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

Institutional Holders (2016Q4)
Portfolio Summary: 57 Institutional holders with a total value of $291,993,269.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Parallax Volatility Advisers, L.P. 1 0 0.00%
2 Tortoise Investment Management, LLC 57 1,000 0.00%
3 SEI INVESTMENTS CO 37 1,000 0.00%
4 TCI Wealth Advisors, Inc. 124 2,000 0.00%
5 ASSETMARK, INC 176 3,000 0.00%
6 PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC 177 3,000 0.00%
7 First Horizon Advisors, Inc. 201 3,000 0.00%
8 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 311 6,000 0.00%
9 TD Capital Management LLC 408 8,000 0.00%
10 BANK OF AMERICA CORP /DE/ 453 8,000 0.00%
11 Hanson & Doremus Investment Management 761 14,269 0.00%
12 CITIGROUP INC 2,090 39,000 0.01%
13 FIRST MANHATTAN CO. LLC. 2,256 42,000 0.01%
14 GLOBAL RETIREMENT PARTNERS, LLC 2,306 43,000 0.01%
15 MANUFACTURERS LIFE INSURANCE COMPANY, THE 3,504 66,000 0.02%
16 ADVISOR GROUP, INC. 4,539 85,000 0.03%
17 Creative Planning 6,509 122,000 0.04%
18 Winslow, Evans & Crocker, Inc. 8,800 165,000 0.06%
19 Commonwealth Equity Services, Inc 10,345 194,000 0.07%
20 AMERIPRISE FINANCIAL INC 10,821 203,000 0.07%
21 Sigma Planning Corp 11,344 213,000 0.07%
22 OLD MISSION CAPITAL, LLC 11,415 214,000 0.07%
23 ROYAL BANK OF CANADA 11,417 214,000 0.07%
24 IFP ADVISORS, INC 12,132 227,000 0.08%
25 CITIZENS FINANCIAL GROUP INC/DE 12,998 244,000 0.08%
26 First Allied Advisory Services, Inc. 13,343 250,000 0.09%
27 STIFEL FINANCIAL CORP 13,319 251,000 0.09%
28 Private Advisor Group, LLC 14,265 267,000 0.09%
29 FDx Advisors, Inc. 15,056 282,000 0.10%
30 Cambridge Investment Research Advisors, Inc. 15,780 296,000 0.10%
31 LADENBURG THALMANN FINANCIAL SERVICES INC. 18,401 345,000 0.12%
32 Virtu KCG Holdings LLC 21,631 406,000 0.14%
33 NWAM LLC 27,400 514,000 0.18%
34 Pinnacle Advisory Group, Inc. 27,546 516,000 0.18%
35 Cetera Advisors LLC 29,062 545,000 0.19%
36 CITADEL ADVISORS LLC 36,659 687,000 0.24%
37 COMPASS FINANCIAL GROUP, INC. 36,980 693,000 0.24%
38 CREDIT SUISSE AG/ 50,000 938,000 0.32%
39 FLOW TRADERS U.S. LLC 68,328 1,281,000 0.44%
40 TD ASSET MANAGEMENT INC 70,400 1,320,000 0.45%
41 GILBERT & COOK, INC. 84,523 1,585,000 0.54%
42 OppenheimerFunds, Inc. 111,516 2,091,000 0.72%
43 Hillsdale Investment Management Inc. 131,800 2,471,000 0.85%
44 FIRST FOUNDATION ADVISORS 171,115 3,208,000 1.10%
45 MORGAN STANLEY 176,480 3,309,000 1.13%
46 RFG Advisory, LLC 203,421 3,788,000 1.30%
47 LPL Financial LLC 281,991 5,293,000 1.81%
48 RAYMOND JAMES & ASSOCIATES 295,739 5,545,000 1.90%
49 GUGGENHEIM CAPITAL LLC 321,936 6,036,000 2.07%
50 CHIRON INVESTMENT MANAGEMENT, LLC 330,400 6,195,000 2.12%
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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.