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HFRO

Highland Opportunities and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$61.5M -$17.5M -1,192,424 -20%
RCM
2
Rivernorth Capital Management
Florida
$37.4M +$19.2M +1,307,265 +78%
UCFA
3
United Capital Financial Advisors
Texas
$31.7M +$122K +8,325 +0.3%
RJA
4
Raymond James & Associates
Florida
$23.2M +$3.44M +234,066 +15%
BCIM
5
Burford Capital Investment Management
Illinois
$19.6M
UFM
6
Ursa Fund Management
California
$17.5M +$7.58M +515,265 +60%
BHMP
7
Bardin Hill Management Partners
New York
$17.4M -$1.16M -78,877 -5%
BlackRock
8
BlackRock
New York
$16M +$1.17M +79,567 +7%
Wells Fargo
9
Wells Fargo
California
$15.5M -$1.47M -99,658 -8%
LPL Financial
10
LPL Financial
California
$13.2M +$9.74M +662,136 +178%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$12.8M +$552K +37,535 +4%
TJHA
12
Thomas J. Herzfeld Advisors
Florida
$10.6M +$12.1M +819,920 +8,855%
M
13
MRCap
New York
$10.5M +$12.1M +819,140 New
ICM
14
Ionic Capital Management
New York
$9.72M -$304K -20,672 -3%
COLIM
15
City of London Investment Management
United Kingdom
$9M +$6.4M +435,304 +162%
AWA
16
Arete Wealth Advisors
Illinois
$8.12M -$548K -37,226 -6%
IWM
17
IHT Wealth Management
Illinois
$5.16M +$5.93M +403,317 New
MA
18
MONECO Advisors
Connecticut
$4.94M +$5.68M +385,822 New
Cambridge Investment Research Advisors
19
Cambridge Investment Research Advisors
Iowa
$4.31M -$6.28M -426,901 -56%
GWM
20
Geneos Wealth Management
Colorado
$4.2M +$187K +12,709 +4%
VAS
21
VR Advisory Services
Cayman Islands
$3.84M
AG
22
Advisor Group
Arizona
$3.27M -$941K -63,969 -20%
AC
23
Almitas Capital
California
$2.85M +$3.28M +222,929 New
CAN
24
Cetera Advisor Networks
California
$2.83M +$92K +6,251 +3%
SPC
25
Sigma Planning Corp
Michigan
$2.56M +$90.3K +6,137 +3%