Vault-13

NORTHERN LTS FD TR III LGH

HCM DEFEN 500 · ETP · CUSIP 66538R730

25 institutional holders -4 vs Q3 2023
6,006,7756.0m shares reported held*
$247.0mreported value*
2 new 14 added 7 reduced 7 sold out net sold ≈ $2.4m (-59.2k 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 ≈ $41.12.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

02040Q3 22: 32Q4 22: 29Q1 23: 29Q2 23: 27Q3 23: 29Q4 23: 2525Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202232
Q4 202229
Q1 202329
Q2 202327
Q3 202329
Q4 202325

Buyers vs sellers

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

Bought or addedCut or sold out
20020Q4 22: 10 bought or addedQ4 22: 20 cut or sold outQ4 22Q1 23: 13 bought or addedQ1 23: 15 cut or sold outQ1 23Q2 23: 11 bought or addedQ2 23: 17 cut or sold outQ2 23Q3 23: 18 bought or addedQ3 23: 11 cut or sold outQ3 23Q4 23: 16 bought or addedQ4 23: 14 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20221020
Q1 20231315
Q2 20231117
Q3 20231811
Q4 20231614

Biggest buyers

Mariner, LLC New +103,164+103.2k
Orion Porfolio Solutions, LLC Added +46,678+46.7k
Orion Portfolio Solutions, LLC Added +46,678+46.7k
Howard Capital Management, LLC Added +19,857+19.9k
ENVESTNET ASSET MANAGEMENT INC Added +16,661+16.7k
OSAIC HOLDINGS, INC. Added +12,825+12.8k
Cetera Investment Advisers Added +12,535+12.5k
Fiduciary Alliance LLC Added +10,005+10.0k
Foundations Investment Advisors, LLC Added +7,501+7.5k
Brookstone Capital Management Added +5,442+5.4k

Biggest sellers

Cambridge Investment Research Advisors, Inc. Reduced -143,196-143.2k
GTS SECURITIES LLC Sold out -119,404-119.4k
Delta Investment Management, LLC Sold out -35,200-35.2k
AE Wealth Management LLC Sold out -20,110-20.1k
IFP Advisors, Inc Reduced -10,723-10.7k
MONEY CONCEPTS CAPITAL CORP Sold out -7,845-7.8k
Atria Wealth Solutions, Inc. Sold out -5,478-5.5k
J.W. COLE ADVISORS, INC. Reduced -2,257-2.3k
UBS Group AG Sold out -950-950
Cetera Advisor Networks LLC Reduced -917-917

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Howard Capital Management, LLC 18.71% of their portfolio Alpharetta, GA 3,677,6913.7m $151.4m $151.4m 18.71% Added +19.9k +19,857
2 Cambridge Investment Research Advisors, Inc. 0.07% of their portfolio FAIRFIELD, IA 399,093399.1k $16.4m $16.4m 0.07% Reduced -143.2k -143,196
3 Orion Porfolio Solutions, LLC 0.14% of their portfolio OMAHA, NE 302,949302.9k $12.4m $12.4m 0.14% Added +46.7k +46,678
4 Orion Portfolio Solutions, LLC 0.14% of their portfolio Omaha, NE 302,949302.9k $12.4m $12.4m 0.14% Added +46.7k +46,678
5 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 285,051285.1k $11.7m $11.7m 0.00% Added +16.7k +16,661
6 Brookstone Capital Management 0.18% of their portfolio WHEATON, IL 225,519225.5k $9.3m $9.3m 0.18% Added +5.4k +5,442
7 J.W. COLE ADVISORS, INC. 0.43% of their portfolio TAMPA, FL 178,661178.7k $7.4m $7.4m 0.43% Reduced -2.3k -2,257
8 Cetera Investment Advisers 0.04% of their portfolio SCHAUMBURG, IL 110,943110.9k $4.6m $4.6m 0.04% Added +12.5k +12,535
9 Mariner, LLC 0.01% of their portfolio Overland Park, KS 103,164103.2k $4.2m $4.2m 0.01% New
10 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 60,94260.9k $2.5m $2.5m 0.00% Added +12.8k +12,825
11 CPR Investments Inc. 2.18% of their portfolio Rochester, MI 54,68354.7k $2.3m $2.3m 2.18% Added +117 +117
12 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 47,88647.9k $2.0m $2.0m 0.01% Reduced -917 -917
13 Lifestyle Asset Management, Inc. 0.98% of their portfolio FRIENDSWOOD, TX 42,81542.8k $1.8m $1.8m 0.98% Added +93 +93
14 IFP Advisors, Inc 0.07% of their portfolio TAMPA, FL 36,02036.0k $1.5m $1.5m 0.07% Reduced -10.7k -10,723
15 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 35,06735.1k $1.4m $1.4m 0.00% Added +2.3k +2,328
16 PANORAMIC INVESTMENT ADVISORS, LLC 1.20% of their portfolio DENVER, CO 33,76333.8k $1.4m $1.4m 1.20% Reduced -517 -517
17 Cetera Advisors LLC 0.02% of their portfolio DENVER, CO 29,55829.6k $1.2m $1.2m 0.02% Added +750 +750
18 Fiduciary Alliance LLC 0.22% of their portfolio GREENVILLE, SC 26,70326.7k $1.1m $1.1m 0.22% Added +10.0k +10,005
19 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 25,18125.2k $1.0m $1.0m 0.00% Added +3.0k +2,992
20 Foundations Investment Advisors, LLC 0.02% of their portfolio PHOENIX, AZ 16,17016.2k $684.5k $684.5k 0.02% Added +7.5k +7,501
21 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 8,3878.4k $345.0k $345.0k 0.00% Reduced -563 -563
22 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 2,2882.3k $94.2k $94.2k 0.00% Reduced -311 -311
23 Global Retirement Partners, LLC 0.00% of their portfolio San Rafael, CA 652652 $26.6k $26.6k 0.00% New
24 Creekmur Asset Management LLC 0.01% of their portfolio MORTON, IL 640640 $26.3k $26.3k 0.01% First filing
25 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged