LMP CAP & INCOME FD INC XSCDX
COM · Closed-End Fund · CUSIP 50208A102
43
institutional holders
-3 vs Q1 2023
4.3m
shares reported held*
$55.4mreported value*
3 new
15 added
13 reduced
7 sold out
net sold ≈ $2.8m (-217.4k 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 ≈ $12.81.
Trends to Q2 2023
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 37 |
| Q4 2022 | 42 |
| Q1 2023 | 46 |
| Q2 2023 | 43 |
Buyers vs sellers
Managers adding to or starting a position, vs cutting or selling out
Bought or addedCut or sold out
Numbers
| Quarter | Bought or added | Cut or sold out |
|---|---|---|
| Q4 2022 | 21 | 12 |
| Q1 2023 | 23 | 16 |
| Q2 2023 | 18 | 20 |
Biggest buyers
| RPO LLC | New | +26.0k |
| AQR Arbitrage LLC | Added | +22.3k |
| 1607 Capital Partners, LLC | Added | +19.8k |
| RAYMOND JAMES & ASSOCIATES | Added | +17.3k |
| Karpus Management, Inc. | Added | +11.2k |
| Cetera Investment Advisers | New | +10.9k |
| Steward Partners Investment Advisory, LLC | Added | +8.8k |
| Raymond James Financial Services Advisors, Inc. | Added | +6.7k |
| AlphaStar Capital Management, LLC | Added | +5.1k |
| Cornerstone Advisors, LLC | Added | +4.4k |
Biggest sellers
| Shaker Financial Services, LLC | Sold out | -91.0k |
| Advisor Resource Council | Sold out | -75.9k |
| Advisors Asset Management, Inc. | Reduced | -44.3k |
| WOLVERINE ASSET MANAGEMENT LLC | Sold out | -42.9k |
| MORGAN STANLEY | Reduced | -37.1k |
| Invesco Ltd. | Reduced | -23.7k |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | Sold out | -12.7k |
| Capital Investment Advisors, LLC | Sold out | -11.8k |
| GUGGENHEIM CAPITAL LLC | Reduced | -7.5k |
| WELLS FARGO & COMPANY/MN | Reduced | -5.6k |
Major shareholders (over 5%)
Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.
| Holder | Stake |
|---|---|
| SIT INVESTMENT ASSOCIATES INC 13G · institution -5.4 pts · filed 2026-10-02 | 8.2% |
Holders, Q2 2023
| Manager | Shares | Change |
|---|---|---|
| RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio | 907.0k $11.6m | Added +17.3k |
| Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio | 763.7k $9.8m | Added +6.7k |
| Advisors Asset Management, Inc. 0.16% of their portfolio | 619.1k $7.9m | Reduced -44.3k |
| MORGAN STANLEY 0.00% of their portfolio | 441.9k $5.7m | Reduced -37.1k |
| Cornerstone Advisors, LLC 0.16% of their portfolio | 259.8k $3.3m | Added +4.4k |
| Karpus Management, Inc. 0.10% of their portfolio | 239.2k $3.1m | Added +11.2k |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 159.8k $2.0m | Reduced -5.6k |
| 1607 Capital Partners, LLC 0.10% of their portfolio | 110.4k $1.4m | Added +19.8k |
| Steward Partners Investment Advisory, LLC 0.02% of their portfolio | 103.5k $1.3m | Added +8.8k |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 82.9k $1.1m | Reduced -1.3k |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 79.3k $1.0m | Added +1.3k |
| Invesco Ltd. 0.00% of their portfolio | 46.8k $599.3k | Reduced -23.7k |
| AQR Arbitrage LLC 0.02% of their portfolio | 44.8k $573.6k | Added +22.3k |
| NewEdge Advisors, LLC 0.01% of their portfolio | 37.3k $477.6k | Added +584 |
| Logan Stone Capital, LLC 0.16% of their portfolio | 36.8k $471.3k | Reduced -2.5k |
| CHAPIN DAVIS, INC. 0.21% of their portfolio | 34.7k $444.4k | Added +3.3k |
| ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio | 28.9k $369.9k | Reduced -1.6k |
| NWF Advisory Services Inc. 0.08% of their portfolio | 28.3k $362.4k | Unchanged |
| AMERIPRISE FINANCIAL INC 0.00% of their portfolio | 28.1k $372.8k | Reduced -4.2k |
| AlphaStar Capital Management, LLC 0.04% of their portfolio | 27.9k $357.4k | Added +5.1k |
| XML Financial, LLC 0.04% of their portfolio | 27.4k $350.7k | Unchanged |
| PFG Advisors 0.03% of their portfolio | 27.1k $346.6k | Reduced -462 |
| RPO LLC 0.34% of their portfolio | 26.0k $332.5k | New |
| GUGGENHEIM CAPITAL LLC 0.00% of their portfolio | 25.8k $330.4k | Reduced -7.5k |
| LPL Financial LLC 0.00% of their portfolio | 24.6k $314.6k | Added +3.5k |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 22.3k $286.0k | Reduced -30 |
| AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio | 18.0k $230.9k | Unchanged |
| Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio | 17.7k $226.0k | Reduced -89 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.02% of their portfolio | 13.2k $169.4k | Added +550 |
| Cetera Investment Advisers 0.00% of their portfolio | 10.9k $140.2k | New |
| UBS Group AG 0.00% of their portfolio | 10.2k $131.0k | Added +3.6k |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 0.03% of their portfolio | 9.6k $123.6k | Added +2.4k |
| PNC Financial Services Group, Inc. 0.00% of their portfolio | 6.4k $81.8k | Unchanged |
| Spire Wealth Management 0.00% of their portfolio | 4.2k $53.8k | Unchanged |
| FNY Investment Advisers, LLC 0.02% of their portfolio | 1.5k $19.0k | Unchanged |
| WR Wealth Planners, LLC 0.01% of their portfolio | 1.1k $13.6k | Reduced -125 |
| Allworth Financial LP 0.00% of their portfolio | 503 $6.4k | Unchanged |
| Tyler-Stone Wealth Management 0.00% of their portfolio | 350 $4.0k | First filing |
| WealthPLAN Partners, LLC 0.00% of their portfolio | 264 $3.4k | Unchanged |
| CWM, LLC 0.00% of their portfolio | 260 $3.0k | Unchanged |
| HUNTINGTON NATIONAL BANK 0.00% of their portfolio | 250 $3.2k | Unchanged |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio | 116 $1.5k | New |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |