ALLSPRING MULTI SECTOR INCOM ERC
COM · Closed-End Fund · CUSIP 94987D101
58
institutional holders
-4 vs Q4 2022
3.8m
shares reported held*
$34.9mreported value*
7 new
18 added
19 reduced
10 sold out
net bought ≈ $568.5k (+62.1k 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 ≈ $9.14.
Trends to Q1 2023
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 59 |
| Q4 2022 | 62 |
| Q1 2023 | 58 |
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 | 26 | 27 |
| Q1 2023 | 25 | 29 |
Biggest buyers
| PEAPACK GLADSTONE FINANCIAL CORP | New | +76.6k |
| WOLVERINE ASSET MANAGEMENT LLC | New | +50.6k |
| AMERIPRISE FINANCIAL INC | Added | +45.1k |
| Raymond James Financial Services Advisors, Inc. | Added | +33.5k |
| Shaker Financial Services, LLC | New | +28.5k |
| Advisors Asset Management, Inc. | Added | +25.4k |
| GUGGENHEIM CAPITAL LLC | Added | +18.4k |
| RAYMOND JAMES & ASSOCIATES | Added | +17.3k |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | New | +10.0k |
| ENVESTNET ASSET MANAGEMENT INC | Added | +8.8k |
Biggest sellers
| Invesco Ltd. | Reduced | -107.9k |
| ROYAL BANK OF CANADA | Reduced | -47.0k |
| SIT INVESTMENT ASSOCIATES INC | Sold out | -20.0k |
| MORGAN STANLEY | Reduced | -13.3k |
| SeaCrest Wealth Management, LLC | Sold out | -13.0k |
| Scissortail Wealth Management, LLC | Sold out | -11.2k |
| Kestra Advisory Services, LLC | Sold out | -10.1k |
| UBS Group AG | Reduced | -8.9k |
| High Net Worth Advisory Group LLC | Sold out | -7.5k |
| STIFEL FINANCIAL CORP | Reduced | -5.7k |
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 +2.3 pts · filed 2026-03-04 | 10.3% |
| FIRST TRUST PORTFOLIOS LP 13G · institution filed 2025-01-17 | 9.0% |
Insider purchases and sales in Q1 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.
Officers and directors buying vs selling
Number of people, by quarter (10% owners not included)
BuyingSelling
Numbers
| Quarter | Buying | Bought | Selling | Sold | Sold under a plan |
|---|---|---|---|---|---|
| Q2 2021 | 0 | — | 0 | — | — |
| Q3 2021 | 0 | — | 0 | — | — |
| Q4 2021 | 0 | — | 0 | — | — |
| Q1 2022 | 0 | — | 0 | — | — |
| Q2 2022 | 0 | — | 0 | — | — |
| Q3 2022 | 1 | $1.5k | 0 | — | — |
| Q4 2022 | 0 | — | 0 | — | — |
| Q1 2023 | 0 | — | 0 | — | — |
None reported in Q1 2023.
Holders, Q1 2023
| Manager | Shares | Change |
|---|---|---|
| RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio | 350.5k $3.2m | Added +17.3k |
| MORGAN STANLEY 0.00% of their portfolio | 267.7k $2.4m | Reduced -13.3k |
| Invesco Ltd. 0.00% of their portfolio | 256.8k $2.3m | Reduced -107.9k |
| AMERIPRISE FINANCIAL INC 0.00% of their portfolio | 249.7k $2.3m | Added +45.1k |
| Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio | 246.4k $2.3m | Added +33.5k |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 219.6k $2.0m | Reduced -47.0k |
| STIFEL FINANCIAL CORP 0.00% of their portfolio | 186.2k $1.7m | Reduced -5.7k |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 179.9k $1.6m | Reduced -2.1k |
| Sowell Financial Services LLC 0.13% of their portfolio | 178.7k $1.6m | Reduced -610 |
| Advisors Asset Management, Inc. 0.03% of their portfolio | 157.2k $1.4m | Added +25.4k |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio | 145.6k $1.3m | Added +4.0k |
| COHEN & STEERS, INC. 0.00% of their portfolio | 143.8k $1.3m | Unchanged |
| Fiera Capital Corp 0.00% of their portfolio | 110.8k $1.0m | Reduced -2.1k |
| BENJAMIN F. EDWARDS & COMPANY, INC. 0.04% of their portfolio | 94.2k $862.0k | Reduced -678 |
| UBS Group AG 0.00% of their portfolio | 89.6k $820.2k | Reduced -8.9k |
| PEAPACK GLADSTONE FINANCIAL CORP 0.01% of their portfolio | 76.6k $701.0k | New |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 75.1k $687.4k | Added +1.2k |
| Capital Investment Advisors, LLC 0.02% of their portfolio | 63.0k $576.1k | Reduced -677 |
| ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio | 53.8k $492.2k | Added +8.8k |
| Selway Asset Management 0.23% of their portfolio | 52.8k $483.0k | Reduced -3.3k |
| WOLVERINE ASSET MANAGEMENT LLC 0.01% of their portfolio | 50.6k $463.0k | New |
| NewEdge Advisors, LLC 0.00% of their portfolio | 42.7k $384.7k | Unchanged |
| INDEPENDENT FINANCIAL GROUP, LLC 0.03% of their portfolio | 38.9k $355.6k | Reduced -950 |
| Uncommon Cents Investing LLC 0.13% of their portfolio | 38.6k $353.6k | Unchanged |
| Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio | 36.0k $329.0k | Reduced -353 |
| GUGGENHEIM CAPITAL LLC 0.00% of their portfolio | 35.4k $324.2k | Added +18.4k |
| Private Advisor Group, LLC 0.00% of their portfolio | 32.5k $297.2k | Added +2.0k |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.04% of their portfolio | 32.0k $292.6k | Added +289 |
| Steward Partners Investment Advisory, LLC 0.00% of their portfolio | 30.2k $276.5k | Added +8.0k |
| LPL Financial LLC 0.00% of their portfolio | 28.7k $262.6k | Reduced -1.6k |
| Shaker Financial Services, LLC 0.11% of their portfolio | 28.5k $260.9k | New |
| Capital Wealth Alliance, LLC 0.16% of their portfolio | 21.9k $200.7k | Added +241 |
| NWAM LLC 0.02% of their portfolio | 19.6k $179.7k | Added +7 |
| NWF Advisory Services Inc. 0.04% of their portfolio | 19.5k $180.6k | First filing |
| Semus Wealth Partners LLC 0.16% of their portfolio | 16.2k $148.2k | Added +63 |
| Kingsview Wealth Management, LLC 0.01% of their portfolio | 15.3k $140.2k | Added +173 |
| CTC Capital Management, LLC 0.27% of their portfolio | 14.3k $130.8k | Unchanged |
| COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio | 13.9k $127.0k | Reduced -3.6k |
| Janney Montgomery Scott LLC 0.00% of their portfolio | 13.8k $126.0k | Unchanged |
| WOODWARD DIVERSIFIED CAPITAL, LLC 0.10% of their portfolio | 13.7k $125.0k | Added +192 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio | 12.4k $113.4k | Reduced -1.9k |
| Cetera Investment Advisers 0.00% of their portfolio | 11.6k $106.5k | Reduced -2.2k |
| Dynamic Advisor Solutions LLC 0.01% of their portfolio | 11.5k $105.3k | Added +163 |
| Arkadios Wealth Advisors 0.01% of their portfolio | 11.1k $101.2k | Unchanged |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.01% of their portfolio | 10.0k $91.6k | New |
| HOLLENCREST CAPITAL MANAGEMENT 0.01% of their portfolio | 8.9k $81.8k | Reduced -1.7k |
| Elequin Capital, LP 0.03% of their portfolio | 3.9k $35.7k | New |
| PRIVATE TRUST CO NA 0.00% of their portfolio | 2.7k $24.7k | Unchanged |
| CoreFirst Bank & Trust 0.02% of their portfolio | 2.6k $23.5k | Unchanged |
| FNY Investment Advisers, LLC 0.02% of their portfolio | 1.6k $14.0k | Unchanged |
| McIlrath & Eck, LLC 0.00% of their portfolio | 1.5k $13.8k | Reduced -1.6k |
| PNC Financial Services Group, Inc. 0.00% of their portfolio | 602 $5.5k | Unchanged |
| Geneos Wealth Management Inc. 0.00% of their portfolio | 586 $5.4k | Unchanged |
| TCI Wealth Advisors, Inc. 0.00% of their portfolio | 331 $3.0k | New |
| Winch Advisory Services, LLC 0.00% of their portfolio | 150 $1.0k | Added +3 |
| JPMORGAN CHASE & CO 0.00% of their portfolio | 17 $0 | New |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 1 $10 | Unchanged |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |