ClearBridge MLP & Midstream Fund Inc.
CEMDelisted Sep 9, 2024- SEC CIK
- 0001488775
ClearBridge MLP & Midstream Fund Inc. was delisted on Sep 9, 2024; its insiders filed their last Form 4 on Sep 11, 2024; 51 institutions reported holding it in 13F filings for Q2 2024, worth $95.7M in total; no superinvestor held it.
13F holders, Q1 2023
Institutional positions in ClearBridge MLP & Midstream Fund Inc. as of Mar 31, 2023. Investment managers with $100 million or more in US stocks report their long positions on Form 13F within 45 days after each quarter ends. How 13F works
- Institutional holders
- 69
- −3 vs. Q4 2022
- Shares held
- 4.63M
- +70.7K (+1.5%) vs. Q4 2022
- Total value
- $149.8M
- +$532.0K (+0.4%) vs. Q4 2022
- New holders
- 12
- 16 more added
- Sold out
- 15
- 23 more reduced
3 institutions that held it in Q4 2022 haven't filed for Q1 2023 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q4 2022: new holders, sold out and not filed yet
Holders and value by quarter
Institutions reporting CEM on Form 13F each quarter since Q1 2021, and the total value they reported. Values are as of each quarter end, so they also move with the share price.
| Quarter | Holders | Value |
|---|---|---|
| Q2 2026 | 0 | $0 |
| Q1 2026 | 0 | $0 |
| Q4 2025 | 0 | $0 |
| Q3 2025 | 0 | $0 |
| Q2 2025 | 0 | $0 |
| Q1 2025 | 0 | $0 |
| Q4 2024 | 0 | $0 |
| Q3 2024 | 1 | $2.45M |
| Q2 2024 | 51 | $95.7M |
| Q1 2024 | 76 | $253.8M |
| Q4 2023 | 78 | $216.2M |
| Q3 2023 | 72 | $174.6M |
| Q2 2023 | 69 | $169.4M |
| Q1 2023 | 69 | $149.8M |
| Q4 2022 | 75 | $149.8M |
| Q3 2022 | 72 | $132.5M |
| Q2 2022 | 74 | $125.2M |
| Q1 2022 | 74 | $146.9M |
| Q4 2021 | 73 | $113.2M |
| Q3 2021 | 72 | $103.4M |
| Q2 2021 | 72 | $105.5M |
| Q1 2021 | 67 | $83.7M |
Institutions, Q1 2023
Shares, value and share of portfolio for each institution holding ClearBridge MLP & Midstream Fund Inc.; share changes are against Q4 2022.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Tower Research Capital LLC (TRC) | 6 | $0 | 0.00% | +5+500.0% | Added |
| Harbour Investments, Inc. | 28 | $906 | 0.00% | 00.0% | Unchanged |
| Larson Financial Group LLC | 99 | $3.21K | 0.00% | +99 | New |
| Geneos Wealth Management Inc. | 104 | $3.37K | 0.00% | 00.0% | Unchanged |
| Creative Financial Designs Inc | 104 | $3.37K | 0.00% | +104 | New |
| Wolff Wiese Magana LLC | 105 | $3.40K | 0.00% | 00.0% | Unchanged |
| Lansing Street Advisors | 112 | $3.63K | 0.00% | 00.0% | Unchanged |
| SOA Wealth Advisors, LLC. | 164 | $5.32K | 0.00% | +3+1.9% | Added |
| Avion Wealth | 200 | $6.00K | 0.00% | −500−71.4% | Reduced |
| Cambridge Trust Co | 193 | $6.25K | 0.00% | 00.0% | Unchanged |
| Caldwell Trust Co | 200 | $6.47K | 0.00% | 00.0% | Unchanged |
| JPMorgan Chase & Co | 444 | $14.0K | 0.00% | −36−7.5% | Reduced |
| Private Trust Co NA | 544 | $17.6K | 0.00% | 00.0% | Unchanged |
| Tradition Wealth Management, LLC | 545 | $18.0K | 0.00% | +10+1.9% | Added |
| Northwestern Mutual Wealth Management Co | 744 | $24.1K | 0.00% | +128+20.8% | Added |
| Bogart Wealth, LLC | 767 | $24.8K | 0.00% | +625+440.1% | Added |
| Elequin Capital LP | 983 | $31.8K | 0.02% | +983 | New |
| The PNC Financial Services Group, Inc. | 1,600 | $51.8K | 0.00% | 00.0% | Unchanged |
| GPS Wealth Strategies Group, LLC | 1,953 | $63.2K | 0.01% | +1,953 | New |
| Harbor Investment Advisory, LLC | 2,070 | $67.0K | 0.01% | +9+0.4% | Added |
| Eagle Bay Advisors LLC | 2,900 | $93.9K | 0.05% | 00.0% | Unchanged |
| Cullen/Frost Bankers, Inc. | 4,060 | $131.4K | 0.00% | 00.0% | Unchanged |
| Sunbelt Securities, Inc. | 4,600 | $148.3K | 0.02% | +4,600 | New |
| IFP Advisors, Inc | 13,789 | $191.5K | 0.01% | +1,073+8.4% | Added |
| Coastal Investment Advisors, Inc. | 6,321 | $204.6K | 0.05% | −1,097−14.8% | Reduced |
| Icon Wealth Partners, LLC | 6,788 | $219.7K | 0.02% | +6,788 | New |
| HighTower Advisors, LLC | 7,070 | $228.0K | 0.00% | −8,085−53.3% | Reduced |
| CSS LLC | 7,174 | $232.2K | 0.02% | +7,174 | New |
| First Republic Investment Management, Inc. | 7,200 | $233.1K | 0.00% | +678+10.4% | Added |
| InterOcean Capital Group, LLC | 8,000 | $259.0K | 0.01% | 00.0% | Unchanged |
| Laidlaw Wealth Management LLC | 8,062 | $261.0K | 0.05% | −117−1.4% | Reduced |
| Stephens Inc | 8,136 | $263.4K | 0.01% | +74+0.9% | Added |
| Oxbow Advisors, LLC | 8,530 | $276.1K | 0.05% | 00.0% | Unchanged |
| D.A. Davidson & Co. | 9,977 | $323.0K | 0.00% | −93−0.9% | Reduced |
| Integrated Wealth Concepts LLC | 10,108 | $327.0K | 0.01% | +10,108 | New |
| US Bancorp | 12,500 | $404.6K | 0.00% | 00.0% | Unchanged |
| Proficio Capital Partners LLC | 12,530 | $405.6K | 0.06% | +12,530 | New |
| Verus Capital Partners, LLC | 13,780 | $446.1K | 0.07% | −100−0.7% | Reduced |
| Advisor Group Holdings, Inc. | 14,198 | $460.3K | 0.00% | +1,078+8.2% | Added |
| LPL Financial LLC | 15,019 | $486.1K | 0.00% | +1,091+7.8% | Added |
| M&T Bank Corp | 17,165 | $555.6K | 0.00% | 00.0% | Unchanged |
| Raymond James & Associates | 17,947 | $581.0K | 0.00% | −1,098−5.8% | Reduced |
| Sit Investment Associates Inc | 18,065 | $585.0K | 0.02% | −23,671−56.7% | Reduced |
| Wolverine Asset Management LLC | 18,393 | $595.4K | 0.01% | +18,393 | New |
| Transcend Wealth Collective, LLC | 23,548 | $762.2K | 0.08% | −500−2.1% | Reduced |
| Edgemoor Investment Advisors, Inc. | 30,684 | $993.2K | 0.12% | −1,841−5.7% | Reduced |
| Goldman Sachs Group Inc | 35,468 | $1.15M | 0.00% | +35,468 | New |
| Steward Partners Investment Advisory, LLC | 37,345 | $1.21M | 0.02% | +3,524+10.4% | Added |
| Guggenheim Capital LLC | 44,638 | $1.44M | 0.01% | +9,589+27.4% | Added |
| Ameriprise Financial Inc | 47,319 | $1.53M | 0.00% | −199−0.4% | Reduced |
| Quantedge Capital Pte Ltd | 53,346 | $1.73M | 0.67% | −18,200−25.4% | Reduced |
| Clearbridge Investments, LLC | 56,360 | $1.82M | 0.00% | 00.0% | Unchanged |
| Matisse Capital | 58,000 | $1.88M | 1.21% | 00.0% | Unchanged |
| Royal Bank of Canada | 61,186 | $1.98M | 0.00% | −480−0.8% | Reduced |
| Kayne Anderson Capital Advisors LP | 74,440 | $2.41M | 0.07% | 00.0% | Unchanged |
| Commonwealth Equity Services, LLC | 81,623 | $2.64M | 0.01% | +6,791+9.1% | Added |
| Thomas J. Herzfeld Advisors, Inc. | 84,038 | $2.72M | 1.10% | −46,001−35.4% | Reduced |
| UBS Group AG | 88,873 | $2.88M | 0.00% | −63,474−41.7% | Reduced |
| Advisors Asset Management, Inc. | 103,516 | $3.35M | 0.07% | −993−1.0% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 126,044 | $4.08M | 0.01% | +974+0.8% | Added |
| Wells Fargo & Company | 151,164 | $4.89M | 0.00% | −20,808−12.1% | Reduced |
| Woodline Partners LP | 169,106 | $5.47M | 0.08% | 00.0% | Unchanged |
| Terril Brothers, Inc. | 171,244 | $5.54M | 2.60% | −3,915−2.2% | Reduced |
| Aristides Capital LLC | 193,475 | $6.26M | 3.95% | −23,377−10.8% | Reduced |
| McGowan Group Asset Management, Inc. | 225,275 | $7.29M | 1.16% | −51,558−18.6% | Reduced |
| Bank of America Corp | 286,054 | $9.26M | 0.00% | −46,359−13.9% | Reduced |
| Penserra Capital Management LLC | 294,325 | $9.53M | 0.20% | +294,325 | New |
| Morgan Stanley | 675,144 | $21.9M | 0.00% | −11,166−1.6% | Reduced |
| Saba Capital Management, L.P. | 1,199,377 | $38.8M | 0.94% | +276,493+30.0% | Added |
| 1832 Asset Management L.P. | 0 | $0 | 0.00% | −165,359−100.0% | Sold out |
| Cornerstone Advisors, LLC | 0 | $0 | 0.00% | −52,518−100.0% | Sold out |
| Almitas Capital LLC | 0 | $0 | 0.00% | −30,444−100.0% | Sold out |
| Cambridge Investment Research Advisors, Inc. | 0 | $0 | 0.00% | −15,270−100.0% | Sold out |
| Weiss Asset Management LP | 0 | $0 | 0.00% | −12,688−100.0% | Sold out |
| Invesco Ltd. | 0 | $0 | 0.00% | −10,782−100.0% | Sold out |
| Stifel Financial Corp | 0 | $0 | 0.00% | −6,047−100.0% | Sold out |
| Rockefeller Capital Management L.P. | 0 | $0 | 0.00% | −4,800−100.0% | Sold out |
| GWM Advisors LLC | 0 | $0 | 0.00% | −1,164−100.0% | Sold out |
| Freedom Wealth Alliance, LLC | 0 | $0 | 0.00% | −516−100.0% | Sold out |
| Lakewood Asset Management LLC | 0 | $0 | 0.00% | −200−100.0% | Sold out |
| Robinson Capital Management, LLC | 0 | $0 | 0.00% | −200−100.0% | Sold out |
| Bessemer Group Inc | 0 | $0 | 0.00% | −175−100.0% | Sold out |
| Accurate Wealth Management, LLC | 0 | $0 | 0.00% | −100−100.0% | Sold out |
| FMR LLC | 0 | $0 | 0.00% | −1−100.0% | Sold out |
| Laurel Wealth Advisors, Inc. | – | – | – | – | Not filed |
| Icon Wealth Advisors, LLC | – | – | – | – | Not filed |
| Cribstone Capital Management, LLC | – | – | – | – | Not filed |