Stock Transactions — KKR INCOME OPPORTUNITIES FD

Total Bought
193,177
15 transactions
Total Sold
719,577
28 transactions
Net
-526,400
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
Simplicity Wealth,LLC075,082+75,0820.000.02+0.02buy
STIFEL FINANCIAL CORP44,81273,827+29,0150.000.00+0.00buy
M Holdings Securities, Inc.016,236+16,2360.000.03+0.03buy
VIRTUS ADVISERS, LLC53,07467,804+14,7300.380.45+0.07buy
Bramshill Investments, LLC42,82955,851+13,0220.070.08+0.01buy
Atria Wealth Solutions, Inc.012,677+12,6770.000.00+0.00buy
Hennion & Walsh Asset Management, Inc.010,630+10,6300.000.01+0.01buy
Cambridge Investment Research Advisors, Inc.104,321112,377+8,0560.010.01+0.00buy
GUGGENHEIM CAPITAL LLC523,333527,757+4,4240.050.05+0.00buy
Invesco Ltd.144,463147,723+3,2600.000.00+0.00buy
Joseph P. Lucia & Associates, LLC93,63896,280+2,6420.680.68-0.00buy
COMMONWEALTH EQUITY SERVICES, LLC15,80917,307+1,4980.000.00+0.00buy
CoreCap Advisors, LLC7,2008,600+1,4000.010.01+0.01buy
Avior Wealth Management, LLC0376+3760.000.00+0.00buy
SeaCrest Wealth Management, LLC22,32922,458+1290.040.04-0.00buy
BALDWIN WEALTH PARTNERS LLC/MA3,0003,00000.000.00+0.00hold
Laird Norton Wetherby Wealth Management, LLC12,99612,99600.010.01+0.00hold
ASSETMARK, INC787800.000.00-0.00hold
Marquette Asset Management, LLC1,0821,08200.000.00-0.00hold
HighTower Advisors, LLC11,85011,85000.000.00-0.00hold
Vanguard Capital Wealth Advisors35,00035,00000.330.32-0.01hold
Balefire, LLC1,0001,00000.000.00-0.00hold
Graves Light Lenhart Wealth, Inc.13,72813,72800.020.02-0.00hold
1776 Wealth LLC13,14413,14400.080.08-0.00hold
Plotkin Financial Advisors, LLC12,93812,93800.120.11-0.00hold
Concurrent Investment Advisors, LLC13,37013,37000.010.01-0.00hold
Hobbs Group Advisors, LLC1,0001,00000.010.01-0.00hold
STEPHENS INC /AR/18,90318,90300.000.00-0.00hold
COMERICA BANK38,11937,930-1890.000.00-0.00sell
WEDBUSH SECURITIES INC26,01425,683-3310.010.01-0.00sell
FNY Investment Advisers, LLC4000-4000.000.00-0.00sell
Verity Asset Management, Inc.18,36617,922-4440.140.10-0.04sell
Gator Capital Management, LLC27,54127,051-4900.190.19-0.00sell
NewEdge Advisors, LLC29,40028,900-5000.000.00-0.00sell
WELLS FARGO & COMPANY/MN129,718128,231-1,4870.000.00-0.00sell
Future Financial Wealth Managment LLC1,7000-1,7000.020.00-0.02sell
Summit X, LLC78,54276,596-1,9460.270.24-0.04sell
ENVESTNET ASSET MANAGEMENT INC48,40245,949-2,4530.000.00-0.00sell
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO5,6502,687-2,9630.000.00-0.00sell
ROYAL BANK OF CANADA76,02772,321-3,7060.000.00-0.00sell
Capital Investment Advisors, LLC183,708179,923-3,7850.060.06-0.00sell
CAROLINAS WEALTH CONSULTING LLC5,2330-5,2330.010.00-0.01sell
Kovack Advisors, Inc.67,94558,745-9,2000.110.09-0.02sell
PFG Investments, LLC11,3560-11,3560.010.00-0.01sell
LPL Financial LLC115,210103,031-12,1790.000.00-0.00sell
UBS Group AG622,086609,340-12,7460.000.00-0.00sell
Advisors Asset Management, Inc.443,278426,706-16,5720.120.11-0.00sell
Cetera Investment Advisers66,15447,243-18,9110.000.00-0.00sell
Shaker Financial Services, LLC20,7790-20,7790.110.00-0.11sell
OSAIC HOLDINGS, INC.68,68435,047-33,6370.000.00-0.00sell
AMERIPRISE FINANCIAL INC35,1270-35,1270.000.00-0.00sell
BANK OF AMERICA CORP /DE/364,094321,772-42,3220.000.00-0.00sell
MORGAN STANLEY1,218,6521,166,669-51,9830.000.00-0.00sell
Rockefeller Capital Management L.P.129,83459,834-70,0000.010.00-0.00sell
Quarry LP86,6920-86,6920.480.00-0.48sell
ABSOLUTE INVESTMENT ADVISERS, LLC272,4460-272,4460.500.00-0.50sell
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