Comparable stake leader
RAYMOND JAMES & ASSOCIATES
SEC ownership of HIGHLAND GLOBAL ALLOCATION FUND
Top holders, 13D/G large-stake signals, insider positions, and transaction flow tied to CIK 0001622148.
Disclosed value leader
RAYMOND JAMES & ASSOCIATES
Comparable rows
39/42
Latest evidence
31 Mar 2026
- Public ticker
- HGLB on NYSE
- Parsed ownership sources
-
13D/G, 13F, and 3/4/5
Source: Parsed SEC ownership filingsUse: Compare filing families carefully
- Largest SEC-reported holder
-
RAYMOND JAMES & ASSOCIATES
Ranking: Comparable ownership first, then disclosed value
- Comparable ownership rows
-
39 of 42
Meaning: Rows with safely comparable ownership %
- Latest 13D/G holder
-
RAYMOND JAMES & ASSOCIATES
Source: Latest parsed Schedule 13D/G stake
- Latest parsed ownership date
-
31 Mar 2026
Freshness: Most recent filing date in this holder set
- Issuer CIK
- 0001622148
- Issuer location
- Dallas, TX
Ownership snapshot
CIK-linked ownership evidence from parsed SEC filings.
3 signals
Issuer
Names, identifiers, and filing context for this profile.
2 identity fields
Ownership snapshot
Top shareholders of HIGHLAND GLOBAL ALLOCATION FUND (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Start with comparable ownership when available, then verify the linked 13F, 13D/G, or 3/4/5 evidence.
Comparable stake leader
RAYMOND JAMES & ASSOCIATES
Disclosed value leader
RAYMOND JAMES & ASSOCIATES
Comparable rows
39/42
Latest evidence
31 Mar 2026
13D/G
13F
3/4/5
Lead comparable stake: 10%
3 rows are not safely comparable across share classes.
13D/G row: RAYMOND JAMES & ASSOCIATES
Showing 1-8 of 42 holder rows.
Quick read
RAYMOND JAMES & ASSOCIATES leads the comparable SEC ownership view at 10%.
39 of 42 rows have a safely comparable ownership percentage. Use this as a filing-backed starting point, then open the detailed table for source links, reporting role, position value, share count, and filing date.
Open SEC evidence
Opens RAYMOND JAMES & ASSOCIATES's linked filing trail.
Comparable ownership
Top 5
RAYMOND JAMES & ASSOCIATES
10%
RAYMOND JAMES FINANCIAL INC
10%
LPL Financial LLC
3.7%
MORGAN STANLEY
3.3%
Matisse Capital
1.9%
Ownership % is shown only when SEC disclosures are safely comparable across share classes.
Detailed SEC evidence table Showing 1-8 of 42 holder rows
| Holder | Evidence | Ownership % | Position | 12M Net Δ | As of |
|---|---|---|---|---|---|
| RAYMOND JAMES & ASSOCIATES |
13D/G
|
10%
|
$18,897,762
2,353,161 shares
|
+$821,768 | 31 Mar 2026 |
| RAYMOND JAMES FINANCIAL INC |
13F
Company
|
10%
|
$18,895,879
2,353,161 shares
|
— | 31 Mar 2026 |
| LPL Financial LLC |
13F
Company
|
3.7%
|
$6,976,277
868,777 shares
|
— | 31 Mar 2026 |
| MORGAN STANLEY |
13F
Company
|
3.3%
|
$6,137,257
764,290 shares
|
— | 31 Mar 2026 |
| Matisse Capital |
13F
Company
|
1.9%
|
$3,557,290
443,000 shares
|
— | 31 Mar 2026 |
| OSAIC HOLDINGS, INC. |
13F
Company
|
1.4%
|
$2,610,151
325,051 shares
|
— | 31 Mar 2026 |
| NWF Advisory Services Inc. |
13F
Company
|
1.1%
|
$2,123,783
264,481 shares
|
— | 31 Mar 2026 |
| NewEdge Advisors, LLC |
13F
Company
|
0.91%
|
$1,697,595
211,407 shares
|
— | 31 Mar 2026 |
How to read this table
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.
Forms 3/4/5 flow
Insider trading overview
Insider buy and sell flow is broadly balanced over the last 12 months. No Buy or Sell transactions have been reported since 07 Jul 2025.
Buys
$0
Insiders: 0
Sells
$0
Insiders: 0
Net
$0
Shares: 0
Window
Last 12 months
4 rolling buckets
Buy value
Sell value
Shares: 0
Shares: 0
| Window (months) | Buy shares | Sell shares | Buy value | Sell value | Net value |
|---|---|---|---|---|---|
| 0-3 | 0 | 0 | $0 | $0 | $0 |
| 3-6 | 0 | 0 | $0 | $0 | $0 |
| 6-9 | 0 | 0 | $0 | $0 | $0 |
| 9-12 | 0 | 0 | $0 | $0 | $0 |
Reporting owners
Insider holders from Forms 3/4/5
Showing 1-5 of 5 reporting-owner rows connected to HIGHLAND GLOBAL ALLOCATION FUND. Open a relationship link for the CIK-to-CIK filing trail.
Rows
5
Largest Forms 3/4/5 holder
Ethan Powell
Net 12M change
$0
Latest report
28 Jun 2024
| Name | Relationship | Holdings Value | Past Year Net Change | Change % | Valuation | Report Date |
|---|---|---|---|---|---|---|
| Ethan Powell | Director | $50,423 | Filing P/S | 28 Jun 2024 | ||
| Dr. Robert Froehlich | Director | $19,774 | Filing P/S | 05 Dec 2022 | ||
| Stephanie Vitiello | Chief Compliance Officer | $8,490 | Mixed | 13 Nov 2021 | ||
| Pamela B. Corrie | Director | Mixed | 01 Jan 2022 | |||
| Dorri McWhorter | Director | Mixed | 01 May 2022 |
Recent insider transactions for HIGHLAND GLOBAL ALLOCATION FUND
Showing up to 300 recent insider transactions from the last 12 months.
| Insider | Symbol | Class | Transaction | % | SEC-reported value | SEC-reported price | Shares | Shares owned | Date | Ownership |
|---|---|---|---|---|---|---|---|---|---|---|
| No insider transactions were found in the last 12 months for this issuer. | ||||||||||
* marks a reported price that did not pass the local price check.