Highland Opportunities & Income Fund
HFRO- Exchange
- NYSE
- SEC CIK
- 0001710680
No open-market purchases or sales by Highland Opportunities & Income Fund insiders were filed in the last 90 days; 91 institutions reported holding it in 13F filings for Q2 2026, worth $226.4M in total; no superinvestor holds it.
13F holders, Q3 2021
Institutional positions in Highland Opportunities & Income Fund as of Sep 30, 2021. Investment managers with $100 million or more in US stocks report their long positions on Form 13F within 45 days after each quarter ends. How 13F works
- Institutional holders
- 99
- +2 vs. Q2 2021
- Shares held
- 27.2M
- +2.97M (+12.2%) vs. Q2 2021
- Total value
- $293.5M
- +$29.5M (+11.2%) vs. Q2 2021
- New holders
- 14
- 48 more added
- Sold out
- 12
- 22 more reduced
1 institution that held it in Q2 2021 haven't filed for Q3 2021 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q2 2021: new holders, sold out and not filed yet
Holders and value by quarter
Institutions reporting HFRO on Form 13F each quarter since Q1 2021, and the total value they reported. Values are as of each quarter end, so they also move with the share price.
| Quarter | Holders | Value |
|---|---|---|
| Q2 2026 | 91 | $226.4M |
| Q1 2026 | 95 | $173.2M |
| Q4 2025 | 105 | $177.4M |
| Q3 2025 | 94 | $177.0M |
| Q2 2025 | 92 | $138.2M |
| Q1 2025 | 96 | $131.1M |
| Q4 2024 | 111 | $146.5M |
| Q3 2024 | 101 | $178.9M |
| Q2 2024 | 101 | $191.5M |
| Q1 2024 | 107 | $202.6M |
| Q4 2023 | 104 | $198.8M |
| Q3 2023 | 105 | $198.7M |
| Q2 2023 | 97 | $216.8M |
| Q1 2023 | 100 | $216.6M |
| Q4 2022 | 102 | $252.4M |
| Q3 2022 | 94 | $226.5M |
| Q2 2022 | 101 | $270.4M |
| Q1 2022 | 97 | $280.5M |
| Q4 2021 | 102 | $270.6M |
| Q3 2021 | 99 | $293.5M |
| Q2 2021 | 98 | $264.1M |
| Q1 2021 | 95 | $282.4M |
Institutions, Q3 2021
Shares, value and share of portfolio for each institution holding Highland Opportunities & Income Fund; share changes are against Q2 2021.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Cedar Mountain Advisors, LLC | 82 | $1.00K | 0.00% | 00.0% | Unchanged |
| AlphaMark Advisors, LLC | 400 | $4.00K | 0.00% | 00.0% | Unchanged |
| Sound Income Strategies, LLC | 382 | $4.00K | 0.00% | 00.0% | Unchanged |
| JNBA Financial Advisors | 533 | $6.00K | 0.00% | +12+2.3% | Added |
| Tradewinds Capital Management, LLC | 578 | $6.00K | 0.00% | 00.0% | Unchanged |
| Gerber Kawasaki Wealth & Investment Management | 1,000 | $10.0K | 0.00% | +1,000 | New |
| Tradition Wealth Management, LLC | 1,193 | $13.0K | 0.00% | 00.0% | Unchanged |
| D'Orazio & Associates, Inc. | 1,851 | $20.0K | 0.00% | −1,977−51.6% | Reduced |
| Wealth Quarterback LLC | 1,933 | $21.0K | 0.01% | +17+0.9% | Added |
| Creative Financial Designs Inc | 2,363 | $25.0K | 0.00% | 00.0% | Unchanged |
| American Portfolios Advisors | 2,510 | $27.0K | 0.00% | +26+1.0% | Added |
| Rockefeller Capital Management L.P. | 3,120 | $33.0K | 0.00% | +10.0% | Added |
| FNY Investment Advisers, LLC | 3,500 | $37.0K | 0.02% | −1,500−30.0% | Reduced |
| Carolinas Wealth Consulting LLC | 6,259 | $67.0K | 0.02% | 00.0% | Unchanged |
| Proequities, Inc. | 6,227 | $67.0K | 0.00% | +4,931+380.5% | Added |
| Atlas Private Wealth Advisors | 6,578 | $71.0K | 0.04% | −3,905−37.3% | Reduced |
| Citigroup Inc | 7,161 | $77.0K | 0.00% | +5,447+317.8% | Added |
| US Bancorp | 8,319 | $90.0K | 0.00% | 00.0% | Unchanged |
| Quinn Opportunity Partners LLC | 10,000 | $108.0K | 0.01% | 00.0% | Unchanged |
| Stifel Financial Corp | 12,936 | $139.0K | 0.00% | −64−0.5% | Reduced |
| Advisory Services Network, LLC | 13,247 | $143.0K | 0.00% | 00.0% | Unchanged |
| Beacon Financial Advisory LLC | 13,597 | $146.0K | 0.08% | +265+2.0% | Added |
| Private Advisor Group, LLC | 14,392 | $155.0K | 0.00% | +26+0.2% | Added |
| Mercer Global Advisors Inc | 14,695 | $158.0K | 0.00% | +14,695 | New |
| Carroll Financial Associates, Inc. | 14,900 | $160.0K | 0.01% | −24,800−62.5% | Reduced |
| Moors & Cabot, Inc. | 15,800 | $171.0K | 0.01% | −10,000−38.8% | Reduced |
| NEXT Financial Group, Inc | 15,969 | $172.0K | 0.01% | +2,269+16.6% | Added |
| Cresset Asset Management, LLC | 17,000 | $183.0K | 0.00% | +17,000 | New |
| Washington Trust Co | 18,150 | $195.0K | 0.01% | −15,150−45.5% | Reduced |
| V Wealth Advisors LLC | 18,343 | $198.0K | 0.03% | +56+0.3% | Added |
| Integrated Capital Management, Inc. | 18,628 | $200.0K | 0.16% | +3,744+25.2% | Added |
| Winmill & Co. Inc | 19,330 | $208.0K | 0.07% | 00.0% | Unchanged |
| Stephens Inc | 20,189 | $217.0K | 0.00% | −1,430−6.6% | Reduced |
| UBS Group AG | 21,945 | $236.0K | 0.00% | −11,113−33.6% | Reduced |
| Arlington Capital Management, Inc. | 21,944 | $236.0K | 0.44% | +21,944 | New |
| Cantor Fitzgerald Investment Adviser L.P. | 24,274 | $261.0K | 0.02% | +5,000+25.9% | Added |
| Avantax Advisory Services, Inc. | 25,300 | $273.0K | 0.00% | +4,300+20.5% | Added |
| Ahrens Investment Partners LLC | 27,300 | $294.0K | 0.14% | −17,000−38.4% | Reduced |
| Pekin Hardy Strauss, Inc. | 27,424 | $295.0K | 0.04% | +328+1.2% | Added |
| Advisors Asset Management, Inc. | 27,769 | $299.0K | 0.00% | −90−0.3% | Reduced |
| Global Retirement Partners, LLC | 29,742 | $320.0K | 0.03% | +406+1.4% | Added |
| KFA Private Wealth Group, LLC | 30,150 | $325.0K | 0.18% | +284+1.0% | Added |
| TCG Advisory Services, LLC | 30,489 | $328.0K | 0.09% | +30,489 | New |
| Foresight Wealth Management, LLC | 31,001 | $334.0K | 0.15% | +9,243+42.5% | Added |
| Bank of America Corp | 33,462 | $360.0K | 0.00% | +13,620+68.6% | Added |
| Independent Financial Group, LLC | 34,695 | $373.7K | 0.04% | 00.0% | Unchanged |
| Millennium Management LLC | 37,244 | $401.0K | 0.00% | +37,244 | New |
| Cetera Investment Advisers | 37,555 | $404.0K | 0.01% | −4,264−10.2% | Reduced |
| CSS LLC | 38,883 | $419.0K | 0.02% | 00.0% | Unchanged |
| Spire Wealth Management | 39,057 | $421.0K | 0.01% | +12,300+46.0% | Added |
| Knightsbridge Asset Management, LLC | 40,991 | $441.0K | 0.16% | +40,991 | New |
| Mid Atlantic Financial Management Inc | 43,300 | $466.0K | 0.03% | +3,800+9.6% | Added |
| HighTower Advisors, LLC | 44,353 | $479.0K | 0.00% | +84+0.2% | Added |
| Kestra Advisory Services, LLC | 48,592 | $523.0K | 0.01% | +14,139+41.0% | Added |
| Cetera Advisor Networks LLC | 53,367 | $575.0K | 0.01% | −173−0.3% | Reduced |
| MONECO Advisors, LLC | 57,493 | $619.0K | 0.24% | −97,631−62.9% | Reduced |
| Yakira Capital Management, Inc. | 64,884 | $699.0K | 0.11% | 00.0% | Unchanged |
| Kingsview Wealth Management, LLC | 66,229 | $713.0K | 0.03% | −2,596−3.8% | Reduced |
| Barclays PLC | 53,624 | $745.0K | 0.00% | +8,275+18.2% | Added |
| Arnhold LLC | 72,500 | $781.0K | 0.09% | +72,500 | New |
| AEGON USA Investment Management, LLC | 74,565 | $803.0K | 0.24% | +5,351+7.7% | Added |
| Janney Montgomery Scott LLC | 83,400 | $898.0K | 0.00% | +4,459+5.6% | Added |
| Sigma Planning Corp | 87,080 | $938.0K | 0.03% | −264−0.3% | Reduced |
| Arete Wealth Advisors, LLC | 89,350 | $962.0K | 0.11% | +1,493+1.7% | Added |
| Truist Financial Corp | 95,750 | $1.03M | 0.00% | +208+0.2% | Added |
| Steward Partners Investment Advisory, LLC | 96,975 | $1.04M | 0.02% | +9,490+10.8% | Added |
| Park Avenue Securities LLC | 100,303 | $1.08M | 0.02% | +8,201+8.9% | Added |
| Koshinski Asset Management, Inc. | 102,637 | $1.11M | 0.10% | +34,085+49.7% | Added |
| 6 Meridian | 113,450 | $1.22M | 0.10% | −26,913−19.2% | Reduced |
| Marks Group Wealth Management, Inc | 115,740 | $1.25M | 0.17% | +115,740 | New |
| Pinnacle Wealth Planning Services, Inc. | 128,285 | $1.38M | 0.31% | +4,998+4.1% | Added |
| Aristides Capital LLC | 164,616 | $1.77M | 1.32% | 00.0% | Unchanged |
| Bokf, NA | 207,929 | $2.24M | 0.04% | +207,929 | New |
| Raymond James & Associates | 264,416 | $2.85M | 0.00% | +153,076+137.5% | Added |
| Icon Advisers Inc | 269,948 | $2.91M | 0.49% | +236,836+715.3% | Added |
| Beach Point Capital Management LP | 324,502 | $3.50M | 0.62% | +149,041+84.9% | Added |
| Commonwealth Equity Services, LLC | 327,045 | $3.52M | 0.01% | +12,661+4.0% | Added |
| Highland Capital Management Fund Advisors, L.P. | 334,005 | $3.60M | 0.62% | +234,005+234.0% | Added |
| Geneos Wealth Management Inc. | 431,988 | $4.64M | 0.18% | −12,747−2.9% | Reduced |
| Bulldog Investors, LLP | 440,679 | $4.75M | 1.35% | +440,679 | New |
| IHT Wealth Management, LLC | 475,519 | $5.12M | 0.42% | +3,330+0.7% | Added |
| Oppenheimer & Co Inc | 484,755 | $5.22M | 0.10% | +16,312+3.5% | Added |
| Envestnet Asset Management Inc | 489,636 | $5.27M | 0.00% | +57,078+13.2% | Added |
| Cowen and Company, LLC | 500,000 | $5.38M | 0.26% | +500,000 | New |
| Antara Capital LP | 575,378 | $6.20M | 1.22% | −517,844−47.4% | Reduced |
| Nomura Holdings Inc | 620,000 | $6.68M | 0.05% | +620,000 | New |
| Advisor Group Holdings, Inc. | 637,780 | $6.87M | 0.01% | +5,468+0.9% | Added |
| Camelot Portfolios, LLC | 681,199 | $7.34M | 3.77% | +72,893+12.0% | Added |
| LPL Financial LLC | 787,062 | $8.48M | 0.01% | +74,756+10.5% | Added |
| Penserra Capital Management LLC | 935,263 | $10.1M | 0.21% | −731,329−43.9% | Reduced |
| Rivernorth Capital Management, LLC | 998,245 | $10.7M | 0.57% | +998,245 | New |
| Quantedge Capital Pte Ltd | 1,023,232 | $11.0M | 5.33% | +275,658+36.9% | Added |
| Cambridge Investment Research Advisors, Inc. | 1,211,634 | $13.0M | 0.06% | +65,129+5.7% | Added |
| Wells Fargo & Company | 1,214,558 | $13.1M | 0.00% | −97,851−7.5% | Reduced |
| Matisse Capital | 1,233,000 | $13.3M | 4.89% | −144,000−10.5% | Reduced |
| Invesco Ltd. | 1,462,248 | $15.7M | 0.00% | +72,773+5.2% | Added |
| Royal Bank of Canada | 1,885,662 | $20.3M | 0.01% | +131,260+7.5% | Added |
| Thomas J. Herzfeld Advisors, Inc. | 2,535,919 | $27.3M | 12.06% | +33,564+1.3% | Added |
| Morgan Stanley | 4,285,838 | $46.2M | 0.01% | +52,016+1.2% | Added |
| Advisor Resource Council | 0 | $0 | 0.00% | −100,089−100.0% | Sold out |