Vault-13

NORTHERN LTS FD TR III QQH

HCM DEFND 100 · ETP · CUSIP 66538R748

40 institutional holders +6 vs Q3 2024
9,988,72510.0m shares reported held*
$507.5mreported value*
9 new 17 added 10 reduced 4 sold out net bought ≈ $24.8m (+372.7k 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 ≈ $50.81. Options: 0 managers hold calls (— notional), 1 hold puts ($0).

Trends to Q4 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: 31Q3 24: 34Q4 24: 4040Q3 22Q1 23Q3 23Q1 24Q3 24Q4 24
Numbers
QuarterHolders
Q3 202230
Q4 202230
Q1 202329
Q2 202333
Q3 202332
Q4 202333
Q1 202428
Q2 202431
Q3 202434
Q4 202440

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q1 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 24Q3 24: 17 bought or addedQ3 24: 17 cut or sold outQ4 24: 26 bought or addedQ4 24: 14 cut or sold outQ4 24
Numbers
QuarterBought or addedCut or sold out
Q1 20231117
Q2 20231217
Q3 20232015
Q4 20231619
Q1 20241419
Q2 20241514
Q3 20241717
Q4 20242614

Biggest buyers

LPL Financial LLC Added +128,680+128.7k
ENVESTNET ASSET MANAGEMENT INC Added +48,660+48.7k
Optivise Advisory Services LLC Added +36,393+36.4k
Orion Portfolio Solutions, LLC Added +32,816+32.8k
Orion Porfolio Solutions, LLC Added +32,816+32.8k
Cetera Investment Advisers Added +27,815+27.8k
J.W. COLE ADVISORS, INC. Added +23,071+23.1k
Delta Investment Management, LLC Added +19,944+19.9k
Brooklyn Investment Group New +18,224+18.2k
Howard Capital Management, LLC Added +17,015+17.0k

Biggest sellers

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -24,600-24.6k
CPR Investments Inc. Reduced -12,907-12.9k
CITADEL ADVISORS LLC Sold out -7,718-7.7k
Atria Wealth Solutions, Inc. Sold out -4,414-4.4k
Equitable Holdings, Inc. Sold out -3,586-3.6k
Fiduciary Alliance LLC Reduced -3,541-3.5k
OSAIC HOLDINGS, INC. Reduced -2,415-2.4k
IFP Advisors, Inc Reduced -1,207-1.2k
Atria Investments, Inc Reduced -627-627
MONEY CONCEPTS CAPITAL CORP Reduced -221-221

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, Q4 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Howard Capital Management, LLC 4.13% of their portfolio Alpharetta, GA 6,385,2706.4m $266.0m $266.0m 4.13% Added +17.0k +17,015
2 Cambridge Investment Research Advisors, Inc. 0.14% of their portfolio FAIRFIELD, IA 606,603606.6k $40.7m $40.7m 0.14% Added +13.6k +13,618
3 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 463,781463.8k $31.1m $31.1m 0.01% Added +48.7k +48,660
4 Orion Porfolio Solutions, LLC 0.29% of their portfolio OMAHA, NE 428,823428.8k $28.7m $28.7m 0.29% Added +32.8k +32,816
5 Orion Portfolio Solutions, LLC 0.29% of their portfolio Omaha, NE 428,823428.8k $28.7m $28.7m 0.29% Added +32.8k +32,816
6 Cetera Investment Advisers 0.05% of their portfolio SCHAUMBURG, IL 379,339379.3k $25.4m $25.4m 0.05% Added +27.8k +27,815
7 Wealth Watch Advisors, INC 14.84% of their portfolio ENGLEWOOD, CO 355,575355.6k $23.8m $23.8m 14.84% First filing
8 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 196,023196.0k $13.1m $13.1m 0.01% Added +128.7k +128,680
9 J.W. COLE ADVISORS, INC. 0.43% of their portfolio TAMPA, FL 159,640159.6k $10.7m $10.7m 0.43% Added +23.1k +23,071
10 Optivise Advisory Services LLC 5.04% of their portfolio FRANKLIN, TN 139,622139.6k $9.4m $9.4m 5.04% Added +36.4k +36,393
11 GTS SECURITIES LLC 0.24% of their portfolio NEW YORK, NY 72,01372.0k $4.8m $4.8m 0.24% Added +4.6k +4,554
12 RAYMOND JAMES FINANCIAL INC 0.00% of their portfolio ST. PETERSBURG, FL 47,23947.2k $3.2m $3.2m 0.00% First filing
13 Discipline Wealth Solutions, LLC 1.26% of their portfolio GREENVILLE, SC 40,49840.5k $2.7m $2.7m 1.26% Added +9.4k +9,392
14 Lifestyle Asset Management, Inc. 1.37% of their portfolio FRIENDSWOOD, TX 37,38137.4k $2.5m $2.5m 1.37% Added +446 +446
15 Foundations Investment Advisors, LLC 0.04% of their portfolio PHOENIX, AZ 30,65830.7k $2.1m $2.1m 0.04% Added +230 +230
16 PANORAMIC INVESTMENT ADVISORS, LLC 1.19% of their portfolio DENVER, CO 27,19027.2k $1.8m $1.8m 1.19% Added +36 +36
17 CPR Investments Inc. 1.54% of their portfolio Rochester, MI 25,42625.4k $1.7m $1.7m 1.54% Reduced -12.9k -12,907
18 Delta Investment Management, LLC 0.32% of their portfolio SAN FRANCISCO, CA 24,17924.2k $1.6m $1.6m 0.32% Added +19.9k +19,944
19 IFP Advisors, Inc 0.05% of their portfolio TAMPA, FL 22,03822.0k $1.5m $1.5m 0.05% Reduced -1.2k -1,207
20 Fiduciary Alliance LLC 0.14% of their portfolio GREENVILLE, SC 20,09720.1k $1.3m $1.3m 0.14% Reduced -3.5k -3,541
21 Brookstone Capital Management 0.02% of their portfolio WHEATON, IL 19,24619.2k $1.3m $1.3m 0.02% Reduced -29 -29
22 Brooklyn Investment Group 0.36% of their portfolio NEW YORK, NY 18,22418.2k $1.2m $1.2m 0.36% New
23 MONEY CONCEPTS CAPITAL CORP 0.05% of their portfolio PALM BEACH GARDENS, FL 9,6609.7k $647.5k $647.5k 0.05% Reduced -221 -221
24 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 9,2439.2k $619.6k $619.6k 0.00% Reduced -24.6k -24,600
25 Worth Financial Advisory Group, LLC 0.34% of their portfolio CHARLOTTE, NC 8,2668.3k $554.1k $554.1k 0.34% Added +653 +653
26 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 6,9486.9k $465.7k $465.7k 0.00% New
27 ABSOLUTE CAPITAL MANAGEMENT, LLC 0.17% of their portfolio Pittsburgh, PA 4,5544.6k $309.7k $309.7k 0.17% New
28 Atria Investments, Inc 0.00% of their portfolio Charlotte, NC 4,3734.4k $293.1k $293.1k 0.00% Reduced -627 -627
29 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 4,3694.4k $292.9k $292.9k 0.00% New
30 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 3,7833.8k $253.6k $253.6k 0.00% Added +7 +7
31 Mariner, LLC 0.00% of their portfolio Overland Park, KS 3,2363.2k $216.9k $216.9k 0.00% Reduced -7 -7
32 Synergy Asset Management, LLC 0.01% of their portfolio VANCOUVER, WA 2,2752.3k $143.4k $143.4k 0.01% New
33 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 2,1132.1k $141.7k $141.7k 0.00% Reduced -2.4k -2,415
34 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 501501 $33.6k $33.6k 0.00% Reduced -1 -1
35 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 466466 $31.0k $31.0k 0.00% New
36 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 344344 $23.1k $23.1k 0.00% New
37 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 332332 $22.3k $22.3k 0.00% New
38 Creekmur Asset Management LLC 0.00% of their portfolio MORTON, IL 290290 $19.4k $19.4k 0.00% Unchanged
39 UBS Group AG 0.00% of their portfolio ZURICH, V8 284284 $19.0k $19.0k 0.00% New
40 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged