H & Q HEALTHCARE INVESTORS - 404052102
Detailed investor-level table based on 13F positions.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MORGAN STANLEY | History | No change | 2,135,620 | 58,109 | 0.02% | 0.02% | 1 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| Advisors Asset Management, Inc. | History | No change | 534,271 | 14,538 | 0.22% | 0.22% | 2 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| NEEDHAM INVESTMENT MANAGEMENT LLC | History | No change | 355,855 | 9,683 | 2.05% | 2.05% | 3 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| GOLDMAN SACHS GROUP INC | History | No change | 275,457 | 7,495 | 0.0% | 0.0% | 4 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| WELLS FARGO & COMPANY/MN | History | No change | 251,041 | 6,830 | 0.0% | 0.0% | 5 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| HSBC HOLDINGS PLC | History | No change | 218,425 | 5,943 | 0.01% | 0.01% | 6 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| ROYAL BANK OF CANADA | History | No change | 152,581 | 4,152 | 0.0% | 0.0% | 7 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| LPL Financial LLC | History | Reduced | 154,060 | 4,061 | 0.02% | 0.03% | 8 | -44,745 | -22.51% | Q2 2014 | Aug 05, 2014 |
| UBS AG | History | No change | 101,557 | 2,763 | 0.0% | 0.0% | 9 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| United Asset Strategies, Inc. | History | No change | 78,180 | 2,127 | 1.21% | 1.21% | 10 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC /TX | History | No change | 67,616 | 1,840 | 0.56% | 0.56% | 11 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| TFS CAPITAL LLC | History | New | 60,618 | 1,598 | 0.13% | — | 12 | +60,618 | New | Q2 2014 | Jul 21, 2014 |
| NORTH STAR ASSET MANAGEMENT INC | History | Added to | 50,656 | 1,335 | 0.16% | 0.1% | 13 | +19,762 | 63.97% | Q2 2014 | Jul 30, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | No change | 42,148 | 1,147 | 0.03% | 0.03% | 14 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Janney Montgomery Scott LLC | History | No change | 41,446 | 1,127 | 0.03% | 0.03% | 15 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| AMERICAN INTERNATIONAL GROUP INC | History | Added to | 42,082 | 1,109 | 0.0% | 0.0% | 16 | +15,430 | 57.89% | Q2 2014 | Aug 08, 2014 |
| Yakira Capital Management, Inc. | History | No change | 38,512 | 1,048 | 0.94% | 0.94% | 17 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | History | Added to | 30,329 | 799 | 0.48% | 0.04% | 18 | +28,352 | 1434.09% | Q2 2014 | Jul 29, 2014 |
| OPPENHEIMER & CO INC | History | No change | 24,197 | 658 | 0.02% | 0.02% | 19 | 0 | 0.0% | Q1 2014 | May 09, 2014 |
| Commonwealth Equity Services, Inc | History | Added to | 24,278 | 640 | 0.01% | 0.01% | 22 | +3,942 | 19.38% | Q2 2014 | Jul 23, 2014 |
| BANK OF AMERICA CORP /DE/ | History | No change | 23,540 | 640 | 0.0% | 0.0% | 20 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| RAYMOND JAMES & ASSOCIATES | History | No change | 23,529 | 640 | 0.0% | 0.0% | 21 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| FIRST TRUST ADVISORS LP | History | Reduced | 23,132 | 610 | 0.0% | 0.01% | 23 | -44,732 | -65.91% | Q2 2014 | Aug 11, 2014 |
| National Planning Corp | History | Reduced | 22,782 | 601 | 0.05% | 0.06% | 24 | -3,549 | -13.48% | Q2 2014 | Jul 16, 2014 |
| SIT INVESTMENT ASSOCIATES INC | History | No change | 21,400 | 582 | 0.01% | 0.01% | 25 | 0 | 0.0% | Q1 2014 | Apr 24, 2014 |
| STIFEL FINANCIAL CORP | History | No change | 18,898 | 514 | 0.0% | 0.0% | 26 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Cetera Advisor Networks LLC | History | No change | 17,416 | 474 | 0.03% | 0.03% | 27 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| ParenteBeard Wealth Management, LLC | History | Reduced | 17,598 | 464 | 0.2% | 0.34% | 28 | -7,766 | -30.62% | Q2 2014 | Jul 23, 2014 |
| CARRET ASSET MANAGEMENT, LLC | History | No change | 16,400 | 446 | 0.09% | 0.09% | 29 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| HighTower Advisors, LLC | History | No change | 16,017 | 436 | 0.01% | 0.01% | 30 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| CREDIT SUISSE AG/ | History | New | 15,854 | 418 | 0.0% | — | 31 | +15,854 | New | Q2 2014 | Aug 11, 2014 |
| Pennsylvania Trust Co | History | New | 15,825 | 417 | 0.03% | — | 32 | +15,825 | New | Q2 2014 | Jul 08, 2014 |
| Bartlett & Co. LLC | History | No change | 14,972 | 395 | 0.02% | 0.02% | 33 | 0 | 0.0% | Q2 2014 | Aug 01, 2014 |
| DAVENPORT & Co LLC | History | Added to | 13,148 | 346 | 0.01% | 0.01% | 34 | +2,148 | 19.53% | Q2 2014 | Jul 25, 2014 |
| WESTPORT RESOURCES MANAGEMENT INC | History | Added to | 11,774 | 310 | 0.08% | 0.09% | 35 | +235 | 2.04% | Q2 2014 | Jul 31, 2014 |
| SeaBridge Investment Advisors LLC | History | Added to | 10,496 | 277 | 0.06% | 0.04% | 36 | +4,196 | 66.6% | Q2 2014 | Aug 06, 2014 |
| BNP PARIBAS ARBITRAGE, SA | History | No change | 9,987 | 265 | 0.0% | 0.0% | 37 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| AMERIPRISE FINANCIAL INC | History | No change | 9,571 | 260 | 0.0% | 0.0% | 38 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| RAYMOND JAMES TRUST N.A. | History | No change | 8,635 | 228 | 0.03% | 0.03% | 39 | 0 | 0.0% | Q2 2014 | Aug 04, 2014 |
| US BANCORP \DE\ | History | No change | 5,000 | 136 | 0.0% | 0.0% | 40 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| Creative Planning | History | No change | 4,465 | 122 | 0.0% | 0.0% | 41 | 0 | 0.0% | Q1 2014 | Apr 11, 2014 |
| BROWN BROTHERS HARRIMAN & CO | History | No change | 4,000 | 109 | 0.0% | 0.0% | 42 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| BANK OF MONTREAL /CAN/ | History | No change | 2,146 | 58 | 0.0% | 0.0% | 43 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| CAPITAL GUARDIAN TRUST CO | History | No change | 2,105 | 57 | 0.0% | 0.0% | 44 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 2,122 | 56 | 0.0% | 0.0% | 45 | 0 | 0.0% | Q2 2014 | Aug 08, 2014 |
| Tower Research Capital LLC | History | No change | 2,029 | 55 | 0.01% | 0.01% | 46 | 0 | 0.0% | Q1 2014 | May 02, 2014 |
| CENTRAL TRUST & INVESTMENT CO | History | No change | 1,870 | 49 | 0.0% | 0.0% | 47 | 0 | 0.0% | Q2 2014 | Jul 09, 2014 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | Added to | 1,654 | 44 | 0.0% | 0.0% | 48 | +894 | 117.63% | Q2 2014 | Aug 05, 2014 |
| Blume Capital Management, Inc. | History | No change | 1,500 | 40 | 0.03% | 0.03% | 49 | 0 | 0.0% | Q2 2014 | Jul 29, 2014 |
| People's United Financial, Inc. | History | No change | 1,144 | 31 | 0.0% | 0.0% | 50 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| GLENMEDE TRUST CO NA | History | No change | 1,047 | 28 | 0.0% | 0.0% | 51 | 0 | 0.0% | Q1 2014 | May 07, 2014 |
| MetLife Securities, Inc | History | Added to | 1,033 | 27 | 0.0% | 0.0% | 53 | +1,007 | 3873.08% | Q2 2014 | Aug 04, 2014 |
| MUFG Americas Holdings Corp | History | Added to | 1,035 | 27 | 0.0% | 0.0% | 52 | +20 | 1.97% | Q2 2014 | Aug 05, 2014 |
| DAVIDSON D A & CO | History | New | 900 | 23 | 0.0% | — | 55 | +900 | New | Q2 2014 | Jul 29, 2014 |
| MCF Advisors LLC | History | No change | 860 | 23 | 0.01% | 0.01% | 54 | 0 | 0.0% | Q2 2014 | Jul 29, 2014 |
| Manchester Capital Management LLC | History | New | 850 | 22 | 0.0% | — | 56 | +850 | New | Q2 2014 | Jul 31, 2014 |
| Legg Mason Investment Counsel, LLC | History | No change | 726 | 20 | 0.0% | 0.0% | 57 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| WFG Advisors, LP | History | No change | 645 | 18 | 0.0% | 0.0% | 58 | 0 | 0.0% | Q1 2014 | Apr 24, 2014 |
| THOMPSON DAVIS & CO., INC. | History | No change | 509 | 14 | 0.02% | 0.02% | 59 | 0 | 0.0% | Q1 2014 | May 09, 2014 |
| Highlander Capital Management, LLC | History | Added to | 289 | 7 | 0.01% | 0.01% | 60 | +5 | 1.76% | Q2 2014 | Aug 11, 2014 |
| CITIGROUP INC | History | No change | 222 | 6 | 0.0% | 0.0% | 61 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Winslow, Evans & Crocker, Inc. | History | Added to | 75 | 1 | 0.0% | 0.0% | 63 | +1 | 1.35% | Q2 2014 | Jul 16, 2014 |
| Sanctuary Wealth Advisors, LLC | History | No change | 19 | 1 | 0.0% | 0.0% | 62 | 0 | 0.0% | Q2 2014 | Jul 29, 2014 |
| DEUTSCHE BANK AG\ | History | No change | 1 | 0 | — | — | — | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| BESSEMER GROUP INC | History | No change | 13 | 0 | — | — | — | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| Winch Advisory Services, LLC | History | No change | 12 | 0 | — | — | — | 0 | 0.0% | Q1 2014 | May 14, 2014 |