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HFRO

Highland Opportunities and Income Fund
HFRO

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$117M +$116M +7,527,774 New
UCFA
2
United Capital Financial Advisors
Texas
$40.4M +$40M +2,604,942 New
BCIM
3
Burford Capital Investment Management
Illinois
$31.3M +$31M +2,018,762 New
Wells Fargo
4
Wells Fargo
California
$28.1M +$27.9M +1,815,119 New
RJA
5
Raymond James & Associates
Florida
$24.4M +$24.2M +1,575,584 New
RCM
6
Rivernorth Capital Management
Florida
$19.7M +$19.5M +1,271,587 New
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$13.4M +$13.2M +861,482 New
ICM
8
Ionic Capital Management
New York
$12.9M +$12.8M +832,072 New
Cambridge Investment Research Advisors
9
Cambridge Investment Research Advisors
Iowa
$10.7M +$10.6M +687,349 New
SCM
10
Stonehill Capital Management
New York
$10.1M +$9.98M +649,735 New
FAAS
11
First Allied Advisory Services
California
$9.71M +$9.62M +626,583 New
AWA
12
Arete Wealth Advisors
Illinois
$9.29M +$9.21M +599,640 New
LPL Financial
13
LPL Financial
California
$4.9M +$4.85M +315,863 New
GWM
14
Geneos Wealth Management
Colorado
$4.72M +$4.91M +319,891 New
AG
15
Advisor Group
Arizona
$3.91M +$3.88M +252,470 New
BRWA
16
B. Riley Wealth Advisors
Florida
$2.59M +$2.56M +166,828 New
ASN
17
Advisory Services Network
Georgia
$2.18M +$2.16M +140,748 New
COLIM
18
City of London Investment Management
United Kingdom
$1.9M +$1.88M +122,477 New
RJFSA
19
Raymond James Financial Services Advisors
Florida
$1.66M +$1.64M +106,835 New
CAN
20
Cetera Advisor Networks
California
$1.62M +$1.6M +104,406 New
FA
21
FDx Advisors
Illinois
$1.45M +$1.43M +93,323 New
PWPS
22
Pinnacle Wealth Planning Services
Ohio
$1.22M +$1.21M +78,756 New
LTFS
23
Ladenburg Thalmann Financial Services
Florida
$1.14M +$1.13M +73,768 New
UFM
24
Ursa Fund Management
California
$1.08M +$1.07M +70,000 New
HCMT
25
Highland Capital Management (Texas)
Texas
$1.01M +$998K +64,998 New
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