Returns Chart

Key Stats

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Basic Info

Investment Strategy
The trust seeks to provide high current income with capital appreciation as a secondary objective. There is no assurance the trust will achieve its objective.
General
Security Type Unit Investment Trust
Oldest Share Symbol --
Equity Style Small Cap/Value
Fixed Income Style --
Broad Asset Class Sector Equity
Broad Category Equity
Category Name Financial
Category Index S&P 1500 Financials TR
Prospectus Objective Equity-Income
Fund Owner Firm Name Advisors Asset Management, Inc.
Broad Asset Class Benchmark Index
^MSWNTR 100.0%

Net Fund Flows Versus Category

1M
3M
6M
YTD
1Y
3Y
5Y
10Y
 
80.00B
60.00B
40.00B
20.00B
0
-20.00B
No Data Available
1 Month
% Rank: --
-- Category Low
-- Category High
1 Year
% Rank: --
-155.42M Category Low
11.74B Category High
3 Months
% Rank: --
-- Category Low
-- Category High
3 Years
% Rank: --
-- Category Low
-- Category High
6 Months
% Rank: --
-- Category Low
-- Category High
5 Years
% Rank: --
-- Category Low
-- Category High
YTD
% Rank: --
-- Category Low
-- Category High
10 Years
% Rank: --
-- Category Low
-- Category High
Date Unavailable

Performance Versus Category

 
20%
15%
10%
5%
0
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Name
1M
3M
YTD
1Y
3Y
5Y
10Y
15Y
Total Return (NAV)
--
--
--
--
--
--
--
--
Category Rtn. (NAV)
--
--
--
--
--
--
--
--
% Rank in Cat (NAV)
--
--
--
--
--
--
--
--
As of October 26, 2021. Returns for periods of 1 year and above are annualized.

Annual Total Returns Versus Peers

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Name
2014
2015
2016
2017
2018
2019
2020
YTD
--
--
--
--
--
--
-11.12%
38.08%
4.94%
-0.87%
7.51%
22.40%
-8.71%
27.67%
15.90%
19.15%
--
--
--
--
--
--
--
36.78%
--
--
--
--
--
--
--
37.92%
--
--
--
--
--
--
--
35.16%
As of October 26, 2021.

Fundamentals

General
Distribution Yield Upgrade
Dividend Yield TTM (10-26-21) 7.20%
30-Day SEC Yield --
7-Day SEC Yield --
Number of Holdings Upgrade
Stock
Weighted Average PE Ratio 5.661
Weighted Average Price to Sales Ratio Upgrade
Weighted Average Price to Book Ratio Upgrade
Weighted Median ROE Upgrade
Weighted Median ROA Upgrade
Forecasted Dividend Yield Upgrade
Forecasted PE Ratio Upgrade
Forecasted Price to Sales Ratio Upgrade
Forecasted Price to Book Ratio Upgrade
As of October 20, 2021

Growth Estimates

Forecasted 5 Yr Earnings Growth Upgrade
Forecasted Book Value Growth Upgrade
Forecasted Cash Flow Growth --
Forecasted Earnings Growth Upgrade
Forecasted Revenue Growth Upgrade
As of October 20, 2021

Asset Allocation

As of October 20, 2021.
Type % Net % Long % Short
Cash 0.00% Upgrade Upgrade
Stock 98.65% Upgrade Upgrade
Bond 0.00% Upgrade Upgrade
Convertible 0.00% Upgrade Upgrade
Preferred 0.00% Upgrade Upgrade
Other 1.35% Upgrade Upgrade

Top 10 Holdings

Name % Weight Price % Change
Hercules Capital Inc 5.66% 17.47 -0.46%
TriplePoint Venture Growth BDC Corp 5.58% 17.90 0.67%
Fidus Investment Corp 5.40% 17.61 -0.28%
WhiteHorse Finance Inc 5.36% 15.51 -0.26%
Oaktree Specialty Lending Corp 5.23% 7.355 -0.34%
Ares Capital Corp 5.21% 21.56 0.77%
Sixth Street Specialty Lending Inc 5.06% 23.61 -0.08%
Capital Southwest Corp 4.73% 27.81 -0.36%
Newtek Business Services Corp 4.63% 29.39 -0.84%
Stellus Capital Investment Corp 4.49% 13.88 0.73%

Fees & Availability

Fees
Actual 12B-1 Fee --
Actual Management Fee --
Administration Fee --
Performance Fee --
Switching Fee --
Transaction Fee --
Maximum Front Load Upgrade
Maximum Deferred Load Upgrade
Maximum Redemption Fee --
General Availability
Available for Insurance Product No
Available for Retirement Plan No
Available for RRSP No
Purchase Details
Open to New Investors Yes
Open to Existing Investors Yes
Minimum Initial Investment Upgrade
Minimum Subsequent Investment Upgrade

Basic Info

Investment Strategy
The trust seeks to provide high current income with capital appreciation as a secondary objective. There is no assurance the trust will achieve its objective.
General
Security Type Unit Investment Trust
Oldest Share Symbol --
Equity Style Small Cap/Value
Fixed Income Style --
Broad Asset Class Sector Equity
Broad Category Equity
Category Name Financial
Category Index S&P 1500 Financials TR
Prospectus Objective Equity-Income
Fund Owner Firm Name Advisors Asset Management, Inc.
Broad Asset Class Benchmark Index
^MSWNTR 100.0%

Fundamentals

General
Distribution Yield Upgrade
Dividend Yield TTM (10-26-21) 7.20%
30-Day SEC Yield --
7-Day SEC Yield --
Number of Holdings Upgrade
Stock
Weighted Average PE Ratio 5.661
Weighted Average Price to Sales Ratio Upgrade
Weighted Average Price to Book Ratio Upgrade
Weighted Median ROE Upgrade
Weighted Median ROA Upgrade
Forecasted Dividend Yield Upgrade
Forecasted PE Ratio Upgrade
Forecasted Price to Sales Ratio Upgrade
Forecasted Price to Book Ratio Upgrade
As of October 20, 2021

Growth Estimates

Forecasted 5 Yr Earnings Growth Upgrade
Forecasted Book Value Growth Upgrade
Forecasted Cash Flow Growth --
Forecasted Earnings Growth Upgrade
Forecasted Revenue Growth Upgrade
As of October 20, 2021

Fund Details

Key Dates
Inception Date 12/11/2019
Termination Date 12/9/2021
Last Annual Report Date --
Last Prospectus Date --
Share Classes
F000014KEK --
F000014KEM --
F000014KEN --
Attributes
Enhanced Index Fund No
Index Fund No
Inverse Fund No
Leveraged Fund No
Fund of Funds Yes
Currency Hedged Fund No
Synthetic Replication Fund No
Has Dividend Investment Plan No
Socially Responsible Fund No