HIGHLAND GLOBAL ALLOCATION FUND - HGLB
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| RAYMOND JAMES FINANCIAL INC | History | Added to | 2,353,161 | 18,895 | 0.01% | 0.01% | 1 | +43,517 | 1.88% | Q1 2026 | May 14, 2026 |
| LPL Financial LLC | History | Added to | 868,777 | 6,976 | 0.0% | 0.0% | 2 | +1,905 | 0.22% | Q1 2026 | May 06, 2026 |
| MORGAN STANLEY | History | Reduced | 764,290 | 6,137 | 0.0% | 0.0% | 3 | -2,096 | -0.27% | Q1 2026 | May 15, 2026 |
| Matisse Capital | History | Added to | 443,000 | 3,557 | 1.52% | 1.6% | 4 | +50,000 | 12.72% | Q1 2026 | May 08, 2026 |
| OSAIC HOLDINGS, INC. | History | Reduced | 325,051 | 2,610 | 0.0% | 0.0% | 5 | -21,286 | -6.15% | Q1 2026 | May 15, 2026 |
| NWF Advisory Services Inc. | History | Reduced | 264,481 | 2,123 | 0.24% | 0.28% | 6 | -17,100 | -6.07% | Q1 2026 | May 04, 2026 |
| Shaker Financial Services, LLC | History | Added to | 190,557 | 1,530 | 0.53% | 0.11% | 7 | +153,252 | 410.81% | Q1 2026 | May 12, 2026 |
| Quantedge Capital Pte Ltd | History | Added to | 188,987 | 1,517 | 0.83% | 0.75% | 8 | +15,400 | 8.87% | Q1 2026 | May 12, 2026 |
| Sovereign Financial Group, Inc. | History | Reduced | 111,639 | 896 | 0.16% | 0.19% | 9 | -8,773 | -7.29% | Q1 2026 | Apr 17, 2026 |
| UBS Group AG | History | Reduced | 73,732 | 592 | 0.0% | 0.0% | 10 | -7,490 | -9.22% | Q1 2026 | May 05, 2026 |
| OPPENHEIMER & CO INC | History | Added to | 68,566 | 550 | 0.01% | 0.01% | 11 | +17,131 | 33.31% | Q1 2026 | Apr 23, 2026 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 45,000 | 361 | 0.0% | 0.0% | 12 | 0 | 0.0% | Q1 2026 | May 08, 2026 |
| Capital Investment Advisors, LLC | History | Added to | 40,071 | 321 | 0.0% | 0.01% | 13 | +665 | 1.69% | Q1 2026 | Apr 17, 2026 |
| Summit Financial, LLC | History | Reduced | 36,500 | 293 | 0.0% | 0.0% | 14 | -600 | -1.62% | Q1 2026 | May 15, 2026 |
| WEDBUSH SECURITIES INC | History | Added to | 29,195 | 234 | 0.01% | 0.01% | 15 | +3,720 | 14.6% | Q1 2026 | Apr 21, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Reduced | 27,288 | 219 | 0.0% | 0.0% | 16 | -20,342 | -42.71% | Q1 2026 | Apr 30, 2026 |
| NewEdge Advisors, LLC | History | Added to | 211,407 | 211 | 0.01% | 0.01% | 17 | +28,598 | 15.64% | Q1 2026 | May 15, 2026 |
| Cetera Investment Advisers | History | Added to | 24,803 | 199 | 0.0% | 0.0% | 18 | +141 | 0.57% | Q1 2026 | May 13, 2026 |
| AQR CAPITAL MANAGEMENT LLC | History | New | 23,738 | 190 | 0.0% | — | 20 | +23,738 | New | Q1 2026 | May 15, 2026 |
| HB Wealth Management, LLC | History | Reduced | 23,738 | 190 | 0.0% | 0.0% | 19 | -273 | -1.14% | Q1 2026 | Apr 27, 2026 |
| Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors | History | Reduced | 21,364 | 171 | 0.02% | 0.02% | 21 | -1,433 | -6.29% | Q1 2026 | May 05, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Added to | 21,024 | 168 | 0.0% | 0.0% | 22 | +2,624 | 14.26% | Q1 2026 | May 15, 2026 |
| ROYAL BANK OF CANADA | History | Reduced | 18,693 | 150 | 0.0% | 0.0% | 23 | -1,484 | -7.35% | Q1 2026 | May 15, 2026 |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | History | Added to | 18,262 | 146 | 0.02% | 0.02% | 24 | +1,200 | 7.03% | Q1 2026 | May 11, 2026 |
| Virtu Financial LLC | History | New | 13,436 | 108 | 0.0% | — | 25 | +13,436 | New | Q1 2026 | May 14, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | Reduced | 12,824 | 104 | 0.01% | 0.01% | 26 | -1,093 | -7.85% | Q1 2026 | May 01, 2026 |
| AE Wealth Management LLC | History | No change | 11,413 | 91 | 0.0% | 0.0% | 27 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| BENJAMIN EDWARDS INC | History | No change | 10,645 | 85 | 0.0% | 0.0% | 28 | 0 | 0.0% | Q1 2026 | May 12, 2026 |
| Rockefeller Capital Management L.P. | History | No change | 9,012 | 72 | 0.0% | 0.0% | 29 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| CoreCap Advisors, LLC | History | No change | 5,385 | 43 | 0.0% | 0.0% | 30 | 0 | 0.0% | Q1 2026 | Apr 07, 2026 |
| Godfrey Financial Associates, Inc. | History | No change | 3,203 | 25 | 0.02% | 0.03% | 31 | 0 | 0.0% | Q1 2026 | May 11, 2026 |
| NBC SECURITIES, INC. | History | No change | 2,067 | 16 | 0.0% | 0.0% | 32 | 0 | 0.0% | Q1 2026 | Apr 14, 2026 |
| Advisory Services Network, LLC | History | New | 1,797 | 14 | 0.0% | — | 33 | +1,797 | New | Q1 2026 | May 15, 2026 |
| CWM, LLC | History | Added to | 913 | 7 | 0.0% | 0.0% | 34 | +9 | 1.0% | Q1 2026 | May 14, 2026 |
| SageView Advisory Group, LLC | History | No change | 659 | 6 | 0.0% | 0.0% | 35 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| Pinnacle Wealth Planning Services, Inc. | History | New | 520 | 4 | 0.0% | — | 36 | +520 | New | Q1 2026 | May 11, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | No change | 465 | 3 | 0.0% | 0.0% | 37 | 0 | 0.0% | Q1 2026 | May 07, 2026 |
| Motiv8 Investments LLC | History | No change | 361 | 3 | 0.0% | 0.0% | 38 | 0 | 0.0% | Q4 2025 | Feb 13, 2026 |
| HIGHLINE WEALTH PARTNERS LLC | History | No change | 325 | 2 | 0.0% | 0.0% | 39 | 0 | 0.0% | Q1 2026 | Apr 06, 2026 |
| COMERICA BANK | History | No change | 142 | 1 | 0.0% | 0.0% | 40 | 0 | 0.0% | Q4 2025 | Jan 29, 2026 |
| Total Wealth Planning & Management, Inc. | History | Closed out | 0 | 0 | — | 0.24% | — | -35,543 | -100.0% | Q1 2026 | May 05, 2026 |
| BankPlus Wealth Management LLC | History | Closed out | 0 | 0 | — | 0.08% | — | -16,000 | -100.0% | Q1 2026 | Apr 21, 2026 |
| JANE STREET GROUP, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -11,647 | -100.0% | Q1 2026 | May 12, 2026 |
| WELLS FARGO & COMPANY/MN | History | Reduced | 2 | 0 | — | 0.0% | — | -6,121 | -99.97% | Q1 2026 | May 11, 2026 |
| Jessup Wealth Management, Inc | History | Closed out | 0 | 0 | — | 0.0% | — | -949 | -100.0% | Q1 2026 | May 15, 2026 |
| Allworth Financial LP | History | Closed out | 0 | 0 | — | 0.0% | — | -310 | -100.0% | Q1 2026 | May 14, 2026 |
| FLAGSHIP HARBOR ADVISORS, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -301 | -100.0% | Q1 2026 | Apr 28, 2026 |