Vault-13

SPROTT ASSET MANAGEMENT LP CEF

TR UNIT · Closed-End Fund · CUSIP 85208R101

295 institutional holders +3 vs Q3 2023
73,992,06774.0m shares reported held*
$1.4bnreported value*
17 new 69 added 95 reduced 26 sold out net bought ≈ $55.1m (+3.0m 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 ($478.8k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $19.15.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 274Q4 22: 285Q1 23: 283Q2 23: 283Q3 23: 292Q4 23: 295295Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022274
Q4 2022285
Q1 2023283
Q2 2023283
Q3 2023292
Q4 2023295

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 23Q4 23: 86 bought or addedQ4 23: 121 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 202279108
Q1 202310490
Q2 20239795
Q3 202393102
Q4 202386121

Biggest buyers

MORGAN STANLEY Added +3,023,980+3.0m
BLUEFIN CAPITAL MANAGEMENT, LLC Added +2,145,125+2.1m
AMERIPRISE FINANCIAL INC Added +625,851+625.9k
JANE STREET GROUP, LLC Added +336,219+336.2k
Cambridge Investment Research Advisors, Inc. Added +252,219+252.2k
TIAA TRUST, NATIONAL ASSOCIATION Added +133,734+133.7k
HighTower Advisors, LLC Added +108,008+108.0k
LINCOLN NATIONAL CORP Added +98,663+98.7k
CHOREO, LLC New +75,880+75.9k
BOOTHBAY FUND MANAGEMENT, LLC Added +67,021+67.0k

Biggest sellers

PFG Investments, LLC Sold out -505,908-505.9k
Marks Group Wealth Management, Inc Reduced -347,523-347.5k
JUPITER ASSET MANAGEMENT LTD Reduced -336,036-336.0k
PRICE T ROWE ASSOCIATES INC /MD/ Sold out -307,628-307.6k
Hunting Hill Global Capital, LLC Sold out -281,051-281.1k
Simplicity Solutions, LLC Reduced -234,718-234.7k
Bleakley Financial Group, LLC Reduced -234,057-234.1k
COWEN AND COMPANY, LLC Reduced -200,000-200.0k
PenderFund Capital Management Ltd. Sold out -200,000-200.0k
Paloma Partners Management Co Sold out -200,000-200.0k

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.

None reported in Q4 2023.

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 CENTRAL TRUST Co 3.95% of their portfolio JEFFERSON CITY, MO 7,770,0507.8m $148.8m $148.8m 3.95% Reduced -56.6k -56,619
2 Bleakley Financial Group, LLC 3.66% of their portfolio PARSIPPANY, NJ 6,019,2736.0m $115.3m $115.3m 3.66% Reduced -234.1k -234,057
3 Simplicity Solutions, LLC 3.15% of their portfolio MINNEAPOLIS, MN 6,018,6126.0m $115.3m $115.3m 3.15% Reduced -234.7k -234,718
4 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 5,576,7625.6m $106.8m $106.8m 0.00% Added +3.0m +3,023,980
5 Parallax Volatility Advisers, L.P. 2.10% of their portfolio San Francisco, CA 3,995,4334.0m $76.5m $76.5m 2.10% Unchanged
6 ROYAL BANK OF CANADA 0.02% of their portfolio TORONTO, A6 3,678,9993.7m $70.5m $70.5m 0.02% Reduced -100.5k -100,523
7 BLUEFIN CAPITAL MANAGEMENT, LLC 4.92% of their portfolio NEW YORK, NY 2,884,6112.9m $55.5m $55.5m 4.92% Added +2.1m +2,145,125
8 BOOTHBAY FUND MANAGEMENT, LLC 1.33% of their portfolio NEW YORK, NY 2,016,6462.0m $38.6m $38.6m 1.33% Added +67.0k +67,021
9 JUPITER ASSET MANAGEMENT LTD 0.38% of their portfolio London, X0 2,008,1462.0m $38.5m $38.5m 0.38% Reduced -336.0k -336,036
10 AMERIPRISE FINANCIAL INC 0.01% of their portfolio MINNEAPOLIS, MN 1,811,6811.8m $34.7m $34.7m 0.01% Added +625.9k +625,851
11 SHUFRO ROSE & CO LLC 2.70% of their portfolio NEW YORK, NY 1,637,8361.6m $28.4m $28.4m 2.70% Reduced -10.6k -10,568
12 MANAGED ASSET PORTFOLIOS, LLC 3.98% of their portfolio ROCHESTER, MI 1,370,7151.4m $26.2m $26.2m 3.98% Reduced -4.0k -4,032
13 Baird Financial Group, Inc. 0.06% of their portfolio MILWAUKEE, WI 1,269,1671.3m $24.3m $24.3m 0.06% Reduced -16.0k -16,006
14 JANE STREET GROUP, LLC 0.03% of their portfolio NEW YORK, NY 1,254,2741.3m $24.0m $24.0m 0.03% Added +336.2k +336,219
15 OSAIC HOLDINGS, INC. 0.03% of their portfolio SCOTTSDALE, AZ 985,247985.2k $18.9m $18.9m 0.03% Reduced -14.5k -14,478
16 EVERGREEN CAPITAL MANAGEMENT LLC 0.68% of their portfolio Bellevue, WA 874,769874.8k $16.8m $16.8m 0.68% Added +12.9k +12,892
17 HOWLAND CAPITAL MANAGEMENT LLC 0.88% of their portfolio BOSTON, MA 869,960870.0k $16.7m $16.7m 0.88% Reduced -19.9k -19,882
18 SPROTT INC. 1.31% of their portfolio TORONTO, A6 760,415760.4k $14.6m $14.6m 1.31% Reduced -28.3k -28,254
19 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 759,440759.4k $14.5m $14.5m 0.00% Reduced -4.4k -4,369
20 Engrave Wealth Partners LLC 4.03% of their portfolio SPRING, TX 737,194737.2k $14.1m $14.1m 4.03% Added +13.1k +13,088
21 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 720,971721.0k $13.8m $13.8m 0.01% Reduced -28.3k -28,297
22 Cheviot Value Management, LLC 2.94% of their portfolio BEVERLY HILLS, CA 700,911700.9k $13.6m $13.6m 2.94% Reduced -15.6k -15,585
23 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 692,114692.1k $13.3m $13.3m 0.00% Added +3.5k +3,454
24 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 677,350677.4k $13.0m $13.0m 0.01% Added +11.6k +11,582
25 Private Advisor Group, LLC 0.10% of their portfolio MORRISTOWN, NJ 671,736671.7k $12.9m $12.9m 0.10% Reduced -62.9k -62,931
26 PYA Waltman Capital, LLC 4.74% of their portfolio KNOXVILLE, TN 594,459594.5k $11.4m $11.4m 4.74% Added +206 +206
27 Beaumont Financial Advisors, LLC 0.99% of their portfolio NEEDHAM, MA 566,908566.9k $10.9m $10.9m 0.99% Added +4.3k +4,334
28 Polar Asset Management Partners Inc. 0.29% of their portfolio TORONTO, A6 563,115563.1k $10.8m $10.8m 0.29% Unchanged
29 Cannell & Co. 0.29% of their portfolio New York, NY 478,200478.2k $9.2m $9.2m 0.29% Unchanged
30 Pekin Hardy Strauss, Inc. 1.37% of their portfolio CHICAGO, IL 477,232477.2k $9.1m $9.1m 1.37% Reduced -7.1k -7,075
31 Cambridge Investment Research Advisors, Inc. 0.04% of their portfolio FAIRFIELD, IA 457,293457.3k $8.8m $8.8m 0.04% Added +252.2k +252,219
32 COHEN & STEERS, INC. 0.02% of their portfolio NEW YORK, NY 452,497452.5k $8.7m $8.7m 0.02% Added +20.0k +20,000
33 NEUBERGER BERMAN GROUP LLC 0.01% of their portfolio NEW YORK, NY 422,720422.7k $8.1m $8.1m 0.01% Reduced -11.6k -11,617
34 NATIONAL BANK OF CANADA /FI/ 0.01% of their portfolio MONTREAL, A8 401,970402.0k $7.6m $7.6m 0.01% Reduced -191.4k -191,444
35 New Harbor Financial Group, LLC 3.25% of their portfolio WORCESTER, MA 382,779382.8k $7.3m $7.3m 3.25% Reduced -18.9k -18,895
36 CIBC WORLD MARKET INC. 0.02% of their portfolio TORONTO, A6 375,993376.0k $7.2m $7.2m 0.02% Added +16.9k +16,866
37 Euro Pacific Asset Management, LLC 1.47% of their portfolio DORADO, PR 360,344360.3k $6.9m $6.9m 1.47% Added +2.4k +2,387
38 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 331,702331.7k $6.4m $6.4m 0.01% Reduced -20.3k -20,333
39 Cadence Wealth Management LLC 4.72% of their portfolio WESTBOROUGH, MA 314,116314.1k $6.0m $6.0m 4.72% Reduced -13.4k -13,365
40 HOLLENCREST CAPITAL MANAGEMENT 0.57% of their portfolio NEWPORT BEACH, CA 313,460313.5k $6.0m $6.0m 0.57% Unchanged
41 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 261,996262.0k $5.0m $5.0m 0.01% Reduced -15.5k -15,504
42 SAPIENT CAPITAL LLC 0.13% of their portfolio INDIANAPOLIS, IN 253,409253.4k $4.9m $4.9m 0.13% First filing
43 Kestra Advisory Services, LLC 0.04% of their portfolio AUSTIN, TX 252,843252.8k $4.8m $4.8m 0.04% Added +16.1k +16,121
44 TIAA TRUST, NATIONAL ASSOCIATION 0.02% of their portfolio CHARLOTTE, NC 247,032247.0k $4.7m $4.7m 0.02% Added +133.7k +133,734
45 NewEdge Wealth, LLC 0.12% of their portfolio STAMFORD, CT 237,472237.5k $4.5m $4.5m 0.12% Unchanged
46 Beacon Pointe Advisors, LLC 0.05% of their portfolio NEWPORT BEACH, CA 228,722228.7k $4.4m $4.4m 0.05% Reduced -12.2k -12,196
47 LEVEL FOUR ADVISORY SERVICES, LLC 0.24% of their portfolio DALLAS, TX 227,554227.6k $4.4m $4.4m 0.24% Added +31.5k +31,530
48 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 227,172227.2k $4.4m $4.4m 0.01% Added +108.0k +108,008
49 INTREPID CAPITAL MANAGEMENT INC 2.97% of their portfolio JACKSONVILLE BEACH, FL 226,652226.7k $4.3m $4.3m 2.97% Added +17.0k +17,010
50 Cetera Advisor Networks LLC 0.02% of their portfolio EL SEGUNDO, CA 218,790218.8k $4.2m $4.2m 0.02% Reduced -4 -4
51 Brookstone Capital Management 0.08% of their portfolio WHEATON, IL 217,580217.6k $4.2m $4.2m 0.08% Added +3.8k +3,820
52 LINCOLN NATIONAL CORP 0.07% of their portfolio RADNOR, PA 213,920213.9k $4.1m $4.1m 0.07% Added +98.7k +98,663
53 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 209,218209.2k $4.0m $4.0m 0.00% Added +50.4k +50,356
54 CSS LLC/IL 0.30% of their portfolio CHICAGO, IL 202,771202.8k $3.9m $3.9m 0.30% Reduced -19.0k -19,000
55 MARATHON CAPITAL MANAGEMENT 0.97% of their portfolio Hunt Valley, MD 200,600200.6k $3.8m $3.8m 0.97% Reduced -10.4k -10,400
56 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 187,764187.8k $3.6m $3.6m 0.01% Reduced -66.8k -66,804
57 FLAGSHIP HARBOR ADVISORS, LLC 0.25% of their portfolio BOSTON, MA 181,399181.4k $3.5m $3.5m 0.25% Added +4.0k +4,020
58 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 175,057175.1k $3.4m $3.4m 0.00% Reduced -13.0k -12,959
59 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 173,111173.1k $3.3m $3.3m 0.00% Reduced -10.9k -10,935
60 COWEN AND COMPANY, LLC 0.21% of their portfolio NEW YORK, NY 164,132164.1k $3.1m $3.1m 0.21% Reduced -200.0k -200,000
61 Chicago Capital, LLC 0.11% of their portfolio Chicago, IL 153,865153.9k $2.9m $2.9m 0.11% Unchanged
62 ROBERTS GLORE & CO INC /IL/ 0.89% of their portfolio DEERFIELD, IL 149,721149.7k $2.9m $2.9m 0.89% Added +100 +100
63 TELEMUS CAPITAL, LLC 0.24% of their portfolio Southfield, MI 149,592149.6k $2.9m $2.9m 0.24% Reduced -11.8k -11,801
64 STEPHENS INC /AR/ 0.05% of their portfolio LITTLE ROCK, AR 142,237142.2k $2.7m $2.7m 0.05% Reduced -4.7k -4,720
65 TD Waterhouse Canada Inc. 0.03% of their portfolio TORONTO, A6 129,823129.8k $3.2m $3.2m 0.03% Added +851 +851
66 Capital Wealth Alliance, LLC 1.59% of their portfolio Scottsdale, AZ 121,159121.2k $2.3m $2.3m 1.59% Added +270 +270
67 CHASE INVESTMENT COUNSEL CORP 1.01% of their portfolio CHARLOTTESVILLE, VA 119,968120.0k $2.3m $2.3m 1.01% Reduced -39.9k -39,902
68 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.21% of their portfolio CEDAR RAPIDS, IA 118,626118.6k $2.3m $2.3m 0.21% Reduced -3.1k -3,100
69 Cetera Investment Advisers 0.02% of their portfolio SCHAUMBURG, IL 118,019118.0k $2.3m $2.3m 0.02% Reduced -8.7k -8,678
70 Ancora Advisors LLC 0.05% of their portfolio Cleveland, OH 115,910115.9k $2.2m $2.2m 0.05% Unchanged
71 Delta Investment Management, LLC 0.53% of their portfolio SAN FRANCISCO, CA 111,501111.5k $2.1m $2.1m 0.53% Added +44.2k +44,174
72 Verition Fund Management LLC 0.02% of their portfolio GREENWICH, CT 110,000110.0k $2.1m $2.1m 0.02% Reduced -5.0k -5,000
73 Equitable Holdings, Inc. 0.03% of their portfolio NEW YORK, NY 109,498109.5k $2.1m $2.1m 0.03% Reduced -29.1k -29,118
74 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.01% of their portfolio PLYMOUTH, MN 105,351105.4k $2.0m $2.0m 0.01% Added +1.2k +1,177
75 PHILADELPHIA TRUST CO 0.19% of their portfolio PHILADELPHIA, PA 105,154105.2k $2.0m $2.0m 0.19% Reduced -20.8k -20,795
76 Federation des caisses Desjardins du Quebec 0.02% of their portfolio LEVIS, A8 103,153103.2k $2.0m $2.0m 0.02% Reduced -89.0k -88,987
77 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 101,211101.2k $1.9m $1.9m 0.02% Added +13.5k +13,500
78 Demars Financial Group, LLC 1.03% of their portfolio SPOKANE VALLEY, WA 100,998101.0k $1.9m $1.9m 1.03% Reduced -187.0k -186,984
79 Guild Investment Management, Inc. 3.00% of their portfolio WESTLAKE VILLAGE, CA 98,60798.6k $1.9m $1.9m 3.00% Reduced -7.0k -7,015
80 Spire Wealth Management 0.06% of their portfolio MCLEAN, VA 95,41895.4k $1.8m $1.8m 0.06% Added +71 +71
81 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 92,66292.7k $1.8m $1.8m 0.01% Added +2.3k +2,317
82 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 92,28792.3k $1.7m $1.7m 0.01% Added +5.7k +5,658
83 Perritt Capital Management Inc 0.97% of their portfolio Chicago, IL 90,30090.3k $1.7m $1.7m 0.97% Unchanged
84 WADDELL & ASSOCIATES, LLC 0.23% of their portfolio MEMPHIS, TN 89,80689.8k $1.7m $1.7m 0.23% Reduced -28.6k -28,623
85 Financial Sense Advisors, Inc. 0.63% of their portfolio SAN DIEGO, CA 87,12187.1k $1.7m $1.7m 0.63% Reduced -18.6k -18,613
86 Hunter Perkins Capital Management, LLC 0.35% of their portfolio LOMBARD, IL 86,59586.6k $1.7m $1.7m 0.35% Added +1.4k +1,400
87 Main Street Financial Solutions, LLC 0.21% of their portfolio NEWTOWN, PA 85,04585.0k $1.6m $1.6m 0.21% Reduced -5.5k -5,550
88 St. James Investment Company, LLC 0.26% of their portfolio SOUTHLAKE, TX 83,84583.8k $1.6m $1.6m 0.26% Reduced -4.7k -4,693
89 IFP Advisors, Inc 0.08% of their portfolio TAMPA, FL 83,60883.6k $1.6m $1.6m 0.08% Added +12.0k +11,979
90 CapitalatWork S.A. 0.06% of their portfolio AUDERGHEM, C9 82,49582.5k $1.6m $1.6m 0.06% First filing
91 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 80,34380.3k $1.6m $1.6m 0.00% Reduced -100 -100
92 Mariner, LLC 0.00% of their portfolio Overland Park, KS 80,25980.3k $1.5m $1.5m 0.00% Reduced -11.1k -11,145
93 STEEL GROVE CAPITAL ADVISORS, LLC 0.21% of their portfolio MEMPHIS, TN 79,50179.5k $1.5m $1.5m 0.21% Reduced -1.7k -1,725
94 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 78,93978.9k $1.5m $1.5m 0.00% Reduced -175.8k -175,752
95 Peak Financial Management, Inc. 0.50% of their portfolio WELLESLEY, MA 78,05078.0k $1.5m $1.5m 0.50% Reduced -1.1k -1,135
96 CHOREO, LLC 0.04% of their portfolio ROCKFORD, IL 75,88075.9k $1.5m $1.5m 0.04% New
97 DAVENPORT & Co LLC 0.01% of their portfolio RICHMOND, VA 74,50074.5k $1.4m $1.4m 0.01% Unchanged
98 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 72,39172.4k $1.4m $1.4m 0.00% Unchanged
99 Mutual Advisors, LLC 0.04% of their portfolio OMAHA, NE 65,87965.9k $1.3m $1.3m 0.04% Added +5.9k +5,855
100 LODESTAR PRIVATE ASSET MANAGEMENT LLC 0.19% of their portfolio ALAMO, CA 65,20765.2k $1.2m $1.2m 0.19% Reduced -2.4k -2,374