Dark
Light
System
Security
NEXPOINT STRATEGIC OPPORTES
NEXPOINT STRATEGIC OPPORTES. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 46 Institutional holders with a total value of $96,330,410.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 HIGHLAND CAPITAL MANAGEMENT LP 828,427 18,863,000 19.58%
2 MORGAN STANLEY 637,623 14,518,000 15.07%
3 Thomas J. Herzfeld Advisors, Inc. 554,056 12,616,000 13.10%
4 RIVERNORTH CAPITAL MANAGEMENT, LLC 412,351 9,389,000 9.75%
5 BESSEMER GROUP INC 391,667 8,918,000 9.26%
6 LOOMIS SAYLES & CO L P 340,284 7,748,000 8.04%
7 WELLS FARGO & COMPANY/MN 210,748 4,799,000 4.98%
8 GUGGENHEIM CAPITAL LLC 121,717 2,772,000 2.88%
9 Advisors Asset Management, Inc. 104,287 2,375,000 2.47%
10 UBS Group AG 87,361 1,989,000 2.06%
11 RAYMOND JAMES & ASSOCIATES 86,402 1,967,000 2.04%
12 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 73,132 1,666,000 1.73%
13 POTRERO CAPITAL RESEARCH LLC 53,800 1,225,000 1.27%
14 BANK OF AMERICA CORP /DE/ 50,683 1,154,000 1.20%
15 Cetera Advisor Networks LLC 43,857 997,000 1.03%
16 LPL Financial LLC 35,919 824,000 0.86%
17 CIBC Private Wealth Group LLC 19,400 442,000 0.46%
18 AMERIPRISE FINANCIAL INC 18,581 423,000 0.44%
19 ALLEGIS INVESTMENT ADVISORS, LLC 18,055 411,000 0.43%
20 Sigma Planning Corp 17,121 390,000 0.40%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 13,899 316,000 0.33%
22 Virtu KCG Holdings LLC 13,717 312,000 0.32%
23 CSS LLC/IL 11,926 272,000 0.28%
24 BB&T SECURITIES, LLC 12,199 271,000 0.28%
25 ADVISOR GROUP, INC. 11,849 270,000 0.28%
26 ROYAL BANK OF CANADA 11,638 265,000 0.28%
27 Cambridge Investment Research Advisors, Inc. 10,445 238,000 0.25%
28 Evercore Wealth Management, LLC 10,000 228,000 0.24%
29 Commonwealth Equity Services, Inc 9,322 212,000 0.22%
30 Creative Planning 8,502 194,000 0.20%
31 MSI Financial Services Inc 3,553 81,000 0.08%
32 Glassman Wealth Services 3,490 79,000 0.08%
33 FIFTH THIRD BANCORP 1,076 25,000 0.03%
34 PNC FINANCIAL SERVICES GROUP, INC. 1,089 25,000 0.03%
35 IBEX WEALTH ADVISORS 712 16,000 0.02%
36 US BANCORP \DE\ 625 14,000 0.01%
37 IFP ADVISORS, INC 365 8,000 0.01%
38 BENJAMIN F. EDWARDS & COMPANY, INC. 295 7,000 0.01%
39 NEXT Financial Group, Inc 250 6,000 0.01%
40 GENEOS WEALTH MANAGEMENT INC. 219 4,000 0.00%
41 Compagnie Lombard Odier SCmA 37 1,000 0.00%
42 CT Financial Advisors LLC 18 410 0.00%
43 DEUTSCHE BANK AG\ 3 0 0.00%
44 CITIGROUP INC 3 0 0.00%
45 Cordasco Financial Network 3 0 0.00%
46 Hudock, Inc. 25 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.