-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OOxhOU91JMrP+zN6N5NNN6Y9ijiEGAUq5P2JcaPlTq5YvV0EMpe/15fOR0aytd98 YVvObm/hKinhY2lN8I34aQ== 0000938077-11-000003.txt : 20110216 0000938077-11-000003.hdr.sgml : 20110216 20110215175551 ACCESSION NUMBER: 0000938077-11-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110216 DATE AS OF CHANGE: 20110215 EFFECTIVENESS DATE: 20110216 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DOLIVER CAPITAL ADVISORS, INC. CENTRAL INDEX KEY: 0000938077 IRS NUMBER: 561827546 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05031 FILM NUMBER: 11615411 BUSINESS ADDRESS: STREET 1: 6363 WOODWAY, SUITE 963 CITY: HOUSTON STATE: TX ZIP: 77057 BUSINESS PHONE: 713-917-0022 MAIL ADDRESS: STREET 1: 6363 WOODWAY, SUITE 963 CITY: HOUSTON STATE: TX ZIP: 77057 FORMER COMPANY: FORMER CONFORMED NAME: DEEP DISCOUNT ADVISORS INC /NC/ DATE OF NAME CHANGE: 19950215 13F-HR 1 doliver13f.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 13F-HR FORM 13F-HR COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2010 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Doliver Capital Advisors Address: 6363 Woodway, Suite 963 Houston, TX 77057 Form 13F-HR File Number: 28-05031 The investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Ralph D. McBride Title: President Phone: 713-917-0022 Signature, Place, and Date of Signing: /s/ Ralph D. McBride Houston, Texas February 14, 2011 - ------------------------- ------------------ --------------------- [Signature] [City, State] [Date] Report Type (Check only one.): [x] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: NONE FORM 13F-HR SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F-HR Information Table Entry Total: 244 Form 13F-HR Information Table Value Total: 174,993 (thousands) List of Other Included Managers: NONE Provide a numbered list of the name(s) and Form 13F-HR file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] TITLE OF SH OR VALUE INVESTMENT OTHER VOTING NAME OF ISSUER CLASS CUSIP PRIN AMT (X$1000) DISCRETION MANAGERS AUTHORITY ABERDEEN ASIA PACIFIC INCOM COM 003009107 441723 2982 SOLE NONE 0 ABERDEEN EMERGING MARKETS TELE COM 00301T102 7642 148 SOLE NONE 0 ABERDEEN GLOBAL INCOME FUND COM 003013109 1300 16 SOLE NONE 0 ADAMS EXPRESS CO COM 006212104 451319 4847 SOLE NONE 0 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 34200 489 SOLE NONE 0 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 843739 6691 SOLE NONE 0 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 57019 738 SOLE NONE 0 ALPINE GLOBAL DYNAMIC DIVD F COM 02082E106 786 6 SOLE NONE 0 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 982178 5814 SOLE NONE 0 AMERICAN SELECT PORTFOLIO IN COM 029570108 25600 268 SOLE NONE 0 AMERICAN STRATEGIC INCM PTFL COM 030098107 4400 53 SOLE NONE 0 AMERICAN STRATEGIC INCOME II COM 03009T101 56349 431 SOLE NONE 0 AMERN STRATEGIC INCOME PTFL COM 030099105 35706 333 SOLE NONE 0 BANCROFT FUND LTD COM 059695106 4100 69 SOLE NONE 0 BLACKROCK APEX MUN FD INC COM 09254H106 1800 15 SOLE NONE 0 BLACKROCK CALI MUNI 2018 TRM COM 09249C105 500 8 SOLE NONE 0 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 5500 70 SOLE NONE 0 BLACKROCK CORE BD TRSHS BEN IN SHS BEN INT 09249E101 10761 135 SOLE NONE 0 BLACKROCK CORPOR HI YLD FD V COM 09255P107 46999 547 SOLE NONE 0 BLACKROCK CORPOR HI YLD FD V COM 09255N102 42856 495 SOLE NONE 0 BLACKROCK CORPOR HI YLD III COM 09255M104 2900 20 SOLE NONE 0 BLACKROCK CORPOR HIGH YLD FD COM 09255L106 13087 89 SOLE NONE 0 BLACKROCK CR ALLO INC TR SH BEN INT 09249V103 1600 17 SOLE NONE 0 BLACKROCK CREDIT ALL INC TR COM 09255J101 4300 39 SOLE NONE 0 BLACKROCK CREDIT ALL INC TR COM 09255H105 14300 141 SOLE NONE 0 BLACKROCK DEBT STRAT FD INC COM 09255R103 6700 26 SOLE NONE 0 BLACKROCK HIGH INCOME SHS SHS BEN INT 09250E107 87693 181 SOLE NONE 0 BLACKROCK HIGH YIELD TRSH BEN SHS BEN INT 09248N102 5687 38 SOLE NONE 0 BLACKROCK INCOME OPP TRUST I COM 092475102 19055 185 SOLE NONE 0 BLACKROCK INCOME TR INC COM 09247F100 483121 3305 SOLE NONE 0 BLACKROCK INSD MUN TERM TR I COM 092474105 3700 48 SOLE NONE 0 BLACKROCK LIMITED DURATIONINCO COM SHS 09249W101 13200 215 SOLE NONE 0 BLACKROCK LONG-TERM MUNI ADV COM 09250B103 2900 29 SOLE NONE 0 BLACKROCK MUN 2020 TERM TR COM SHS 09249X109 3900 57 SOLE NONE 0 BLACKROCK MUN INCOME TR SH BEN INT 09248F109 36307 461 SOLE NONE 0 BLACKROCK MUNI INCOME TR II COM 09249N101 700 9 SOLE NONE 0 BLACKROCK MUNI INCOMEINVST QLT COM 09250G102 16300 213 SOLE NONE 0 BLACKROCK MUNIASSETS FD INC COM 09254J102 52021 606 SOLE NONE 0 BLACKROCK MUNICIPAL BOND TR COM 09249H104 2924 40 SOLE NONE 0 BLACKROCK MUNIHLDGS FD II IN COM 09253P109 5698 78 SOLE NONE 0 BLACKROCK MUNIHLDNGS QLTY II COM 09254C107 24591 294 SOLE NONE 0 BLACKROCK MUNIHOLDNGS QLTYINCO COM 09254A101 10800 131 SOLE NONE 0 BLACKROCK MUNIYIELD INVST FD COM 09254R104 13400 165 SOLE NONE 0 BLACKROCK MUNIYIELD NJ QLTY FD COM 09255A100 470 6 SOLE NONE 0 BLACKROCK MUNIYIELD PA QLTY FD COM 09255G107 13134 177 SOLE NONE 0 BLACKROCK MUNIYIELD QUALITY COM 09254G108 22033 250 SOLE NONE 0 BLACKROCK N Y MUN INCOME TR SH BEN INT 09248L106 2917 40 SOLE NONE 0 BLACKROCK NEW YORK MUNI 2018 COM 09248K108 2108 34 SOLE NONE 0 BLACKROCK NJ INV QUALITY MUN COM 09247C107 366 4 SOLE NONE 0 BLACKROCK NJ MUNI INCOME TRS SH BEN INT 09248J101 500 7 SOLE NONE 0 BLACKROCK NJ MUNICIPAL BOND COM 09249A109 1200 16 SOLE NONE 0 BLACKROCK PA STRATEGIC MUN TR COM 09248R103 3473 43 SOLE NONE 0 BLACKROCK PREFERRED & EQADVANT COM 92508100 14000 169 SOLE NONE 0 BLACKROCK SR HIGH INCOME FD COM 09255T109 4300 17 SOLE NONE 0 BLACKROCK STRTGC BOND TR COM 09249G106 4800 61 SOLE NONE 0 BLUE CHIP VALUE FUND INC COM 095333100 54900 204 SOLE NONE 0 BOULDER GROWTH & INCOME FD I COM 101507101 3632700 22632 SOLE NONE 0 BOULDER TOTAL RETURN FD INC COM 101541100 190418 2955 SOLE NONE 0 CALAMOS CONV & HIGH INCOME FDC COM SHS 12811P108 7600 96 SOLE NONE 0 CALAMOS GBL DYN INCOME FUND COM 12811L107 8808 74 SOLE NONE 0 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 796877 7379 SOLE NONE 0 CLAYMORE DIVIDEND & INCOME FUN COM 18385J106 20980 313 SOLE NONE 0 CLOUGH GLOBAL EQUITY FUND COM 18914C100 17732 263 SOLE NONE 0 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 162549 2186 SOLE NONE 0 COHEN & STEERS DIVIDEND MAJO COM 19248G106 2500 32 SOLE NONE 0 COHEN & STEERS INFRASTRUCTUR COM 19248A109 191158 3139 SOLE NONE 0 COLUMBIA SELIGMAN PREM COM 19842X109 5900 113 SOLE NONE 0 DIAMOND HILL FINANCIAL TRENDS COM 25264C101 3200 31 SOLE NONE 0 DREYFUS STRATEGIC MUNS INC COM 261932107 2000 16 SOLE NONE 0 DWS HIGH INCOME TRSHS SHS NEW 23337C109 10600 100 SOLE NONE 0 DWS MUN INCOME TR COM 23338M106 1500 17 SOLE NONE 0 EATON VANCE ENH EQTY INC FD COM 278277108 800 9 SOLE NONE 0 EATON VANCE ENH EQTY INC FD COM 278277108 88785 1084 SOLE NONE 0 EATON VANCE ENHANCED EQ INC COM 278274105 48271 610 SOLE NONE 0 EATON VANCE MASSACHUSETTS MUNI COM 27828K108 200 3 SOLE NONE 0 EATON VANCE MICH MUN BD FD COM 27828M104 500 6 SOLE NONE 0 EATON VANCE NEW YORK MUN BD COM 27827Y109 3200 39 SOLE NONE 0 EATON VANCE PA MUN BD FD COM 27828W102 400 5 SOLE NONE 0 EATON VANCE PA MUNI INCOME TRS SH BEN INT 27826T101 5627 69 SOLE NONE 0 EATON VANCE RISK MNGD DIV EQ COM 27829G106 269181 3575 SOLE NONE 0 EATON VANCE TAX MNG GBL DV E COM 27829F108 262200 2761 SOLE NONE 0 EATON VANCE TAX MNGED BUY WR COM 27828X100 62118 895 SOLE NONE 0 EATON VANCE TX MGD DIV EQ IN COM 27828N102 154837 1751 SOLE NONE 0 EATON VANCE TX MNG BY WRT OP COM 27828Y108 67619 884 SOLE NONE 0 EATON VANCE TXMGD GL BUYWR O COM 27829C105 118715 1454 SOLE NONE 0 ELLSWORTH FUND LTD COM 289074106 6420 47 SOLE NONE 0 FEDERATED PREM INTR MUNINCORPO COM 31423M105 800 10 SOLE NONE 0 FEDERATED PREM MUNINCORPORATED COM 31423P108 2000 27 SOLE NONE 0 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 2801 49 SOLE NONE 0 FIRST TRUST FIDAC MTG INCM F COM SHS 33734E103 14901 289 SOLE NONE 0 FIRST TRUST STRAT H/I FUND COM 337347108 39601 130 SOLE NONE 0 FIRST TRUST STRAT HIGH INC 2 COM SHS 337353106 22900 106 SOLE NONE 0 FIRST TRUST STRAT HIGH INC 3 COM 33735C106 40794 175 SOLE NONE 0 GABELLI DIVD & INCOME TR COM 36242H104 293602 4510 SOLE NONE 0 GABELLI GLOBAL DEAL FD COM SBI 36245G103 111291 1488 SOLE NONE 0 GABELLI GLOBAL MULTIMEDIA TR COM 36239Q109 269 2 SOLE NONE 0 GABELLI HLTHCARE & WELLNESS SHS 36246K103 9881 70 SOLE NONE 0 GENERAL AMERN INVS INC COM 368802104 182172 4886 SOLE NONE 0 GLOBAL CURRENCY STRATEGY INC COM 378968101 15075 218 SOLE NONE 0 H & Q HEALTHCARE INVESTORS SH BEN INT 404052102 23200 310 SOLE NONE 0 H & Q LIFE SCIENCES INVSTRS SH BEN INT 404053100 27100 292 SOLE NONE 0 HANCOCK JOHN INVS TR COM 410142103 22168 444 SOLE NONE 0 HANCOCK JOHN PFD INCM FD COM 41013X106 600 11 SOLE NONE 0 HANCOCK JOHN PFD INCOME FD I COM 41021P103 15300 245 SOLE NONE 0 HELIOS ADVANTAGE INCOME FUND COM NEW 42327W206 2165 16 SOLE NONE 0 HELIOS MULTI-SECTOR HIGH INC COM NEW 42327Y202 19364 97 SOLE NONE 0 HELIOS STRATEGIC INCOME FUND COM NEW 42328A203 15703 83 SOLE NONE 0 IBERO-AMERICA FUND INC/THE COM 45082X103 1180 8 SOLE NONE 0 INVESCO INSRD MUNI INCM TRST COM 46132P108 4728 64 SOLE NONE 0 INVESCO MUNI INC OPP TRS III COM 46133C106 18082 132 SOLE NONE 0 INVESCO MUNI INCM OPP TRST I COM 46133A100 24500 167 SOLE NONE 0 INVESCO QUALITY MUN INVT TR COM 46133H105 2586 32 SOLE NONE 0 INVESCO QUALITY MUN SECS COM 46133J101 1100 14 SOLE NONE 0 INVESCO QUALITY MUNI INC TRS COM 46133G107 29877 367 SOLE NONE 0 INVESCO VAN KAMP BOND FND COM 46132L107 14528 271 SOLE NONE 0 INVESCO VAN KAMPEN CALIF VALUE COM 46132H106 4200 47 SOLE NONE 0 INVESCO VAN KAMPEN MUNI TRST COM 46131J103 3000 37 SOLE NONE 0 INVESCO VAN KAMPEN OHIO QUALIT COM 46131K100 300 4 SOLE NONE 0 INVESCO VAN KAMPEN PA VALUE COM 46132K109 1100 14 SOLE NONE 0 INVESCO VAN KAMPEN TR INSD MUN COM 46131L108 4757 57 SOLE NONE 0 JAPAN EQUITY FUND COM 471057109 800 5 SOLE NONE 0 JF CHINA REGION FUND INC COM 46614T107 3400 54 SOLE NONE 0 LAZARD GLOBAL TOT RT & INC COM 52106W104 2100 31 SOLE NONE 0 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 1048433 5169 SOLE NONE 0 LMP CORPORATE LOAN FUND INC COM 50208B100 3500 41 SOLE NONE 0 MACQUARIE GLBL INFRA TOTL RE COM 55608D101 376257 6502 SOLE NONE 0 MACQUARIE/FT GL INT/UT DV IN COM 55607W100 21444 311 SOLE NONE 0 MALAYSIA FUND INC COM 560905101 14500 163 SOLE NONE 0 MANAGED DURATION INVT GRD FUND COM 56165R103 5100 67 SOLE NONE 0 MFS CHARTER INCOME TR SH BEN INT 552727109 206354 1944 SOLE NONE 0 MFS GOVT MKTS INCOME TR SH BEN INT 552939100 27970 190 SOLE NONE 0 MFS INTER INCOME TR SH BEN INT 55273C107 25760 163 SOLE NONE 0 MFS INTERMARKET INCOME TRUST I SHS BEN INT 59318R103 4100 34 SOLE NONE 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 245259 1692 SOLE NONE 0 MFS SPL VALUE TR SH BEN INT 55274E102 6390 47 SOLE NONE 0 MORGAN STANLEY ASIA PAC FD I COM 61744U106 29812 506 SOLE NONE 0 MORGAN STANLEY EAST EUROPE COM 616988101 500 9 SOLE NONE 0 NEW GERMANY FUND COM 644465106 3900 61 SOLE NONE 0 NEW IRELAND FUND INC COM 645673104 20106 138 SOLE NONE 0 NFJ DIVID INT & PREM STRTGY COM SHS 65337H109 327933 5742 SOLE NONE 0 NUVEEN ARIZ DIVID ADVANTAG M COM SH BEN INT 67069L100 300 4 SOLE NONE 0 NUVEEN ARIZ DIVID ADVANTAG MUN COM SH BEN INT 67069L100 1800 22 SOLE NONE 0 NUVEEN ARIZ PREM INCOME MUN COM 67061W104 700 9 SOLE NONE 0 NUVEEN CA DIV ADV MUNI FD 3 COM SH BEN INT 67070Y109 10180 122 SOLE NONE 0 NUVEEN CA DIV ADVANTG MUN FD COM 67069X104 14300 187 SOLE NONE 0 NUVEEN CA INVT QUALITY MUN F COM 67062A101 10700 135 SOLE NONE 0 NUVEEN CALIF MUNICPAL VALU F COM 6706EB106 48869 422 SOLE NONE 0 NUVEEN CALIF PERFORM PLUS MU COM 67062Q106 5200 65 SOLE NONE 0 NUVEEN CALIF QUALITY INCM MU COM 670985100 17512 233 SOLE NONE 0 NUVEEN CONN DIVID ADVANTAGE COM 67071R103 1900 26 SOLE NONE 0 NUVEEN CONNECTICUT DVD ADV 3 COM 67071Y108 700 9 SOLE NONE 0 NUVEEN CONNECTICUT PREM INC SH BEN INT 67060D107 1000 13 SOLE NONE 0 NUVEEN DIV ADVANTAGE MUN FD 2 COM 67070F100 10060 134 SOLE NONE 0 NUVEEN DIVID ADVANTAGE MUN F COM 67066V101 4775 62 SOLE NONE 0 NUVEEN ENHANCED MUN VALUE FD COM 67074M101 141556 1799 SOLE NONE 0 NUVEEN GA PREM INCOME MUN FDSH SH BEN INT 67060F102 1400 18 SOLE NONE 0 NUVEEN INS CA TX FR ADV MUN FD COM 670651108 2800 34 SOLE NONE 0 NUVEEN INS MA TX FR ADV MUNFD COM 67072F108 1900 26 SOLE NONE 0 NUVEEN INSD CA PREM INCOME 2 COM 67061U108 3600 46 SOLE NONE 0 NUVEEN INSD CALIF DIVID COM 67071M104 3939 52 SOLE NONE 0 NUVEEN INSD DIVID ADVANTAGE COM 67071L106 14000 190 SOLE NONE 0 NUVEEN INSD MUN OPPORTUNITY COM 670984103 11830 154 SOLE NONE 0 NUVEEN INSD PREM INCOME MUN COM 6706D8104 35569 423 SOLE NONE 0 NUVEEN INSD QUALITY MUN FD I COM 67062N103 51928 652 SOLE NONE 0 NUVEEN MASS DIVID ADVANTAG M COM 67069P101 1100 15 SOLE NONE 0 NUVEEN MASS PREM INCOME MUN COM 67061E104 2000 27 SOLE NONE 0 NUVEEN MD DIV ADV MUNI FD 2COM COM SH BEN INT 67070V105 300 4 SOLE NONE 0 NUVEEN MD PREM 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NUVEEN NEW YORK MUN VALUE FD 2 COM 670706100 600 8 SOLE NONE 0 NUVEEN NY MUNI VALUE FUND COM 67062M105 800 7 SOLE NONE 0 NUVEEN OH DIV ADV MUNI FD 2COM COM SH BEN INT 67070R104 989 13 SOLE NONE 0 NUVEEN OH DIV ADVANTAGE MUN FD COM 67070C107 2601 35 SOLE NONE 0 NUVEEN PA DIV ADVANTAGE MUN FD COM 67070E103 4600 60 SOLE NONE 0 NUVEEN PA DIVID ADVANTAGE MUN COM 67071W102 600 8 SOLE NONE 0 NUVEEN PA MUN VALUE FD COM 67074K105 1300 18 SOLE NONE 0 NUVEEN PREM INCOME MUN FD 4 COM 6706K4105 5300 63 SOLE NONE 0 NUVEEN PREMIER INSD MUN INCO COM 670987106 42100 568 SOLE NONE 0 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 22800 176 SOLE NONE 0 NUVEEN QUALITY PFD INCOME FD COM 67072C105 32902 260 SOLE NONE 0 NUVEEN QUALITY PFD INCOME FD COM 67071S101 24600 182 SOLE NONE 0 NUVEEN SELECT MAT MUN FD SH BEN INT 67061T101 32610 325 SOLE NONE 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67062F100 35500 481 SOLE NONE 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063C106 59672 760 SOLE NONE 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063X100 45710 599 SOLE NONE 0 NUVEEN TAX FREE ADV MUN FD COM 670657105 19824 265 SOLE NONE 0 NUVEEN VA DIV ADV MUNI FD 2 COM 67071C106 300 4 SOLE NONE 0 NUVEEN VA PREM INCOME MUN FD COM 67064R102 300 4 SOLE NONE 0 PETROLEUM & RES CORP COM 716549100 113070 3055 SOLE NONE 0 PIMCO CORPORATE INCOME FD COM 72200U100 2000 31 SOLE NONE 0 PIMCO CORPORATE OPP FD COM 72201B101 18075 307 SOLE NONE 0 PIMCO INCOME STRATEGY FUND II COM 72201J104 2000 20 SOLE NONE 0 PIMCO MUN INCOME FD II COM 72200W106 4600 46 SOLE NONE 0 PIMCO STRATEGIC GBL GOV FD I COM 72200X104 22673 231 SOLE NONE 0 PUTMAN HIGH INCOME SEC FUNDSHS SHS BEN INT 746779107 5000 42 SOLE NONE 0 PUTNAM MANAGED MUN INCOM TR COM 746823103 89984 622 SOLE NONE 0 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 59202 343 SOLE NONE 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 20931 228 SOLE NONE 0 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 34950 219 SOLE NONE 0 RIVUS BOND FUND COM 769667106 27408 485 SOLE NONE 0 RMR ASIA PAC REAL EST FD NEW COM 76970B101 7205 132 SOLE NONE 0 ROYCE FOCUS TRUST COM 78080N108 13695 104 SOLE NONE 0 ROYCE MICRO-CAP TR INC COM 780915104 326498 3200 SOLE NONE 0 ROYCE VALUE TR INC COM 780910105 446109 6486 SOLE NONE 0 S&P QUAL RANK GL EQ MGD TRST SHS BEN INT 09250D109 2175 28 SOLE NONE 0 SUNAMERICA FCSED ALPHA GRW F COM 867037103 60415 1060 SOLE NONE 0 SWISS HELVETIA FUND COM 870875101 23843 323 SOLE NONE 0 THAI FUND INC COM 882904105 25000 320 SOLE NONE 0 THE EUROPEAN EQUITY FUND, IN COM 298768102 5844 44 SOLE NONE 0 TRANSAMERICA INCOME SHSINCORPO COM 893506105 1625 34 SOLE NONE 0 TRI CONTL CORP COM 895436103 355414 4890 SOLE NONE 0 WELLS FARGO ADVANTAGE INCOMECO COM SHS 94987B105 7600 73 SOLE NONE 0 WESTERN ASSET CLYM INFL OPP COM 95766R104 158540 1983 SOLE NONE 0 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 12617 162 SOLE NONE 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 192833 3531 SOLE NONE 0 WESTERN ASSET GLB PTNRS INCO COM 95766G108 32645 387 SOLE NONE 0 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