for more than 20 years, rydex|sgi has been dedicated to helping investors and financial professionals navigate diverse market conditions with confidence. we are structured around five core competencies, which we believe are essential to modern, diversified portfolios: fundamental active alpha (equity and fixed-income); alternative assets and strategies; opportunistic; target beta; and asset allocation. within these areas of expertise we offer more than a hundred funds, across a range of investing styles, and are known for bringing institutional-style portfolio management to individual investors. each strategy is managed by a team of experienced professionals – portfolio managers and analysts – and each team brings a unique outlook and process, as well as skill and dedication, to the work of managing investors’ money. together or individually, our strategies can be used to build sophisticated portfolios that meet a range of individual needs and goals. and with ongoing educational progra
Company profile
Ticker
AVK
Exchange
CEO
Tracy Maitland
Employees
Incorporated
Location
Fiscal year end
Former names
ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
SEC CIK
Corporate docs
AVK stock data
Latest filings (excl ownership)
N-CEN
Annual report (registered investment company)
10 Jan 24
N-CSR
Certified annual shareholder report (management investment company)
29 Dec 23
DEF 14A
Definitive proxy
18 Aug 23
N-PX
Annual report of proxy voting record
17 Aug 23
N-CSRS
Certified semi-annual shareholder report (management investment company)
5 Jul 23
N-CEN
Annual report (registered investment company)
12 Jan 23
N-CSR
Certified annual shareholder report (management investment company)
30 Dec 22
N-PX
Annual report of proxy voting record
24 Aug 22
DEF 14A
Definitive proxy
16 Aug 22
N-CSRS
Certified semi-annual shareholder report (management investment company)
30 Jun 22
Latest ownership filings
NPORT-P
Advent Convertible and Income Fund (Jan 2024 report)
26 Mar 24
SC 13G
MORGAN STANLEY
12 Feb 24
4
Nancy E. Stuebe
2 Feb 24
NPORT-P
Advent Convertible and Income Fund (Oct 2023 report)
29 Dec 23
4
TRACY V MAITLAND
22 Dec 23
4
Nancy E. Stuebe
8 Nov 23
NPORT-P
Advent Convertible and Income Fund (Jul 2023 report)
28 Sep 23
4
Nancy E. Stuebe
2 Aug 23
4
TRACY V MAITLAND
18 Jul 23
4
CAPITAL MANAGEMENT /DE/ ADVENT
18 Jul 23
Funds
Series | Ticker | %Monthly Return ? | $Assets | #Holdings | As of | ||
---|---|---|---|---|---|---|---|
Advent Convertible and Income Fund | – | -3.28 | -4.07 | -6.93 | 733.53 mm | 382 | Oct 2023 |
Institutional ownership, Q3 2023
26.0% owned by funds/institutions
13F holders | Current |
---|---|
Total holders | 88 |
Opened positions | 12 |
Closed positions | 7 |
Increased positions | 27 |
Reduced positions | 31 |
13F shares | Current |
---|---|
Total value | 89.16 bn |
Total shares | 9.00 mm |
Total puts | 0.00 |
Total calls | 0.00 |
Total put/call ratio | – |
Largest owners | Shares | Value |
---|---|---|
MS Morgan Stanley | 2.27 mm | $23.80 bn |
WFC Wells Fargo & Co. | 704.51 k | $7.39 bn |
Guggenheim Capital | 476.53 k | $5.00 bn |
Advisors Asset Management | 444.89 k | $4.67 bn |
Raymond James Financial Services Advisors | 424.33 k | $4.45 bn |
Raymond James & Associates | 376.35 k | $3.95 bn |
Commonwealth Equity Services | 361.48 k | $3.79 mm |
LPL Financial | 308.86 k | $3.24 bn |
Arete Wealth Management | 293.60 k | $3.08 bn |
Koshinski Asset Management | 281.40 k | $2.95 bn |
Recent insider trades
Date | Owner | Security | Transaction | Code | Indirect | 10b5-1 | $Price | #Shares | $Value | #Remaining |
---|---|---|---|---|---|---|---|---|---|---|
2 Feb 24 | Nancy E. Stuebe | Common Stock | Buy | Acquire P | No | No | 11.8636 | 400 | 4.75 k | 3,932.928 |
20 Dec 23 | Tracy V Maitland | Common Stock | Sell | Dispose S | No | No | 11.17 | 7,163 | 80.01 k | 34,087 |
8 Nov 23 | Nancy E. Stuebe | Common Stock | Buy | Acquire P | No | No | 10.2499 | 400 | 4.10 k | 3,423.191 |
2 Aug 23 | Nancy E. Stuebe | Common Stock | Buy | Acquire P | No | No | 11.84 | 375 | 4.44 k | 2,921.633 |
18 Jul 23 | Advent Capital Management | Common Stock | Sell | Dispose S | No | No | 11.7173 | 19,048 | 223.19 k | 0 |
17 Jul 23 | Advent Capital Management | Common Stock | Sell | Dispose S | No | No | 11.678 | 10,000 | 116.78 k | 19,048 |
14 Jul 23 | Advent Capital Management | Common Stock | Sell | Dispose S | No | No | 11.677 | 30,000 | 350.31 k | 29,048 |