FLC on NYSE

FLAHERTY & CRUMRINE TOTAL RETURN FUND INC

FLAHERTY & CRUMRINE TOTAL RETURN FUND INC is a fund registered in the United States, based in Pasadena, active since 2003.² Its shares trade on NYSE under the symbol FLC.²

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Last updated Oct 21, 2026.

Overview

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TickerFLC on NYSE²
HeadquartersPasadena, United States²
Incorporated inMD³
Business address301 E Colorado Blvd Ste 800, C/O Flaherty & Crumrine Inc, Pasadena, Ca 91101³
Legal formFund²
Kind of organizationFund²
LEI254900OFZ9J1RLHWZQ22²
StatusActive²
LEI statusIssued and current²
Registered addressC/O THE CORPORATION TRUST, INCORPORATED, 21093 Lutherville Timonium, United States²
Registered withSecurities and Exchange Commission, 0001245648²

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Corporate structure

FLAHERTY & CRUMRINE TOTAL RETURN FUND INC sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of FLAHERTY & CRUMRINE TOTAL RETURN FUND INC

SIT INVESTMENT ASSOCIATES INC Filed SCHEDULE 13G/A on FLAHERTY & CRUMRINE TOTAL RETURN FUND INC, latest Feb 4, 2026 (2 filings since Jan 3, 2025)

FLAHERTY & CRUMRINE TOTAL RETURN FUND INC Pasadena, California, United States

Built from parent and subsidiary links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

Leadership

Who has led FLAHERTY & CRUMRINE TOTAL RETURN FUND INC, and when. Pick a name to see everywhere that person has worked.

Chief executive

Robert E. Chadwick2016

President

Chief financial officer

Robert E. Chadwick2006

2010201520202025

Chief executive officerRobert E. Chadwick Feb 16, 2016 to Feb 16, 2016⁴
PresidentRobert E. Chadwick Feb 16, 2016 to Feb 16, 2016⁴
PresidentRobert M. Ettinger Aug 2, 2007 to May 16, 2013⁵
Chief financial officerRobert E. Chadwick Dec 28, 2006 to Dec 28, 2006⁶

Board members and other officers (8)

CCO, VP and SecretaryChad Conwell Jun 3, 2013 to Jun 3, 2013⁷
Vice PresidentBradford S. Stone Dec 28, 2006 to Jun 4, 2013⁸
Board memberKevin Michael Maxwell Feb 6, 2026 to now⁹
Board memberNicholas Dalmaso Jan 29, 2024 to Jan 29, 2024¹⁰
Board memberRobert E. Chadwick Feb 16, 2016 to Feb 16, 2016⁴
Board memberKaren Hanovice Hogan Jan 6, 2010 to Aug 6, 2013¹¹
Board memberDavid Gale Jan 26, 2006 to Dec 31, 2008¹²
Board memberRobert F. Wulf Jun 13, 2006 to Mar 18, 2016¹³

Former names

FLAHERTY & CRUMRINE/CLAYMORE TOTAL RETURN FUND INCJun 23, 2003 to Feb 14, 2013³

Timeline

Feb 16, 2016New chief executive Robert E. Chadwick becomes CEO⁴
Jun 23, 2003Founded FLAHERTY & CRUMRINE TOTAL RETURN FUND INC is founded²

Filings

57 filings to the SEC since October 2021: 2 insider forms, 2 large holders, 53 other. The latest 20:

Aug 6, 2026N-PX EDGAR
Jul 31, 2026N-CSRS CERTIFIED SEMI-ANNUAL SHAREHOLDER REPORT EDGAR
Jul 27, 2026NPORT-P EDGAR
May 13, 202640-17G FIDELITY BOND PURSUANT TO RULE 17G1(G)(1) EDGAR
Apr 23, 2026NPORT-P EDGAR
Mar 9, 2026DEF 14A DEFINITIVE PROXY STATEMENT EDGAR
Feb 11, 2026N-CEN EDGAR
Feb 6, 20263 PRIMARY DOCUMENT EDGAR
Feb 4, 2026N-CSR CERTIFIED ANNUAL SHAREHOLDER REPORT EDGAR
Feb 4, 2026SCHEDULE 13G/A EDGAR
Jan 23, 2026NPORT-P EDGAR
Oct 29, 2025NPORT-P EDGAR
Aug 15, 2025N-PX EDGAR
Jul 31, 2025N-CSRS CERTIFIED SEMI-ANNUAL SHAREHOLDER REPORT EDGAR
Jul 25, 2025NPORT-P EDGAR
Jun 20, 202540-17G FIDELITY BOND EDGAR
Apr 28, 2025DEFA14A ADDITIONAL DEFINITIVE PROXY SOLICITING MATERIALS EDGAR
Apr 24, 2025NPORT-P EDGAR
Apr 16, 2025DEFA14A ADDITIONAL DEFINITIVE PROXY SOLICITING MATERIALS EDGAR
Mar 17, 2025DEF 14A DEFINITIVE PROXY STATEMENTS EDGAR

The 57 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

SIT INVESTMENT ASSOCIATES INCSCHEDULE 13G/A, 2 filings Jan 3, 2025 to Feb 4, 2026¹⁴

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 51. Change is in shares since the quarter before.

Fund	Shares	Value	Share of the fund	Change
Bank Of America Corp /de/	261,186	$4.4M	0.0%	−13,222
Hennion & Walsh Asset Management, Inc.	241,468	$4.1M	0.1%	+42,263
Advisors Asset Management, Inc.	230,907	$3.9M	0.1%	−6,441
Noble Wealth Management PBC	225,747	$3.8M	1.7%	+8,257
Sowell Financial Services LLC	204,611	$3.5M	0.1%	−3,111
LPL Financial LLC	157,596	$2.7M	0.0%	+1,083
Invesco Ltd.	129,884	$2.2M	0.0%	+5,117
Smith Asset Management Co., LLC	124,011	$2.1M	1.6%	−2,120
Guggenheim Capital LLC	100,671	$1.7M	0.0%	+4,665
Morgan Stanley	97,218	$1.6M	0.0%	+4,214
Ceera Investments, LLC	69,930	$1.2M	0.5%	+36,260
Fiera Capital Corp	69,761	$1.2M	0.0%	+1,871
Closed-End Fund Advisors, Inc.	46,527	$786.3K	0.8%	+1,460
Focus Partners Wealth	43,334	$732.3K	0.0%	+229
Wells Fargo & Company/mn	42,360	$715.9K	0.0%	−1,886
Baird Financial Group, Inc.	40,379	$682.4K	0.0%	−597
Farther Finance Advisors, LLC	25,354	$428.5K	0.0%	+25,000
Seamount Financial Group Inc	20,790	$351.4K	0.1%	No change
Osaic Holdings, Inc.	19,468	$329.0K	0.0%	+2,326
Mallini Complete Financial Planning LLC	18,752	$316.9K	0.3%	+181
Susquehanna International Group, Llp	17,578	$297.1K	0.0%	New
Raymond James Financial Inc	16,782	$283.6K	0.0%	+15
Readystate Asset Management LP	15,420	$260.6K	0.0%	New
HighTower Advisors, LLC	14,650	$247.6K	0.0%	No change
Logan Stone Capital, LLC	14,218	$240.3K	0.1%	New

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How FLAHERTY & CRUMRINE TOTAL RETURN FUND INC is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

Name on EDGARFLAHERTY & CRUMRINE TOTAL RETURN FUND INC¹
CIK0001245648
Incorporated inMaryland¹
Fiscal year endsNovember 30¹
Business address301 E Colorado Blvd Ste 800, C/O Flaherty & Crumrine Inc, Pasadena, CA 91101¹
Phone(626) 795-7300¹
On EDGAR sinceJun 23, 2003¹
Filings390 in all: 4 (37), N-30B-2 (32), N-Q (30), NPORT-P (27), 40-17G (24), DEF 14A (23), N-CSR (23), N-CSRS (23)¹
All 41 form types
N-PX (23), SC 13G/A (22), 3 (20), NSAR-B (15), NSAR-A (14), SC 13G (11), N-CEN (8), CORRESP (7), 5 (6), 8-K (6), PRE 14A (6), N-2/A (4), N-2 (3), N-23C-2 (3), 40-APP/A (2), 497 (2), DEFA14A (2), NSAR-A/A (2), 4/A (1), 40-APP (1), 424B2 (1), 8-A12B (1), CERTNYS (1), DEFR14A (1), EFFECT (1), N-30D (1), N-8A (1), N-PX/A (1), NPORT-EX (1), NSAR-B/A (1), POS EX (1), SCHEDULE 13G (1), SCHEDULE 13G/A (1)
Latest filingsProxy statement (DEF 14A) Mar 9, 2026
Latest 8-K (8-K) Jan 20, 2017

Sources

The numbers on this page point here. Each one links to the record it came from.

1
SEC EDGARFLAHERTY & CRUMRINE TOTAL RETURN FUND INC filings on SEC EDGAR
2
GLEIFFLAHERTY & CRUMRINE TOTAL RETURN FUND INC LEI record (254900OFZ9J1RLHWZQ22)
3
SEC EDGARFLAHERTY & CRUMRINE TOTAL RETURN FUND INC filings on SEC EDGAR
4
SEC EDGARRobert E. Chadwick, Chief executive officer
5
SEC EDGARRobert M. Ettinger, President
6
SEC EDGARRobert E. Chadwick, Chief financial officer
7
SEC EDGARChad Conwell, CCO, VP and Secretary
8
SEC EDGARBradford S. Stone, Vice President
9
SEC EDGARKevin Michael Maxwell, Board member
10
SEC EDGARNicholas Dalmaso, Board member
11
SEC EDGARKaren Hanovice Hogan, Board member
12
SEC EDGARDavid Gale, Board member
13
SEC EDGARRobert F. Wulf, Board member
14
SEC EDGARSIT INVESTMENT ASSOCIATES INC SCHEDULE 13G/A on FLAHERTY & CRUMRINE TOTAL RETURN FUND INC