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, Q4 2023
Institutional positions in ClearBridge MLP & Midstream Fund Inc. as of Dec 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
- 78
- +8 vs. Q3 2023
- Shares held
- 5.39M
- +451.4K (+9.1%) vs. Q3 2023
- Total value
- $216.2M
- +$42.1M (+24.2%) vs. Q3 2023
- New holders
- 15
- 22 more added
- Sold out
- 7
- 23 more reduced
2 institutions that held it in Q3 2023 haven't filed for Q4 2023 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 2023: 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, Q4 2023
Shares, value and share of portfolio for each institution holding ClearBridge MLP & Midstream Fund Inc.; share changes are against Q3 2023.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Global Retirement Partners, LLC | 2 | $81 | 0.00% | +2 | New |
| Geneos Wealth Management Inc. | 55 | $2.21K | 0.00% | +1+1.9% | Added |
| Larson Financial Group LLC | 99 | $3.97K | 0.00% | 00.0% | Unchanged |
| Creative Financial Designs Inc | 104 | $4.17K | 0.00% | 00.0% | Unchanged |
| Clear Point Advisors Inc. | 145 | $5.82K | 0.01% | +145 | New |
| SOA Wealth Advisors, LLC. | 175 | $7.00K | 0.00% | +4+2.3% | Added |
| Avion Wealth | 200 | $8.00K | 0.00% | 00.0% | Unchanged |
| Piscataqua Savings Bank | 214 | $8.58K | 0.01% | 00.0% | Unchanged |
| Highlander Capital Management, LLC | 290 | $11.6K | 0.00% | 00.0% | Unchanged |
| Tradition Wealth Management, LLC | 579 | $23.0K | 0.00% | +11+1.9% | Added |
| NBC Securities, Inc. | 630 | $25.0K | 0.00% | 00.0% | Unchanged |
| Bogart Wealth, LLC | 767 | $30.7K | 0.00% | 00.0% | Unchanged |
| Covestor Ltd | 1,174 | $47.0K | 0.03% | +195+19.9% | Added |
| Hobbs Group Advisors, LLC | 1,392 | $55.8K | 0.02% | +1,392 | New |
| Comerica Bank | 1,556 | $62.4K | 0.00% | +144+10.2% | Added |
| Robinson Capital Management, LLC | 1,587 | $63.5K | 0.02% | +1,587 | New |
| Northwestern Mutual Wealth Management Co | 1,907 | $76.5K | 0.00% | +1,000+110.3% | Added |
| Harbor Investment Advisory, LLC | 1,950 | $78.2K | 0.01% | −105−5.1% | Reduced |
| Richardson Capital Management LLC | 2,000 | $80.2K | 0.08% | +2,000 | New |
| Eagle Bay Advisors LLC | 2,900 | $116.3K | 0.07% | 00.0% | Unchanged |
| GPS Wealth Strategies Group, LLC | 3,576 | $143.4K | 0.03% | −186−4.9% | Reduced |
| Cullen/Frost Bankers, Inc. | 4,060 | $162.8K | 0.00% | 00.0% | Unchanged |
| Sunbelt Securities, Inc. | 4,600 | $184.4K | 0.02% | 00.0% | Unchanged |
| Marathon Trading Investment Management LLC | 5,000 | $200.4K | 0.04% | +5,000 | New |
| Laidlaw Wealth Management LLC | 5,086 | $203.9K | 0.07% | +5,086 | New |
| Commonwealth Financial Services, LLC | 5,580 | $223.7K | 0.05% | +5,580 | New |
| Millennium Management LLC | 6,348 | $254.5K | 0.00% | −17,407−73.3% | Reduced |
| Icon Wealth Advisors, LLC | 6,788 | $272.1K | 0.03% | +6,788 | New |
| HighTower Advisors, LLC | 7,345 | $293.0K | 0.00% | −635−8.0% | Reduced |
| InterOcean Capital Group, LLC | 8,000 | $320.7K | 0.01% | 00.0% | Unchanged |
| Bulldog Investors, LLP | 8,213 | $329.3K | 0.11% | +8,213 | New |
| Oxbow Advisors, LLC | 8,530 | $342.0K | 0.05% | 00.0% | Unchanged |
| Stephens Inc | 8,563 | $343.3K | 0.01% | +915+12.0% | Added |
| Blue Bell Private Wealth Management, LLC | 9,346 | $374.7K | 0.09% | +9,346 | New |
| Integrated Wealth Concepts LLC | 9,728 | $390.0K | 0.01% | 00.0% | Unchanged |
| D.A. Davidson & Co. | 9,809 | $393.3K | 0.00% | −734−7.0% | Reduced |
| US Bancorp | 10,029 | $402.1K | 0.00% | −57−0.6% | Reduced |
| Proficio Capital Partners LLC | 10,615 | $425.6K | 0.05% | −730−6.4% | Reduced |
| Verus Capital Partners, LLC | 11,450 | $459.0K | 0.06% | −1,130−9.0% | Reduced |
| Susquehanna International Group, LLP | 11,888 | $476.6K | 0.00% | +11,888 | New |
| Stifel Financial Corp | 12,672 | $508.0K | 0.00% | +12,672 | New |
| Quantedge Capital Pte Ltd | 14,478 | $580.4K | 0.28% | −9,200−38.9% | Reduced |
| Blackstone Group Inc. | 14,754 | $591.5K | 0.00% | 00.0% | Unchanged |
| Yakira Capital Management, Inc. | 15,535 | $622.8K | 0.20% | +15,535 | New |
| IFP Advisors, Inc | 16,226 | $650.5K | 0.03% | +2,332+16.8% | Added |
| LPL Financial LLC | 16,935 | $678.9K | 0.00% | −275−1.6% | Reduced |
| M&T Bank Corp | 17,165 | $688.1K | 0.00% | 00.0% | Unchanged |
| Raymond James & Associates | 17,448 | $699.5K | 0.00% | −329−1.9% | Reduced |
| Advisor Group Holdings, Inc. | 19,617 | $786.4K | 0.00% | +1,490+8.2% | Added |
| Clough Capital Partners L P | 20,850 | $835.9K | 0.09% | +13,300+176.2% | Added |
| Quarry LP | 20,850 | $835.9K | 0.42% | +13,300+176.2% | Added |
| Invesco Ltd. | 22,363 | $896.5K | 0.00% | +13,061+140.4% | Added |
| Transcend Wealth Collective, LLC | 23,548 | $944.0K | 0.08% | 00.0% | Unchanged |
| JPMorgan Chase & Co | 29,335 | $1.18M | 0.00% | +29,028+9,455.4% | Added |
| Sea Otter Advisors LLC | 30,300 | $1.21M | 1.16% | +20,000+194.2% | Added |
| Edgemoor Investment Advisors, Inc. | 31,922 | $1.28M | 0.13% | −6,277−16.4% | Reduced |
| Delphi Financial Group, Inc. | 33,150 | $1.33M | 0.78% | +33,150 | New |
| Kayne Anderson Capital Advisors LP | 34,840 | $1.40M | 0.04% | 00.0% | Unchanged |
| Guggenheim Capital LLC | 39,070 | $1.57M | 0.01% | −5,017−11.4% | Reduced |
| Woodline Partners LP | 48,233 | $1.93M | 0.02% | −177,512−78.6% | Reduced |
| Ameriprise Financial Inc | 48,524 | $1.97M | 0.00% | −564−1.1% | Reduced |
| Steward Partners Investment Advisory, LLC | 50,338 | $2.02M | 0.03% | +14,600+40.9% | Added |
| Goldman Sachs Group Inc | 57,008 | $2.29M | 0.00% | +9,608+20.3% | Added |
| Royal Bank of Canada | 61,907 | $2.48M | 0.00% | −2,222−3.5% | Reduced |
| Alpine Global Management, LLC | 67,400 | $2.70M | 0.74% | +34,200+103.0% | Added |
| CSS LLC | 81,774 | $3.28M | 0.26% | +70,673+636.6% | Added |
| UBS Group AG | 82,558 | $3.31M | 0.00% | +5,136+6.6% | Added |
| Commonwealth Equity Services, LLC | 84,655 | $3.39M | 0.01% | −4,790−5.4% | Reduced |
| Thomas J. Herzfeld Advisors, Inc. | 103,293 | $4.14M | 1.52% | −6,751−6.1% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 127,013 | $5.09M | 0.01% | −610−0.5% | Reduced |
| Terril Brothers, Inc. | 139,670 | $5.60M | 1.98% | −13,150−8.6% | Reduced |
| Wells Fargo & Company | 141,809 | $5.69M | 0.00% | −3,964−2.7% | Reduced |
| Aristides Capital LLC | 193,475 | $7.76M | 3.90% | 00.0% | Unchanged |
| Advisors Asset Management, Inc. | 209,896 | $8.41M | 0.17% | +12,061+6.1% | Added |
| Sit Investment Associates Inc | 227,787 | $9.13M | 0.22% | +148,687+188.0% | Added |
| Bank of America Corp | 250,161 | $10.0M | 0.00% | −9,266−3.6% | Reduced |
| Morgan Stanley | 624,829 | $25.0M | 0.00% | −32,219−4.9% | Reduced |
| Saba Capital Management, L.P. | 2,189,802 | $87.8M | 2.16% | +509,745+30.3% | Added |
| McGowan Group Asset Management, Inc. | 0 | $0 | 0.00% | −121,791−100.0% | Sold out |
| Wolverine Asset Management LLC | 0 | $0 | 0.00% | −86,354−100.0% | Sold out |
| Matisse Capital | 0 | $0 | 0.00% | −58,000−100.0% | Sold out |
| Coastal Investment Advisors, Inc. | 0 | $0 | 0.00% | −6,341−100.0% | Sold out |
| Private Trust Co NA | 0 | $0 | 0.00% | −544−100.0% | Sold out |
| Cambridge Trust Co | 0 | $0 | 0.00% | −193−100.0% | Sold out |
| Wolff Wiese Magana LLC | 0 | $0 | 0.00% | −105−100.0% | Sold out |
| First Republic Investment Management, Inc. | – | – | – | – | Not filed |
| Icon Wealth Partners, LLC | – | – | – | – | Not filed |