Vault-13

LMP CAP & INCOME FD INC XSCDX

COM · Closed-End Fund · CUSIP 50208A102

43 institutional holders -1 vs Q1 2024
4,182,0724.2m shares reported held*
$64.8mreported value*
3 new 10 added 16 reduced 5 sold out net sold ≈ $14.4m (-927.2k 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 ≈ $15.48.

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 37Q4 22: 42Q1 23: 46Q2 23: 43Q3 23: 40Q4 23: 47Q1 24: 44Q2 24: 4343Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 202237
Q4 202242
Q1 202346
Q2 202343
Q3 202340
Q4 202347
Q1 202444
Q2 202443

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q4 22: 21 bought or addedQ4 22: 12 cut or sold outQ4 22Q1 23: 23 bought or addedQ1 23: 16 cut or sold outQ2 23: 18 bought or addedQ2 23: 20 cut or sold outQ2 23Q3 23: 17 bought or addedQ3 23: 18 cut or sold outQ4 23: 21 bought or addedQ4 23: 17 cut or sold outQ4 23Q1 24: 18 bought or addedQ1 24: 23 cut or sold outQ2 24: 13 bought or addedQ2 24: 21 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 20222112
Q1 20232316
Q2 20231820
Q3 20231718
Q4 20232117
Q1 20241823
Q2 20241321

Biggest buyers

Shaker Financial Services, LLC New +92,584+92.6k
Raymond James Financial Services Advisors, Inc. Added +53,523+53.5k
Compound Planning, Inc. New +23,736+23.7k
Steward Partners Investment Advisory, LLC Added +13,487+13.5k
RAYMOND JAMES & ASSOCIATES Added +4,460+4.5k
WELLS FARGO & COMPANY/MN Added +3,866+3.9k
UBS Group AG Added +1,730+1.7k
LPL Financial LLC Added +1,069+1.1k
Private Advisor Group, LLC Added +1,054+1.1k
Cambridge Investment Research Advisors, Inc. Added +957+957

Biggest sellers

MORGAN STANLEY Reduced -880,270-880.3k
Aristides Capital LLC Reduced -96,097-96.1k
Advisors Asset Management, Inc. Reduced -37,709-37.7k
Stonebrook Private Inc. Sold out -24,883-24.9k
OSAIC HOLDINGS, INC. Reduced -21,184-21.2k
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. Sold out -14,449-14.4k
Concurrent Investment Advisors, LLC Sold out -13,672-13.7k
1607 Capital Partners, LLC Sold out -10,711-10.7k
NewEdge Advisors, LLC Reduced -5,988-6.0k
AMERIPRISE FINANCIAL INC Reduced -4,582-4.6k

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.

HolderStakeChangeShares Last filed
SIT INVESTMENT ASSOCIATES INC 13G · institution -5.4 pts · filed 2026-10-02 8.2% -5.4 pts 1.9m≈ $29.3m 2026-10-02

Holders, Q2 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 916,130916.1k $14.2m $14.2m 0.02% Added +53.5k +53,523
2 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 902,108902.1k $14.0m $14.0m 0.01% Added +4.5k +4,460
3 Advisors Asset Management, Inc. 0.18% of their portfolio Monument, CO 596,896596.9k $9.2m $9.2m 0.18% Reduced -37.7k -37,709
4 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 451,757451.8k $7.0m $7.0m 0.00% Reduced -880.3k -880,270
5 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 172,983173.0k $2.7m $2.7m 0.00% Added +3.9k +3,866
6 Steward Partners Investment Advisory, LLC 0.02% of their portfolio STAMFORD, CT 149,955150.0k $2.3m $2.3m 0.02% Added +13.5k +13,487
7 Aristides Capital LLC 0.48% of their portfolio LOUISVILLE, KY 147,806147.8k $2.3m $2.3m 0.48% Reduced -96.1k -96,097
8 Shaker Financial Services, LLC 0.58% of their portfolio Arlington, VA 92,58492.6k $1.4m $1.4m 0.58% New
9 Aptus Capital Advisors, LLC 0.02% of their portfolio FAIRHOPE, AL 74,40074.4k $1.2m $1.2m 0.02% Unchanged
10 Second Line Capital, LLC 0.35% of their portfolio METAIRIE, LA 74,40074.4k $1.2m $1.2m 0.35% Unchanged
11 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 74,13374.1k $1.1m $1.1m 0.00% Reduced -3.4k -3,375
12 CHAPIN DAVIS, INC. 0.27% of their portfolio BALTIMORE, MD 50,10250.1k $775.6k $775.6k 0.27% Reduced -850 -850
13 AlphaStar Capital Management, LLC 0.06% of their portfolio CORNELIUS, NC 40,32240.3k $624.2k $624.2k 0.06% Added +216 +216
14 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 37,07637.1k $573.9k $573.9k 0.00% Reduced -21.2k -21,184
15 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 31,66131.7k $490.1k $490.1k 0.00% Reduced -792 -792
16 NWF Advisory Services Inc. 0.07% of their portfolio Los Angeles, CA 28,28828.3k $437.9k $437.9k 0.07% Unchanged
17 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 27,54827.5k $426.4k $426.4k 0.00% Added +1.1k +1,069
18 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 26,01526.0k $402.7k $402.7k 0.00% Added +635 +635
19 PFG Advisors 0.03% of their portfolio Phoenix, AZ 25,92725.9k $401.4k $401.4k 0.03% Unchanged
20 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 25,90625.9k $401.0k $401.0k 0.00% Reduced -4.6k -4,582
21 XML Financial, LLC 0.04% of their portfolio BETHESDA, MD 25,46825.5k $394.2k $394.2k 0.04% Unchanged
22 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 25,17925.2k $389.8k $389.8k 0.00% Reduced -6.0k -5,988
23 Compound Planning, Inc. 0.03% of their portfolio NEW YORK, NY 23,73623.7k $367.4k $367.4k 0.03% New
24 COMERICA BANK 0.00% of their portfolio DALLAS, TX 21,50021.5k $332.8k $332.8k 0.00% Reduced -2.3k -2,299
25 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 21,20921.2k $328.3k $328.3k 0.00% Reduced -2.5k -2,518
26 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 18,96519.0k $294.0k $294.0k 0.00% Added +957 +957
27 ASHTON THOMAS SECURITIES, LLC 0.06% of their portfolio ROCHESTER, NY 15,50015.5k $244.6k $244.6k 0.06% First filing
28 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 14,95715.0k $231.5k $231.5k 0.00% Added +1.1k +1,054
29 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.02% of their portfolio ORLANDO, FL 13,22613.2k $204.7k $204.7k 0.02% Unchanged
30 UBS Group AG 0.00% of their portfolio ZURICH, V8 12,13812.1k $187.9k $187.9k 0.00% Added +1.7k +1,730
31 MGB Wealth Management, LLC 0.07% of their portfolio ADDISON, TX 11,99912.0k $186.5k $186.5k 0.07% Unchanged
32 Laird Norton Wetherby Wealth Management, LLC 0.01% of their portfolio Seattle, WA 11,79211.8k $182.5k $182.5k 0.01% Unchanged
33 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 11,46711.5k $177.5k $177.5k 0.00% Reduced -820 -820
34 Cornerstone Advisors, LLC 0.00% of their portfolio ASHEVILLE, NC 2,6622.7k $41.2k $41.2k 0.00% Unchanged
35 Spire Wealth Management 0.00% of their portfolio MCLEAN, VA 2,0002.0k $31.0k $31.0k 0.00% Reduced -1.2k -1,209
36 CoreCap Advisors, LLC 0.00% of their portfolio SOUTHFIELD, MI 1,2001.2k $18.6k $18.6k 0.00% Reduced -1.0k -1,000
37 WR Wealth Planners, LLC 0.00% of their portfolio COLUMBIA, MO 800800 $12.4k $12.4k 0.00% Reduced -160 -160
38 VOISARD ASSET MANAGEMENT GROUP, INC. 0.00% of their portfolio Grand Rapids, MI 593593 $9.2k $9.2k 0.00% Unchanged
39 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 503503 $7.8k $7.8k 0.00% Unchanged
40 Investors Research Corp 0.00% of their portfolio ATLANTA, GA 469469 $7.3k $7.3k 0.00% New
41 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 0.00% of their portfolio BLUE BELL, PA 362362 $5.6k $5.6k 0.00% Reduced -1.7k -1,700
42 Tyler-Stone Wealth Management 0.00% of their portfolio Beachwood, OH 350350 $5.4k $5.4k 0.00% Unchanged
43 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged