Dark
Light
System
Security
TEKLA HEALTHCARE INVS
TEKLA HEALTHCARE INVS. Institutional holdings reported to the SEC.

Institutional Holders (2016Q1)
Portfolio Summary: 67 Institutional holders with a total value of $177,638,136.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 3,288,500 78,924,000 44.43%
2 ING GROEP NV 498,720 11,954,000 6.73%
3 LPL Financial LLC 371,423 8,896,000 5.01%
4 NEEDHAM INVESTMENT MANAGEMENT LLC 350,968 8,423,000 4.74%
5 UBS Group AG 332,466 7,980,000 4.49%
6 WELLS FARGO & COMPANY/MN 298,862 7,173,000 4.04%
7 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 279,194 6,695,000 3.77%
8 GOLDMAN SACHS GROUP INC 262,076 6,290,000 3.54%
9 Raymond James Financial Services Advisors, Inc. 240,286 5,767,000 3.25%
10 ROYAL BANK OF CANADA 192,740 4,626,000 2.60%
11 BANK OF NOVA SCOTIA 113,843 2,732,000 1.54%
12 FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC /TX 111,713 2,681,000 1.51%
13 Advisors Asset Management, Inc. 84,082 2,018,000 1.14%
14 HL FINANCIAL SERVICES LLC 77,118 1,851,000 1.04%
15 CITIGROUP INC 72,725 1,746,000 0.98%
16 FIRST TRUST ADVISORS LP 68,728 1,649,000 0.93%
17 RAYMOND JAMES & ASSOCIATES 68,132 1,635,000 0.92%
18 BANK OF AMERICA CORP /DE/ 67,746 1,626,000 0.92%
19 AMERICAN INTERNATIONAL GROUP, INC. 60,346 1,449,000 0.82%
20 Thomas J. Herzfeld Advisors, Inc. 53,911 1,294,000 0.73%
21 OPPENHEIMER & CO INC 46,297 1,111,000 0.63%
22 Janney Montgomery Scott LLC 45,627 1,095,000 0.62%
23 Commonwealth Equity Services, Inc 45,298 1,087,000 0.61%
24 NEWGATE CAPITAL MANAGEMENT LLC 38,744 930,000 0.52%
25 LADENBURG THALMANN FINANCIAL SERVICES INC. 35,662 856,000 0.48%
26 GUYASUTA INVESTMENT ADVISORS INC 30,750 738,000 0.42%
27 Cetera Advisor Networks LLC 27,178 653,000 0.37%
28 HighTower Advisors, LLC 22,218 533,000 0.30%
29 AMERIPRISE FINANCIAL INC 21,202 509,000 0.29%
30 WEDBUSH SECURITIES INC 19,910 478,000 0.27%
31 Fiduciary Trust Co International of Pennsylvania 17,648 424,000 0.24%
32 Regis Management CO LLC 16,386 393,000 0.22%
33 OPERA TRADING CAPITAL 12,587 302,000 0.17%
34 J.P. Morgan Private Wealth Advisors LLC 11,908 286,000 0.16%
35 BAIRD FINANCIAL GROUP, INC. 11,838 284,000 0.16%
36 MSI Financial Services Inc 10,737 258,000 0.15%
37 New England Private Wealth Advisors LLC 9,018 216,000 0.12%
38 Invesco Ltd. 8,968 215,000 0.12%
39 Bank of New York Mellon Corp 8,920 214,000 0.12%
40 Bartlett & Co. LLC 8,623 207,000 0.12%
41 PNC FINANCIAL SERVICES GROUP, INC. 8,636 207,000 0.12%
42 BANK OF MONTREAL /CAN/ 8,081 194,000 0.11%
43 Creative Planning 7,433 178,000 0.10%
44 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 5,342 128,000 0.07%
45 D.A. DAVIDSON & CO. 4,950 118,000 0.07%
46 GENEOS WEALTH MANAGEMENT INC. 4,367 107,000 0.06%
47 BROWN BROTHERS HARRIMAN & CO 4,000 96,000 0.05%
48 DUBUQUE BANK & TRUST CO 2,652 64,000 0.04%
49 IFP ADVISORS, INC 2,215 53,000 0.03%
50 North Star Investment Management Corp. 2,173 52,000 0.03%
Page 1 of 2

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.