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Hercules Capital
HTGC

Overview Fund Activity

264 hedge funds and large institutions have $479M invested in Hercules Capital in 2023 Q3 according to their latest regulatory filings, with 36 funds opening new positions, 94 increasing their positions, 68 reducing their positions, and 18 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
264
Holders Change
+17
Holders Change %
+6.88%
% of All Funds
4.21%
Holding in Top 10
6
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+20%
% of All Funds
0.1%
New
36
Increased
94
Reduced
68
Closed
18
Calls
$22M
Puts
$12.7M
Net Calls
+$9.3M
Net Calls Change
+$6.21M

Top Buyers

1
Marshall Wace
1
Marshall Wace
United Kingdom
$20M
2
MCM
2
McKinley Capital Management
Alaska
$5.73M
3
GL
3
Graypoint LLC
New York
$2.07M
4
Royal Bank of Canada
4
Royal Bank of Canada
Ontario, Canada
$8.72M
5
VanEck Associates
5
VanEck Associates
New York
$33.4M

Top Sellers

1
Connor, Clark & Lunn Investment Management (CC&L)
1
Connor, Clark & Lunn Investment Management (CC&L)
British Columbia, Canada
$0
2
Citadel Advisors
2
Citadel Advisors
Florida
$1.14M
3
BlackRock
3
BlackRock
New York
$10.5M
4
BTCPP
4
Border to Coast Pensions Partnership
United Kingdom
$6.2M
5
SSA
5
Schonfeld Strategic Advisors
New York
$544K
Name Holding Trade Value Shares
Change 		Shares
Change %
CA
151
Continuum Advisory
Idaho
$299K -$213 -13 -0.1%
PA
152
Parallel Advisors
California
$299K -$44.4K -2,704 -13%
IA
153
Inspire Advisors
Idaho
$298K -$10.8K -660 -4%
SIA
154
Sit Investment Associates
Minnesota
$296K – – –
GLA
155
Good Life Advisors
Pennsylvania
$294K – – –
IA
156
IFP Advisors
Florida
$291K -$22.5K -1,370 -7%
CG
157
Caprock Group
Idaho
$279K – – –
FFP
158
FourThought Financial Partners
Florida
$275K -$32.9K -2,005 -11%
Mercer Global Advisors
159
Mercer Global Advisors
Colorado
$273K +$273K +16,643 New
PWP
160
Principle Wealth Partners
Connecticut
$269K -$46K -2,800 -15%
Mackenzie Financial
161
Mackenzie Financial
Ontario, Canada
$268K -$566K -35,942 -68%
SFC
162
Strategic Financial Concepts
Texas
$268K – – –
KAS
163
Kestra Advisory Services
Texas
$261K -$6.4K -390 -2%
PI
164
PFG Investments
New York
$259K +$17.9K +1,091 +7%
RWB
165
RMR Wealth Builders
New Jersey
$254K +$12.6K +770 +5%
WS
166
Wedbush Securities
California
$254K +$17.6K +1,071 +7%
CFGS
167
Concourse Financial Group Securities
Alabama
$251K +$4.19K +255 +2%
RFA
168
Register Financial Advisors
Georgia
$249K +$805 +49 +0.3%
BRWA
169
B. Riley Wealth Advisors
Florida
$249K -$32.3K -1,966 -11%
PCM
170
Prelude Capital Management
New York
$247K +$247K +15,065 New
OR
171
Olympiad Research
Connecticut
$247K +$247K +15,065 New
Corient Private Wealth
172
Corient Private Wealth
Florida
$247K +$247K +15,014 New
AFO
173
Allie Family Office
Florida
$246K – – –
LNWWM
174
Laird Norton Wetherby Wealth Management
California
$236K – – –
Creative Planning
175
Creative Planning
Kansas
$234K -$213K -12,943 -48%
5 6
7
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