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HIGHLAND FDS I
HIGHLAND FDS I. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 39 Institutional holders with a total value of $332,236,508.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Charles Schwab Investment Advisory, Inc. 9,290,599 173,177,000 52.12%
2 TD AMERITRADE INVESTMENT MANAGEMENT, LLC 3,758,359 70,056,000 21.09%
3 WELLS FARGO & COMPANY/MN 1,700,040 31,689,000 9.54%
4 Morningstar Investment Services LLC 979,636 18,260,000 5.50%
5 GUGGENHEIM CAPITAL LLC 311,957 5,815,000 1.75%
6 HIGHLAND CAPITAL MANAGEMENT LP 283,140 5,272,000 1.59%
7 RAYMOND JAMES & ASSOCIATES 210,055 3,915,000 1.18%
8 RFG Advisory, LLC 203,342 3,786,000 1.14%
9 ROYAL BANK OF CANADA 201,781 3,761,000 1.13%
10 OppenheimerFunds, Inc. 175,000 3,262,000 0.98%
11 LPL Financial LLC 155,244 2,891,000 0.87%
12 MORGAN STANLEY 108,937 2,031,000 0.61%
13 TD ASSET MANAGEMENT INC 70,400 1,311,000 0.39%
14 JANE STREET GROUP, LLC 60,372 1,125,000 0.34%
15 MARINER INDEPENDENT ADVISOR NETWORK, LLC 56,388 1,051,000 0.32%
16 ALPS ADVISORS INC 41,578 775,000 0.23%
17 Cetera Advisors LLC 40,490 754,000 0.23%
18 Virtu KCG Holdings LLC 34,430 642,000 0.19%
19 ENVESTNET ASSET MANAGEMENT INC 32,239 601,000 0.18%
20 NWAM LLC 24,700 460,000 0.14%
21 Cambridge Investment Research Advisors, Inc. 14,445 269,000 0.08%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 12,973 242,000 0.07%
23 SUSQUEHANNA INTERNATIONAL GROUP, LLP 12,859 240,000 0.07%
24 STIFEL FINANCIAL CORP 11,894 221,000 0.07%
25 Winslow, Evans & Crocker, Inc. 8,800 164,032 0.05%
26 Advisory Services Network, LLC 6,176 115,000 0.03%
27 CITIZENS FINANCIAL GROUP INC/DE 5,270 98,000 0.03%
28 IFP ADVISORS, INC 4,456 83,000 0.02%
29 ADVISOR GROUP, INC. 3,433 64,000 0.02%
30 Creative Planning 2,094 39,000 0.01%
31 FLOW TRADERS U.S. LLC 1,477 28,000 0.01%
32 MANUFACTURERS LIFE INSURANCE COMPANY, THE 884 16,000 0.00%
33 Transamerica Financial Advisors, LLC 416 8,000 0.00%
34 BANK OF AMERICA CORP /DE/ 386 7,000 0.00%
35 First Horizon Advisors, Inc. 201 3,000 0.00%
36 WEALTHPLAN PARTNERS, LLC 133 2,476 0.00%
37 MSI Financial Services Inc 91 2,000 0.00%
38 Tortoise Investment Management, LLC 57 1,000 0.00%
39 Parallax Volatility Advisers, L.P. 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.