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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| LPL Financial LLC | History | Reduced | 154,060 | 4,061 | 0.02% | 0.03% | 1 | -44,745 | -22.51% | Q2 2014 | Aug 05, 2014 |
| TFS CAPITAL LLC | History | New | 60,618 | 1,598 | 0.13% | — | 2 | +60,618 | New | Q2 2014 | Jul 21, 2014 |
| NORTH STAR ASSET MANAGEMENT INC | History | Added to | 50,656 | 1,335 | 0.16% | 0.1% | 3 | +19,762 | 63.97% | Q2 2014 | Jul 30, 2014 |
| AMERICAN INTERNATIONAL GROUP INC | History | Added to | 42,082 | 1,109 | 0.0% | 0.0% | 4 | +15,430 | 57.89% | Q2 2014 | Aug 08, 2014 |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | History | Added to | 30,329 | 799 | 0.48% | 0.04% | 5 | +28,352 | 1434.09% | Q2 2014 | Jul 29, 2014 |
| Commonwealth Equity Services, Inc | History | Added to | 24,278 | 640 | 0.01% | 0.01% | 6 | +3,942 | 19.38% | Q2 2014 | Jul 23, 2014 |
| FIRST TRUST ADVISORS LP | History | Reduced | 23,132 | 610 | 0.0% | 0.01% | 7 | -44,732 | -65.91% | Q2 2014 | Aug 11, 2014 |
| National Planning Corp | History | Reduced | 22,782 | 601 | 0.05% | 0.06% | 8 | -3,549 | -13.48% | Q2 2014 | Jul 16, 2014 |
| ParenteBeard Wealth Management, LLC | History | Reduced | 17,598 | 464 | 0.2% | 0.34% | 9 | -7,766 | -30.62% | Q2 2014 | Jul 23, 2014 |
| CREDIT SUISSE AG/ | History | New | 15,854 | 418 | 0.0% | — | 10 | +15,854 | New | Q2 2014 | Aug 11, 2014 |
| Pennsylvania Trust Co | History | New | 15,825 | 417 | 0.03% | — | 11 | +15,825 | New | Q2 2014 | Jul 08, 2014 |
| Bartlett & Co. LLC | History | No change | 14,972 | 395 | 0.02% | 0.02% | 12 | 0 | 0.0% | Q2 2014 | Aug 01, 2014 |
| DAVENPORT & Co LLC | History | Added to | 13,148 | 346 | 0.01% | 0.01% | 13 | +2,148 | 19.53% | Q2 2014 | Jul 25, 2014 |
| WESTPORT RESOURCES MANAGEMENT INC | History | Added to | 11,774 | 310 | 0.08% | 0.09% | 14 | +235 | 2.04% | Q2 2014 | Jul 31, 2014 |
| SeaBridge Investment Advisors LLC | History | Added to | 10,496 | 277 | 0.06% | 0.04% | 15 | +4,196 | 66.6% | Q2 2014 | Aug 06, 2014 |
| RAYMOND JAMES TRUST N.A. | History | No change | 8,635 | 228 | 0.03% | 0.03% | 16 | 0 | 0.0% | Q2 2014 | Aug 04, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 2,122 | 56 | 0.0% | 0.0% | 17 | 0 | 0.0% | Q2 2014 | Aug 08, 2014 |
| CENTRAL TRUST & INVESTMENT CO | History | No change | 1,870 | 49 | 0.0% | 0.0% | 18 | 0 | 0.0% | Q2 2014 | Jul 09, 2014 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | Added to | 1,654 | 44 | 0.0% | 0.0% | 19 | +894 | 117.63% | Q2 2014 | Aug 05, 2014 |
| Blume Capital Management, Inc. | History | No change | 1,500 | 40 | 0.03% | 0.03% | 20 | 0 | 0.0% | Q2 2014 | Jul 29, 2014 |
| MetLife Securities, Inc | History | Added to | 1,033 | 27 | 0.0% | 0.0% | 22 | +1,007 | 3873.08% | Q2 2014 | Aug 04, 2014 |
| MUFG Americas Holdings Corp | History | Added to | 1,035 | 27 | 0.0% | 0.0% | 21 | +20 | 1.97% | Q2 2014 | Aug 05, 2014 |
| DAVIDSON D A & CO | History | New | 900 | 23 | 0.0% | — | 23 | +900 | New | Q2 2014 | Jul 29, 2014 |
| MCF Advisors LLC | History | No change | 860 | 23 | 0.01% | 0.01% | 24 | 0 | 0.0% | Q2 2014 | Jul 29, 2014 |
| Manchester Capital Management LLC | History | New | 850 | 22 | 0.0% | — | 25 | +850 | New | Q2 2014 | Jul 31, 2014 |
| Highlander Capital Management, LLC | History | Added to | 289 | 7 | 0.01% | 0.01% | 26 | +5 | 1.76% | Q2 2014 | Aug 11, 2014 |
| Winslow, Evans & Crocker, Inc. | History | Added to | 75 | 1 | 0.0% | 0.0% | 28 | +1 | 1.35% | Q2 2014 | Jul 16, 2014 |
| Sanctuary Wealth Advisors, LLC | History | No change | 19 | 1 | 0.0% | 0.0% | 27 | 0 | 0.0% | Q2 2014 | Jul 29, 2014 |
| MORGAN STANLEY | History | Closed out | 0 | 0 | — | 0.02% | — | -2,135,620 | -100.0% | Q1 2014 | May 13, 2014 |
| Advisors Asset Management, Inc. | History | Closed out | 0 | 0 | — | 0.22% | — | -534,271 | -100.0% | Q1 2014 | May 15, 2014 |
| NEEDHAM INVESTMENT MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 2.05% | — | -355,855 | -100.0% | Q1 2014 | May 15, 2014 |
| GOLDMAN SACHS GROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -275,457 | -100.0% | Q1 2014 | May 15, 2014 |
| WELLS FARGO & COMPANY/MN | History | Closed out | 0 | 0 | — | 0.0% | — | -251,041 | -100.0% | Q1 2014 | May 15, 2014 |
| HSBC HOLDINGS PLC | History | Closed out | 0 | 0 | — | 0.01% | — | -218,425 | -100.0% | Q1 2014 | May 14, 2014 |
| ROYAL BANK OF CANADA | History | Closed out | 0 | 0 | — | 0.0% | — | -152,581 | -100.0% | Q1 2014 | May 15, 2014 |
| UBS AG | History | Closed out | 0 | 0 | — | 0.0% | — | -101,557 | -100.0% | Q1 2014 | May 16, 2014 |
| United Asset Strategies, Inc. | History | Closed out | 0 | 0 | — | 1.21% | — | -78,180 | -100.0% | Q1 2014 | May 13, 2014 |
| FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC /TX | History | Closed out | 0 | 0 | — | 0.56% | — | -67,616 | -100.0% | Q1 2014 | May 13, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | Closed out | 0 | 0 | — | 0.03% | — | -42,148 | -100.0% | Q1 2014 | May 15, 2014 |
| Janney Montgomery Scott LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -41,446 | -100.0% | Q1 2014 | May 14, 2014 |
| Yakira Capital Management, Inc. | History | Closed out | 0 | 0 | — | 0.94% | — | -38,512 | -100.0% | Q1 2014 | May 16, 2014 |
| OPPENHEIMER & CO INC | History | Closed out | 0 | 0 | — | 0.02% | — | -24,197 | -100.0% | Q1 2014 | May 09, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Closed out | 0 | 0 | — | 0.0% | — | -23,540 | -100.0% | Q1 2014 | May 15, 2014 |
| RAYMOND JAMES & ASSOCIATES | History | Closed out | 0 | 0 | — | 0.0% | — | -23,529 | -100.0% | Q1 2014 | May 13, 2014 |
| SIT INVESTMENT ASSOCIATES INC | History | Closed out | 0 | 0 | — | 0.01% | — | -21,400 | -100.0% | Q1 2014 | Apr 24, 2014 |
| STIFEL FINANCIAL CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -18,898 | -100.0% | Q1 2014 | May 15, 2014 |
| Cetera Advisor Networks LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -17,416 | -100.0% | Q1 2014 | May 15, 2014 |
| CARRET ASSET MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.09% | — | -16,400 | -100.0% | Q1 2014 | May 15, 2014 |
| HighTower Advisors, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -16,017 | -100.0% | Q1 2014 | May 15, 2014 |
| BNP PARIBAS ARBITRAGE, SA | History | Closed out | 0 | 0 | — | 0.0% | — | -9,987 | -100.0% | Q1 2014 | May 13, 2014 |
| AMERIPRISE FINANCIAL INC | History | Closed out | 0 | 0 | — | 0.0% | — | -9,571 | -100.0% | Q1 2014 | May 14, 2014 |
| US BANCORP \DE\ | History | Closed out | 0 | 0 | — | 0.0% | — | -5,000 | -100.0% | Q1 2014 | May 14, 2014 |
| Creative Planning | History | Closed out | 0 | 0 | — | 0.0% | — | -4,465 | -100.0% | Q1 2014 | Apr 11, 2014 |
| BROWN BROTHERS HARRIMAN & CO | History | Closed out | 0 | 0 | — | 0.0% | — | -4,000 | -100.0% | Q1 2014 | May 15, 2014 |
| BANK OF MONTREAL /CAN/ | History | Closed out | 0 | 0 | — | 0.0% | — | -2,146 | -100.0% | Q1 2014 | May 15, 2014 |
| CAPITAL GUARDIAN TRUST CO | History | Closed out | 0 | 0 | — | 0.0% | — | -2,105 | -100.0% | Q1 2014 | May 15, 2014 |
| Tower Research Capital LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -2,029 | -100.0% | Q1 2014 | May 02, 2014 |
| People's United Financial, Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -1,144 | -100.0% | Q1 2014 | May 14, 2014 |
| GLENMEDE TRUST CO NA | History | Closed out | 0 | 0 | — | 0.0% | — | -1,047 | -100.0% | Q1 2014 | May 07, 2014 |
| Legg Mason Investment Counsel, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -726 | -100.0% | Q1 2014 | May 15, 2014 |
| WFG Advisors, LP | History | Closed out | 0 | 0 | — | 0.0% | — | -645 | -100.0% | Q1 2014 | Apr 24, 2014 |
| THOMPSON DAVIS & CO., INC. | History | Closed out | 0 | 0 | — | 0.02% | — | -509 | -100.0% | Q1 2014 | May 09, 2014 |
| CITIGROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -222 | -100.0% | Q1 2014 | May 15, 2014 |
| BESSEMER GROUP INC | History | Closed out | 0 | 0 | — | — | — | -13 | -100.0% | Q1 2014 | May 14, 2014 |
| Winch Advisory Services, LLC | History | Closed out | 0 | 0 | — | — | — | -12 | -100.0% | Q1 2014 | May 14, 2014 |
| DEUTSCHE BANK AG\ | History | Closed out | 0 | 0 | — | — | — | -1 | -100.0% | Q1 2014 | May 15, 2014 |