Institution Information
Reportee Signature Date Report period Total Entries Total AUM($)
RELATIVE VALUE PARTNERS GROUP LLC 11-14-2019 09-30-2019 163 99,077,000
Institutional Holdings
Issuer Class Position Value Shares Portfolio Percentage (%) Previous Percentage (%) Shares Delta Shares Delta(%) Date Reported
ISHARES TR S&P 100 ETF 1 $59,928,000 455,764 6.05 6.28 -7,706 -1.66 09-30-2019
ISHARES TR 1-3 YR TR BD ETF 2 $43,742,000 515,698 4.41 3.99 65,527 14.56 09-30-2019
EATON VANCE LTD DUR INCOME COM 3 $36,926,000 2,954,043 3.73 3.74 127,412 4.51 09-30-2019
ISHARES TR 3-7 YR TR BD ETF 4 $36,215,000 285,605 3.66 3.44 23,967 9.16 09-30-2019
WISDOMTREE TR US QTLY DIV GRT 5 $31,431,000 697,081 3.17 3.11 14,471 2.12 09-30-2019
NUVEEN MTG OPPORTUNITY TERM COM 6 $30,871,000 1,332,152 3.12 3.12 53,276 4.17 09-30-2019
ALLIANZGI NFJ DIVID INT & PR COM 7 $30,788,000 2,519,456 3.11 3.18 67,672 2.76 09-30-2019
VANGUARD INDEX FDS TOTAL STK MKT 8 $30,469,000 201,780 3.08 3.11 3,560 1.80 09-30-2019
INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 9 $29,022,000 246,243 2.93 2.73 22,309 9.96 09-30-2019
SPECIAL OPPORTUNITIES FD INC COM 10 $28,920,000 2,030,880 2.92 2.85 44,203 2.22 09-30-2019
ISHARES TR US TREAS BD ETF 11 $27,174,000 1,032,247 2.74 2.68 38,041 3.83 09-30-2019
SPECIAL OPPORTUNITIES FD INC PFD CONV SE B 12 $25,809,000 1,022,132 2.60 2.69 -761 -0.07 09-30-2019
ISHARES TR IBONDS DEC20 ETF 13 $24,166,000 952,524 2.44 3.02 -186,969 -16.41 09-30-2019
EATON VANCE SHORT DUR DIV IN COM 14 $22,259,000 1,710,953 2.25 2.28 97,855 6.07 09-30-2019
WESTERN ASSET VAR RT STRG FD COM 15 $22,231,000 1,361,563 2.24 2.05 164,752 13.77 09-30-2019
EATON VANCE MUN BD FD COM 16 $21,562,000 1,663,770 2.18 0.88 983,013 144.40 09-30-2019
ISHARES TR 7-10 Y TR BD ETF 17 $21,272,000 189,139 2.15 0.80 119,163 170.29 09-30-2019
NUVEEN MUN VALUE FD INC COM 18 $19,972,000 1,894,744 2.02 2.22 -182,960 -8.81 09-30-2019
VANGUARD INDEX FDS VALUE ETF Liquidated $18,997,000 170,195 1.92 1.31 170,195 +Inf 09-30-2019
TRI-CONTINENTAL CORP COM 20 $18,995,000 697,047 1.92 2.04 -25,116 -3.48 09-30-2019
VOYA PRIME RATE TR SH BEN INT 21 $18,214,000 3,867,000 1.84 1.93 -6,978 -0.18 09-30-2019
NUVEEN REAL ASSET INC & GROW COM 22 $17,939,000 1,018,332 1.81 1.77 23,290 2.34 09-30-2019
VANGUARD WORLD FDS INF TECH ETF 23 $17,469,000 80,733 1.76 1.78 -98 -0.12 09-30-2019
FIRST TR SR FLG RTE INCM FD COM 24 $17,096,000 1,424,690 1.73 1.82 -18,716 -1.30 09-30-2019
BLACKROCK FLOAT RATE OME STR COM 25 $16,259,000 1,288,391 1.64 1.59 98,816 8.31 09-30-2019
BLACKROCK CR ALLCTN INC TR COM 26 $15,401,000 1,130,796 1.55 2.09 -414,710 -26.83 09-30-2019
PIONEER FLOATING RATE TR COM 27 $14,433,000 1,370,616 1.46 1.54 -4,767 -0.35 09-30-2019
BARINGS BDC INC COM 28 $13,587,000 1,338,578 1.37 1.05 314,964 30.77 09-30-2019
VANGUARD INDEX FDS VALUE ETF Liquidated $0 0 1.31 112,386 +Inf 09-30-2019
MFS INTERMEDIATE INC TRUST SH BEN INT 30 $12,492,000 3,270,112 1.26 1.29 75,406 2.36 09-30-2019
SPDR SERIES TRUST PORTFOLIO SH TSR 31 $12,014,000 400,209 1.21 1.28 -7,464 -1.83 09-30-2019
TCW STRATEGIC INCOME FUND IN COM 32 $11,882,000 2,061,465 1.20 2.13 -1,434,775 -41.04 09-30-2019
GDL FUND COM SH BEN IT 33 $11,618,000 1,264,232 1.17 1.21 14,626 1.17 09-30-2019
VANGUARD INTL EQUITY INDEX FD ALLWRLD EX US 34 $11,531,000 231,080 1.16 1.23 601 0.26 09-30-2019
TEMPLETON EMERGING MKTS FD I COM 35 $11,154,000 760,838 1.13 1.19 7,414 0.98 09-30-2019
MFS GOVT MKTS INCOME TR SH BEN INT 36 $10,891,000 2,362,448 1.10 1.15 -53,793 -2.23 09-30-2019
EATON VANCE FLTING RATE INC COM 37 $9,312,000 704,424 0.94 0.94 38,776 5.83 09-30-2019
FIRST TR MLP & ENERGY INCOME COM 38 $9,105,000 793,128 0.92 0.91 59,545 8.12 09-30-2019
NUVEEN INT DUR QUAL MUN TRM COM 39 $8,779,000 640,720 0.89 0.87 19,960 3.22 09-30-2019
GENERAL AMERN INVS INC COM 40 $8,358,000 229,930 0.84 0.96 -27,736 -10.76 09-30-2019
MFS CHARTER INCOME TR SH BEN INT 41 $8,038,000 967,220 0.81 1.38 -652,744 -40.29 09-30-2019
ISHARES INC CORE MSCI EMKT 42 $6,644,000 135,538 0.67 0.69 7,313 5.70 09-30-2019
ABERDEEN EMRG MRKTS EQT INM COM 43 $6,205,000 891,475 0.63 0.67 16,495 1.89 09-30-2019
NUVEEN CR STRATEGIES INCM FD COM SHS 44 $5,948,000 784,390 0.60 0.55 123,831 18.75 09-30-2019
ABERDEEN TOTAL DYNAMIC DIVD COM SH BEN INT 45 $5,830,000 699,049 0.59 0.50 128,274 22.47 09-30-2019
WISDOMTREE TR FLOATNG RATE TREA Liquidated $0 0 0.61 226,554 +Inf 06-30-2019
ISHARES TR SHORT TREAS BD 47 $5,437,000 49,150 0.55 0.77 -17,735 -26.52 09-30-2019
WISDOMTREE TR BLMBRG FL TRFD 48 $5,433,000 216,885 0.55 0.61 -16,559 -7.09 09-30-2019
OAKTREE STRATEGIC INCOME COR COM 49 $4,991,000 605,001 0.50 0.49 55,997 10.20 09-30-2019
INVESCO SR INCOME TR COM 50 $4,677,000 1,113,668 0.47 0.44 143,049 14.74 09-30-2019
NUVEEN MORT OPP TERM FD 2 COM 51 $4,445,000 192,744 0.45 0.44 5,320 2.84 09-30-2019
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