NORTHERN LIGHTS FD TR - DUKZ
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Spartan Wealth Advisory Services LLC | History | New | 404,521 | 10,081 | 0.88% | — | 1 | +404,521 | New | Q1 2026 | May 06, 2026 |
| VestGen Advisors, LLC | History | New | 317,534 | 8,078 | 0.21% | — | 2 | +317,534 | New | Q1 2026 | May 14, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Added to | 193,640 | 4,826 | 0.0% | 0.0% | 3 | +26,735 | 16.02% | Q1 2026 | May 04, 2026 |
| INDEPENDENT FINANCIAL GROUP, LLC | History | Added to | 49,363 | 1,230 | 0.03% | 0.01% | 4 | +29,553 | 149.18% | Q1 2026 | May 15, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Added to | 30,425 | 758 | 0.0% | 0.0% | 5 | +809 | 2.73% | Q1 2026 | Apr 30, 2026 |
| Mutual Advisors, LLC | History | Added to | 22,261 | 554 | 0.01% | 0.01% | 6 | +6,344 | 39.86% | Q1 2026 | May 01, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 17,134 | 427 | 0.0% | 0.0% | 7 | -523 | -2.96% | Q1 2026 | Apr 27, 2026 |
| SIGNATURE ESTATE & INVESTMENT ADVISORS LLC | History | New | 15,568 | 388 | 0.01% | — | 8 | +15,568 | New | Q1 2026 | Apr 15, 2026 |
| Envestnet Portfolio Solutions, Inc. | History | Added to | 10,078 | 251 | 0.0% | 0.0% | 9 | +801 | 8.63% | Q1 2026 | Apr 29, 2026 |
| PARK AVENUE SECURITIES LLC | History | New | 9,647 | 240 | 0.0% | — | 10 | +9,647 | New | Q1 2026 | Apr 07, 2026 |
| Ocean Park Asset Management, LLC | History | Added to | 8,631 | 215 | 0.01% | 0.01% | 11 | +7 | 0.08% | Q1 2026 | Apr 16, 2026 |
| Farther Finance Advisors, LLC | History | New | 4,201 | 104 | 0.0% | — | 12 | +4,201 | New | Q1 2026 | Apr 07, 2026 |
| HARBOUR INVESTMENTS, INC. | History | No change | 597 | 14 | 0.0% | 0.0% | 13 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| UBS Group AG | History | New | 210 | 5 | 0.0% | — | 14 | +210 | New | Q1 2026 | May 05, 2026 |
| OSAIC HOLDINGS, INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -16,000 | -100.0% | Q1 2026 | May 15, 2026 |
| Kestra Advisory Services, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -2,053 | -100.0% | Q1 2026 | Apr 30, 2026 |