Security key
43010T104
HIGHLAND GLOBAL ALLOCATION FUND - Common Shares (HGLB)
CUSIP: 43010T104
Q1 2023 13F Holders as of 31 Mar 2023
- Type / Class
- Equity / Common Shares
- Shares outstanding
- 23,298,619
- Total 13F shares
- 4,600,871
- Share change
- -71,650
- Total reported value
- $41,498,210
- Price per share
- $9.04
- Number of holders
- 41
- Value change
- -$715,247
- Number of buys
- 22
- Number of sells
- 14
Report period
Q1 2023
Institutions
41
Top holders
10
HGLB full security history
Newer quarter: Q2 2023
Previous quarter: Q4 2022
HIGHLAND GLOBAL ALLOCATION FUND SEC filings
HIGHLAND GLOBAL ALLOCATION FUND 13D/G history
Broader feeds
Reporting periods
Holder history for CUSIP 43010T104
Recent filing periods:
Top shareholders of HGLB - HIGHLAND GLOBAL ALLOCATION FUND - Common Shares (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Ownership % is shown only when it is directly reported or safely comparable across share classes.
Methodology: rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
| Holder | Source | Role / Reporting | Ownership % | Shares | Holdings Value | 12M Net Δ | As of | Details |
|---|---|---|---|---|---|---|---|---|
| Atlas Wealth LLC |
13F
|
Company |
5.7%
|
1,317,247
|
$12,408,467 | — | 31 Dec 2022 | |
| MORGAN STANLEY |
13F
|
Company |
3.6%
|
832,959
|
$7,846,474 | — | 31 Dec 2022 | |
| OSAIC HOLDINGS, INC. |
13F
|
Company |
1.4%
|
333,938
|
$3,147,000 | — | 31 Dec 2022 | |
| Shaker Financial Services, LLC |
13F
|
Company |
1.4%
|
325,558
|
$3,066,756 | — | 31 Dec 2022 | |
| Quantedge Capital Pte Ltd |
13F
|
Company |
0.94%
|
218,726
|
$2,060,399 | — | 31 Dec 2022 | |
| Cetera Advisor Networks LLC |
13F
|
Company |
0.75%
|
175,048
|
$1,648,949 | — | 31 Dec 2022 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
0.7%
|
162,791
|
$1,533,491 | — | 31 Dec 2022 | |
| Private Advisor Group, LLC |
13F
|
Company |
0.54%
|
126,263
|
$1,178,923,000 | — | 31 Dec 2022 | |
| Sovereign Financial Group, Inc. |
13F
|
Company |
0.5%
|
116,858
|
$1,100,807 | — | 31 Dec 2022 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.47%
|
109,690
|
$1,033,277 | — | 31 Dec 2022 | |
| NEXPOINT ASSET MANAGEMENT, L.P. |
13F
|
Company |
0.37%
|
86,246
|
$812,437 | — | 31 Dec 2022 | |
| CLOUGH CAPITAL PARTNERS L P |
13F
|
Company |
0.32%
|
75,451
|
$710,748 | — | 31 Dec 2022 | |
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
0.32%
|
74,697
|
$703,646 | — | 31 Dec 2022 | |
| Cambridge Investment Research Advisors, Inc. |
13F
|
Company |
0.32%
|
74,029
|
$697,000 | — | 31 Dec 2022 | |
| Na Bokf |
13F
|
Individual |
0.3%
|
70,583
|
$664,891 | — | 31 Dec 2022 | |
| Global Retirement Partners, LLC |
13F
|
Company |
0.26%
|
59,716
|
$562,526 | — | 31 Dec 2022 | |
| OPPENHEIMER & CO INC |
13F
|
Company |
0.2%
|
46,500
|
$438,030 | — | 31 Dec 2022 | |
| Aristides Capital LLC |
13F
|
Company |
0.2%
|
46,167
|
$434,893 | — | 31 Dec 2022 | |
| LPL Financial LLC |
13F
|
Company |
0.18%
|
41,553
|
$391,429 | — | 31 Dec 2022 | |
| TRUIST FINANCIAL CORP |
13F
|
Company |
0.17%
|
39,092
|
$368,245 | — | 31 Dec 2022 | |
| Raymond James Financial Services Advisors, Inc. |
13F
|
Company |
0.16%
|
36,390
|
$342,794 | — | 31 Dec 2022 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.15%
|
35,826
|
$337,000 | — | 31 Dec 2022 | |
| Matisse Capital |
13F
|
Company |
0.13%
|
31,288
|
$294,733 | — | 31 Dec 2022 | |
| Capital Investment Advisors, LLC |
13F
|
Company |
0.12%
|
26,800
|
$252,000 | — | 31 Dec 2022 | |
| HighTower Advisors, LLC |
13F
|
Company |
0.07%
|
16,429
|
$134,000 | — | 31 Dec 2022 | |
| NATIONS FINANCIAL GROUP INC, /IA/ /ADV |
13F
|
Company |
0.06%
|
13,484
|
$127,019 | — | 31 Dec 2022 | |
| WEDBUSH SECURITIES INC |
13F
|
Company |
0.06%
|
13,010
|
$123,000 | — | 31 Dec 2022 | |
| Koshinski Asset Management, Inc. |
13F
|
Company |
0.05%
|
11,555
|
$108,847 | — | 31 Dec 2022 | |
| Moors & Cabot, Inc. |
13F
|
Company |
0.04%
|
10,000
|
$94,200 | — | 31 Dec 2022 | |
| Advisory Services Network, LLC |
13F
|
Company |
0.02%
|
5,552
|
$52,300 | — | 31 Dec 2022 | |
| CoreCap Advisors, LLC |
13F
|
Company |
0.02%
|
5,385
|
$50,727 | — | 31 Dec 2022 | |
| IFP Advisors, Inc |
13F
|
Company |
0.01%
|
1,832
|
$27,000 | — | 31 Dec 2022 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.01%
|
1,410
|
$13,282 | — | 31 Dec 2022 | |
| Retirement Group, LLC |
13F
|
Company |
0%
|
605
|
$16,000 | — | 31 Dec 2022 | |
| JPMORGAN CHASE & CO |
13F
|
Company |
0%
|
571
|
$5,000 | — | 31 Dec 2022 | |
| CWM, LLC |
13F
|
Company |
0%
|
377
|
$4,000 | — | 31 Dec 2022 | |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO |
13F
|
Company |
0%
|
340
|
$3,203 | — | 31 Dec 2022 | |
| BESSEMER GROUP INC |
13F
|
Company |
0%
|
300
|
$3,000 | — | 31 Dec 2022 | |
| INSTITUTIONAL & FAMILY ASSET MANAGEMENT, LLC |
13F
|
Company |
0%
|
256
|
$2,414 | — | 31 Dec 2022 | |
| HARBOUR INVESTMENTS, INC. |
13F
|
Company |
0%
|
186
|
$1,754 | — | 31 Dec 2022 | |
| MONEY CONCEPTS CAPITAL CORP |
13F
|
Company |
0%
|
86
|
$810 | — | 31 Dec 2022 | |
| Dr. Robert Froehlich |
3/4/5
|
Director |
—
class O/S missing
|
2,024
|
$19,774 | — | 05 Dec 2022 | |
| Stephanie Vitiello |
3/4/5
|
Chief Compliance Officer |
—
class O/S missing
|
869
|
$8,490 | — | 13 Nov 2021 |
Institutional Holders of HIGHLAND GLOBAL ALLOCATION FUND - Common Shares (HGLB) as of Q1 2023
As of 31 Mar 2023,
HIGHLAND GLOBAL ALLOCATION FUND - Common Shares (HGLB) was held by
41 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
4,600,871 shares.
The largest 10 holders included
Atlas Wealth LLC, MORGAN STANLEY, ADVISOR GROUP HOLDINGS, INC., Shaker Financial Services, LLC, NWF Advisory Services Inc., Cetera Advisor Networks LLC, LPL Financial LLC, Quantedge Capital Pte Ltd, WELLS FARGO & COMPANY/MN, and Sovereign Financial Group, Inc..
This page lists
41
institutional shareholders reporting positions in this security
for the Q1 2023 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q1 2023 vs Q4 2022 Across Filers
Q4 2022 holders
39
Q1 2023 holders
41
Holder diff
2
| Investor | Q4 2022 Shares | Q1 2023 Shares | Share Diff | Share Chg % | Q4 2022 Value $ | Q1 2023 Value $ | Value Diff $ | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.
An asterisk sign (*) next to the price indicates that the price is likely invalid.