Who owns CLM
Which tracked institutional funds hold CLM, how they are positioned, and who is buying versus exiting — from SEC Form 13F-HR filings. See CLM company fundamentals →
Ownership as of the 2026-Q1 13F filings (latest filed 2026-05-15). 13F is disclosed up to 45 days after quarter-end, so the most recent quarter fills in over the following weeks.
How the tape is positioned
12 tracked funds added or opened CLM while 12 trimmed or exited it between 2025-Q4 and 2026-Q1 — the tape is split. When large holders disagree on a name, the funds moving first are sometimes ahead of the story.
A prompt to read the filings, not a verdict. 13F is a quarter-end snapshot disclosed up to 45 days late; a fund adds or exits for mandate, benchmark, and timing reasons that have nothing to do with a view on the stock. This is a starting question, not a signal to trade.
Conviction spread
CLM’s largest tracked holder by dollar value, Alpine Global Management, LLC, sizes it at 8.8% of its own reported 13F book, while the median holder sizes it at 0.0% of theirs — a 8.8pp conviction gap — its largest holder concentrates the name more heavily than the typical one.
Book-share is each fund’s reported value in CLM divided by its whole reported 13F book, so it is comparable across funds of different sizes and is unaffected by stock splits. A higher share means a fund has committed more of its book to the name — a starting question about conviction, not a verdict or a signal to trade.
Institutional & insider positioning
Between 2025-Q4 and 2026-Q1, across 139 tracked filers holding CLM, 82 increased or opened the position and 38 reduced or closed it; over the same quarter, there were no open-market insider Form 4s.
This fuses two public signals for the same quarter — how tracked institutions changed their positions and whether insiders bought or sold in the open market. It describes what was filed; it is a starting question, not a verdict or a signal to trade.
New buyers & exits
Funds opening or closing a position in CLM between the 2025-Q4 and 2026-Q1 13F filings, and the largest changes among funds holding it in both. New buyers and exits are counted on fund presence (split-invariant); adds and trims are measured on reported value.
New buyers 2
- Warberg Asset Management LLC$8M
- Almitas Capital LLC$3M
Full exits 1
- J.W. COLE ADVISORS, INC.$2M
Largest adds
- Alpine Global Management, LLC$40M
- BOOTHBAY FUND MANAGEMENT, LLC$38M
- Quarry LP$15M
- PFG Investments, LLC$5M
- Cable Car Capital, LP$4M
- Cambridge Investment Research Advisors, Inc.$3M
Largest trims
- SIT INVESTMENT ASSOCIATES INC$38M
- OSAIC HOLDINGS, INC.$5M
- Stratos Wealth Partners, LTD.$3M
- Sculptor Capital LP$2M
- Yakira Capital Management, Inc.$2M
- Aptus Capital Advisors, LLC$895K
Institutional holders
One row per tracked fund, largest reported value first. “% of value” is the fund’s share of this security’s tracked institutional value — not of shares outstanding. Rows marked stale are from an earlier filing than the security’s latest quarter — that fund is absent from the newest snapshot (position exited, or reported under a different name).
| Fund | Shares | Reported value | % of value | Quarter |
|---|---|---|---|---|
| Alpine Global Management, LLC added | 6,814,332 | $50M | 14.7% | 2026-Q1 |
| BOOTHBAY FUND MANAGEMENT, LLC added | 6,744,553 | $49M | 14.5% | 2026-Q1 |
| PFG Investments, LLC added | 4,123,031 | $30M | 8.9% | 2026-Q1 |
| Quarry LP added | 3,489,264 | $25M | 7.5% | 2026-Q1 |
| OSAIC HOLDINGS, INC. trimmed | 3,249,013 | $24M | 7.0% | 2026-Q1 |
| Sculptor Capital LP added | 3,143,589 | $23M | 6.8% | 2026-Q1 |
| LPL Financial LLC added | 2,421,530 | $18M | 5.2% | 2026-Q1 |
| Cetera Investment Advisers added | 1,355,378 | $10M | 2.9% | 2026-Q1 |
| Cable Car Capital, LP added | 1,249,999 | $10M | 2.9% | 2026-Q1 |
| Warberg Asset Management LLC new | 1,041,935 | $8M | 2.2% | 2026-Q1 |
| Cambridge Investment Research Advisors, Inc. added | 1,039,930 | $8M | 2.2% | 2026-Q1 |
| MORGAN STANLEY added | 654,939 | $5M | 1.4% | 2026-Q1 |
| COHEN & STEERS, INC. trimmed | 629,931 | $5M | 1.4% | 2026-Q1 |
| Perennial Investment Advisors, LLC added | 475,766 | $3M | 1.0% | 2026-Q1 |
| WJ Financial Advisors LLC added | 444,915 | $3M | 1.0% | 2026-Q1 |
| Almitas Capital LLC added | 442,014 | $3M | 1.0% | 2026-Q1 |
| RAYMOND JAMES FINANCIAL INC added | 377,080 | $3M | 0.8% | 2026-Q1 |
| Stratos Wealth Partners, LTD. trimmed | 342,511 | $2M | 0.7% | 2026-Q1 |
| Yakira Capital Management, Inc. trimmed | 306,712 | $2M | 0.7% | 2026-Q1 |
| COMMONWEALTH EQUITY SERVICES, LLC added | 294,428 | $2M | 0.6% | 2026-Q1 |
| Creative Planning added | 202,929 | $1M | 0.4% | 2026-Q1 |
| Baird Financial Group, Inc. trimmed | 159,613 | $1M | 0.3% | 2026-Q1 |
| SIT INVESTMENT ASSOCIATES INC trimmed | 158,042 | $1M | 0.3% | 2026-Q1 |
| WINEBRENNER CAPITAL MANAGEMENT LLC added | 157,800 | $1M | 0.3% | 2026-Q1 |
| StoneX Group Inc. added | 155,124 | $1M | 0.3% | 2026-Q1 |
| Kovack Advisors, Inc. trimmed | 144,289 | $1M | 0.3% | 2026-Q1 |
| Thrivent Financial for Lutherans | 145,939 | $1M | 0.3% | 2026-Q1 |
| Aptus Capital Advisors, LLC trimmed | 108,687 | $791K | 0.2% | 2026-Q1 |
| Savvy Advisors, Inc. trimmed | 107,490 | $783K | 0.2% | 2026-Q1 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP added | 99,683 | $726K | 0.2% | 2026-Q1 |
| CREATIVE FINANCIAL DESIGNS INC /ADV added | 93,982 | $684K | 0.2% | 2026-Q1 |
| JANE STREET GROUP, LLC trimmed | 91,952 | $669K | 0.2% | 2026-Q1 |
| Focus Partners Wealth added | 90,867 | $662K | 0.2% | 2026-Q1 |
| Prospera Financial Services Inc trimmed | 86,673 | $631K | 0.2% | 2026-Q1 |
| Encompass More Asset Management trimmed | 80,946 | $589K | 0.2% | 2026-Q1 |
| CreativeOne Wealth, LLC added | 76,814 | $559K | 0.2% | 2026-Q1 |
| BENJAMIN EDWARDS INC trimmed | 72,587 | $528K | 0.2% | 2026-Q1 |
| HighTower Advisors, LLC added | 65,917 | $480K | 0.1% | 2026-Q1 |
| Gladstone Institutional Advisory LLC new | 57,496 | $419K | 0.1% | 2026-Q1 |
| Garden State Investment Advisory Services LLC added | 57,260 | $417K | 0.1% | 2026-Q1 |
| Private Advisor Group, LLC added | 54,608 | $398K | 0.1% | 2026-Q1 |
| AE Wealth Management LLC trimmed | 53,167 | $387K | 0.1% | 2026-Q1 |
| Kestra Advisory Services, LLC added | 52,220 | $380K | 0.1% | 2026-Q1 |
| ENVESTNET ASSET MANAGEMENT INC added | 50,783 | $370K | 0.1% | 2026-Q1 |
| STIFEL FINANCIAL CORP added | 50,734 | $369K | 0.1% | 2026-Q1 |
| TORONTO DOMINION BANK added | 50,200 | $365K | 0.1% | 2026-Q1 |
| Dynamic Advisor Solutions LLC added | 48,798 | $355K | 0.1% | 2026-Q1 |
| BlackRock, Inc. | 41,258 | $300K | 0.1% | 2026-Q1 |
| FIRETHORN WEALTH PARTNERS, LLC added | 40,255 | $293K | 0.1% | 2026-Q1 |
| Independent Advisor Alliance added | 37,072 | $270K | 0.1% | 2026-Q1 |
| Meridian Wealth Management, LLC added | 36,805 | $268K | 0.1% | 2026-Q1 |
| MGO ONE SEVEN LLC trimmed | 33,787 | $246K | 0.1% | 2026-Q1 |
| Pathstone Holdings, LLC | 33,089 | $241K | 0.1% | 2026-Q1 |
| Cerity Partners LLC new | 30,067 | $219K | 0.1% | 2026-Q1 |
| Buska Wealth Management, LLC added | 29,435 | $214K | 0.1% | 2026-Q1 |
| EP Wealth Advisors, LLC | 28,732 | $209K | 0.1% | 2026-Q1 |
| XTX Topco Ltd trimmed | 28,668 | $209K | 0.1% | 2026-Q1 |
| SeaCrest Wealth Management, LLC trimmed | 28,547 | $208K | 0.1% | 2026-Q1 |
| AMERIFLEX GROUP, INC. | 28,000 | $204K | 0.1% | 2026-Q1 |
| Rockefeller Capital Management L.P. | 26,634 | $194K | 0.1% | 2026-Q1 |
| KESTRA PRIVATE WEALTH SERVICES, LLC added | 25,805 | $188K | 0.1% | 2026-Q1 |
| Chicago Partners Investment Group LLC trimmed | 24,940 | $186K | 0.1% | 2026-Q1 |
| NBC SECURITIES, INC. added | 25,205 | $183K | 0.1% | 2026-Q1 |
| HF Advisory Group, LLC added | 24,499 | $178K | 0.1% | 2026-Q1 |
| WEALTH ENHANCEMENT ADVISORY SERVICES, LLC trimmed | 24,023 | $176K | 0.1% | 2026-Q1 |
| Pasadena Private Wealth, LLC added | 23,661 | $172K | 0.1% | 2026-Q1 |
| Kingsview Wealth Management, LLC added | 23,333 | $170K | 0.1% | 2026-Q1 |
| BECKER CAPITAL MANAGEMENT INC added | 22,037 | $160K | 0.0% | 2026-Q1 |
| Sequoia Financial Advisors, LLC | 21,400 | $156K | 0.0% | 2026-Q1 |
| SMITH CHAS P & ASSOCIATES PA CPAS new | 20,663 | $150K | 0.0% | 2026-Q1 |
| JPMORGAN CHASE & CO added | 21,285 | $148K | 0.0% | 2026-Q1 |
| World Investment Advisors added | 20,354 | $148K | 0.0% | 2026-Q1 |
| HOWE & RUSLING INC new | 20,142 | $147K | 0.0% | 2026-Q1 |
| Sanctuary Advisors, LLC added | 19,961 | $145K | 0.0% | 2026-Q1 |
| EVOLUTION WEALTH MANAGEMENT INC. | 19,425 | $141K | 0.0% | 2026-Q1 |
| CoreCap Advisors, LLC trimmed | 19,176 | $140K | 0.0% | 2026-Q1 |
| Larson Financial Group LLC added | 19,171 | $140K | 0.0% | 2026-Q1 |
| Summit Financial, LLC trimmed | 18,631 | $136K | 0.0% | 2026-Q1 |
| Clearstead Advisors, LLC new | 17,880 | $130K | 0.0% | 2026-Q1 |
| WEDBUSH SECURITIES INC added | 17,850 | $130K | 0.0% | 2026-Q1 |
| UBS Group AG | 17,634 | $128K | 0.0% | 2026-Q1 |
| INTEGRITY ALLIANCE, LLC. trimmed | 17,631 | $128K | 0.0% | 2026-Q1 |
| ABSOLUTE INVESTMENT ADVISERS, LLC trimmed | 1,229,119 | $10M | 3.0% | 2025-Q2 stale |
| RIVERNORTH CAPITAL MANAGEMENT, LLC trimmed | 1,011,315 | $8M | 2.5% | 2025-Q3 stale |
| Tabor Asset Management, LP new | 662,760 | $5M | 1.5% | 2025-Q1 stale |
| Ursa Fund Management, LLC added | 275,000 | $2M | 0.7% | 2025-Q2 stale |
| J.W. COLE ADVISORS, INC. trimmed | 219,637 | $2M | 0.5% | 2025-Q4 stale |
| AVANTAX ADVISORY SERVICES, INC. added | 83,899 | $681K | 0.2% | 2025-Q2 stale |
| IEQ CAPITAL, LLC new | 54,535 | $405K | 0.1% | 2025-Q1 stale |
| GRIMES & COMPANY, INC. added | 44,886 | $334K | 0.1% | 2025-Q1 stale |
| FMR LLC added | 39,673 | $322K | 0.1% | 2025-Q2 stale |
| MARK SHEPTOFF FINANCIAL PLANNING, LLC | 34,913 | $292K | 0.1% | 2025-Q4 stale |
| OneAscent Family Office, LLC | 34,000 | $284K | 0.1% | 2025-Q4 stale |
| Atria Wealth Solutions, Inc. trimmed | 32,531 | $268K | 0.1% | 2025-Q2 stale |
| Fisher Asset Management, LLC new | 25,604 | $212K | 0.1% | 2025-Q3 stale |
| CITADEL ADVISORS LLC trimmed | 25,111 | $208K | 0.1% | 2025-Q3 stale |
| Janney Montgomery Scott LLC new | 27,058 | $201K | 0.1% | 2025-Q1 stale |
| Vantage Financial Partners, LLC trimmed | 16,927 | $142K | 0.0% | 2025-Q4 stale |
| NewEdge Advisors, LLC added | 16,919 | $141K | 0.0% | 2025-Q4 stale |
| OPPENHEIMER & CO INC trimmed | 15,966 | $130K | 0.0% | 2025-Q2 stale |
Ownership over time
Tracked institutional holder count and total shares held by filing quarter (independent scales). The curated-era tail and any mid-ingest latest quarter are handled honestly — a partial quarter is not drawn as a collapse.
Reading this table
Funds hold the same stock for different reasons — an index fund “holds” almost everything, an active manager sizes a name to a mandate and a benchmark, and each fund entered at its own price and time. Because 13F is filed up to 45 days after quarter-end, every row is a backward-looking snapshot; a manager may have traded since. Share-class siblings (a company’s A and C shares) are rolled up to one line so a dual-class name is never double-counted. Compare like-for-like. A large holder is not an endorsement, and a fund exiting is not a warning — this is a starting question, not a verdict.
About 13F filings
A Form 13F is a quarterly disclosure that institutional investment managers with over $100 million in US-listed equities must file with the SEC. In plain English: it is a snapshot of the long stock positions a fund held at the end of a quarter. It covers long US-listed equities only — not short positions, options, cash, or private holdings — and the funds shown are the large sample we track, not the complete 13F universe.