Vault-13

SPROTT ASSET MANAGEMENT LP CEF

TR UNIT · Closed-End Fund · CUSIP 85208R101

292 institutional holders +9 vs Q2 2023
70,612,04470.6m shares reported held*
$1.3bnreported value*
22 new 71 added 89 reduced 13 sold out net bought ≈ $38.4m (+2.4m 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 ($870.2k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $18.36.

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 274Q4 22: 285Q1 23: 283Q2 23: 283Q3 23: 292292Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022274
Q4 2022285
Q1 2023283
Q2 2023283
Q3 2023292

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 79 bought or addedQ4 22: 108 cut or sold outQ4 22Q1 23: 104 bought or addedQ1 23: 90 cut or sold outQ1 23Q2 23: 97 bought or addedQ2 23: 95 cut or sold outQ2 23Q3 23: 93 bought or addedQ3 23: 102 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 202279108
Q1 202310490
Q2 20239795
Q3 202393102

Biggest buyers

BOOTHBAY FUND MANAGEMENT, LLC Added +1,853,153+1.9m
BLUEFIN CAPITAL MANAGEMENT, LLC New +739,486+739.5k
JANE STREET GROUP, LLC Added +543,578+543.6k
CENTRAL TRUST Co Added +350,178+350.2k
SUSQUEHANNA INTERNATIONAL GROUP, LLP New +254,691+254.7k
Beacon Pointe Advisors, LLC New +240,918+240.9k
MARATHON CAPITAL MANAGEMENT New +211,000+211.0k
PenderFund Capital Management Ltd. New +200,000+200.0k
CSS LLC/IL Added +150,363+150.4k
Engrave Wealth Partners LLC Added +105,242+105.2k

Biggest sellers

Hunting Hill Global Capital, LLC Reduced -769,342-769.3k
Beaumont Financial Advisors, LLC Reduced -679,850-679.9k
JUPITER ASSET MANAGEMENT LTD Reduced -518,446-518.4k
INTREPID CAPITAL MANAGEMENT INC Reduced -204,520-204.5k
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO Reduced -181,886-181.9k
Mutual Advisors, LLC Reduced -158,943-158.9k
PRICE T ROWE ASSOCIATES INC /MD/ Reduced -130,400-130.4k
SPROTT INC. Reduced -119,720-119.7k
Hunter Perkins Capital Management, LLC Reduced -102,285-102.3k
Brookstone Capital Management Reduced -66,737-66.7k

Insider purchases and sales in Q3 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.

None reported in Q3 2023.

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 CENTRAL TRUST Co 3.91% of their portfolio JEFFERSON CITY, MO 7,826,6697.8m $135.6m $135.6m 3.91% Added +350.2k +350,178
2 Simplicity Solutions, LLC 3.48% of their portfolio MINNEAPOLIS, MN 6,253,3306.3m $108.3m $108.3m 3.48% Added +21.9k +21,917
3 Bleakley Financial Group, LLC 3.82% of their portfolio PARSIPPANY, NJ 6,253,3306.3m $108.3m $108.3m 3.82% Added +12.0k +12,036
4 Parallax Volatility Advisers, L.P. 2.43% of their portfolio San Francisco, CA 3,995,4334.0m $69.2m $69.2m 2.43% Unchanged
5 ROYAL BANK OF CANADA 0.02% of their portfolio TORONTO, A6 3,779,5223.8m $65.5m $65.5m 0.02% Added +48.8k +48,819
6 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 2,552,7822.6m $44.2m $44.2m 0.00% Added +32.7k +32,687
7 JUPITER ASSET MANAGEMENT LTD 0.45% of their portfolio London, X0 2,344,1822.3m $40.6m $40.6m 0.45% Reduced -518.4k -518,446
8 BOOTHBAY FUND MANAGEMENT, LLC 1.08% of their portfolio NEW YORK, NY 1,949,6251.9m $33.8m $33.8m 1.08% Added +1.9m +1,853,153
9 SHUFRO ROSE & CO LLC 2.70% of their portfolio NEW YORK, NY 1,648,4041.6m $28.6m $28.6m 2.70% Added +34.8k +34,775
10 MANAGED ASSET PORTFOLIOS, LLC 3.65% of their portfolio ROCHESTER, MI 1,374,7471.4m $23.8m $23.8m 3.65% Reduced -18.4k -18,392
11 Baird Financial Group, Inc. 0.06% of their portfolio MILWAUKEE, WI 1,285,1731.3m $22.3m $22.3m 0.06% Reduced -11.3k -11,262
12 AMERIPRISE FINANCIAL INC 0.01% of their portfolio MINNEAPOLIS, MN 1,185,8301.2m $20.5m $20.5m 0.01% Added +2.5k +2,475
13 OSAIC HOLDINGS, INC. 0.03% of their portfolio SCOTTSDALE, AZ 999,725999.7k $17.3m $17.3m 0.03% Added +49.2k +49,190
14 JANE STREET GROUP, LLC 0.02% of their portfolio NEW YORK, NY 918,055918.1k $15.9m $15.9m 0.02% Added +543.6k +543,578
15 HOWLAND CAPITAL MANAGEMENT LLC 0.90% of their portfolio BOSTON, MA 889,842889.8k $15.4m $15.4m 0.90% Added +36.9k +36,915
16 EVERGREEN CAPITAL MANAGEMENT LLC 0.65% of their portfolio Bellevue, WA 861,877861.9k $14.9m $14.9m 0.65% Added +20.5k +20,475
17 SPROTT INC. 2.17% of their portfolio TORONTO, A6 788,669788.7k $24.2m $24.2m 2.17% Reduced -119.7k -119,720
18 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 763,809763.8k $13.2m $13.2m 0.00% Reduced -25.7k -25,659
19 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 749,268749.3k $13.0m $13.0m 0.01% Added +83.6k +83,589
20 BLUEFIN CAPITAL MANAGEMENT, LLC 1.12% of their portfolio NEW YORK, NY 739,486739.5k $12.8m $12.8m 1.12% New
21 Private Advisor Group, LLC 0.11% of their portfolio MORRISTOWN, NJ 734,667734.7k $12.7m $12.7m 0.11% Added +20.2k +20,152
22 Engrave Wealth Partners LLC 3.86% of their portfolio SPRING, TX 724,106724.1k $12.5m $12.5m 3.86% Added +105.2k +105,242
23 Cheviot Value Management, LLC 2.75% of their portfolio BEVERLY HILLS, CA 716,496716.5k $12.4m $12.4m 2.75% Added +95 +95
24 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 688,660688.7k $11.9m $11.9m 0.00% Added +26.9k +26,935
25 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 665,768665.8k $11.5m $11.5m 0.01% Reduced -2.1k -2,148
26 PYA Waltman Capital, LLC 4.36% of their portfolio KNOXVILLE, TN 594,253594.3k $10.3m $10.3m 4.36% Added +12.0k +12,014
27 NATIONAL BANK OF CANADA /FI/ 0.02% of their portfolio MONTREAL, A8 593,414593.4k $10.0m $10.0m 0.02% Added +2.4k +2,352
28 Polar Asset Management Partners Inc. 0.24% of their portfolio TORONTO, A6 563,115563.1k $9.8m $9.8m 0.24% Unchanged
29 Beaumont Financial Advisors, LLC 0.97% of their portfolio NEEDHAM, MA 562,574562.6k $9.7m $9.7m 0.97% Reduced -679.9k -679,850
30 PFG Investments, LLC 1.64% of their portfolio WOODBURY, NY 505,908505.9k $8.8m $8.8m 1.64% Added +2.5k +2,535
31 Pekin Hardy Strauss, Inc. 1.33% of their portfolio CHICAGO, IL 484,307484.3k $8.4m $8.4m 1.33% Reduced -9.2k -9,150
32 Cannell & Co. 0.28% of their portfolio New York, NY 478,200478.2k $8.3m $8.3m 0.28% Unchanged
33 NEUBERGER BERMAN GROUP LLC 0.01% of their portfolio NEW YORK, NY 434,337434.3k $7.5m $7.5m 0.01% Added +2.5k +2,513
34 COHEN & STEERS, INC. 0.02% of their portfolio NEW YORK, NY 432,497432.5k $7.5m $7.5m 0.02% Reduced -23.3k -23,282
35 New Harbor Financial Group, LLC 2.79% of their portfolio WORCESTER, MA 401,674401.7k $7.0m $7.0m 2.79% Reduced -26.9k -26,889
36 Marks Group Wealth Management, Inc 0.79% of their portfolio MINNETONKA, MN 370,070370.1k $6.4m $6.4m 0.79% Reduced -14.1k -14,109
37 COWEN AND COMPANY, LLC 0.44% of their portfolio NEW YORK, NY 364,132364.1k $6.3m $6.3m 0.44% Added +62.2k +62,168
38 CIBC WORLD MARKET INC. 0.02% of their portfolio TORONTO, A6 359,127359.1k $6.2m $6.2m 0.02% Reduced -11.3k -11,321
39 Euro Pacific Asset Management, LLC 1.45% of their portfolio DORADO, PR 357,957358.0k $6.2m $6.2m 1.45% Reduced -10.7k -10,687
40 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 352,035352.0k $6.1m $6.1m 0.01% Added +11.5k +11,519
41 Cadence Wealth Management LLC 4.71% of their portfolio WESTBOROUGH, MA 327,481327.5k $5.7m $5.7m 4.71% Added +2.8k +2,825
42 HOLLENCREST CAPITAL MANAGEMENT 0.61% of their portfolio NEWPORT BEACH, CA 313,460313.5k $5.4m $5.4m 0.61% Unchanged
43 PRICE T ROWE ASSOCIATES INC /MD/ 0.00% of their portfolio BALTIMORE, MD 307,628307.6k $5.3m $5.3m 0.00% Reduced -130.4k -130,400
44 Demars Financial Group, LLC 2.85% of their portfolio SPOKANE VALLEY, WA 287,982288.0k $5.0m $5.0m 2.85% Reduced -43.9k -43,902
45 Hunting Hill Global Capital, LLC 2.29% of their portfolio New York, NY 281,051281.1k $4.9m $4.9m 2.29% Reduced -769.3k -769,342
46 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 277,500277.5k $4.8m $4.8m 0.01% Reduced -1.9k -1,868
47 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.01% of their portfolio BALA CYNWYD, PA 254,691254.7k $4.4m $4.4m 0.01% New
48 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 254,568254.6k $4.4m $4.4m 0.02% Added +98.0k +98,044
49 Beacon Pointe Advisors, LLC 0.05% of their portfolio NEWPORT BEACH, CA 240,918240.9k $4.2m $4.2m 0.05% New
50 NewEdge Wealth, LLC 0.13% of their portfolio STAMFORD, CT 237,472237.5k $4.1m $4.1m 0.13% Unchanged
51 Kestra Advisory Services, LLC 0.04% of their portfolio AUSTIN, TX 236,722236.7k $4.1m $4.1m 0.04% Added +139 +139
52 CSS LLC/IL 0.32% of their portfolio CHICAGO, IL 221,771221.8k $3.8m $3.8m 0.32% Added +150.4k +150,363
53 Cetera Advisor Networks LLC 0.02% of their portfolio EL SEGUNDO, CA 218,794218.8k $3.8m $3.8m 0.02% Reduced -6.6k -6,570
54 Brookstone Capital Management 0.09% of their portfolio WHEATON, IL 213,760213.8k $3.9m $3.9m 0.09% Reduced -66.7k -66,737
55 MARATHON CAPITAL MANAGEMENT 0.92% of their portfolio Hunt Valley, MD 211,000211.0k $3.7m $3.7m 0.92% New
56 INTREPID CAPITAL MANAGEMENT INC 2.51% of their portfolio JACKSONVILLE BEACH, FL 209,642209.6k $3.6m $3.6m 2.51% Reduced -204.5k -204,520
57 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 205,074205.1k $3.6m $3.6m 0.02% Added +2.5k +2,489
58 Paloma Partners Management Co 0.72% of their portfolio GREENWICH, CT 200,000200.0k $3.5m $3.5m 0.72% Added +50.0k +50,000
59 PenderFund Capital Management Ltd. 1.41% of their portfolio VANCOUVER, A1 200,000200.0k $4.7k $4.7k 1.41% New
60 LEVEL FOUR ADVISORY SERVICES, LLC 0.22% of their portfolio DALLAS, TX 196,024196.0k $3.4m $3.4m 0.22% Reduced -3.9k -3,861
61 Federation des caisses Desjardins du Quebec 0.03% of their portfolio LEVIS, A8 192,140192.1k $3.3m $3.3m 0.03% Reduced -8.8k -8,835
62 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 188,016188.0k $3.3m $3.3m 0.00% Added +34.9k +34,934
63 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 184,046184.0k $3.2m $3.2m 0.00% Reduced -181.9k -181,886
64 FLAGSHIP HARBOR ADVISORS, LLC 0.26% of their portfolio BOSTON, MA 177,379177.4k $3.1m $3.1m 0.26% Added +5.2k +5,238
65 TELEMUS CAPITAL, LLC 0.26% of their portfolio Southfield, MI 161,393161.4k $2.8m $2.8m 0.26% Reduced -25.1k -25,096
66 CHASE INVESTMENT COUNSEL CORP 1.38% of their portfolio CHARLOTTESVILLE, VA 159,870159.9k $2.8m $2.8m 1.38% Unchanged
67 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 158,862158.9k $2.8m $2.8m 0.00% Added +40.7k +40,733
68 Chicago Capital, LLC 0.12% of their portfolio Chicago, IL 153,865153.9k $2.7m $2.7m 0.12% Unchanged
69 ROBERTS GLORE & CO INC /IL/ 0.86% of their portfolio DEERFIELD, IL 149,621149.6k $2.6m $2.6m 0.86% Added +600 +600
70 STEPHENS INC /AR/ 0.05% of their portfolio LITTLE ROCK, AR 146,957147.0k $2.5m $2.5m 0.05% Reduced -4.2k -4,250
71 Equitable Holdings, Inc. 0.03% of their portfolio NEW YORK, NY 138,616138.6k $2.4m $2.4m 0.03% Reduced -20.5k -20,530
72 TD Waterhouse Canada Inc. 0.03% of their portfolio TORONTO, A6 128,972129.0k $3.0m $3.0m 0.03% Added +4.4k +4,441
73 Cetera Investment Advisers 0.02% of their portfolio SCHAUMBURG, IL 126,697126.7k $2.2m $2.2m 0.02% Reduced -14.3k -14,326
74 PHILADELPHIA TRUST CO 0.22% of their portfolio PHILADELPHIA, PA 125,949125.9k $2.2m $2.2m 0.22% Reduced -7.1k -7,135
75 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.21% of their portfolio CEDAR RAPIDS, IA 121,726121.7k $2.1m $2.1m 0.21% Added +2.7k +2,685
76 Capital Wealth Alliance, LLC 1.58% of their portfolio Scottsdale, AZ 120,889120.9k $2.1m $2.1m 1.58% Unchanged
77 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 119,164119.2k $2.1m $2.1m 0.00% Reduced -14 -14
78 WADDELL & ASSOCIATES, LLC 0.30% of their portfolio MEMPHIS, TN 118,429118.4k $2.1m $2.1m 0.30% Unchanged
79 Ancora Advisors LLC 0.05% of their portfolio Cleveland, OH 115,910115.9k $2.0m $2.0m 0.05% Unchanged
80 LINCOLN NATIONAL CORP 0.04% of their portfolio RADNOR, PA 115,257115.3k $2.0m $2.0m 0.04% Reduced -1.4k -1,423
81 Verition Fund Management LLC 0.03% of their portfolio GREENWICH, CT 115,000115.0k $2.0m $2.0m 0.03% Added +65.0k +65,000
82 TIAA TRUST, NATIONAL ASSOCIATION 0.01% of their portfolio CHARLOTTE, NC 113,298113.3k $2.0m $2.0m 0.01% First filing
83 SENTINEL TRUST CO LBA 0.26% of their portfolio HOUSTON, TX 107,443107.4k $1.9m $1.9m 0.26% Unchanged
84 Financial Sense Advisors, Inc. 0.78% of their portfolio SAN DIEGO, CA 105,734105.7k $1.8m $1.8m 0.78% Added +10.9k +10,946
85 Guild Investment Management, Inc. 3.07% of their portfolio WESTLAKE VILLAGE, CA 105,622105.6k $1.8m $1.8m 3.07% Reduced -155 -155
86 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.01% of their portfolio PLYMOUTH, MN 104,174104.2k $1.8m $1.8m 0.01% New
87 Spire Wealth Management 0.06% of their portfolio MCLEAN, VA 95,34795.3k $1.7m $1.7m 0.06% Added +16.1k +16,087
88 Mariner, LLC 0.00% of their portfolio Overland Park, KS 91,40491.4k $1.6m $1.6m 0.00% Added +2.1k +2,064
89 Main Street Financial Solutions, LLC 0.22% of their portfolio NEWTOWN, PA 90,59590.6k $1.6m $1.6m 0.22% Reduced -2.4k -2,350
90 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 90,34590.3k $1.6m $1.6m 0.01% Added +383 +383
91 Perritt Capital Management Inc 0.91% of their portfolio Chicago, IL 90,30090.3k $1.6m $1.6m 0.91% Unchanged
92 Fore Capital, LLC 2.85% of their portfolio New York, NY 90,00090.0k $1.6m $1.6m 2.85% New
93 St. James Investment Company, LLC 0.23% of their portfolio SOUTHLAKE, TX 88,53888.5k $1.5m $1.5m 0.23% Reduced -1.1k -1,120
94 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 87,71187.7k $1.5m $1.5m 0.02% Added +2.2k +2,243
95 AVANTAX ADVISORY SERVICES, INC. 0.02% of their portfolio DALLAS, TX 86,89986.9k $1.5m $1.5m 0.02% Added +48.1k +48,112
96 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 86,62986.6k $1.5m $1.5m 0.01% Added +6.4k +6,422
97 Hunter Perkins Capital Management, LLC 0.32% of their portfolio LOMBARD, IL 85,19585.2k $1.5m $1.5m 0.32% Reduced -102.3k -102,285
98 STEEL GROVE CAPITAL ADVISORS, LLC 0.19% of their portfolio MEMPHIS, TN 81,22681.2k $1.4m $1.4m 0.19% Added +17.2k +17,214
99 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 80,44380.4k $1.5m $1.5m 0.00% Added +34.3k +34,283
100 Peak Financial Management, Inc. 0.50% of their portfolio WELLESLEY, MA 79,18579.2k $1.4m $1.4m 0.50% Reduced -280 -280