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HGLB

Highland Global Allocation Fund
HGLB

Name Holding Trade Value Shares
Change 		Change in
Stake
Royal Bank of Canada
1
Royal Bank of Canada
Ontario, Canada
$11.4M +$11.4M +880,424 New
Morgan Stanley
2
Morgan Stanley
New York
$10.4M +$10.4M +802,460 New
Wells Fargo
3
Wells Fargo
California
$8.73M +$8.77M +675,399 New
Cambridge Investment Research Advisors
4
Cambridge Investment Research Advisors
Iowa
$5.16M +$5.18M +399,352 New
COLIM
5
City of London Investment Management
United Kingdom
$2.55M +$2.55M +196,572 New
HCMT
6
Highland Capital Management (Texas)
Texas
$2.5M +$2.52M +193,849 New
AAS
7
Avantax Advisory Services
Texas
$1.7M +$1.71M +131,855 New
RJFSA
8
Raymond James Financial Services Advisors
Florida
$1.06M +$1.07M +82,142 New
MC
9
Matisse Capital
Oregon
$974K +$979K +75,398 New
AG
10
Advisor Group
Arizona
$973K +$977K +75,281 New
LPL Financial
11
LPL Financial
California
$939K +$944K +72,689 New
CAN
12
Cetera Advisor Networks
California
$881K +$884K +68,111 New
RJA
13
Raymond James & Associates
Florida
$573K +$576K +44,364 New
Commonwealth Equity Services
14
Commonwealth Equity Services
Massachusetts
$521K +$524K +40,353 New
FAAS
15
First Allied Advisory Services
California
$489K +$490K +37,726 New
GSBTD
16
Glenview State Bank Trust Department
Illinois
$461K +$463K +35,661 New
MML Investors Services
17
MML Investors Services
Massachusetts
$426K +$428K +32,949 New
BRWM
18
B. Riley Wealth Management
Tennessee
$399K +$401K +30,891 New
SPIA
19
Steward Partners Investment Advisory
New York
$360K +$362K +27,909 New
RCM
20
Rivernorth Capital Management
Florida
$251K +$252K +19,401 New
B
21
Bridgeworth
Alabama
$249K +$251K +19,320 New
CA
22
Cetera Advisors
Colorado
$238K +$239K +18,448 New
Envestnet Asset Management
23
Envestnet Asset Management
Illinois
$218K +$219K +16,891 New
Citadel Advisors
24
Citadel Advisors
Florida
$201K +$202K +15,543 New
SWP
25
Stratos Wealth Partners
Ohio
$183K +$184K +14,140 New
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