PFD · Flaherty & Crumrine Preferred & Income Fund Inc · Holdings

$10.39 +0.06 (+0.58%) At close · Oct 27

Market Cap

$132.77M

12.85M

Volume · Oct 27 56.64K Avg daily vol (3M) 35.46K

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP → See every holder of PFD: 13F, 13D and 13G, insiders and funds →

The Sep 30, 2026 filing window is still open — showing the latest known positions. Funds that have not filed yet carry their prior-quarter positions; a fund that filed without this stock counts as sold out. Each fund's Change is measured against its own previous reported quarter, shown in the Reported column. Pick a completed quarter in the Quarter selector below to put every fund on one quarter and see the stock-wide activity breakdown.

Quarter:

Holders: 51

Total Value: $46,462,011

Total Shares: 4,012,992

Institutional Ownership Trend

27 quarters

Holder Concentration

Across 51 13F filers

Top Holder

36.7%

of institutional value

Top 5

63.7%

of institutional value

Top 10

77.4%

of institutional value

HHI

1,624

Moderately concentrated

Who Holds PFD

Last 8 quarters through Sep 30, 2026 (filing window open)

Each kind of 13F filer's share of the common shares 13F filers report. Holder type comes from regulatory records, never the filer's name; style, turnover and horizon are measured from each filer's own 13F book. The quarter selector does not change this card.

Jun 30, 2026, the newest closed quarter: 51 filers, like-for-like change +4.8%; actively managed books +5.4%; index-like books -1.7%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	50.3%	20	+6.2%	2	2
Adviser	0.0%	0	—	0	0
Bank	10.5%	6	-1.3%	0	0
Broker-dealer	2.7%	1	-0.8%	0	0
Non-US	4.4%	1	+3.3%	0	0
Holding company	9.9%	3	-1.6%	0	0
Unknown	22.1%	20	+8.9%	2	1

Style	Share	Filers	Change	New	Exited
Index-like	7.8%	2	-1.7%	0	0
Systematic-like	0.4%	1	new	1	0
Concentrated	4.5%	9	+68.4%	1	0
Diversified active	87.3%	39	+2.9%	2	3
Not measured	0.0%	0	—	0	0
Unknown	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	80.5%	41	+4.3%	1	2
Medium turnover	6.1%	5	-12.7%	1	1
High turnover	0.4%	1	new	1	0
Unknown	12.9%	4	+15.1%	1	0
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	12.8%	3	+15.2%	1	0
Medium horizon	5.4%	9	-1.9%	1	0
Long horizon	80.5%	38	+3.9%	2	3
Unknown	1.4%	1	0.0%	0	0
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	7.9%	11	+21.0%	1	0
$1B to $10B	45.8%	12	+5.8%	1	2
$10B to $100B	23.4%	18	+3.9%	1	0
$100B or more	23.0%	10	-0.9%	1	1
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	10.9%	16	-3.1%	1	2
Pooled investment vehicles	0.4%	1	new	1	0
Registered funds and BDCs	37.7%	2	+10.7%	0	0
Diversified	1.2%	1	-38.3%	0	0
Pension and profit sharing plans	0.0%	0	—	0	0
Other investment advisers	0.0%	0	—	0	0
Unknown	49.7%	31	+3.4%	2	1

Private funds	Share	Filers	Change	New	Exited
Hedge funds	1.6%	2	-17.2%	1	0
Other private funds	38.4%	4	+10.2%	0	0
No private funds	10.2%	14	-2.8%	1	2
Private equity funds	0.0%	0	—	0	0
Real estate funds	0.0%	0	—	0	0
Private funds, type not stated	0.0%	0	—	0	0
Unknown	49.7%	31	+3.4%	2	1

Location	Share	Filers	Change	New	Exited
United States	91.6%	48	+5.2%	4	3
Outside the US	8.4%	3	+0.8%	0	0

The Sep 30, 2026 filing window is still open, so its bar carries the Jun 30, 2026 positions of filers that have not filed yet.

How the mix is measured

Shares are 13F common shares restated to today's split basis; options and principal amounts are left out. The change compares only filers with a 13F in both quarters and keeps each filer in its bucket of the later quarter on both sides; a filer that continues under a new CIK is compared through its successor. Holder type comes from each filer's current regulatory profile; client base and private funds come from the Form ADV roster current at each quarter end (rosters from December 2019, so an earlier quarter reads Unknown). Style, turnover, horizon and book size are measured from each filer's 13F book in the newest measured quarter, and Not measured means none was. Actively managed books are those measured systematic-like, concentrated or diversified active.

Conviction and Crowding

51 13F filers, quarter ended Jun 30, 2026

Measured across every 13F filer's common-share book once the quarter's filing window closed. Crowding counts filers with high turnover or that advise private funds on Form ADV.

Conviction holders

0.000% of filers hold it in their top 10

Mar 31, 2026: 0

Holders above 5%

median weight 0.001%

Mar 31, 2026: 0

Crowding

—

no cover-page share count is dated within about a year of the quarter end

Private-fund advisers

—

of shares outstanding

Institutional ownership

—

no cover-page share count is dated within about a year of the quarter end

Top 10 holders

77.4%

of 13F shares, Herfindahl 0.162

Active holders

+5.4%

like-for-like share change of active filers

5% stakes on record

0 13D, 1 13G (1 institutional, 0 passive, 0 exempt)

How long holders have held it value-weighted 13.2 quarters

Under 1 year 16.0% 1 to 3 years 21.2% 3 years or more 62.9% Since coverage start 0.000%

Managers in the top fifth by current three-year FundScore alpha were net buyers of $0 (0 buying, 0 selling).

Estimated Holder Cost Basis

Quarter ended Jun 30, 2026, on that quarter's share basis

Estimated, never filed: each 13F buy is costed at its quarter's average traded price and each sale keeps the average cost, so this is what holders paid on average if they traded evenly through each quarter.

Estimated avg cost

$11.30

estimated per share

Mar 31, 2026: $11.30

Quarter-end price

$11.63

implied by 13F values

Estimated gain or loss

+2.9%

price against the estimated cost

Estimated at a loss

14.6%

of costed 13F value

Estimated cost covers 61.1% of the 13F shares; positions already held when a filer's 13F history starts, or bought in a quarter without a trusted average price, have no estimate.

Fund Ownership of PFD by Fund Type

Registered funds' Form N-PORT reports for the quarter ended Jun 30, 2026

Index funds and index ETFs hold 0.00% of shares outstanding.

Fund type	Of shares outstanding	Change	Shares	Funds
Index funds	0.00%	0.00 pp	0	0
Index ETFs	0.00%	0.00 pp	0	0
Active ETFs	0.31%	+0.03 pp	39,297	1
Active funds	0.43%	0.00 pp	55,152	3
Unclassified	0.00%	0.00 pp	0	0
All registered funds	0.73%	+0.03 pp	94,449	4

How fund types are measured

Each fund series counts once, with its latest Form N-PORT report dated inside the quarter; only long share positions count, restated to today's split basis. The fund type is the series' latest Form N-CEN answer on or before the quarter end (the index-fund box and the exchange-traded flag), never its name. Unclassified funds have no usable N-CEN; unit investment trusts are among them, so index ownership is a floor. Funds sit inside their advisers' 13F reports, so these shares overlap the 13F figures and are never added to them.

Holder type: Registered adviser 20 Adviser 1 Bank 6 Broker-dealer 1 Non-US 1 Holding company 3 Unknown 19

Showing 51 of 51

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

SIT INVESTMENT ASSOCIATES INC

$17,005,188

36.60%

1,462,183

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SIT FIXED INCOME ADVISORS II LLC /ADV	1,462,183	$17,005,188	100.0%	Sole

CIBC Bancorp USA Inc.

$5,133,063

11.05%

441,364

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
CIBC Private Wealth Advisors, Inc.	441,364	$5,133,063	100.0%	Defined

MORGAN STANLEY

$3,460,052

7.45%

297,511

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY SMITH BARNEY LLC	297,511	$3,460,052	100.0%	Defined

Fiera Capital Corp

$2,059,870

4.43%

177,117

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Fiera Capital Inc.	177,117	$2,059,870	100.0%	Other

BANK OF AMERICA CORP /DE/

$1,837,307

3.95%

157,980

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.	157,980	$1,837,307	100.0%	Defined

MGO ONE SEVEN LLC

$1,643,493

3.54%

141,315

UBS Group AG

$1,348,684

2.90%

115,966

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Financial Services Inc	115,835	$1,347,161	99.9%	Defined
UBS Securities LLC	131	$1,523	0.1%	Defined

LPL Financial LLC

$1,267,751

2.73%

109,007

WELLS FARGO & COMPANY/MN

$1,083,310

2.33%

93,148

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC	43,747	$508,777	47.0%	Defined
WELLS FARGO CLEARING SERVICES, LLC	49,401	$574,533	53.0%	Defined

UMB Bank, n.a.

$1,004,517

2.16%

86,373

OSAIC HOLDINGS, INC.

$993,585

2.14%

85,433

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	78,990	$918,653	92.5%	Defined
Osaic Advisory Services, LLC	6,443	$74,932	7.5%	Defined

Smith Asset Management Co., LLC

$769,710

1.66%

71,468

ACTION POINT FINANCIAL PLANNING, LLC

$704,557

1.52%

60,582

RAYMOND JAMES FINANCIAL INC

$684,634

1.47%

58,868

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	32,967	$383,406	56.0%	Defined
Raymond James Financial Services Advisors, Inc.	25,901	$301,228	44.0%	Defined

ROBINSON CAPITAL MANAGEMENT, LLC

$640,498

1.38%

55,073

1607 Capital Partners, LLC

$569,916

1.23%

49,004

ROYAL BANK OF CANADA

$498,554

1.07%

42,868

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RBC Capital Markets, LLC	42,868	$498,554	100.0%	Defined

Calamos Advisors LLC

$478,283

1.03%

41,125

Pathway Financial Advisors LLC

$474,849

1.02%

44,090

Hennion & Walsh Asset Management, Inc.

$439,394

0.95%

40,798

COMMONWEALTH EQUITY SERVICES, LLC

$428,321

0.92%

36,829

GUGGENHEIM CAPITAL LLC

$384,347

0.83%

33,048

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
GUGGENHEIM FUNDS DISTRIBUTORS, LLC	32,604	$379,184	98.7%	Defined
SECURITY INVESTORS LLC	444	$5,163	1.3%	Defined

Bridgewealth Advisory Group, LLC

$297,611

0.64%

25,590

Capital Investment Advisors, LLC

$290,111

0.62%

26,937

CreativeOne Wealth, LLC

$269,804

0.58%

23,199

CARY STREET PARTNERS FINANCIAL LLC

$233,565

0.50%

20,083

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
CARY STREET PARTNERS INVESTMENT ADVISORY LLC	20,083	$233,565	100.0%	Defined

Kestra Advisory Services, LLC

$209,874

0.45%

18,046

Cambridge Investment Research Advisors, Inc.

$203,059

0.44%

17,460

Beacon Pointe Advisors, LLC

$201,164

0.43%

17,297

CITADEL ADVISORS LLC

$194,279

0.42%

16,705

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	16,705	$194,279	100.0%	Defined

D.A. DAVIDSON & CO.

$193,058

0.42%

16,600

WEDBUSH SECURITIES INC

$180,936

0.39%

16,800

O'ROURKE & COMPANY, Inc

$159,133

0.34%

13,683

Signature Wealth Management Partners, LLC

$154,560

0.33%

14,351

Cetera Investment Advisers

$135,582

0.29%

11,658

BlackRock, Inc.

$134,128

0.29%

11,533

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SpiderRock Advisors, LLC	11,533	$134,128	100.0%	Sole

Rockefeller Capital Management L.P.

$122,487

0.26%

10,532

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER FINANCIAL LLC	10,532	$122,487	100.0%	Defined

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

$119,116

0.26%

11,060

FIFTH THIRD BANCORP

$102,820

0.22%

8,841

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Fifth Third Bank, National Association	8,841	$102,820	100.0%	Defined

Noble Wealth Management PBC

$101,561

0.22%

9,430

Clear Street Group Inc.

$74,734

0.16%

6,426

Farther Finance Advisors, LLC

$42,003

0.09%

3,900

Steward Partners Investment Advisory, LLC

$41,053

0.09%

3,530

CoreCap Advisors, LLC

$24,771

0.05%

2,300

WEBSTER BANK, N. A.

$23,260

0.05%

2,000

Allworth Financial LP

$16,665

0.04%

1,433

Whipplewood Advisors, LLC

$16,133

0.03%

1,498

US BANCORP \DE\

$3,489

0.01%

300

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
US BANK NATIONAL ASSOCIATION	300	$3,489	100.0%	Defined

HIGHLINE WEALTH PARTNERS LLC

$2,692

0.01%

250

Geneos Wealth Management Inc.

$2,326

0.01%

200

Blue Trust, Inc.

$2,154

0.00%

200

Key facts CIK 868578 CUSIP 338480106 13F (30d) 13 filings 13 filers Visit website Investor relations