Vault-13

HANCOCK JOHN FINL OPPTYS FD BTO

SH BEN INT NEW · Closed-End Fund · CUSIP 409735206

77 institutional holders +7 vs Q2 2024
4,179,5024.2m shares reported held*
$138.5mreported value*
9 new 25 added 21 reduced 2 sold out net bought ≈ $7.9m (+237.3k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $33.13.

Trends to Q3 2024

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 65Q4 22: 62Q1 23: 69Q2 23: 68Q3 23: 68Q4 23: 77Q1 24: 70Q2 24: 70Q3 24: 7777Q3 22Q1 23Q3 23Q1 24Q3 24
Numbers
QuarterHolders
Q3 202265
Q4 202262
Q1 202369
Q2 202368
Q3 202368
Q4 202377
Q1 202470
Q2 202470
Q3 202477

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
40040Q4 22: 28 bought or addedQ4 22: 21 cut or sold outQ1 23: 40 bought or addedQ1 23: 19 cut or sold outQ1 23Q2 23: 31 bought or addedQ2 23: 33 cut or sold outQ3 23: 30 bought or addedQ3 23: 26 cut or sold outQ3 23Q4 23: 31 bought or addedQ4 23: 25 cut or sold outQ1 24: 26 bought or addedQ1 24: 32 cut or sold outQ1 24Q2 24: 36 bought or addedQ2 24: 19 cut or sold outQ3 24: 34 bought or addedQ3 24: 23 cut or sold outQ3 24
Numbers
QuarterBought or addedCut or sold out
Q4 20222821
Q1 20234019
Q2 20233133
Q3 20233026
Q4 20233125
Q1 20242632
Q2 20243619
Q3 20243423

Biggest buyers

Cornerstone Advisors, LLC Added +129,371+129.4k
Gilliland Jeter Wealth Management LLC Added +38,875+38.9k
STEPHENS INC /AR/ Added +33,233+33.2k
ROYAL BANK OF CANADA Added +32,825+32.8k
LPL Financial LLC Added +22,488+22.5k
Triumph Capital Management New +20,322+20.3k
Shaker Financial Services, LLC Added +18,814+18.8k
Raymond James Financial Services Advisors, Inc. Added +17,552+17.6k
HighTower Advisors, LLC New +15,438+15.4k
MORGAN STANLEY Added +12,539+12.5k

Biggest sellers

WOLVERINE ASSET MANAGEMENT LLC Sold out -39,148-39.1k
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. Reduced -32,094-32.1k
STIFEL FINANCIAL CORP Reduced -23,846-23.8k
WINTRUST INVESTMENTS LLC Reduced -11,477-11.5k
Atria Wealth Solutions, Inc. Sold out -10,393-10.4k
OSAIC HOLDINGS, INC. Reduced -10,314-10.3k
UBS Group AG Reduced -6,096-6.1k
Aurora Investment Counsel Reduced -5,615-5.6k
OPPENHEIMER & CO INC Reduced -2,649-2.6k
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC Reduced -1,764-1.8k

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
FIRST TRUST PORTFOLIOS LP 13G · institution new · filed 2026-01-30 5.4% new 1.1m≈ $42.0m 2026-01-30

Insider purchases and sales in Q3 2024

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
101Q4 22: 0 buyingQ4 22: 0 sellingQ1 23: 0 buyingQ1 23: 0 sellingQ1 23Q2 23: 0 buyingQ2 23: 0 sellingQ3 23: 0 buyingQ3 23: 0 sellingQ3 23Q4 23: 1 buyingQ4 23: 0 sellingQ1 24: 1 buyingQ1 24: 0 sellingQ1 24Q2 24: 0 buyingQ2 24: 0 sellingQ3 24: 0 buyingQ3 24: 0 sellingQ3 24
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q4 20220—0——
Q1 20230—0——
Q2 20230—0——
Q3 20230—0——
Q4 20231$10.9k0——
Q1 20241$15.7k0——
Q2 20240—0——
Q3 20240—0——

None reported in Q3 2024.

Holders, Q3 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,277,4461.3m $42.4m $42.4m 0.00% Added +12.5k +12,539
2 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 596,441596.4k $19.8m $19.8m 0.00% Added +5.7k +5,656
3 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 401,058401.1k $13.3m $13.3m 0.02% Added +17.6k +17,552
4 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 227,960228.0k $7.6m $7.6m 0.00% Added +32.8k +32,825
5 Cornerstone Advisors, LLC 0.30% of their portfolio ASHEVILLE, NC 226,737226.7k $7.5m $7.5m 0.30% Added +129.4k +129,371
6 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 206,785206.8k $6.9m $6.9m 0.02% Added +321 +321
7 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 116,331116.3k $3.9m $3.9m 0.00% Reduced -1.4k -1,447
8 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 111,370111.4k $3.7m $3.7m 0.00% Added +22.5k +22,488
9 FCA CORP /TX 0.96% of their portfolio HOUSTON, TX 93,99294.0k $3.1m $3.1m 0.96% Added +903 +903
10 Aurora Investment Counsel 1.50% of their portfolio ATLANTA, GA 83,66483.7k $2.8m $2.8m 1.50% Reduced -5.6k -5,615
11 NORTH STAR ASSET MANAGEMENT INC 0.11% of their portfolio NEENAH, WI 74,49874.5k $2.5m $2.5m 0.11% Reduced -706 -706
12 Gilliland Jeter Wealth Management LLC 0.37% of their portfolio LITTLE ROCK, AR 71,03871.0k $2.2m $2.2m 0.37% Added +38.9k +38,875
13 Shaker Financial Services, LLC 0.75% of their portfolio Arlington, VA 59,65459.7k $2.0m $2.0m 0.75% Added +18.8k +18,814
14 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 55,91855.9k $1.9m $1.9m 0.00% Reduced -23.8k -23,846
15 STEPHENS INC /AR/ 0.02% of their portfolio LITTLE ROCK, AR 44,75744.8k $1.5m $1.5m 0.02% Added +33.2k +33,233
16 UBS Group AG 0.00% of their portfolio ZURICH, V8 41,52041.5k $1.4m $1.4m 0.00% Reduced -6.1k -6,096
17 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 38,89938.9k $1.3m $1.3m 0.00% Added +2.7k +2,722
18 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 37,72537.7k $1.3m $1.3m 0.00% Added +1.9k +1,850
19 World Investment Advisors 0.04% of their portfolio LINCROFT, NJ 35,94335.9k $1.2m $1.2m 0.04% Reduced -721 -721
20 Samalin Investment Counsel, LLC 0.36% of their portfolio CHAPPAQUA, NY 24,86224.9k $824.4k $824.4k 0.36% Reduced -708 -708
21 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 23,99024.0k $795.5k $795.5k 0.01% Reduced -2.6k -2,649
22 Triumph Capital Management 0.24% of their portfolio DENVER, CO 20,32220.3k $673.9k $673.9k 0.24% New
23 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 19,33619.3k $641.2k $641.2k 0.00% Added +10.9k +10,939
24 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 19,30619.3k $640.3k $640.3k 0.00% Reduced -10.3k -10,314
25 Mariner, LLC 0.00% of their portfolio Overland Park, KS 18,21518.2k $604.0k $604.0k 0.00% Added +639 +639
26 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 18,06118.1k $599.0k $599.0k 0.00% Reduced -1.8k -1,756
27 PEAPACK GLADSTONE FINANCIAL CORP 0.01% of their portfolio BEDMINSTER, NJ 17,06317.1k $566.0k $566.0k 0.01% Unchanged
28 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 15,43815.4k $511.0k $511.0k 0.00% New
29 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 13,97814.0k $463.5k $463.5k 0.00% Added +1.0k +1,015
30 L.M. KOHN & COMPANY 0.11% of their portfolio CINCINNATI, OH 12,69112.7k $420.8k $420.8k 0.11% Added +425 +425
31 All Season Financial Advisors, Inc. 0.35% of their portfolio DENVER, CO 12,33312.3k $409.0k $409.0k 0.35% Reduced -1.2k -1,217
32 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 11,19211.2k $371.1k $371.1k 0.00% Reduced -1.0k -1,029
33 D.A. DAVIDSON & CO. 0.00% of their portfolio GREAT FALLS, MT 11,11211.1k $368.5k $368.5k 0.00% Reduced -485 -485
34 Institute for Wealth Management, LLC. 0.05% of their portfolio DENVER, CO 10,78410.8k $357.6k $357.6k 0.05% Reduced -20 -20
35 Avidian Wealth Enterprises, LLC 0.02% of their portfolio Houston, TX 10,46410.5k $347.0k $347.0k 0.02% Unchanged
36 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 10,39510.4k $344.7k $344.7k 0.00% Added +4.9k +4,900
37 Formidable Asset Management, LLC 0.05% of their portfolio CINCINNATI, OH 9,9109.9k $328.6k $328.6k 0.05% Reduced -1.3k -1,300
38 J.W. COLE ADVISORS, INC. 0.01% of their portfolio TAMPA, FL 8,9378.9k $296.3k $296.3k 0.01% Added +120 +120
39 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.03% of their portfolio Englewood, NJ 8,8408.8k $293.1k $293.1k 0.03% Reduced -32.1k -32,094
40 Redwood Wealth Management Group, LLC 0.15% of their portfolio MEDFORD, NJ 8,8298.8k $292.8k $292.8k 0.15% Unchanged
41 WEDBUSH SECURITIES INC 0.01% of their portfolio PASADENA, CA 8,6888.7k $288.0k $288.0k 0.01% Reduced -50 -50
42 Abel Hall, LLC 0.17% of their portfolio BATON ROUGE, LA 8,0008.0k $265.3k $265.3k 0.17% Unchanged
43 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 7,8607.9k $260.6k $260.6k 0.00% Added +226 +226
44 Tower Research Capital LLC (TRC) 0.01% of their portfolio NEW YORK, NY 7,3457.3k $243.6k $243.6k 0.01% Added +7.3k +7,342
45 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 6,3356.3k $210.1k $210.1k 0.00% New
46 COMERICA BANK 0.00% of their portfolio DALLAS, TX 5,0335.0k $166.9k $166.9k 0.00% Reduced -102 -102
47 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 4,0174.0k $133.2k $133.2k 0.00% Unchanged
48 Mendota Financial Group, LLC 0.06% of their portfolio MADISON, WI 3,8263.8k $126.9k $126.9k 0.06% Reduced -659 -659
49 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 3,3863.4k $112.3k $112.3k 0.00% Added +2 +2
50 Jaffetilchin Investment Partners, LLC 0.01% of their portfolio TAMPA, FL 2,9362.9k $97.4k $97.4k 0.01% New
51 EverSource Wealth Advisors, LLC 0.01% of their portfolio BIRMINGHAM, AL 2,5002.5k $82.9k $82.9k 0.01% Unchanged
52 PRIVATE TRUST CO NA 0.01% of their portfolio CLEVELAND, OH 1,5001.5k $49.7k $49.7k 0.01% Unchanged
53 CIBC Private Wealth Group LLC 0.00% of their portfolio ATLANTA, GA 1,2411.2k $41.2k $41.2k 0.00% Added +941 +941
54 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 1,0761.1k $35.7k $35.7k 0.00% Unchanged
55 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 907907 $30.1k $30.1k 0.00% New
56 WINTRUST INVESTMENTS LLC 0.02% of their portfolio CHICAGO, IL 699699 $23.0k $23.0k 0.02% Reduced -11.5k -11,477
57 TOTH FINANCIAL ADVISORY CORP 0.00% of their portfolio LEESBURG, VA 670670 $22.2k $22.2k 0.00% Added +10 +10
58 Mechanics Financial Corp 0.01% of their portfolio Mansfield, OH 650650 $21.6k $21.6k 0.01% New
59 THOMPSON INVESTMENT MANAGEMENT, INC. 0.00% of their portfolio MADISON, WI 649649 $21.5k $21.5k 0.00% Unchanged
60 CREATIVE FINANCIAL DESIGNS INC /ADV 0.00% of their portfolio KOKOMO, IN 600600 $19.9k $19.9k 0.00% Unchanged
61 AdvisorNet Financial, Inc 0.00% of their portfolio MINNETONKA, MN 600600 $19.9k $19.9k 0.00% Unchanged
62 CWM, LLC 0.00% of their portfolio OMAHA, NE 514514 $17.0k $17.0k 0.00% Unchanged
63 IFP Advisors, Inc 0.00% of their portfolio TAMPA, FL 500500 $16.6k $16.6k 0.00% Unchanged
64 Spire Wealth Management 0.00% of their portfolio MCLEAN, VA 429429 $14.2k $14.2k 0.00% Unchanged
65 EASTERN BANK 0.00% of their portfolio BOSTON, MA 250250 $8.3k $8.3k 0.00% New
66 Bogart Wealth, LLC 0.00% of their portfolio MCLEAN, VA 231231 $7.7k $7.7k 0.00% Unchanged
67 PRINCIPAL SECURITIES, INC. 0.00% of their portfolio DES MOINES, IA 225225 $7.5k $7.5k 0.00% Unchanged
68 FinTrust Capital Advisors, LLC 0.00% of their portfolio Greenville, SC 213213 $7.1k $7.1k 0.00% New
69 Global Retirement Partners, LLC 0.00% of their portfolio San Rafael, CA 171171 $5.7k $5.7k 0.00% Unchanged
70 Geneos Wealth Management Inc. 0.00% of their portfolio ENGLEWOOD, CO 165165 $5.5k $5.5k 0.00% Unchanged
71 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 146146 $4.8k $4.8k 0.00% Added +66 +66
72 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 125125 $4.1k $4.1k 0.00% Unchanged
73 Investors Research Corp 0.00% of their portfolio ATLANTA, GA 110110 $3.6k $3.6k 0.00% Unchanged
74 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.00% of their portfolio ORLANDO, FL 6161 $1.8k $1.8k 0.00% Reduced -1.8k -1,764
75 CoreCap Advisors, LLC 0.00% of their portfolio SOUTHFIELD, MI 5050 $1.7k $1.7k 0.00% New
76 HUNTINGTON NATIONAL BANK 0.00% of their portfolio COLUMBUS, OH 11 $33 $33 0.00% Unchanged
77 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged