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TEKLA LIFE SCIENCES INVS
TEKLA LIFE SCIENCES INVS. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 45 Institutional holders with a total value of $40,405,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 544,546 10,200,000 25.24%
2 NEEDHAM INVESTMENT MANAGEMENT LLC 524,335 9,821,000 24.31%
3 WELLS FARGO & COMPANY/MN 197,199 3,693,000 9.14%
4 BANK OF NOVA SCOTIA 88,812 1,663,000 4.12%
5 LPL Financial LLC 84,093 1,557,000 3.85%
6 UBS Group AG 59,272 1,110,000 2.75%
7 DOLIVER ADVISORS, LP 58,141 1,089,000 2.70%
8 STIFEL FINANCIAL CORP 57,930 1,086,000 2.69%
9 FIRST TRUST ADVISORS LP 50,909 954,000 2.36%
10 Commonwealth Equity Services, Inc 48,399 907,000 2.24%
11 LADENBURG THALMANN FINANCIAL SERVICES INC. 48,406 907,000 2.24%
12 CITIGROUP INC 46,552 872,000 2.16%
13 Cambridge Investment Research Advisors, Inc. 44,880 841,000 2.08%
14 BANK OF AMERICA CORP /DE/ 33,275 624,000 1.54%
15 BB&T SECURITIES, LLC 25,650 480,000 1.19%
16 OPPENHEIMER & CO INC 24,859 466,000 1.15%
17 Advisors Asset Management, Inc. 24,109 452,000 1.12%
18 ADVISOR GROUP, INC. 21,638 405,000 1.00%
19 TFS CAPITAL LLC 21,591 404,000 1.00%
20 RAYMOND JAMES & ASSOCIATES 18,867 353,000 0.87%
21 USCA RIA LLC 17,880 335,000 0.83%
22 Raymond James Financial Services Advisors, Inc. 15,482 290,000 0.72%
23 Private Advisor Group, LLC 15,653 290,000 0.72%
24 AMERIPRISE FINANCIAL INC 13,973 262,000 0.65%
25 New England Private Wealth Advisors LLC 11,935 224,000 0.55%
26 ROYAL BANK OF CANADA 11,704 219,000 0.54%
27 MERIDIAN INVESTMENT COUNSEL INC. 10,195 191,000 0.47%
28 Creative Planning 9,414 176,000 0.44%
29 IFP ADVISORS, INC 9,331 175,000 0.43%
30 MSI Financial Services Inc 5,750 108,000 0.27%
31 VALLEY NATIONAL ADVISERS INC 3,155 59,000 0.15%
32 Advisory Services Network, LLC 2,305 43,000 0.11%
33 PNC FINANCIAL SERVICES GROUP, INC. 1,759 32,000 0.08%
34 NEXT Financial Group, Inc 1,594 30,000 0.07%
35 North Star Investment Management Corp. 1,251 23,000 0.06%
36 AllSquare Wealth Management LLC 1,000 19,000 0.05%
37 SeaBridge Investment Advisors LLC 956 18,000 0.04%
38 MARK SHEPTOFF FINANCIAL PLANNING, LLC 668 13,000 0.03%
39 Barnett & Company, Inc. 529 10,000 0.02% PRN
40 US BANCORP \DE\ 75 1,000 0.00%
41 Thomas J. Herzfeld Advisors, Inc. 65 1,000 0.00%
42 BRUDERMAN ASSET MANAGEMENT, LLC 37 1,000 0.00%
43 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 45 1,000 0.00%
44 JFS WEALTH ADVISORS, LLC 3 0 0.00%
45 GLENMEDE TRUST CO NA 19 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.