0000938077-12-000006.txt : 20120515 0000938077-12-000006.hdr.sgml : 20120515 20120515103522 ACCESSION NUMBER: 0000938077-12-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120515 DATE AS OF CHANGE: 20120515 EFFECTIVENESS DATE: 20120515 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: 12841760 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: March 31, 2012 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 May 15, 2012 ------------------------- ------------------ --------------------- [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: 410 Form 13F-HR Information Table Value Total: 186,348 (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 003009 10 7 14324 104 SOLE NONE 0 ABERDEEN EMERGING MARKETS TELE COM 00301T102 15242 295 SOLE NONE 0 ABERDEEN INDONESIA FD INC COM 00305P 10 6 11761 150 SOLE NONE 0 ABERDEEN ISRAEL FUND INC COM 00301L 10 9 5828 82 SOLE NONE 0 ABERDEEN LATIN AMER EQTY FD COM 00306K 10 6 4203 149 SOLE NONE 0 ADAMS EXPRESS CO COM 006212104 140671 1545 SOLE NONE 0 ADVENT CLAYMORE CV SECS & IN COM 00764C 10 9 61660 424 SOLE NONE 0 ADVENT CLAYMORE CV SECS & IN COM 00764C109 35530 579 SOLE NONE 0 ADVENT CLAYMORE ENH GRW & IN COM 00765E 10 4 36414 365 SOLE NONE 0 AGIC GLOBAL EQUITY & CONV IN COM 00119R108 18541 264 SOLE NONE 0 AGIC INTL & PREM STRATEGY FD COM 00119Q 10 0 15504 170 SOLE NONE 0 ALLIANCEBERNSTEIN INCOME FUN COM 01881E 10 1 498415 4082 SOLE NONE 0 ALLIANCEBERNSTEIN NATL MUNI COM 01864U 10 6 125 2 SOLE NONE 0 ALPINE GLOBAL PREMIER PPTYS COM SBI 02083A 10 3 357925 2327 SOLE NONE 0 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060 10 8 486061 2304 SOLE NONE 0 AMERICAN INCOME FD INC COM 02672T 10 9 7365 59 SOLE NONE 0 AMERICAN MUN INCOME PORTFOLI COM 027649 10 2 594 9 SOLE NONE 0 AMERICAN SELECT PORTFOLIO IN COM 029570 10 8 23932 249 SOLE NONE 0 AMERICAN STRATEGIC INCM PTFL COM 30098107 9479 111 SOLE NONE 0 AMERICAN STRATEGIC INCOME II COM 03009T101 94726 663 SOLE NONE 0 AMERN STRATEGIC INCOME PTFL COM 030099 10 5 39563 328 SOLE NONE 0 APOLLO SR FLOATING RATE FD I COM 037636 10 7 27157 486 SOLE NONE 0 ASIA PAC FD INC COM 044901 10 6 7516 80 SOLE NONE 0 ASIA TIGERS FD INC COM 04516T 10 5 3207 43 SOLE NONE 0 AVENUE INCOME CR STRATEGIES COM 05358E 10 6 5031 83 SOLE NONE 0 BANCROFT FUND LTD COM 059695106 6593 110 SOLE NONE 0 BLACKROCK BUILD AMER BD TR SHS 09248X 10 0 53972 1158 SOLE NONE 0 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E 10 2 13715 206 SOLE NONE 0 BLACKROCK CORE BD TRSHS BEN IN SHS BEN INT 09249E 10 1 10414 143 SOLE NONE 0 BLACKROCK CORPOR HI YLD FD V COM 09255P107 100 1 SOLE NONE 0 BLACKROCK CR ALLO INC TR SH BEN INT 09249V103 35612 400 SOLE NONE 0 BLACKROCK CREDIT ALL INC TR COM 09255H105 75892 798 SOLE NONE 0 BLACKROCK CREDIT ALLINCORPORAT COM 09255J101 20932 207 SOLE NONE 0 BLACKROCK DEBT STRAT FD INC COM 09255R 10 3 18816 78 SOLE NONE 0 BLACKROCK DEFINED OPPRTY CR COM 09255Q 10 5 7123 95 SOLE NONE 0 BLACKROCK DIVERS INCOME STRATE COM 09255W 10 2 22070 227 SOLE NONE 0 BLACKROCK ECOSOLUTIONS INVT COM SH 092546 10 0 783 8 SOLE NONE 0 BLACKROCK ENERGY & RES TR COM 09250U 10 1 30813 807 SOLE NONE 0 BLACKROCK ENH CAP & INC FD I COM 09256A 10 9 68852 929 SOLE NONE 0 BLACKROCK ENHANCED EQT DIV T COM 09251A104 461583 3462 SOLE NONE 0 BLACKROCK ENHANCED GOVT FD I COM 09255K 10 8 8079 124 SOLE NONE 0 BLACKROCK FL RATE INCOME STRA II SH BEN INT 09255Y108 11838 165 SOLE NONE 0 BLACKROCK FLA MUN 2020 TERM COM SHS 09250M 10 9 335 5 SOLE NONE 0 BLACKROCK FLOAT RATE INCOME STR COM 09255X 10 0 14959 222 SOLE NONE 0 BLACKROCK FLOATING RATE INCO COM 091941 10 4 4481 64 SOLE NONE 0 BLACKROCK GLOBAL OPP EQTY TR COM 092501 10 5 92801 1424 SOLE NONE 0 BLACKROCK INCOME OPP TRUST I COM 092475 10 2 22033 231 SOLE NONE 0 BLACKROCK INCOME TR INC COM 09247F100 50725 376 SOLE NONE 0 BLACKROCK INTL GRWTH & INC T SH BEN INT 092524107 249405 1958 SOLE NONE 0 BLACKROCK INVT QLTY MUN TR COM 09247B 10 9 209 3 SOLE NONE 0 BLACKROCK LONG-TERM MUNI ADV COM 09250B103 665 8 SOLE NONE 0 BLACKROCK LTD DURATION INC T COM SHS 09249W101 1797 32 SOLE NONE 0 BLACKROCK MUN 2020 TERM TR COM SHS 09249X 10 9 1691 27 SOLE NONE 0 BLACKROCK MUN INCOME TR SH BEN INT 09248F109 86 1 SOLE NONE 0 BLACKROCK MUNI INCOME TR II COM 09249N 10 1 192 3 SOLE NONE 0 BLACKROCK MUNI INCOMEINVST QLT COM 09250G102 3393 52 SOLE NONE 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 8684 138 SOLE NONE 0 BLACKROCK MUNI N Y INTER DUR COM 09255F 10 9 4136 62 SOLE NONE 0 BLACKROCK MUNIASSETS FD INC COM 09254J 10 2 10003 130 SOLE NONE 0 BLACKROCK MUNIC BD INVST TR COM 09249K107 1518 23 SOLE NONE 0 BLACKROCK MUNIC INCM INVST T SH BEN INT 09248H 10 5 4049 59 SOLE NONE 0 BLACKROCK MUNICIPL INC QLTY COM 092479104 5105 76 SOLE NONE 0 BLACKROCK MUNIENHANCED FD IN COM 09253Y100 11956 136 SOLE NONE 0 BLACKROCK MUNIHLDGS FD II IN COM 09253P109 2966 47 SOLE NONE 0 BLACKROCK MUNIHLDGS NJ QLTY COM 09254X101 6405 99 SOLE NONE 0 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 163 2 SOLE NONE 0 BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 23454 352 SOLE NONE 0 BLACKROCK MUNIHLDNGS QLTY II COM 09254C 10 7 9717 136 SOLE NONE 0 BLACKROCK MUNIHLDS INVSTM QL COM 09254P108 21702 317 SOLE NONE 0 BLACKROCK MUNIHOLDINGS FD IN COM 09253N 10 4 474 8 SOLE NONE 0 BLACKROCK MUNIHOLDNGS QLTYINCO COM 09254A101 5772 81 SOLE NONE 0 BLACKROCK MUNIYIELD ARIZ FD COM 09254K 10 9 2183 32 SOLE NONE 0 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 10504 161 SOLE NONE 0 BLACKROCK MUNIYIELD CALIF FD COM 09254M 10 5 32061 476 SOLE NONE 0 BLACKROCK MUNIYIELD FD INC COM 09253W104 167 3 SOLE NONE 0 BLACKROCK MUNIYIELD INVST FD COM 09254R104 4825 74 SOLE NONE 0 BLACKROCK MUNIYIELD N J FD I COM 09254Y 10 9 7443 117 SOLE NONE 0 BLACKROCK MUNIYIELD NJ QLTY FD COM 09255A100 79 1 SOLE NONE 0 BLACKROCK MUNIYIELD NY QLTY COM 09255E102 15837 221 SOLE NONE 0 BLACKROCK MUNIYIELD PA QLTY FD COM 09255G107 247 4 SOLE NONE 0 BLACKROCK MUNIYIELD QLTY FD COM 09254E103 25096 357 SOLE NONE 0 BLACKROCK MUNIYIELD QUALITY COM 09254G108 6160 84 SOLE NONE 0 BLACKROCK MUNIYIELD QUALITY COM 09254F100 9050 140 SOLE NONE 0 BLACKROCK MUNIYLD INVST QLTY COM 09254T100 4727 67 SOLE NONE 0 BLACKROCK MUNIYLD MICH QLTY COM 09254W103 602 8 SOLE NONE 0 BLACKROCK MUNIYLD MICH QLTY COM 09254V 10 5 6109 90 SOLE NONE 0 BLACKROCK NJ INV QUALITY MUN COM 09247C107 1560 22 SOLE NONE 0 BLACKROCK NJ MUNICIPAL BOND COM 09249A 10 9 982 16 SOLE NONE 0 BLACKROCK NY INVT QUALITY MU COM 09247E 10 3 186 3 SOLE NONE 0 BLACKROCK PA STRATEGIC MUN T COM 09248R 10 3 100 2 SOLE NONE 0 BLACKROCK PREFERRED & EQADVANT COM 92508100 79159 1035 SOLE NONE 0 BLACKROCK REAL ASSET EQUITY TRUST COM 09254B109 58600 706 SOLE NONE 0 BLACKROCK RES & COMM STRAT T SHS 09257A108 136376 2063 SOLE NONE 0 BLACKROCK S&P QLTY RK EQ MD SHS BEN INT 09250D109 5766 75 SOLE NONE 0 BLACKROCK SR HIGH INCOME FD COM 09255T109 22790 94 SOLE NONE 0 BLACKROCK STRATEGIC MUN TR COM 09248T 10 9 1944 28 SOLE NONE 0 BLACKROCK STRTGC BOND TR COM 09249G106 5417 76 SOLE NONE 0 BLACKSTONE GSO LNG SHRT CR I SH BEN INT 09257D 10 2 4351 79 SOLE NONE 0 BOULDER GROWTH & INCOME FD I COM 101507101 1704136 10685 SOLE NONE 0 CALAMOS CONV & HIGH INCOME FDC COM SHS 12811P108 42007 536 SOLE NONE 0 CALAMOS CONV OPP AND INC FD SH BEN INT 128117 10 8 1137 15 SOLE NONE 0 CALAMOS GBL DYN INCOME FUND COM 12811L107 191457 1685 SOLE NONE 0 CALAMOS STRATEGIC TOTL RETN SH BEN INT 128125101 393446 3934 SOLE NONE 0 CENTRAL EUROPE & RUSSIA FD COM 153436100 9529 334 SOLE NONE 0 CHINA FD INC COM 169373107 41019 956 SOLE NONE 0 CLOUGH GLOBAL ALLOCATION FUN SH BEN INT 18913Y 10 3 36526 509 SOLE NONE 0 CLOUGH GLOBAL EQUITY FUND COM 18914C100 53811 704 SOLE NONE 0 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 211505 2492 SOLE NONE 0 COHEN & STEERS CLOSED END OP COM 19248P 10 6 34725 443 SOLE NONE 0 COHEN & STEERS DIV MJRS FDIN COM 19248G106 18297 254 SOLE NONE 0 COHEN & STEERS GLOBAL INC BL COM 19248M 10 3 49344 528 SOLE NONE 0 COHEN & STEERS INFRASTRUCTUR COM 19248A109 98110 1727 SOLE NONE 0 COHEN & STEERS QUALITY RLTY COM 19247L 10 6 122842 1206 SOLE NONE 0 COHEN & STEERS REIT & PFD IN COM 19247X 10 0 29670 484 SOLE NONE 0 COHEN & STEERS SLT PFD INCM COM 19248Y 10 7 110 3 SOLE NONE 0 COLUMBIA SELIGMAN PREM COM 19842X109 19012 359 SOLE NONE 0 CUTWATER SELECT INCOME FD COM 232229104 4201 83 SOLE NONE 0 DCA TOTAL RETURN FD COM 233066 10 9 101392 385 SOLE NONE 0 DELAWARE ENHANCED GBL DIV & COM 246060107 459 6 SOLE NONE 0 DELAWARE INV CO MUN INC FD I COM 246101 10 9 3663 53 SOLE NONE 0 DELAWARE INV MN MUN INC FD I COM 24610V 10 3 6751 96 SOLE NONE 0 DELAWARE INVT NAT MUNI INC F SH BEN INT 24610T 10 8 3441 46 SOLE NONE 0 DELAWARE INVTS DIV & INCOME COM 245915 10 3 9122 74 SOLE NONE 0 DIAMOND HILL FINANCIAL TRENDS COM 25264C101 13237 143 SOLE NONE 0 DIVIDEND & INCOME FD INC COM 25538A 10 5 137662 498 SOLE NONE 0 DOW 30 PREMIUM & DIV INC FD COM 260582 10 1 16406 233 SOLE NONE 0 DOW 30SM ENHANCED PREM & INC COM 260537105 34048 383 SOLE NONE 0 DREYFUS STRATEGIC MUN BD FD COM 26202F 10 7 1223 11 SOLE NONE 0 DTF TAX-FREE INCOME INC COM 23334J107 2286 38 SOLE NONE 0 DWS GLOBAL HIGH INCOME FD COM 23338W 10 4 14838 120 SOLE NONE 0 DWS HIGH INCOME TR SHS NEW 23337C 20 8 2290 37 SOLE NONE 0 EATON VANCE CA MUNI INCOME T SH BEN INT 27826F101 597 8 SOLE NONE 0 EATON VANCE CALIF MUN BD FD COM 27828A100 231 3 SOLE NONE 0 EATON VANCE CALIF MUN BD FD COM 27828C106 318 4 SOLE NONE 0 EATON VANCE ENH EQTY INC FD COM 278277 10 8 148585 1617 SOLE NONE 0 EATON VANCE ENHANCED EQ INC COM 278274 10 5 151232 1673 SOLE NONE 0 EATON VANCE FLTING RATE INC COM 278279 10 4 6394 104 SOLE NONE 0 EATON VANCE LTD DUR INCOME F COM 27828H 10 5 63718 1023 SOLE NONE 0 EATON VANCE MA MUNI INCOME T SH BEN INT 27826E104 207 3 SOLE NONE 0 EATON VANCE MASSACHUSETTS MUNI COM 27828K108 468 7 SOLE NONE 0 EATON VANCE MI MUNI INCOME T SH BEN INT 27826D 10 6 1454 20 SOLE NONE 0 EATON VANCE MUN BD FD COM 27827X 10 1 39512 514 SOLE NONE 0 EATON VANCE NATL MUN OPPORT COM SHS 27829L 10 5 5622 123 SOLE NONE 0 EATON VANCE NJ MUNI INCOME T SH BEN INT 27826V106 191 3 SOLE NONE 0 EATON VANCE OH MUNI INCOME T SH BEN INT 27826G 10 9 273 4 SOLE NONE 0 EATON VANCE PA MUN BD FD COM 27828W 10 2 503 7 SOLE NONE 0 EATON VANCE PA MUNI INCOME TRS SH BEN INT 27826T101 198 3 SOLE NONE 0 EATON VANCE RISK MNGD DIV EQ COM 27829G 10 6 344315 3646 SOLE NONE 0 EATON VANCE SH TM DR DIVR IN COM 27828V 10 4 16566 283 SOLE NONE 0 EATON VANCE SR FLTNG RTE TR COM 27828Q 10 5 664 10 SOLE NONE 0 EATON VANCE SR INCOME TR SH BEN INT 27826S 10 3 28050 202 SOLE NONE 0 EATON VANCE TAX MNG GBL DV E COM 27829F 10 8 968393 8628 SOLE NONE 0 EATON VANCE TAX MNGED BUY WR COM 27828X 10 0 66242 908 SOLE NONE 0 EATON VANCE TAX-ADV BD & OPT SH BEN INT 27829M 10 3 16529 279 SOLE NONE 0 EATON VANCE TX ADV GLBL DIV COM 27828S 10 1 52184 1022 SOLE NONE 0 EATON VANCE TX ADV GLBL DIV COM 27828S 10 1 97434 1410 SOLE NONE 0 EATON VANCE TX MGD DIV EQ IN COM 27828N 10 2 535167 5100 SOLE NONE 0 EATON VANCE TX MNG BY WRT OP COM 27828Y 10 8 167087 2162 SOLE NONE 0 EATON VANCE TX MNG BY WRT OP COM 27828Y 10 8 132968 2225 SOLE NONE 0 EATON VANCE TXMGD GL BUYWR O COM 27829C 10 5 366395 4045 SOLE NONE 0 ELLSWORTH FUND LTD COM 289074106 29445 216 SOLE NONE 0 EUROPEAN EQUITY FUND COM 298768102 7540 51 SOLE NONE 0 FEDERATED ENHANC TREAS INCM SH BEN INT 314162 10 8 33206 490 SOLE NONE 0 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 12659 221 SOLE NONE 0 FIRST TR ACTIVE DIVID INCOME COM 33731L 10 0 22494 196 SOLE NONE 0 FIRST TR ENHANCED EQTY INC F COM 337318 10 9 42785 517 SOLE NONE 0 FIRST TR HIGH INCOME L/S FD COM 33738E 10 9 52828 958 SOLE NONE 0 FIRST TR SR FLG RTE INCM FD COM 33733U108 2602 39 SOLE NONE 0 FIRST TR/ABERDEEN EMERG OPT COM 33731K 10 2 9124 190 SOLE NONE 0 FIRST TRUST SPECIALTY FINANC COM BEN INTR 33733G 10 9 10969 78 SOLE NONE 0 FIRST TRUST STRAT HIGH INC 2 COM SHS 337353106 990 17 SOLE NONE 0 FRANKLIN TEMPLETON LTD DUR I COM 35472T101 10843 152 SOLE NONE 0 FRANKLIN UNVL TR SH BEN INT 355145 10 3 20280 140 SOLE NONE 0 GABELLI CONV & INCOME SECS F COM 36240B 10 9 4479 26 SOLE NONE 0 GABELLI DIVD & INCOME TR COM 36242H104 159903 2619 SOLE NONE 0 GABELLI EQUITY TR INC COM 362397 10 1 650 4 SOLE NONE 0 GABELLI GLOBAL MULTIMEDIA TR COM 36239Q109 53068 384 SOLE NONE 0 GABELLI HLTHCARE & WELLNESS SHS 36246K103 21841 182 SOLE NONE 0 GABELLI NAT RES GLD & INC TR SHS BEN INT 36249M 10 6 1429 23 SOLE NONE 0 GDL FUND SHS BEN INT 361570104 43810 538 SOLE NONE 0 GENERAL AMERN INVS INC COM 368802104 32219 934 SOLE NONE 0 GLOBAL CURRENCY STRATEGY INC COM 378968101 37345 513 SOLE NONE 0 GREATER CHINA FD INC COM 39167B102 23350 269 SOLE NONE 0 GUGGENHEIM BLD AMR BDS MNG D COM 401664 10 7 15803 345 SOLE NONE 0 GUGGENHEIM ENHANCED EQUITY S COM 40167K 10 0 12169 209 SOLE NONE 0 GUGGENHEIM ENHNCD EQTY INCM COM 40167B 10 0 29036 273 SOLE NONE 0 H & Q LIFE SCIENCES INVSTRS SH BEN INT 404053100 33838 468 SOLE NONE 0 H&Q HEALTHCARE INVESTORS SH BEN INT 404052102 50132 826 SOLE NONE 0 HANCOCK JOHN PFD INCOME FD I COM 41021P 10 3 465 8 SOLE NONE 0 HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 48218 854 SOLE NONE 0 HELIOS ADVANTAGE INCOME FUND COM NEW 42327W206 683 6 SOLE NONE 0 HELIOS MULTI-SECTOR HIGH INC COM NEW 42327Y202 696 4 SOLE NONE 0 HELIOS STRATEGIC INCOME FUND COM NEW 42328A203 750 4 SOLE NONE 0 HERZFELD CARIBBEAN BASIN FD COM 42804T 10 6 7286 53 SOLE NONE 0 INDIA FD INC COM 454089 10 3 104957 2341 SOLE NONE 0 ING CLARION GLB RE EST INCM COM 44982G 10 4 300634 2417 SOLE NONE 0 ING GLBL ADV & PREM OPP FUND COM 44982N 10 9 31441 379 SOLE NONE 0 ING GLOBAL EQTY DIV & PREM O COM 45684E 10 7 121497 1165 SOLE NONE 0 ING INFRASTRUCTURE INDLS & M COM 45685U 10 0 35318 653 SOLE NONE 0 ING PRIME RATE TR SH BEN INT 44977W 10 6 131333 749 SOLE NONE 0 ING RISK MANAGED NAT RES FD COM 449810 10 0 35086 431 SOLE NONE 0 INVESCO CALI INSRD MUNI INCO COM 46130L 10 9 3654 55 SOLE NONE 0 INVESCO CALI QLTY MUNI SEC COM 46130M 10 7 3234 45 SOLE NONE 0 INVESCO INSURED CALI MUNI SE COM 46130W 10 5 2993 44 SOLE NONE 0 INVESCO MUNI INC OPP TRS III COM 46133C 10 6 4690 39 SOLE NONE 0 INVESCO MUNI INCM OPP TRST I COM 46133A 10 0 8139 61 SOLE NONE 0 INVESCO MUNI INCOME OPP TRST COM 46132X 10 1 7799 54 SOLE NONE 0 INVESCO MUNI PREM INC TRST COM 46133E 10 2 1505 13 SOLE NONE 0 INVESCO NY QUALITY MUNI SEC COM 46133F 10 9 1940 31 SOLE NONE 0 INVESCO QUALITY MUN INVT TR COM 46133H105 3691 52 SOLE NONE 0 INVESCO QUALITY MUN SECS COM 46133J101 5940 88 SOLE NONE 0 INVESCO QUALITY MUNI INC TR COM 46133G107 2056 29 SOLE NONE 0 INVESCO VALUE MUN SECS COM 46132T100 672 10 SOLE NONE 0 INVESCO VALUE MUN TR COM 46132W103 2186 32 SOLE NONE 0 INVESCO VAN KAMP BOND FND COM 46132L 10 7 73 1 SOLE NONE 0 INVESCO VAN KAMP DYN CRDT OP COM 46132R 10 4 125815 1470 SOLE NONE 0 INVESCO VAN KAMPEN MASS VALU COM 46132J 10 2 428 5 SOLE NONE 0 INVESCO VAN KAMPEN MUNI TRST COM 46131J 10 3 116 2 SOLE NONE 0 INVESCO VAN KAMPEN PA VALUE COM 46132K109 6752 98 SOLE NONE 0 INVESCO VAN KAMPEN SR INC TR COM 46131H 10 7 229863 1129 SOLE NONE 0 INVESCO VAN KAMPEN TR INSD MUN COM 46131L108 400 6 SOLE NONE 0 JAPAN EQUITY FUND COM 471057109 13494 77 SOLE NONE 0 JAPAN SMALLER CAPTLZTN FD IN COM 47109U 10 4 54834 429 SOLE NONE 0 JF CHINA REGION FUND INC COM 46614T107 21882 279 SOLE NONE 0 JOHN HANCOCK BK &THRIFT OPP SH BEN INT NEW 409735206 31843 549 SOLE NONE 0 KOREA EQUITY FD INC COM 50063B 10 4 12544 122 SOLE NONE 0 KOREA FD COM NEW 500634209 10594 430 SOLE NONE 0 LATIN AMERN DISCOVERY FD INC COM 51828C 10 6 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56188 538 SOLE NONE 0 MFS INTERMARKET INCOME TRUST I SHS BEN INT 59318R103 11156 93 SOLE NONE 0 MFS INVT GRADE MUN TR SH BEN INT 59318B 10 8 107 1 SOLE NONE 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737 10 8 91545 639 SOLE NONE 0 MLP & STRATEGIC EQUITY FD IN COM 55312N106 25678 457 SOLE NONE 0 MONTGOMERY STR INCOME SECS I COM 614115 10 3 12756 202 SOLE NONE 0 MORGAN STANLEY ASIA PAC FD I COM 61744U106 11625 173 SOLE NONE 0 MORGAN STANLEY CHINA A SH FD COM 617468103 87480 1714 SOLE NONE 0 MORGAN STANLEY EAST EUROPE COM 616988101 6471 107 SOLE NONE 0 MORGAN STANLEY EM MKTS DM DE COM 617477 10 4 165998 2696 SOLE NONE 0 MORGAN STANLEY EMER MKTS DEB COM 61744H 10 5 63383 688 SOLE NONE 0 MORGAN STANLEY EMER MKTS FD COM 61744G 10 7 11089 162 SOLE NONE 0 MORGAN STANLEY FRNT EMERG FD COM 61757P 10 1 20372 232 SOLE NONE 0 MORGAN STANLEY INCOME SEC INC COM 61745P874 2976 53 SOLE NONE 0 MORGAN STANLEY INDIA INVS FD COM 61745C 10 5 52092 863 SOLE NONE 0 NASDAQ PREM INCM & GRW FD IN COM 63110R 10 5 18001 284 SOLE NONE 0 NEUBERGER BERMAN CA INT MUN COM 64123C101 270 4 SOLE NONE 0 NEUBERGER BERMAN RE ES SEC F COM 64190A 10 3 233333 999 SOLE NONE 0 NEW GERMANY FD INC COM 644465106 13911 210 SOLE NONE 0 NEW IRELAND FUND INC COM 645673104 120186 976 SOLE NONE 0 NFJ DIVID INT & PREM STRTGY COM SHS 65337H109 67732 1210 SOLE NONE 0 NICHOLAS APPLEGATE GLBL EQ C COM 65370L108 49556 881 SOLE NONE 0 NUVEEN ARIZ DIVID ADVANTAG M COM SH BEN INT 67069L 10 0 1002 15 SOLE NONE 0 NUVEEN ARIZ DIVID ADVANTAG MUN COM SH BEN INT 67069L100 958 14 SOLE NONE 0 NUVEEN ARIZ PREM INCOME MUN COM 67061W104 280 4 SOLE NONE 0 NUVEEN AZ DIV ADV MUN FD 3 COM 67072E101 2574 36 SOLE NONE 0 NUVEEN BUILD AMER BD FD COM 67074C 10 3 18684 377 SOLE NONE 0 NUVEEN BUILD AMER BD OPPTNY COM 67074Q102 9037 190 SOLE NONE 0 NUVEEN CA DIV ADVANTG MUN FD COM 67069X 10 4 4116 61 SOLE NONE 0 NUVEEN CA DIVIDEND ADV MUN F COM SHS 67066Y 10 5 2469 34 SOLE NONE 0 NUVEEN CA DIVIDEND ADV MUN F COM SHS 67066Y105 4992 72 SOLE NONE 0 NUVEEN CA INVT QUALITY MUN F COM 67062A101 1020 16 SOLE NONE 0 NUVEEN CA MUN MKT OPPORTUNT COM 67062U 10 7 3485 54 SOLE NONE 0 NUVEEN CA SELECT QUALITY MUN COM 670975101 595 9 SOLE NONE 0 NUVEEN CA SELECT TAX FREE PR COM 67063R103 3718 55 SOLE NONE 0 NUVEEN CALIF MUNICPAL VALU F COM 6706EB 10 6 3942 62 SOLE NONE 0 NUVEEN CALIF MUNICPAL VALU F COM 6706EB 10 6 10655 104 SOLE NONE 0 NUVEEN CALIF PERFORM PLUS MU COM 67062Q106 829 13 SOLE NONE 0 NUVEEN CALIF PREM INCOME MUN COM 6706L0 10 2 4476 67 SOLE NONE 0 NUVEEN CALIF QUALITY INCM MU COM 670985100 145 2 SOLE NONE 0 NUVEEN CONNECTICUT DVD ADV 3 COM 67071Y108 4753 66 SOLE NONE 0 NUVEEN CONNECTICUT PREM INC SH BEN INT 67060D107 1958 28 SOLE NONE 0 NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 18846 261 SOLE NONE 0 NUVEEN CT DIVID ADVANTAGE MU COM SH BEN INT 67069T 10 3 450 7 SOLE NONE 0 NUVEEN DIV ADV MUNI FD 3 COM SH BEN INT 67070X 10 1 17352 256 SOLE NONE 0 NUVEEN DIV ADVANTAGE MUN FD 2 COM 67070F100 6947 106 SOLE NONE 0 NUVEEN DIVERSIFIED COMMODTY COM SH BEN INT 67074P 10 4 17120 395 SOLE NONE 0 NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 15803 185 SOLE NONE 0 NUVEEN DIVID ADVANTAGE MUN F COM 67066V 10 1 24352 355 SOLE NONE 0 NUVEEN ENERGY MLP TOTL RTRNF COM 67074U 10 3 1510 28 SOLE NONE 0 NUVEEN ENHANCED MUN VALUE FD COM 67074M 10 1 333 5 SOLE NONE 0 NUVEEN EQTY PRM OPPORTUNITYF COM 6706EM102 107147 1305 SOLE NONE 0 NUVEEN EQUITY PREM & GROWTH COM 6706EW100 42157 562 SOLE NONE 0 NUVEEN EQUITY PREM ADV FD COM 6706ET107 65277 791 SOLE NONE 0 NUVEEN EQUITY PREM INCOME FD COM 6706ER101 82844 992 SOLE NONE 0 NUVEEN FLOATING RATE INCOME COM 67072T 10 8 26696 318 SOLE NONE 0 NUVEEN FLTNG RTE INCM OPP FD COM SHS BN INT 6706EN 10 0 821 10 SOLE NONE 0 NUVEEN GBL VL OPPORTUNITIES COM 6706EH103 31040 506 SOLE NONE 0 NUVEEN GLB GOVT ENHANCED IN COM 67073C104 11507 165 SOLE NONE 0 NUVEEN INS CA TX FR ADV MUN FD COM 670651108 451 6 SOLE NONE 0 NUVEEN INS MA TX FR ADV MUNFD COM 67072F108 1479 22 SOLE NONE 0 NUVEEN INS NY TX FR ADV MUN COM 670656 10 7 2386 34 SOLE NONE 0 NUVEEN INSD CA PREM INCOME 2 COM 67061U 10 8 784 11 SOLE NONE 0 NUVEEN INSD CALIF DIVID COM 67071M104 578 9 SOLE NONE 0 NUVEEN INSD CALIF PREM INCOM COM 67061X 10 2 320 5 SOLE NONE 0 NUVEEN INSD DIVID ADVANTAGE COM 67071L 10 6 15482 232 SOLE NONE 0 NUVEEN INSD MUN OPPORTUNITY COM 670984 10 3 41759 610 SOLE NONE 0 NUVEEN INSD NEW YORK DIVID COM 67071N 10 2 4270 63 SOLE NONE 0 NUVEEN INSD PREM INCOME MUN COM 6706D8 10 4 21667 293 SOLE NONE 0 NUVEEN INSD QUALITY MUN FD I COM 67062N 10 3 10702 153 SOLE NONE 0 NUVEEN INVT QUALITY MUN FD I COM 67062E 10 3 6307 99 SOLE NONE 0 NUVEEN MASS DIVID ADVANTAG M COM 67069P 10 1 1912 27 SOLE NONE 0 NUVEEN MASS PREM INCOME MUN COM 67061E 10 4 870 13 SOLE NONE 0 NUVEEN MD DIV ADV MUN FD 3 COM 67072A109 1153 16 SOLE NONE 0 NUVEEN MD DIV ADV MUNI FD 2 COM SH BEN INT 67070V105 957 14 SOLE NONE 0 NUVEEN MD DIVID ADVANTAGE MU COM SH BEN INT 67069R 10 7 2446 34 SOLE NONE 0 NUVEEN MD PREM INCOME MUN FD COM 67061Q107 276 4 SOLE NONE 0 NUVEEN MI DIV ADV MUNI FD COM SH BEN INT 67070W 10 3 1868 26 SOLE NONE 0 NUVEEN MICH PREM INCOME MUN COM 67101Q 10 9 5156 76 SOLE NONE 0 NUVEEN MICH QUALITY INCOME M COM 670979 10 3 5490 83 SOLE NONE 0 NUVEEN MTG OPPORTUNITY TERM COM 670735 10 9 2945 69 SOLE NONE 0 NUVEEN MTG OPPORTUNITY TERM COM 670735 10 9 3540 83 SOLE NONE 0 NUVEEN MULT CURR ST GV INCM COM 67090N109 145641 1925 SOLE NONE 0 NUVEEN MULTI STRAT INC & GR COM 67073B 10 6 128914 1145 SOLE NONE 0 NUVEEN MULTI STRAT INC & GR COM 67073B 10 6 212184 1905 SOLE NONE 0 NUVEEN MUN ADVANTAGE FD INC COM 67062H106 11160 163 SOLE NONE 0 NUVEEN MUN HIGH INC OPPTY FD COM 670683101 4220 51 SOLE NONE 0 NUVEEN MUN MKT OPPORTUNITY F COM 67062W103 15378 217 SOLE NONE 0 NUVEEN MUN VALUE FD 2 COM 670695 10 5 100 2 SOLE NONE 0 NUVEEN MUN VALUE FD INC COM 670928 10 0 4824 49 SOLE NONE 0 NUVEEN N Y INVT QUALITY MUN FD COM 67062X101 2154 32 SOLE NONE 0 NUVEEN N Y PREM INCOME MUN F COM 67101R 10 7 906 14 SOLE NONE 0 NUVEEN NEW JERSEY MUN VALUE COM 670702 10 9 300 5 SOLE NONE 0 NUVEEN NEW YORK MUN VALUE FD 2 COM 670706100 2847 44 SOLE NONE 0 NUVEEN NJ DIV ADVANTAGE MUN COM 67069Y102 3711 54 SOLE NONE 0 NUVEEN NJ INVT QUALITY MUN F COM 670971 10 0 6992 102 SOLE NONE 0 NUVEEN NJ PREM INCOME MUN FD COM 67101N106 2399 37 SOLE NONE 0 NUVEEN NY DIV ADVANTG MUN FD COM 67070A101 4394 64 SOLE NONE 0 NUVEEN NY DIVID ADVNTG MUN F COM 67066X 10 7 6621 96 SOLE NONE 0 NUVEEN NY MUN VALUE FD COM 67062M 10 5 1565 15 SOLE NONE 0 NUVEEN NY PERFORM PLUS MUN F COM 67062R 10 4 4331 67 SOLE NONE 0 NUVEEN NY QUALITY INCM MUN F COM 670986108 1198 18 SOLE NONE 0 NUVEEN NY SELECT QUALITY MUN COM 670976109 3166 48 SOLE NONE 0 NUVEEN NY SELECT TAX FREE PR COM 67063V104 200 3 SOLE NONE 0 NUVEEN OH DIV ADV MUNI FD 2 COM SH BEN INT 67070R104 1208 18 SOLE NONE 0 NUVEEN OH DIV ADVANTAGE MUN FD COM 67070C107 998 15 SOLE NONE 0 NUVEEN OHIO QUALITY INCOME M COM 670980 10 1 1257 22 SOLE NONE 0 NUVEEN PA DIV ADVANTAGE MUN FD COM 67070E 10 3 1048 15 SOLE NONE 0 NUVEEN PA DIVID ADVANTAGE MUN COM 67071W102 738 11 SOLE NONE 0 NUVEEN PA INVT QUALITY MUN F COM 670972 10 8 7895 123 SOLE NONE 0 NUVEEN PA MUN VALUE FD COM 67074K 10 5 347 5 SOLE NONE 0 NUVEEN PA PREM INCOME MUN FD COM 67061F 10 1 9804 140 SOLE NONE 0 NUVEEN PERFORMANCE PLUS MUN COM 67062P 10 8 25148 390 SOLE NONE 0 NUVEEN PREM INCOME MUN FD COM 67062T 10 0 20026 290 SOLE NONE 0 NUVEEN PREM INCOME MUN FD 2 COM 67063W 10 2 28889 433 SOLE NONE 0 NUVEEN PREM INCOME MUN FD 4 COM 6706K4105 12741 171 SOLE NONE 0 NUVEEN PREMIER INSD MUN INCO COM 670987 10 6 168 3 SOLE NONE 0 NUVEEN PREMIER MUN INCOME FD COM 670988 10 4 5798 85 SOLE NONE 0 NUVEEN QUALITY INCOME MUN FD COM 670977 10 7 18776 281 SOLE NONE 0 NUVEEN SELECT QUALITY MUN FD COM 670973 10 6 87 1 SOLE NONE 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063X100 200 3 SOLE NONE 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063C 10 6 2541 35 SOLE NONE 0 NUVEEN SR INCOME FD COM 67067Y 10 4 1092 8 SOLE NONE 0 NUVEEN TAX ADV FLTG RATE FUN COM 6706EV 10 2 48533 118 SOLE NONE 0 NUVEEN TAX ADVANTAGED DIV GR COM 67073G105 22563 310 SOLE NONE 0 NUVEEN TAX FREE ADV MUN FD COM 670657105 6983 101 SOLE NONE 0 NUVEEN TX ADV TOTAL RET STRG COM 67090H102 23871 265 SOLE NONE 0 PETROLEUM & RES CORP COM 716549100 63163 1642 SOLE NONE 0 PIONEER FLOATING RATE TR COM 72369J102 1898 25 SOLE NONE 0 PUTMAN HIGH INCOME SEC FUNDSHS SHS BEN INT 746779107 1181 10 SOLE NONE 0 PUTNAM MANAGED MUN INCOM TR COM 746823 10 3 4911 38 SOLE NONE 0 PUTNAM MASTER INTER INCOME T SH BEN INT 746909 10 0 78739 406 SOLE NONE 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922 10 3 24608 309 SOLE NONE 0 PUTNAM PREMIER INCOME TR SH BEN INT 746853 10 0 197173 1086 SOLE NONE 0 RMR REAL ESTATE INCOME FD COM SHS 74964K 60 9 46574 750 SOLE NONE 0 ROYCE FOCUS TRUST COM 78080N108 37106 258 SOLE NONE 0 ROYCE MICRO-CAP TR INC COM 780915104 51814 488 SOLE NONE 0 ROYCE VALUE TR INC COM 780910105 165988 2306 SOLE NONE 0 SINGAPORE FD INC COM 82929L109 17360 225 SOLE NONE 0 SOURCE CAP INC COM 836144105 9784 518 SOLE NONE 0 STONE HBR EMERG MRKTS INC FD COM 86164T107 524 13 SOLE NONE 0 SWISS HELVETIA FD INC COM 870875101 24229 272 SOLE NONE 0 TAIWAN FD INC COM 874036106 12778 215 SOLE NONE 0 TEMPLETON DRAGON FD INC COM 88018T101 25159 713 SOLE NONE 0 TEMPLETON EMERGING MKTS FD I COM 880191 10 1 11852 232 SOLE NONE 0 TEMPLETON RUS AND EAST EUR F COM 88022F 10 5 9323 153 SOLE NONE 0 THAI FUND INC COM 882904105 20268 323 SOLE NONE 0 TRANSAMERICA INCOME SHS INC COM 893506105 567 12 SOLE NONE 0 TRI CONTL CORP COM 895436103 57178 910 SOLE NONE 0 TURKISH INVT FD INC COM 900145 10 3 12016 164 SOLE NONE 0 WELLS FARGO ADV GLB DIV OPP COM 94987C 10 3 33286 284 SOLE NONE 0 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D 10 1 48006 727 SOLE NONE 0 WELLS FARGO ADVANTAGE UTILS COM 94987E 10 9 675 8 SOLE NONE 0 WESTERN ASSET CLYM INFL OPP COM 95766R 10 4 80382 1028 SOLE NONE 0 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q 10 6 35503 452 SOLE NONE 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 48454 975 SOLE NONE 0 WESTERN ASSET EMRG MKT INCM COM 95766E 10 3 44289 632 SOLE NONE 0 WESTERN ASSET GBL HI INCOME COM 95766B109 732 10 SOLE NONE 0 WESTERN ASSET GLOBAL CP DEFI COM 95790C 10 7 16255 313 SOLE NONE 0 WESTERN ASSET INFLATION MANAGE COM 95766U107 7621 135 SOLE NONE 0 WESTERN ASSET INTM MUNI FD I COM 958435 10 9 4282 43 SOLE NONE 0 WESTERN ASSET VAR RT STRG FD COM 957667 10 8 13682 227 SOLE NONE 0 WESTERN ASSET WORLDWIDE INCO COM 957668106 20395 296 SOLE NONE 0 WESTERN ASST MN PRT FDINCORPOR COM 95766P108 4833 76 SOLE NONE 0 WESTERN ASST MNG MUN FD INC COM 95766M 10 5 2085 29 SOLE NONE 0 ZWEIG FD COM 989834 10 6 193799 622 SOLE NONE 0 ZWEIG TOTAL RETURN FD INC COM 989837 10 9 565163 1809 SOLE NONE 0