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Highland Opportunities and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
ADL
101
Asset Dedication LLC
California
$2.96K – – –
WA
102
WPG Advisers
Maryland
$2.39K +$2.61K +460 New
SIS
103
Sound Income Strategies
Florida
$1.98K – – –
CSC
104
Caldwell Sutter Capital
California
$1.48K – – –
Carson Wealth (CWM LLC)
105
Carson Wealth (CWM LLC)
Nebraska
$1K – – –
Principal Securities
106
Principal Securities
Iowa
$872 -$113 -20 -11%
MHIP
107
Mountain Hill Investment Partners
New Jersey
$587 +$640 +113 New
CMA
108
Cedar Mountain Advisors
Oregon
$426 – – –
MAI Capital Management
109
MAI Capital Management
Ohio
$307 +$334 +59 New
CoreCap Advisors
110
CoreCap Advisors
Michigan
$296 -$10.5K -1,850 -97%
Wells Fargo
111
Wells Fargo
California
$54 -$22.5K -3,969 -100%
CAS
112
Coppell Advisory Solutions
Texas
$42 – – –
AGM
113
Alpine Global Management
New York
– -$3.06M -500,000 Closed
NAS
114
NWF Advisory Services
California
– -$1.15M -187,400 Closed
IWP
115
Innova Wealth Partners
Pennsylvania
– -$509K -83,054 Closed
KAM
116
Knightsbridge Asset Management
California
– -$327K -53,393 Closed
Rockefeller Capital Management
117
Rockefeller Capital Management
New York
– -$219K -35,734 Closed
MA
118
MONECO Advisors
Connecticut
– -$162K -26,492 Closed
TNA
119
True North Advisors
Texas
– -$157K -25,578 Closed
PCMC
120
Private Capital Management (Colorado)
Colorado
– -$90.7K -14,800 Closed
Susquehanna International Group
121
Susquehanna International Group
Pennsylvania
– -$81.2K -13,252 Closed
BFA
122
Beacon Financial Advisory
Ohio
– -$80.2K -13,088 Closed
PNC Financial Services Group
123
PNC Financial Services Group
Pennsylvania
– -$69.5K -11,341 Closed