k 0.01% Reduced -2.7k -2,655
40 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 47,20147.2k $339.4k $339.4k 0.00% Added +15.8k +15,840
41 Prospera Financial Services Inc 0.01% of their portfolio Dallas, TX 44,15544.2k $317.5k $317.5k 0.01% Unchanged
42 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 43,85743.9k $315.3k $315.3k 0.00% Added +9.5k +9,500
43 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 42,43242.4k $305.1k $305.1k 0.00% Added +16.4k +16,431
44 Capital CS Group, LLC 0.33% of their portfolio IRVINE, CA 41,14941.1k $295.9k $295.9k 0.33% Reduced -3.5k -3,528
45 Capital Wealth Alliance, LLC 0.20% of their portfolio Scottsdale, AZ 40,24840.2k $289.4k $289.4k 0.20% Added +1.3k +1,313
46 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 40,22940.2k $289.2k $289.2k 0.01% Added +7.7k +7,671
47 Pasadena Private Wealth, LLC 0.07% of their portfolio PASADENA, CA 37,26137.3k $267.9k $267.9k 0.07% Added +18.1k +18,091
48 SeaCrest Wealth Management, LLC 0.03% of their portfolio PURCHASE, NY 34,02734.0k $245.0k $245.0k 0.03% Added +601 +601
49 Dynamic Advisor Solutions LLC 0.01% of their portfolio PHOENIX, AZ 33,12533.1k $238.5k $238.5k 0.01% Reduced -729 -729
50 Vantage Financial Partners, LLC 0.07% of their portfolio ELM GROVE, WI 30,85830.9k $221.9k $221.9k 0.07% Reduced -3.8k -3,821
51 Chicago Partners Investment Group LLC 0.01% of their portfolio CHICAGO, IL 26,56826.6k $189.2k $189.2k 0.01% Reduced -8.9k -8,922
52 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 25,31325.3k $182.0k $182.0k 0.00% Added +10.0k +9,999
53 Center For Asset Management LLC 0.15% of their portfolio PALM BEACH GARDENS, FL 23,58923.6k $169.6k $169.6k 0.15% Added +5.2k +5,201
54 StoneX Group Inc. 0.02% of their portfolio NEW YORK, NY 22,97423.0k $167.1k $167.1k 0.02% New
55 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 22,04022.0k $158.5k $158.5k 0.00% New
56 Charles Schwab Trust Co 0.02% of their portfolio HENDERSON, NV 21,51921.5k $154.7k $154.7k 0.02% Unchanged
57 Pathstone Holdings, LLC 0.00% of their portfolio ENGLEWOOD, NJ 21,01221.0k $151.1k $151.1k 0.00% First filing
58 GRIMES & Co WEALTH MANAGEMENT, LLC 0.00% of their portfolio WESTBOROUGH, MA 19,29119.3k $138.7k $138.7k 0.00% Added +995 +995
59 CSS LLC/IL 0.01% of their portfolio CHICAGO, IL 18,85418.9k $135.6k $135.6k 0.01% Reduced -51.0k -51,000
60 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 18,57518.6k $133.6k $133.6k 0.00% New
61 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 18,50618.5k $133.0k $133.0k 0.00% Reduced -4.3k -4,286
62 HF Advisory Group, LLC 0.08% of their portfolio Annapolis, MD 18,33918.3k $131.9k $131.9k 0.08% Added +640 +640
63 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 17,82517.8k $128.2k $128.2k 0.00% Added +15.5k +15,474
64 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 17,29417.3k $124.3k $124.3k 0.00% New
65 Sunbelt Securities, Inc. 0.01% of their portfolio HOUSTON, TX 16,29616.3k $117.2k $117.2k 0.01% Added +15.4k +15,370
66 PRIVATE TRUST CO NA 0.01% of their portfolio CLEVELAND, OH 15,91615.9k $114.4k $114.4k 0.01% Unchanged
67 Sheaff Brock Investment Advisors, LLC 0.01% of their portfolio INDIANAPOLIS, IN 15,52115.5k $111.6k $111.6k 0.01% Unchanged
68 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 14,72214.7k $105.8k $105.8k 0.00% Reduced -2.5k -2,548
69 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 14,50214.5k $104.3k $104.3k 0.00% New
70 B. Riley Wealth Advisors, Inc. 0.00% of their portfolio MEMPHIS, TN 14,03514.0k $100.9k $100.9k 0.00% Added +861 +861
71 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 13,98314.0k $100.5k $100.5k 0.00% Reduced -701 -701
72 N.E.W. Advisory Services LLC 0.01% of their portfolio DE PERE, WI 13,67413.7k $98.3k $98.3k 0.01% Unchanged
73 LANARK FINANCIAL, INC. 0.01% of their portfolio BIRMINGHAM, AL 13,12013.1k $94.0k $94.0k 0.01% Unchanged
74 FIRETHORN WEALTH PARTNERS, LLC 0.06% of their portfolio AUGUSTA, GA 12,99713.0k $93.4k $93.4k 0.06% Reduced -10.3k -10,333
75 WEDBUSH SECURITIES INC 0.00% of their portfolio PASADENA, CA 11,40011.4k $82.0k $82.0k 0.00% Reduced -70 -70
76 Mariner, LLC 0.00% of their portfolio Overland Park, KS 11,10611.1k $79.9k $79.9k 0.00% Reduced -20.8k -20,823
77 Outlook Wealth Advisors, LLC 0.03% of their portfolio SHENANDOAH, TX 10,78110.8k $77.5k $77.5k 0.03% Unchanged
78 HARBOR INVESTMENT ADVISORY, LLC 0.01% of their portfolio LUTHERVILLE, MD 10,48010.5k $75.4k $75.4k 0.01% Unchanged
79 Marshall Financial Group, LLC 0.02% of their portfolio Hunt Valley, MD 10,00010.0k $71.9k $71.9k 0.02% Unchanged
80 Tradition Wealth Management, LLC 0.01% of their portfolio EDINA, MN 9,1009.1k $65.0k $65.0k 0.01% Unchanged
81 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 7,0277.0k $50.5k $50.5k 0.00% Reduced -1.6k -1,609
82 GPS Wealth Strategies Group, LLC 0.01% of their portfolio CENTENNIAL, CO 6,8106.8k $49.0k $49.0k 0.01% Unchanged
83 Retirement Group, LLC 0.01% of their portfolio SAN DIEGO, CA 4,7674.8k $34.3k $34.3k 0.01% Unchanged
84 Larson Financial Group LLC 0.00% of their portfolio ST LOUIS, MO 4,1004.1k $29.5k $29.5k 0.00% Reduced -275 -275
85 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 3,2073.2k $23.1k $23.1k 0.00% New
86 Coppell Advisory Solutions LLC 0.00% of their portfolio COPPELL, TX 2,9723.0k $21.4k $21.4k 0.00% New
87 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 2,5002.5k $18.0k $18.0k 0.00% Unchanged
88 Planning Capital Management Corp 0.01% of their portfolio PAOLI, PA 2,3602.4k $17.0k $17.0k 0.01% First filing
89 Highlander Capital Management, LLC 0.01% of their portfolio SHORT HILLS, NJ 2,2502.2k $16.2k $16.2k 0.01% Added +1.0k +1,000
90 GODSEY & GIBB, INC 0.00% of their portfolio RICHMOND, VA 1,8731.9k $13.5k $13.5k 0.00% Reduced -385 -385
91 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 1,5001.5k $10.8k $10.8k 0.00% Unchanged
92 Global Wealth Management Investment Advisory, Inc. 0.00% of their portfolio FORT LAUDERDALE, FL 1,4701.5k $10.6k $10.6k 0.00% Unchanged
93 Sound Income Strategies, LLC 0.00% of their portfolio FT LAUDERDALE, FL 1,3251.3k $9.5k $9.5k 0.00% Unchanged
94 BOK Financial Private Wealth, Inc. 0.00% of their portfolio DENVER, CO 1,2501.2k $9.0k $9.0k 0.00% Unchanged
95 BOKF, NA 0.00% of their portfolio TULSA, OK 1,0051.0k $7.2k $7.2k 0.00% Unchanged
96 Focused Wealth Management, Inc 0.00% of their portfolio Newburgh, NY 734734 $5.3k $5.3k 0.00% Added +6 +6
97 PRINCIPAL SECURITIES, INC. 0.00% of their portfolio DES MOINES, IA 700700 $5.0k $5.0k 0.00% First filing
98 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 653653 $4.7k $4.7k 0.00% Unchanged
99 Mariner Managed Account Solutions, LLC 0.00% of their portfolio Boston, MA 509509 $3.7k $3.7k 0.00% New
100 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 505505 $3.6k $3.6k 0.00% Added +3 +3