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TEKLA HEALTHCARE OPPORTUNITI
TEKLA HEALTHCARE OPPORTUNITI. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 48 Institutional holders with a total value of $114,732,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,959,751 34,256,000 29.86%
2 Karpus Management, Inc. 766,677 13,402,000 11.68%
3 1832 Asset Management L.P. 523,269 9,146,000 7.97%
4 Thomas J. Herzfeld Advisors, Inc. 495,314 8,658,000 7.55%
5 RAYMOND JAMES & ASSOCIATES 442,264 7,731,000 6.74%
6 WELLS FARGO & COMPANY/MN 407,430 7,121,000 6.21%
7 ROYAL BANK OF CANADA 352,851 6,168,000 5.38%
8 UBS Group AG 341,555 5,970,000 5.20%
9 Raymond James Financial Services Advisors, Inc. 277,773 4,856,000 4.23%
10 Advisors Asset Management, Inc. 165,026 2,885,000 2.51%
11 STIFEL FINANCIAL CORP 100,231 1,754,000 1.53%
12 FIRST TRUST ADVISORS LP 89,555 1,565,000 1.36%
13 D.A. DAVIDSON & CO. 88,758 1,551,000 1.35%
14 AMERIPRISE FINANCIAL INC 82,328 1,439,000 1.25%
15 ADVISOR GROUP, INC. 47,675 833,000 0.73%
16 Aviance Capital Partners, LLC 45,092 788,000 0.69%
17 BANK OF AMERICA CORP /DE/ 41,263 721,000 0.63%
18 WEDBUSH SECURITIES INC 39,826 696,000 0.61%
19 Invesco Ltd. 34,563 604,000 0.53%
20 LPL Financial LLC 25,943 456,000 0.40%
21 IFP ADVISORS, INC 25,334 443,000 0.39%
22 Advisory Services Network, LLC 25,339 443,000 0.39%
23 BB&T SECURITIES, LLC 23,921 418,000 0.36%
24 HBK Sorce Advisory LLC 22,933 401,000 0.35%
25 Janney Montgomery Scott LLC 20,650 361,000 0.31%
26 Bison Wealth, LLC 15,728 275,000 0.24%
27 Capital Investment Advisors, LLC 13,300 232,000 0.20%
28 First Allied Advisory Services, Inc. 12,894 225,000 0.20%
29 Bank of New York Mellon Corp 11,371 199,000 0.17%
30 PNC FINANCIAL SERVICES GROUP, INC. 9,835 172,000 0.15%
31 JNBA Financial Advisors 7,500 131,000 0.11%
32 SIGNATUREFD, LLC 7,500 131,000 0.11%
33 Creative Planning 6,051 106,000 0.09%
34 MSI Financial Services Inc 5,596 98,000 0.09%
35 NEXT Financial Group, Inc 5,421 95,000 0.08%
36 Plante Moran Financial Advisors, LLC 4,816 84,000 0.07%
37 DELTA ASSET MANAGEMENT LLC/TN 4,700 82,000 0.07%
38 CITIGROUP INC 4,300 75,000 0.07%
39 Gradient Investments LLC 2,000 35,000 0.03%
40 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,741 30,000 0.03%
41 Transamerica Financial Advisors, LLC 1,000 18,000 0.02%
42 WFG Advisors, LP 1,000 17,000 0.01%
43 Barnett & Company, Inc. 1,000 17,000 0.01% PRN
44 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 861 16,000 0.01%
45 MANUFACTURERS LIFE INSURANCE COMPANY, THE 855 15,000 0.01%
46 GENEOS WEALTH MANAGEMENT INC. 400 6,000 0.01%
47 THOMPSON DAVIS & CO., INC. 250 4,000 0.00%
48 Financial Architects, Inc 200 3,000 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.