Vault-13

CORNERSTONE STRATEGIC INVEST CLM

COM · Closed-End Fund · CUSIP 21924B302

108 institutional holders -2 vs Q4 2023
40,473,86640.5m shares reported held*
$304.4mreported value*
15 new 46 added 24 reduced 15 sold out net sold ≈ $8.2m (-1.1m 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 ≈ $7.52.

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 78Q4 22: 89Q1 23: 89Q2 23: 92Q3 23: 92Q4 23: 110Q1 24: 108108Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 202278
Q4 202289
Q1 202389
Q2 202392
Q3 202392
Q4 2023110
Q1 2024108

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 23Q1 24: 61 bought or addedQ1 24: 39 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 20225029
Q1 20235536
Q2 20234639
Q3 20234933
Q4 20236028
Q1 20246139

Biggest buyers

RIVERNORTH CAPITAL MANAGEMENT, LLC Added +2,151,825+2.2m
Karpus Management, Inc. Added +1,344,395+1.3m
ABSOLUTE INVESTMENT ADVISERS, LLC New +1,219,193+1.2m
Logan Stone Capital, LLC New +703,122+703.1k
MORGAN STANLEY Added +418,733+418.7k
Cetera Investment Advisers Added +256,698+256.7k
Yakira Capital Management, Inc. Added +253,626+253.6k
COHEN & STEERS, INC. Added +204,000+204.0k
RAYMOND JAMES & ASSOCIATES Added +137,006+137.0k
Quarry LP Added +125,083+125.1k

Biggest sellers

SIT INVESTMENT ASSOCIATES INC Reduced -5,458,265-5.5m
CLOUGH CAPITAL PARTNERS L P Sold out -1,057,356-1.1m
Sculptor Capital LP Sold out -1,013,894-1.0m
SUSQUEHANNA INTERNATIONAL GROUP, LLP Sold out -257,743-257.7k
Ursa Fund Management, LLC Sold out -182,000-182.0k
Cetera Advisor Networks LLC Sold out -140,464-140.5k
OSAIC HOLDINGS, INC. Reduced -133,843-133.8k
Significant Wealth Partners LLC Reduced -72,311-72.3k
Cetera Advisors LLC Sold out -50,522-50.5k
CENTAURUS FINANCIAL, INC. Reduced -45,763-45.8k

Insider purchases and sales in Q1 2024

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
101Q2 22: 0 buyingQ2 22: 0 sellingQ3 22: 0 buyingQ3 22: 0 sellingQ3 22Q4 22: 0 buyingQ4 22: 0 sellingQ1 23: 0 buyingQ1 23: 0 sellingQ1 23Q2 23: 0 buyingQ2 23: 0 sellingQ3 23: 0 buyingQ3 23: 1 sellingQ3 23Q4 23: 0 buyingQ4 23: 0 sellingQ1 24: 0 buyingQ1 24: 0 sellingQ1 24
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q2 20220—0——
Q3 20220—0——
Q4 20220—0——
Q1 20230—0——
Q2 20230—0——
Q3 20230—1$348.8k—
Q4 20230—0——
Q1 20240—0——

None reported in Q1 2024.

Holders, Q1 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Alpine Global Management, LLC 8.88% of their portfolio NEW YORK, NY 10,799,03810.8m $81.2m $81.2m 8.88% Added +28.3k +28,336
2 SIT INVESTMENT ASSOCIATES INC 0.95% of their portfolio Minneapolis, MN 5,517,2055.5m $41.5m $41.5m 0.95% Reduced -5.5m -5,458,265
3 BOOTHBAY FUND MANAGEMENT, LLC 1.13% of their portfolio NEW YORK, NY 5,375,1675.4m $40.4m $40.4m 1.13% Reduced -15.1k -15,098
4 RIVERNORTH CAPITAL MANAGEMENT, LLC 0.84% of their portfolio WEST PALM BEACH, FL 2,320,1212.3m $17.4m $17.4m 0.84% Added +2.2m +2,151,825
5 OSAIC HOLDINGS, INC. 0.03% of their portfolio SCOTTSDALE, AZ 2,071,9702.1m $15.6m $15.6m 0.03% Reduced -133.8k -133,843
6 Karpus Management, Inc. 0.42% of their portfolio Pittsford, NY 1,944,2121.9m $14.6m $14.6m 0.42% Added +1.3m +1,344,395
7 Thomas J. Herzfeld Advisors, Inc. 3.28% of their portfolio MIAMI BEACH, FL 1,234,2371.2m $9.3m $9.3m 3.28% Added +53.4k +53,379
8 ABSOLUTE INVESTMENT ADVISERS, LLC 1.25% of their portfolio ROSEMARY BEACH, FL 1,219,1931.2m $9.2m $9.2m 1.25% New
9 CENTAURUS FINANCIAL, INC. 0.62% of their portfolio ANAHEIM, CA 1,183,4281.2m $8.9m $8.9m 0.62% Reduced -45.8k -45,763
10 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 939,303939.3k $7.1m $7.1m 0.00% Added +418.7k +418,733
11 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 749,340749.3k $5.6m $5.6m 0.00% Added +60.7k +60,654
12 Logan Stone Capital, LLC 1.14% of their portfolio CHICAGO, IL 703,122703.1k $5.3m $5.3m 1.14% New
13 Cable Car Capital, LP 6.96% of their portfolio SAN FRANCISCO, CA 660,001660.0k $5.0m $5.0m 6.96% Reduced -1.8k -1,826
14 Significant Wealth Partners LLC 2.35% of their portfolio CARY, IL 475,332475.3k $3.6m $3.6m 2.35% Reduced -72.3k -72,311
15 Quarry LP 1.41% of their portfolio NEW YORK, NY 457,188457.2k $3.4m $3.4m 1.41% Added +125.1k +125,083
16 Yakira Capital Management, Inc. 1.14% of their portfolio Westport, CT 435,110435.1k $3.3m $3.3m 1.14% Added +253.6k +253,626
17 COHEN & STEERS, INC. 0.01% of their portfolio NEW YORK, NY 394,000394.0k $3.0m $3.0m 0.01% Added +204.0k +204,000
18 Perennial Investment Advisors, LLC 0.44% of their portfolio Los Angeles, CA 380,433380.4k $2.9m $2.9m 0.44% Added +5.6k +5,582
19 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 319,292319.3k $2.4m $2.4m 0.00% Added +137.0k +137,006
20 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 278,738278.7k $2.1m $2.1m 0.00% Added +256.7k +256,698
21 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 226,399226.4k $1.7m $1.7m 0.02% Added +9.0k +8,993
22 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 175,745175.7k $1.3m $1.3m 0.00% Added +4.6k +4,580
23 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 173,718173.7k $1.3m $1.3m 0.00% Added +451 +451
24 WOLVERINE ASSET MANAGEMENT LLC 0.02% of their portfolio CHICAGO, IL 157,508157.5k $1.2m $1.2m 0.02% Added +11.4k +11,432
25 Aptus Capital Advisors, LLC 0.02% of their portfolio FAIRHOPE, AL 134,367134.4k $1.0m $1.0m 0.02% Added +13.2k +13,155
26 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 126,947126.9k $954.6k $954.6k 0.00% Added +57.3k +57,272
27 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 112,771112.8k $849.0k $849.0k 0.00% Added +2.1k +2,140
28 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 110,703110.7k $832.5k $832.5k 0.00% Unchanged
29 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 93,88093.9k $706.0k $706.0k 0.00% Reduced -430 -430
30 Clarity Capital Partners LLC 0.44% of their portfolio Newport Beach, CA 89,54789.5k $673.4k $673.4k 0.44% Added +2.9k +2,850
31 CREATIVE FINANCIAL DESIGNS INC /ADV 0.06% of their portfolio KOKOMO, IN 88,62888.6k $666.5k $666.5k 0.06% Added +2.8k +2,760
32 CWM, LLC 0.00% of their portfolio OMAHA, NE 82,58782.6k $621.0k $621.0k 0.00% Added +82.3k +82,307
33 Dakota Wealth Management 0.02% of their portfolio PALM BEACH GARDENS, FL 81,28581.3k $611.3k $611.3k 0.02% New
34 Strategic Financial Concepts, LLC 0.10% of their portfolio SAN ANTONIO, TX 56,60056.6k $425.6k $425.6k 0.10% New
35 PFG Investments, LLC 0.02% of their portfolio WOODBURY, NY 54,57454.6k $410.4k $410.4k 0.02% New
36 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 52,55652.6k $395.2k $395.2k 0.00% Added +1.3k +1,254
37 Capital Wealth Alliance, LLC 0.23% of their portfolio Scottsdale, AZ 50,68050.7k $381.1k $381.1k 0.23% Added +10.4k +10,432
38 SeaCrest Wealth Management, LLC 0.04% of their portfolio PURCHASE, NY 46,92846.9k $352.9k $352.9k 0.04% Added +12.9k +12,901
39 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 46,90346.9k $352.7k $352.7k 0.00% Added +3.0k +3,046
40 Prospera Financial Services Inc 0.01% of their portfolio Dallas, TX 44,15544.2k $332.0k $332.0k 0.01% Unchanged
41 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 43,11943.1k $324.3k $324.3k 0.00% Added +687 +687
42 Capital CS Group, LLC 0.32% of their portfolio IRVINE, CA 42,00842.0k $315.9k $315.9k 0.32% Added +859 +859
43 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 39,70139.7k $298.6k $298.6k 0.01% Reduced -528 -528
44 StoneX Group Inc. 0.03% of their portfolio NEW YORK, NY 37,13737.1k $279.3k $279.3k 0.03% Added +14.2k +14,163
45 XTX Topco Ltd 0.04% of their portfolio LONDON, X0 35,98036.0k $270.6k $270.6k 0.04% New
46 Garden State Investment Advisory Services LLC 0.10% of their portfolio Red Bank, NJ 34,93034.9k $263.5k $263.5k 0.10% Reduced -19.7k -19,738
47 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 34,30534.3k $258.0k $258.0k 0.00% Added +15.7k +15,730
48 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 34,16934.2k $256.9k $256.9k 0.00% Added +16.3k +16,344
49 Dynamic Advisor Solutions LLC 0.01% of their portfolio PHOENIX, AZ 32,20032.2k $242.1k $242.1k 0.01% Reduced -925 -925
50 NOMURA HOLDINGS INC 0.00% of their portfolio TOKYO, M0 31,85231.9k $239.5k $239.5k 0.00% Reduced -33.7k -33,690
51 UBS Group AG 0.00% of their portfolio ZURICH, V8 31,36131.4k $235.8k $235.8k 0.00% Reduced -19.3k -19,341
52 Vantage Financial Partners, LLC 0.06% of their portfolio ELM GROVE, WI 29,87429.9k $224.7k $224.7k 0.06% Reduced -984 -984
53 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 26,18726.2k $196.9k $196.9k 0.00% Added +874 +874
54 Chicago Partners Investment Group LLC 0.01% of their portfolio CHICAGO, IL 26,02326.0k $189.4k $189.4k 0.01% Reduced -545 -545
55 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.02% of their portfolio Englewood, NJ 25,74125.7k $193.6k $193.6k 0.02% Reduced -43.0k -43,040
56 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 24,41724.4k $183.6k $183.6k 0.00% Reduced -22.8k -22,784
57 Center For Asset Management LLC 0.15% of their portfolio PALM BEACH GARDENS, FL 23,58923.6k $177.4k $177.4k 0.15% Unchanged
58 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 22,01122.0k $165.5k $165.5k 0.00% Added +15.0k +14,984
59 Charles Schwab Trust Co 0.02% of their portfolio HENDERSON, NV 21,51921.5k $161.8k $161.8k 0.02% Unchanged
60 Pathstone Holdings, LLC 0.00% of their portfolio ENGLEWOOD, NJ 21,01221.0k $158.0k $158.0k 0.00% Unchanged
61 GRIMES & Co WEALTH MANAGEMENT, LLC 0.00% of their portfolio WESTBOROUGH, MA 20,50120.5k $154.2k $154.2k 0.00% Added +1.2k +1,210
62 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 19,41419.4k $146.0k $146.0k 0.00% Added +908 +908
63 HF Advisory Group, LLC 0.08% of their portfolio Annapolis, MD 19,18319.2k $144.3k $144.3k 0.08% Added +844 +844
64 CSS LLC/IL 0.01% of their portfolio CHICAGO, IL 18,85418.9k $141.8k $141.8k 0.01% Unchanged
65 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 17,82617.8k $134.1k $134.1k 0.00% Added +532 +532
66 Redhawk Wealth Advisors, Inc. 0.02% of their portfolio MINNEAPOLIS, MN 17,66317.7k $132.8k $132.8k 0.02% New
67 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 17,45917.5k $131.3k $131.3k 0.00% Added +2.7k +2,737
68 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 15,91615.9k $119.7k $119.7k 0.00% New
69 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 15,23115.2k $114.5k $114.5k 0.00% Added +729 +729
70 Pasadena Private Wealth, LLC 0.03% of their portfolio PASADENA, CA 15,17015.2k $114.1k $114.1k 0.03% Reduced -22.1k -22,091
71 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 13,98314.0k $105.2k $105.2k 0.00% Unchanged
72 WEDBUSH SECURITIES INC 0.00% of their portfolio PASADENA, CA 13,90013.9k $105.0k $105.0k 0.00% Added +2.5k +2,500
73 Sheaff Brock Investment Advisors, LLC 0.01% of their portfolio INDIANAPOLIS, IN 13,83013.8k $104.0k $104.0k 0.01% Reduced -1.7k -1,691
74 FIRETHORN WEALTH PARTNERS, LLC 0.06% of their portfolio AUGUSTA, GA 13,81213.8k $103.9k $103.9k 0.06% Added +815 +815
75 N.E.W. Advisory Services LLC 0.01% of their portfolio DE PERE, WI 13,67413.7k $102.8k $102.8k 0.01% Unchanged
76 Evernest Financial Advisors, LLC 0.05% of their portfolio CARMEL, IN 13,44413.4k $96.4k $96.4k 0.05% New
77 CoreCap Advisors, LLC 0.01% of their portfolio SOUTHFIELD, MI 13,29213.3k $100.0k $100.0k 0.01% New
78 B. Riley Wealth Advisors, Inc. 0.00% of their portfolio MEMPHIS, TN 13,17413.2k $106.1k $106.1k 0.00% Reduced -861 -861
79 Imprint Wealth LLC 0.02% of their portfolio MOUNT PLEASANT, SC 11,52011.5k $87.0k $87.0k 0.02% New
80 HARBOR INVESTMENT ADVISORY, LLC 0.01% of their portfolio LUTHERVILLE, MD 11,20411.2k $84.3k $84.3k 0.01% Added +724 +724
81 Outlook Wealth Advisors, LLC 0.03% of their portfolio SHENANDOAH, TX 10,78110.8k $81.1k $81.1k 0.03% Unchanged
82 LANARK FINANCIAL, INC. 0.01% of their portfolio BIRMINGHAM, AL 10,55010.6k $79.0k $79.0k 0.01% Reduced -2.6k -2,570
83 Marshall Financial Group, LLC 0.02% of their portfolio Hunt Valley, MD 10,00010.0k $75.2k $75.2k 0.02% Unchanged
84 Tradition Wealth Management, LLC 0.01% of their portfolio EDINA, MN 10,00010.0k $75.2k $75.2k 0.01% Added +900 +900
85 Plante Moran Financial Advisors, LLC 0.01% of their portfolio SOUTHFIELD, MI 8,7828.8k $66.0k $66.0k 0.01% New
86 GPS Wealth Strategies Group, LLC 0.01% of their portfolio CENTENNIAL, CO 6,8106.8k $51.2k $51.2k 0.01% Unchanged
87 Retirement Group, LLC 0.01% of their portfolio SAN DIEGO, CA 4,7674.8k $35.8k $35.8k 0.01% Unchanged
88 Larson Financial Group LLC 0.00% of their portfolio ST LOUIS, MO 4,2844.3k $32.2k $32.2k 0.00% Added +184 +184
89 Householder Group Estate & Retirement Specialist, LLC 0.01% of their portfolio SCOTTSDALE, AZ 3,0403.0k $22.9k $22.9k 0.01% New
90 Planning Capital Management Corp 0.01% of their portfolio PAOLI, PA 2,5092.5k $18.9k $18.9k 0.01% Added +149 +149
91 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 2,5002.5k $18.8k $18.8k 0.00% Unchanged
92 Highlander Capital Management, LLC 0.01% of their portfolio SHORT HILLS, NJ 2,2502.2k $16.9k $16.9k 0.01% Unchanged
93 GODSEY & GIBB, INC 0.00% of their portfolio RICHMOND, VA 1,8731.9k $14.1k $14.1k 0.00% Unchanged
94 Sound Income Strategies, LLC 0.00% of their portfolio FT LAUDERDALE, FL 1,3251.3k $10.0k $10.0k 0.00% Unchanged
95 Sunbelt Securities, Inc. 0.00% of their portfolio HOUSTON, TX 1,0291.0k $7.7k $7.7k 0.00% Reduced -15.3k -15,267
96 BOKF, NA 0.00% of their portfolio TULSA, OK 1,0051.0k $7.6k $7.6k 0.00% Unchanged
97 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 995995 $7.5k $7.5k 0.00% New
98 Tower Research Capital LLC (TRC) 0.00% of their portfolio NEW YORK, NY 862862 $6.5k $6.5k 0.00% Added +576 +576
99 PRINCIPAL SECURITIES, INC. 0.00% of their portfolio DES MOINES, IA 700700 $5.3k $5.3k 0.00% Unchanged
100 ADIRONDACK TRUST CO 0.00% of their portfolio SARATOGA SPRINGS, NY 380380 $2.9k $2.9k 0.00% Unchanged