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HPS

John Hancock Preferred Income Fund III
HPS

Name Holding Trade Value Shares
Change 		Change in
Stake
UBS Group
1
UBS Group
Switzerland
$17.5M +$844K +57,965 +5%
Morgan Stanley
2
Morgan Stanley
New York
$11M -$109K -7,499 -1%
LPL Financial
3
LPL Financial
California
$4.5M +$282K +19,366 +7%
Invesco
4
Invesco
Georgia
$3.06M -$124K -8,549 -4%
Ameriprise
5
Ameriprise
Minnesota
$2.4M +$169K +11,632 +7%
Cetera Investment Advisers
6
Cetera Investment Advisers
Illinois
$2.37M -$36.2K -2,486 -1%
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$2.35M +$48.4K +3,323 +2%
Bank of America
8
Bank of America
North Carolina
$2.09M +$961 +66 +0%
GC
9
Guggenheim Capital
Illinois
$1.61M -$784K -53,886 -32%
Fiera Capital (Canada)
10
Fiera Capital (Canada)
Quebec, Canada
$1.58M -$70.6K -4,849 -4%
PVI
11
Pine Valley Investments
New Jersey
$886K -$19.9K -1,366 -2%
Cohen & Steers
12
Cohen & Steers
New York
$872K +$463K +31,787 +108%
AWM
13
Activest Wealth Management
Florida
$834K -$25.7K -1,764 -3%
Commonwealth Equity Services
14
Commonwealth Equity Services
Massachusetts
$742K +$55.2K +3,794 +8%
SFS
15
Sowell Financial Services
Arkansas
$685K +$46.5K +3,192 +7%
Osaic Holdings
16
Osaic Holdings
Arizona
$677K +$95.6K +6,572 +16%
Wells Fargo
17
Wells Fargo
California
$576K -$3.84K -264 -0.6%
LOPW
18
Live Oak Private Wealth
North Carolina
$550K – – –
WWM
19
Western Wealth Management
Colorado
$459K +$469K +32,208 New
PTC
20
Philadelphia Trust Company
Pennsylvania
$396K -$202K -13,880 -33%
Wealth Enhancement Advisory Services
21
Wealth Enhancement Advisory Services
Minnesota
$383K – – –
AWS
22
Arkfeld Wealth Strategies
Nebraska
$368K +$12.3K +844 +3%
PRTG
23
Post Resch Tallon Group
New York
$365K +$378 +26 +0.1%
Janney Montgomery Scott
24
Janney Montgomery Scott
Pennsylvania
$316K +$28.9K +1,987 +10%
GIA
25
Gladstone Institutional Advisory
Florida
$295K +$301K +20,706 New
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