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

Institutional Holders (2016Q4)
Portfolio Summary: 53 Institutional holders with a total value of $101,203,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Financial Architects, Inc 200 3,000 0.00%
2 THOMPSON DAVIS & CO., INC. 250 4,000 0.00%
3 VALLEY NATIONAL ADVISERS INC 255 4,000 0.00%
4 PNC FINANCIAL SERVICES GROUP, INC. 340 5,000 0.00%
5 GENEOS WEALTH MANAGEMENT INC. 400 6,000 0.01%
6 Barnett & Company, Inc. 1,000 16,000 0.02% PRN
7 Baystate Wealth Management LLC 1,000 16,000 0.02%
8 WFG Advisors, LP 1,000 16,000 0.02%
9 TRUST CO OF VERMONT 1,530 24,000 0.02%
10 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,644 25,000 0.02%
11 NEXT Financial Group, Inc 1,800 28,000 0.03%
12 Gradient Investments LLC 2,000 31,000 0.03%
13 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 2,505 39,000 0.04%
14 Plante Moran Financial Advisors, LLC 3,700 57,000 0.06%
15 DELTA ASSET MANAGEMENT LLC/TN 4,075 63,000 0.06%
16 PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC 4,422 73,000 0.07%
17 MSI Financial Services Inc 6,346 98,000 0.10%
18 CITIGROUP INC 8,150 126,000 0.12%
19 Creative Planning 9,423 146,000 0.14%
20 TWO SIGMA SECURITIES, LLC 11,663 181,000 0.18%
21 Bank of New York Mellon Corp 12,826 199,000 0.20%
22 Capital Investment Advisors, LLC 13,300 206,000 0.20%
23 Private Advisor Group, LLC 13,071 220,000 0.22%
24 CORNERSTONE ADVISORS INC 15,400 239,000 0.24%
25 Bison Wealth, LLC 15,736 244,000 0.24%
26 Weiss Asset Management LP 17,326 269,000 0.27%
27 Janney Montgomery Scott LLC 19,750 307,000 0.30%
28 HBK Sorce Advisory LLC 23,050 358,000 0.35%
29 STRATEGIC FINANCIAL GROUP, LLC 25,000 388,000 0.38% PRN
30 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 25,157 390,000 0.39%
31 IFP ADVISORS, INC 25,385 394,000 0.39%
32 BB&T SECURITIES, LLC 23,921 418,000 0.41%
33 LPL Financial LLC 34,926 561,000 0.55%
34 WEDBUSH SECURITIES INC 44,229 686,000 0.68%
35 ADVISOR GROUP, INC. 44,185 686,000 0.68%
36 Aviance Capital Partners, LLC 51,820 804,000 0.79%
37 DOLIVER ADVISORS, LP 61,425 953,000 0.94%
38 Invesco Ltd. 70,623 1,096,000 1.08%
39 BANK OF AMERICA CORP /DE/ 75,054 1,165,000 1.15%
40 AMERIPRISE FINANCIAL INC 80,848 1,255,000 1.24%
41 D.A. DAVIDSON & CO. 92,195 1,430,000 1.41%
42 STIFEL FINANCIAL CORP 99,591 1,546,000 1.53%
43 FIRST TRUST ADVISORS LP 115,732 1,796,000 1.77%
44 Advisors Asset Management, Inc. 170,906 2,652,000 2.62%
45 Laurion Capital Management LP 182,469 2,832,000 2.80%
46 Raymond James Financial Services Advisors, Inc. 305,993 4,749,000 4.69%
47 UBS Group AG 320,330 4,972,000 4.91%
48 WELLS FARGO & COMPANY/MN 449,205 6,972,000 6.89%
49 ROYAL BANK OF CANADA 460,667 7,150,000 7.07%
50 Thomas J. Herzfeld Advisors, Inc. 503,007 7,807,000 7.71%
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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.