Hercules Capital, Inc.
HTGC- Exchange
- NYSE
- SEC CIK
- 0001280784
No open-market purchases or sales by Hercules Capital, Inc. insiders were filed in the last 90 days; 332 institutions reported holding it in 13F filings for Q2 2026, worth $815.0M in total; no superinvestor holds it.
Other share classesHCXY
13F holders, Q3 2021
Institutional positions in Hercules Capital, Inc. 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
- 219
- +7 vs. Q2 2021
- Shares held
- 30.7M
- −757.3K (−2.4%) vs. Q2 2021
- Total value
- $511.5M
- −$25.3M (−4.7%) vs. Q2 2021
- New holders
- 28
- 83 more added
- Sold out
- 21
- 60 more reduced
2 institutions 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 HTGC 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 | 332 | $815.0M |
| Q1 2026 | 349 | $744.0M |
| Q4 2025 | 354 | $937.8M |
| Q3 2025 | 343 | $882.3M |
| Q2 2025 | 326 | $843.8M |
| Q1 2025 | 326 | $774.9M |
| Q4 2024 | 334 | $760.4M |
| Q3 2024 | 299 | $640.1M |
| Q2 2024 | 288 | $671.2M |
| Q1 2024 | 294 | $618.4M |
| Q4 2023 | 290 | $535.2M |
| Q3 2023 | 266 | $482.0M |
| Q2 2023 | 249 | $418.2M |
| Q1 2023 | 257 | $403.7M |
| Q4 2022 | 263 | $434.2M |
| Q3 2022 | 237 | $364.1M |
| Q2 2022 | 249 | $410.2M |
| Q1 2022 | 241 | $537.2M |
| Q4 2021 | 246 | $515.4M |
| Q3 2021 | 219 | $511.5M |
| Q2 2021 | 214 | $537.2M |
| Q1 2021 | 213 | $509.7M |
Institutions, Q3 2021
Shares, value and share of portfolio for each institution holding Hercules Capital, Inc.; share changes are against Q2 2021.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Continuum Advisory, LLC | 22,051 | $366.0K | 0.10% | −1,500−6.4% | Reduced |
| Kovack Advisors, Inc. | 24,708 | $410.0K | 0.04% | +432+1.8% | Added |
| Geneos Wealth Management Inc. | 25,219 | $419.0K | 0.02% | +314+1.3% | Added |
| Wealthsource Partners, LLC | 26,010 | $432.0K | 0.04% | +645+2.5% | Added |
| Sit Investment Associates Inc | 26,675 | $443.0K | 0.01% | 00.0% | Unchanged |
| North Star Investment Management Corp. | 27,803 | $462.0K | 0.04% | +44+0.2% | Added |
| Exchange Traded Concepts, LLC | 28,460 | $473.0K | 0.01% | −781−2.7% | Reduced |
| Golden State Wealth Management, LLC | 29,086 | $483.0K | 0.11% | +29,086 | New |
| First National Bank of Mount Dora, Trust Investment Services | 29,246 | $486.0K | 0.16% | 00.0% | Unchanged |
| Prelude Capital Management, LLC | 29,575 | $491.0K | 0.03% | 00.0% | Unchanged |
| Stratos Wealth Partners, LTD. | 29,744 | $494.0K | 0.01% | −1,332−4.3% | Reduced |
| Cerity Partners LLC | 29,793 | $495.0K | 0.01% | +363+1.2% | Added |
| Pathstone Family Office, LLC | 29,866 | $498.0K | 0.01% | +18,866+171.5% | Added |
| Caxton Associates LP | 30,823 | $512.0K | 0.07% | +16,214+111.0% | Added |
| Claybrook Capital, LLC | 32,620 | $542.0K | 0.27% | +32,620 | New |
| Allianz Asset Management GmbH | 33,055 | $549.0K | 0.00% | +1,952+6.3% | Added |
| Lindbrook Capital, LLC | 33,272 | $553.0K | 0.14% | −2,000−5.7% | Reduced |
| Avantax Advisory Services, Inc. | 35,133 | $589.0K | 0.01% | −19,421−35.6% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 35,457 | $589.0K | 0.00% | +11,315+46.9% | Added |
| Archer Investment Corp | 35,500 | $589.7K | 0.22% | 00.0% | Unchanged |
| Steward Partners Investment Advisory, LLC | 35,537 | $590.0K | 0.01% | +428+1.2% | Added |
| Virtus ETF Advisers LLC | 35,660 | $592.0K | 0.26% | +2,408+7.2% | Added |
| Envestnet Asset Management Inc | 37,887 | $629.0K | 0.00% | +16,394+76.3% | Added |
| Future Financial Wealth Managment LLC | 37,000 | $631.0K | 0.65% | 00.0% | Unchanged |
| Cetera Advisors LLC | 40,095 | $666.0K | 0.01% | +4,807+13.6% | Added |
| US Bancorp | 40,222 | $669.0K | 0.00% | +567+1.4% | Added |
| Truist Financial Corp | 41,166 | $684.0K | 0.00% | −2,972−6.7% | Reduced |
| Mirae Asset Global Investments Co., Ltd. | 41,828 | $694.0K | 0.00% | −9,456−18.4% | Reduced |
| Schonfeld Strategic Advisors LLC | 42,900 | $713.0K | 0.01% | −4,900−10.3% | Reduced |
| Boston Private Wealth LLC | 43,606 | $725.0K | 0.01% | −78,142−64.2% | Reduced |
| Great West Life Assurance Co | 44,332 | $741.0K | 0.00% | +6,867+18.3% | Added |
| HighTower Advisors, LLC | 44,903 | $749.0K | 0.00% | −69,543−60.8% | Reduced |
| Baker Avenue Asset Management, LP | 45,999 | $764.0K | 0.04% | +35,749+348.8% | Added |
| Sterling Investment Advisors, Ltd. | 47,900 | $796.0K | 0.24% | 00.0% | Unchanged |
| First Republic Investment Management, Inc. | 48,986 | $814.0K | 0.00% | +2,013+4.3% | Added |
| Occudo Quantitative Strategies LP | 49,496 | $822.0K | 0.10% | +49,496 | New |
| Greylin Investment Mangement Inc | 50,000 | $831.0K | 0.17% | −1,950−3.8% | Reduced |
| Goldman Sachs Group Inc | 50,179 | $833.0K | 0.00% | +4,556+10.0% | Added |
| Private Advisor Group, LLC | 50,356 | $836.0K | 0.01% | +3,838+8.3% | Added |
| Naples Global Advisors, LLC | 51,891 | $862.0K | 0.11% | +2,845+5.8% | Added |
| Tectonic Advisors LLC | 52,838 | $878.0K | 0.17% | +16,331+44.7% | Added |
| Jag Capital Management, LLC | 57,949 | $963.0K | 0.08% | +70.0% | Added |
| BNP Paribas Arbitrage, SA | 59,778 | $992.9K | 0.00% | +12,405+26.2% | Added |
| Northern Trust Corp | 60,655 | $1.01M | 0.00% | −26,310−30.3% | Reduced |
| Bank of America Corp | 64,478 | $1.07M | 0.00% | −17,284−21.1% | Reduced |
| Duality Advisers, LP | 65,450 | $1.09M | 0.08% | +990+1.5% | Added |
| Ameriprise Financial Inc | 67,957 | $1.13M | 0.00% | +16,560+32.2% | Added |
| Arkadios Wealth Advisors | 68,943 | $1.15M | 0.17% | +2,988+4.5% | Added |
| Baird Financial Group, Inc. | 69,451 | $1.15M | 0.00% | −427−0.6% | Reduced |
| Deutsche Bank AG | 71,606 | $1.19M | 0.00% | −7,854−9.9% | Reduced |
| D. E. Shaw & Co., Inc. | 74,109 | $1.23M | 0.00% | −140,644−65.5% | Reduced |
| AE Wealth Management LLC | 75,756 | $1.26M | 0.01% | −1,190−1.5% | Reduced |
| Taylor Frigon Capital Management LLC | 79,577 | $1.32M | 0.43% | +676+0.9% | Added |
| Cambridge Investment Research Advisors, Inc. | 80,740 | $1.34M | 0.01% | −3,630−4.3% | Reduced |
| Delphi Management Inc | 81,182 | $1.35M | 1.39% | −1,102−1.3% | Reduced |
| Guggenheim Capital LLC | 82,130 | $1.36M | 0.01% | −70,214−46.1% | Reduced |
| D.A. Davidson & Co. | 82,616 | $1.37M | 0.02% | +82,616 | New |
| Creegan & Nassoura Financial Group, LLC | 84,495 | $1.40M | 1.20% | 00.0% | Unchanged |
| International Assets Investment Management, LLC | 84,820 | $1.41M | 0.25% | −1,872−2.2% | Reduced |
| FourThought Financial, LLC | 90,823 | $1.51M | 0.20% | −6,393−6.6% | Reduced |
| FIL Ltd | 98,191 | $1.64M | 0.00% | +23,652+31.7% | Added |
| Polaris Capital Management, LLC | 105,998 | $1.76M | 0.06% | 00.0% | Unchanged |
| Advisory Research Inc | 109,548 | $1.82M | 0.12% | −3,050−2.7% | Reduced |
| Rockefeller Capital Management L.P. | 115,604 | $1.92M | 0.01% | −767−0.7% | Reduced |
| Advisor Group Holdings, Inc. | 118,703 | $1.97M | 0.00% | −2,067−1.7% | Reduced |
| Mackenzie Financial Corp | 119,302 | $1.98M | 0.00% | +16,449+16.0% | Added |
| Bramshill Investments, LLC | 123,564 | $2.05M | 0.17% | −39,816−24.4% | Reduced |
| DnB Asset Management AS | 126,316 | $2.10M | 0.01% | +14,111+12.6% | Added |
| Janney Montgomery Scott LLC | 132,667 | $2.20M | 0.01% | +4,920+3.9% | Added |
| Mount Yale Investment Advisors, LLC | 132,901 | $2.21M | 0.25% | +132,901 | New |
| SG Americas Securities, LLC | 136,600 | $2.27M | 0.01% | +117,800+626.6% | Added |
| Susquehanna International Group, LLP | 136,926 | $2.27M | 0.00% | −100−0.1% | Reduced |
| Legacy Capital Wealth Partners, LLC | 68,283 | $2.38M | 0.93% | +68,283 | New |
| Blair William & Co | 146,402 | $2.43M | 0.01% | +2,460+1.7% | Added |
| Financial Advisory Service, Inc. | 147,343 | $2.45M | 0.23% | +20,169+15.9% | Added |
| Security National Bank | 154,767 | $2.57M | 0.64% | +3,257+2.1% | Added |
| Uniplan Investment Counsel, Inc. | 156,649 | $2.60M | 0.16% | +156,649 | New |
| Sigma Planning Corp | 160,719 | $2.67M | 0.08% | −5,669−3.4% | Reduced |
| Tudor Investment Corp Et Al | 167,200 | $2.78M | 0.06% | +83,523+99.8% | Added |
| Neuberger Berman Group LLC | 174,292 | $2.90M | 0.00% | +2,980+1.7% | Added |
| Commonwealth Equity Services, LLC | 178,164 | $2.96M | 0.01% | +15,797+9.7% | Added |
| Voloridge Investment Management, LLC | 189,341 | $3.15M | 0.02% | +3,856+2.1% | Added |
| A. D. Beadell Investment Counsel, Inc. | 191,450 | $3.18M | 2.06% | −200−0.1% | Reduced |
| Raymond James & Associates | 204,343 | $3.39M | 0.00% | +45,655+28.8% | Added |
| Hennion & Walsh Asset Management, Inc. | 209,804 | $3.48M | 0.18% | +8,178+4.1% | Added |
| Parametric Portfolio Associates LLC | 230,283 | $3.83M | 0.00% | −3,183−1.4% | Reduced |
| Capital Advisory Group Advisory Services, LLC | 266,150 | $4.42M | 1.60% | −527−0.2% | Reduced |
| The PNC Financial Services Group, Inc. | 266,138 | $4.42M | 0.00% | +601+0.2% | Added |
| Alliancebernstein L.P. | 268,404 | $4.46M | 0.00% | 00.0% | Unchanged |
| Standard Life Aberdeen plc | 278,628 | $4.66M | 0.01% | +46,328+19.9% | Added |
| LSV Asset Management | 283,310 | $4.71M | 0.01% | −30,460−9.7% | Reduced |
| LPL Financial LLC | 292,867 | $4.87M | 0.00% | +26,607+10.0% | Added |
| Natixis | 318,719 | $5.29M | 0.02% | +12,808+4.2% | Added |
| Shanda Asset Management Holdings Ltd | 333,350 | $5.54M | 1.04% | −666,650−66.7% | Reduced |
| Advisors Asset Management, Inc. | 374,028 | $6.21M | 0.09% | +49,622+15.3% | Added |
| McGowan Group Asset Management, Inc. | 408,887 | $6.79M | 1.16% | +11,732+3.0% | Added |
| Confluence Investment Management LLC | 410,429 | $6.82M | 0.10% | +1,719+0.4% | Added |
| McKinley Capital Management LLC /Delaware | 421,248 | $7.00M | 0.66% | +78,272+22.8% | Added |
| Stifel Financial Corp | 486,575 | $8.08M | 0.01% | −85,321−14.9% | Reduced |
| Sumitomo Mitsui Trust Holdings, Inc. | 498,859 | $8.29M | 0.01% | −119,363−19.3% | Reduced |