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H&Q Life Sciences Invt
H&Q Life Sciences Invt . Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 47 Institutional holders with a total value of $57,464,073.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 NEEDHAM INVESTMENT MANAGEMENT LLC 622,597 13,759,000 23.94%
2 MORGAN STANLEY 579,677 12,811,000 22.29%
3 Advisors Asset Management, Inc. 320,748 7,089,000 12.34%
4 WELLS FARGO & COMPANY/MN 292,410 6,462,000 11.25%
5 Yakira Capital Management, Inc. 152,790 3,377,000 5.88%
6 FIRST TRUST ADVISORS LP 60,143 1,329,000 2.31%
7 LPL Financial LLC 54,550 1,190,000 2.07%
8 UBS AG 52,326 1,156,000 2.01%
9 Commonwealth Equity Services, Inc 47,001 1,039,000 1.81%
10 Virtu KCG Holdings LLC 41,859 925,000 1.61%
11 AMERICAN INTERNATIONAL GROUP, INC. 32,130 710,073 1.24%
12 ROYAL BANK OF CANADA 29,739 657,000 1.14%
13 SUSQUEHANNA INTERNATIONAL GROUP, LLP 29,393 650,000 1.13%
14 DOLIVER ADVISORS, LP 26,696 590,000 1.03%
15 GUGGENHEIM CAPITAL LLC 26,551 587,000 1.02%
16 OPPENHEIMER & CO INC 26,414 583,000 1.01%
17 HIGHLAND CAPITAL MANAGEMENT LP 25,275 559,000 0.97%
18 USCA RIA LLC 21,446 474,000 0.82%
19 NORTH STAR ASSET MANAGEMENT INC 17,976 397,000 0.69%
20 MERIDIAN INVESTMENT COUNSEL INC. 12,995 287,000 0.50%
21 STIFEL FINANCIAL CORP 11,700 259,000 0.45%
22 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 11,342 251,000 0.44%
23 New England Private Wealth Advisors LLC 10,930 241,000 0.42%
24 WOLVERINE ASSET MANAGEMENT LLC 10,820 239,000 0.42%
25 CSS LLC/IL 10,709 237,000 0.41%
26 NATIONAL PLANNING CORP 10,713 237,000 0.41%
27 Cambridge Investment Research Advisors, Inc. 9,303 206,000 0.36%
28 AMERIPRISE FINANCIAL INC 9,192 203,000 0.35%
29 Robert W. Baird & Co. Inc 9,088 201,000 0.35% SH
30 PNC FINANCIAL SERVICES GROUP, INC. 8,529 188,000 0.33%
31 LADENBURG THALMANN FINANCIAL SERVICES INC. 7,358 163,000 0.28%
32 BANK OF AMERICA CORP /DE/ 6,499 144,000 0.25%
33 NEXT Financial Group, Inc 2,588 57,000 0.10%
34 MSI Financial Services Inc 1,431 32,000 0.06%
35 Creative Planning 1,396 31,000 0.05%
36 Cordasco Financial Network 1,301 29,000 0.05%
37 CITIGROUP INC 1,328 29,000 0.05%
38 FIFTH THIRD BANCORP 1,084 24,000 0.04%
39 Regal Investment Advisors LLC 950 21,000 0.04%
40 ROCKEFELLER FINANCIAL SERVICES INC 825 18,000 0.03%
41 Focused Wealth Management, Inc 753 17,000 0.03%
42 BOSTON PRIVATE BANK & TRUST CO 183 4,000 0.01%
43 Transamerica Financial Advisors, LLC 1 1,000 0.00%
44 FLOW TRADERS U.S. LLC 54 1,000 0.00%
45 TCI Wealth Advisors, Inc. 12 0 0.00%
46 Gemmer Asset Management LLC 14 0 0.00%
47 DEUTSCHE BANK AG\ 1 0 0.00%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.