Vault-13

NORTHERN LTS FD TR III QQH

HCM DEFND 100 · ETP · CUSIP 66538R748

31 institutional holders +3 vs Q1 2024
6,622,3966.6m shares reported held*
$407.3mreported value*
4 new 11 added 12 reduced 2 sold out net bought ≈ $9.9m (+160.9k 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 ≈ $61.51. Options: 0 managers hold calls (— notional), 1 hold puts ($0).

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

02040Q3 22: 30Q4 22: 30Q1 23: 29Q2 23: 33Q3 23: 32Q4 23: 33Q1 24: 28Q2 24: 3131Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 202230
Q4 202230
Q1 202329
Q2 202333
Q3 202332
Q4 202333
Q1 202428
Q2 202431

Buyers vs sellers

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

Bought or addedCut or sold out
20020Q4 22: 14 bought or addedQ4 22: 16 cut or sold outQ4 22Q1 23: 11 bought or addedQ1 23: 17 cut or sold outQ2 23: 12 bought or addedQ2 23: 17 cut or sold outQ2 23Q3 23: 20 bought or addedQ3 23: 15 cut or sold outQ4 23: 16 bought or addedQ4 23: 19 cut or sold outQ4 23Q1 24: 14 bought or addedQ1 24: 19 cut or sold outQ2 24: 15 bought or addedQ2 24: 14 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 20221416
Q1 20231117
Q2 20231217
Q3 20232015
Q4 20231619
Q1 20241419
Q2 20241514

Biggest buyers

J.W. COLE ADVISORS, INC. Added +89,005+89.0k
Howard Capital Management, LLC Added +47,655+47.7k
ENVESTNET ASSET MANAGEMENT INC Added +32,480+32.5k
Cetera Investment Advisers Added +28,868+28.9k
Orion Porfolio Solutions, LLC Added +12,962+13.0k
Orion Portfolio Solutions, LLC Added +12,962+13.0k
Atria Investments, Inc New +5,601+5.6k
Foundations Investment Advisors, LLC Added +5,351+5.4k
CPR Investments Inc. Added +4,160+4.2k
Arete Wealth Advisors, LLC New +4,103+4.1k

Biggest sellers

CITADEL ADVISORS LLC Sold out -24,623-24.6k
OSAIC HOLDINGS, INC. Reduced -24,204-24.2k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Sold out -14,703-14.7k
GTS SECURITIES LLC Reduced -8,625-8.6k
IFP Advisors, Inc Reduced -7,097-7.1k
RAYMOND JAMES & ASSOCIATES Reduced -4,873-4.9k
LPL Financial LLC Reduced -1,852-1.9k
MORGAN STANLEY Reduced -1,439-1.4k
Atria Wealth Solutions, Inc. Reduced -716-716
Cambridge Investment Research Advisors, Inc. Reduced -340-340

Biggest calls

None

Biggest puts

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Holders, Q2 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Howard Capital Management, LLC 23.54% of their portfolio Alpharetta, GA 3,888,5403.9m $239.3m $239.3m 23.54% Added +47.7k +47,655
2 Cambridge Investment Research Advisors, Inc. 0.14% of their portfolio FAIRFIELD, IA 613,551613.6k $37.7m $37.7m 0.14% Reduced -340 -340
3 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 395,930395.9k $24.4m $24.4m 0.01% Added +32.5k +32,480
4 Orion Porfolio Solutions, LLC 0.23% of their portfolio OMAHA, NE 347,529347.5k $21.4m $21.4m 0.23% Added +13.0k +12,962
5 Orion Portfolio Solutions, LLC 0.23% of their portfolio Omaha, NE 347,529347.5k $21.4m $21.4m 0.23% Added +13.0k +12,962
6 Cetera Investment Advisers 0.05% of their portfolio SCHAUMBURG, IL 317,913317.9k $19.6m $19.6m 0.05% Added +28.9k +28,868
7 J.W. COLE ADVISORS, INC. 0.55% of their portfolio TAMPA, FL 191,320191.3k $11.8m $11.8m 0.55% Added +89.0k +89,005
8 Optivise Advisory Services LLC 3.53% of their portfolio FRANKLIN, TN 106,290106.3k $6.5m $6.5m 3.53% First filing
9 CPR Investments Inc. 4.10% of their portfolio Rochester, MI 80,55580.6k $5.0m $5.0m 4.10% Added +4.2k +4,160
10 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 50,86450.9k $3.1m $3.1m 0.00% Reduced -4.9k -4,873
11 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 39,26939.3k $2.4m $2.4m 0.00% Reduced -1.9k -1,852
12 Lifestyle Asset Management, Inc. 1.33% of their portfolio FRIENDSWOOD, TX 37,54537.5k $2.3m $2.3m 1.33% Added +348 +348
13 Sanctuary Advisors, LLC 0.01% of their portfolio INDIANAPOLIS, IN 29,53029.5k $1.6m $1.6m 0.01% First filing
14 Fiduciary Alliance LLC 0.27% of their portfolio GREENVILLE, SC 25,85225.9k $1.6m $1.6m 0.27% Added +1.8k +1,772
15 GTS SECURITIES LLC 0.03% of their portfolio NEW YORK, NY 23,02923.0k $1.4m $1.4m 0.03% Reduced -8.6k -8,625
16 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 22,96323.0k $1.4m $1.4m 0.00% Added +623 +623
17 IFP Advisors, Inc 0.06% of their portfolio TAMPA, FL 22,57322.6k $1.4m $1.4m 0.06% Reduced -7.1k -7,097
18 Foundations Investment Advisors, LLC 0.03% of their portfolio PHOENIX, AZ 21,06121.1k $1.3m $1.3m 0.03% Added +5.4k +5,351
19 Brookstone Capital Management 0.02% of their portfolio WHEATON, IL 19,36519.4k $1.2m $1.2m 0.02% Reduced -86 -86
20 MONEY CONCEPTS CAPITAL CORP 0.03% of their portfolio PALM BEACH GARDENS, FL 6,6266.6k $407.6k $407.6k 0.03% Reduced -74 -74
21 Atria Wealth Solutions, Inc. 0.00% of their portfolio NEW YORK, NY 6,3706.4k $391.9k $391.9k 0.00% Reduced -716 -716
22 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 5,8885.9k $362.2k $362.2k 0.00% Reduced -24.2k -24,204
23 Atria Investments, Inc 0.00% of their portfolio Charlotte, NC 5,6015.6k $344.5k $344.5k 0.00% New
24 Delta Investment Management, LLC 0.06% of their portfolio SAN FRANCISCO, CA 4,2444.2k $261.1k $261.1k 0.06% Reduced -4 -4
25 Arete Wealth Advisors, LLC 0.02% of their portfolio CHICAGO, IL 4,1034.1k $254.0k $254.0k 0.02% New
26 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 3,7763.8k $232.3k $232.3k 0.00% Unchanged
27 UBS Group AG 0.00% of their portfolio ZURICH, V8 1,9441.9k $119.6k $119.6k 0.00% New
28 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 1,8441.8k $113.4k $113.4k 0.00% New
29 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 502502 $30.9k $30.9k 0.00% Reduced -1.4k -1,439
30 Creekmur Asset Management LLC 0.00% of their portfolio MORTON, IL 290290 $17.8k $17.8k 0.00% Reduced -123 -123
31 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged