Principal Securities’s Highland Opportunities and Income Fund HFRO Stock Holding History

Principal Securities’s Portfolio HFRO Stock Details HFRO Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2025 Q3	–	Sell	-168	Closed	-$874	–	3784
2025 Q2	$874	Hold	168	–	–	﹤0.01%	3373
2025 Q1	$872	Hold	168	–	–	﹤0.01%	3242
2024 Q4	$872	Sell	168 -20	-11%	-$113	﹤0.01%	3235
2024 Q3	$1.15K	Buy	188 +80	+74%	+$487	﹤0.01%	3104
2024 Q2	$675	Sell	108 -2,000	-95%	-$12.8K	﹤0.01%	3146
2024 Q1	$14.8K	Sell	2,108 -2,000	-49%	-$13.5K	﹤0.01%	2158
2023 Q4	$31.6K	Buy	+4,108	New	+$32.5K	﹤0.01%	1692

Other funds holding HFRO

SCM

Saba Capital Management New York $3.62B AUM 13% 1-Year Est. Return

Raymond James Financial St Petersburg, Florida $324B AUM 22.36% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

NAM

Nexpoint Asset Management Dallas, Texas $1.49B AUM 61.08% 1-Year Est. Return

TJHA

Thomas J. Herzfeld Advisors Miami Beach, Florida $294M AUM 2.62% 1-Year Est. Return

Envestnet Asset Management Chicago, Illinois $374B AUM 17.66% 1-Year Est. Return

Invesco Atlanta, Georgia $1.02T AUM 30.18% 1-Year Est. Return

GWM

Geneos Wealth Management Englewood, Colorado $4.31B AUM 18.36% 1-Year Est. Return

Cambridge Investment Research Advisors Fairfield, Iowa $38.8B AUM 21.88% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

Principal Securities's HFRO Position: Q3 2025 in Review

Principal Securities sold out of Highland Opportunities and Income Fund (HFRO) in Q3 2025, closing a stake of 168 shares — an estimated $874 sold.

Principal Securities first reported a position in HFRO in Q4 2023 and held it in 7 quarters. The position peaked at $31.6K in Q4 2023. 94 funds tracked by Wall St. Rank hold HFRO as of Q3 2025.

Principal Securities reported no remaining Highland Opportunities and Income Fund position as of Q3 2025 after selling out during the quarter.
Principal Securities sold 168 Highland Opportunities and Income Fund shares in Q3 2025, an estimated $874.
Principal Securities first reported a position in Highland Opportunities and Income Fund in Q4 2023 and held it in 7 quarters.
Principal Securities's Highland Opportunities and Income Fund position peaked at $31.6K in Q4 2023.
94 funds tracked by Wall St. Rank held Highland Opportunities and Income Fund as of Q3 2025.

Based on Principal Securities's 13F filing for Q3 2025, filed 12 Nov 2025.