Who owns Horizon Technology Finance (HTFC)
Which tracked institutional funds hold HTFC, how they are positioned, and who is buying versus exiting — from SEC Form 13F-HR filings. See HTFC company fundamentals →
Ownership as of the 2026-Q2 13F filings (latest filed 2026-08-17). 13F is disclosed up to 45 days after quarter-end, so the most recent quarter fills in over the following weeks.
How the tape is positioned
The tracked-fund tape on HTFC is one-sided between 2026-Q1 and 2026-Q2: 17 added or opened and 2 trimmed or exited — on balance accumulating.
A prompt to read the filings, not a verdict. 13F is a quarter-end snapshot disclosed up to 45 days late; a fund adds or exits for mandate, benchmark, and timing reasons that have nothing to do with a view on the stock. This is a starting question, not a signal to trade.
Conviction spread
HTFC’s largest tracked holder by dollar value, MORGAN STANLEY, sizes it at 0.0% of its own reported 13F book, while the median holder sizes it at 0.0% of theirs — a 0.0pp gap the other way — the median holder sizes HTFC more heavily than its largest holder by dollar value does.
Book-share is each fund’s reported value in HTFC divided by its whole reported 13F book, so it is comparable across funds of different sizes and is unaffected by stock splits. A higher share means a fund has committed more of its book to the name — a starting question about conviction, not a verdict or a signal to trade.
Institutional & insider positioning
Between 2026-Q1 and 2026-Q2, across 102 tracked filers holding HTFC, 87 increased or opened the position and 22 reduced or closed it; over the same quarter, there were no open-market insider Form 4s.
This fuses two public signals for the same quarter — how tracked institutions changed their positions and whether insiders bought or sold in the open market. It describes what was filed; it is a starting question, not a verdict or a signal to trade.
New buyers & exits
Funds opening or closing a position in HTFC between the 2026-Q1 and 2026-Q2 13F filings, and the largest changes among funds holding it in both. New buyers and exits are counted on fund presence (split-invariant); adds and trims are measured on reported value.
New buyers 8
- Bulldog Investors, LLP$3M
- Caprock Group, LLC$2M
- BLAIR WILLIAM & CO/IL$1M
- Arax Advisory Partners$597K
- Apollon Wealth Management, LLC$597K
- LaFleur & Godfrey LLC$542K
Largest adds
- MORGAN STANLEY$5M
- MARSHALL WACE, LLP$2M
- BANK OF AMERICA CORP /DE/$811K
- Virtus Investment Advisers, LLC$588K
- Legal & General Group Plc$429K
- UBS Group AG$318K
Largest trims
- Green Alpha Advisors, LLC$451K
- TWO SIGMA INVESTMENTS, LP$313K
Institutional holders
One row per tracked fund, most shares held first (every row is from one quarter; reported value breaks ties). “% of value” is the fund’s share of this security’s tracked institutional value — not of shares outstanding.
| Fund | Shares | Reported value | % of value | Quarter |
|---|---|---|---|---|
| MORGAN STANLEY added | 1,055,591 | $5M | 13.5% | 2026-Q2 |
| Bulldog Investors, LLP new | 658,617 | $3M | 8.4% | 2026-Q2 |
| MARSHALL WACE, LLP added | 592,247 | $3M | 7.6% | 2026-Q2 |
| Caprock Group, LLC new | 454,442 | $2M | 5.8% | 2026-Q2 |
| Green Alpha Advisors, LLC trimmed | 429,913 | $2M | 5.5% | 2026-Q2 |
| Legal & General Group Plc added | 386,211 | $2M | 4.9% | 2026-Q2 |
| Eagle Point Credit Management LLC | 366,194 | $2M | 4.7% | 2026-Q2 |
| Virtus Investment Advisers, LLC added | 252,455 | $1M | 3.2% | 2026-Q2 |
| BLAIR WILLIAM & CO/IL new | 239,073 | $1M | 3.1% | 2026-Q2 |
| BANK OF AMERICA CORP /DE/ added | 225,732 | $1M | 2.9% | 2026-Q2 |
| Connecticut Wealth Management, LLC added | 214,509 | $1M | 2.7% | 2026-Q2 |
| UBS Group AG added | 195,466 | $925K | 2.5% | 2026-Q2 |
| BlackRock, Inc. added | 180,902 | $856K | 2.3% | 2026-Q2 |
| Arax Advisory Partners new | 126,305 | $597K | 1.6% | 2026-Q2 |
| Apollon Wealth Management, LLC new | 126,196 | $597K | 1.6% | 2026-Q2 |
| LaFleur & Godfrey LLC new | 114,526 | $542K | 1.5% | 2026-Q2 |
| CAZ INVESTMENTS LP new | 108,630 | $514K | 1.4% | 2026-Q2 |
| UMB Bank, n.a. new | 107,470 | $508K | 1.4% | 2026-Q2 |
| Focus Partners Wealth new | 100,593 | $483K | 1.3% | 2026-Q2 |
| AQR CAPITAL MANAGEMENT LLC added | 91,368 | $432K | 1.2% | 2026-Q2 |
| JACKSON THORNTON WEALTH MANAGEMENT, LLC added | 90,609 | $429K | 1.2% | 2026-Q2 |
| Corient Private Wealth LP new | 89,475 | $423K | 1.1% | 2026-Q2 |
| LPL Financial LLC added | 81,942 | $388K | 1.0% | 2026-Q2 |
| COMMONWEALTH EQUITY SERVICES, LLC new | 81,264 | $384K | 1.0% | 2026-Q2 |
| Fiera Capital Corp new | 78,980 | $374K | 1.0% | 2026-Q2 |
| TWO SIGMA INVESTMENTS, LP trimmed | 67,489 | $319K | 0.9% | 2026-Q2 |
| FIRST FINANCIAL BANK - TRUST DIVISION | 65,573 | $310K | 0.8% | 2026-Q2 |
| MILLENNIUM MANAGEMENT LLC trimmed | 60,674 | $287K | 0.8% | 2026-Q2 |
| Pathstone Holdings, LLC added | 54,705 | $263K | 0.7% | 2026-Q2 |
| OSAIC HOLDINGS, INC. added | 50,626 | $239K | 0.6% | 2026-Q2 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC added | 49,241 | $233K | 0.6% | 2026-Q2 |
| ROYAL BANK OF CANADA added | 47,242 | $223K | 0.6% | 2026-Q2 |
| Regal Investment Advisors LLC | 43,553 | $206K | 0.6% | 2026-Q2 |
| Permanent Capital Management, LP new | 42,165 | $203K | 0.5% | 2026-Q2 |
| IMC-Chicago, LLC trimmed | 40,074 | $190K | 0.5% | 2026-Q2 |
| RAYMOND JAMES FINANCIAL INC added | 38,247 | $181K | 0.5% | 2026-Q2 |
| Quantbot Technologies LP added | 36,325 | $172K | 0.5% | 2026-Q2 |
| Cerity Partners LLC new | 33,736 | $160K | 0.4% | 2026-Q2 |
| Ethos Financial Group, LLC new | 33,100 | $157K | 0.4% | 2026-Q2 |
| Baird Financial Group, Inc. new | 31,280 | $148K | 0.4% | 2026-Q2 |
| Freestone Capital Holdings, LLC new | 29,817 | $141K | 0.4% | 2026-Q2 |
| MAGNOLIA CAPITAL ADVISORS LLC new | 28,849 | $136K | 0.4% | 2026-Q2 |
| WELLS FARGO & COMPANY/MN | 27,684 | $131K | 0.4% | 2026-Q2 |
| Koshinski Asset Management, Inc. new | 27,279 | $129K | 0.3% | 2026-Q2 |
| CAPTRUST FINANCIAL ADVISORS trimmed | 26,396 | $125K | 0.3% | 2026-Q2 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP added | 25,074 | $119K | 0.3% | 2026-Q2 |
| Forum Financial Management, LP new | 24,760 | $117K | 0.3% | 2026-Q2 |
| Private Advisor Group, LLC new | 23,207 | $110K | 0.3% | 2026-Q2 |
| NewEdge Advisors, LLC new | 21,413 | $101K | 0.3% | 2026-Q2 |
| ROTHSCHILD INVESTMENT LLC new | 20,987 | $99K | 0.3% | 2026-Q2 |
| Fiduciary Group, LLC new | 20,684 | $98K | 0.3% | 2026-Q2 |
| Squarepoint Ops LLC added | 19,743 | $93K | 0.3% | 2026-Q2 |
| D.A. DAVIDSON & CO. new | 19,123 | $90K | 0.2% | 2026-Q2 |
| Equitable Holdings, Inc. new | 18,956 | $90K | 0.2% | 2026-Q2 |
| Cetera Investment Advisers trimmed | 18,585 | $88K | 0.2% | 2026-Q2 |
| Rockefeller Capital Management L.P. new | 18,375 | $87K | 0.2% | 2026-Q2 |
| LifeWealth Investments, LLC new | 16,908 | $80K | 0.2% | 2026-Q2 |
| Leading Edge Financial Planning LLC new | 16,732 | $79K | 0.2% | 2026-Q2 |
| JANE STREET GROUP, LLC trimmed | 16,141 | $76K | 0.2% | 2026-Q2 |
| Southeast Asset Advisors, LLC new | 15,043 | $71K | 0.2% | 2026-Q2 |
| Centennial Bank/AR/ new | 15,000 | $71K | 0.2% | 2026-Q2 |
| Mariner, LLC new | 14,760 | $70K | 0.2% | 2026-Q2 |
| XTX Topco Ltd new | 14,286 | $68K | 0.2% | 2026-Q2 |
| Cresset Asset Management, LLC new | 14,285 | $69K | 0.2% | 2026-Q2 |
| CREATIVE FINANCIAL DESIGNS INC /ADV added | 13,378 | $63K | 0.2% | 2026-Q2 |
| CHAPIN DAVIS, INC. new | 12,691 | $60K | 0.2% | 2026-Q2 |
| Trek Financial, LLC new | 12,455 | $59K | 0.2% | 2026-Q2 |
| OXFORD ASSET MANAGEMENT LLP trimmed | 12,455 | $59K | 0.2% | 2026-Q2 |
| OPPENHEIMER & CO INC new | 12,213 | $58K | 0.2% | 2026-Q2 |
| NATIONS FINANCIAL GROUP INC, /IA/ /ADV added | 12,150 | $57K | 0.2% | 2026-Q2 |
| ADELL HARRIMAN & CARPENTER INC | 12,000 | $57K | 0.2% | 2026-Q2 |
| Ausdal Financial Partners, Inc. new | 11,513 | $54K | 0.1% | 2026-Q2 |
| Wealthspire Advisors, LLC new | 11,190 | $53K | 0.1% | 2026-Q2 |
| Garden State Investment Advisory Services LLC new | 11,143 | $53K | 0.1% | 2026-Q2 |
| SIMPLEX TRADING, LLC added | 11,084 | $52K | 0.1% | 2026-Q2 |
| DAVENPORT & Co LLC new | 10,624 | $50K | 0.1% | 2026-Q2 |
| Closed-End Fund Advisors, Inc. new | 10,432 | $49K | 0.1% | 2026-Q2 |
| STEPHENS INC /AR/ new | 10,202 | $48K | 0.1% | 2026-Q2 |
| Nova Wealth Management, Inc. | 3,722 | $18K | 0.0% | 2026-Q2 |
| HIGHLINE WEALTH PARTNERS LLC new | 2,732 | $13K | 0.0% | 2026-Q2 |
| FIFTH THIRD BANCORP added | 2,702 | $13K | 0.0% | 2026-Q2 |
| JPMORGAN CHASE & CO added | 2,636 | $12K | 0.0% | 2026-Q2 |
| N.E.W. Advisory Services LLC added | 2,065 | $10K | 0.0% | 2026-Q2 |
| JONES FINANCIAL COMPANIES LLLP added | 1,830 | $8K | 0.0% | 2026-Q2 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO added | 1,561 | $7K | 0.0% | 2026-Q2 |
| NOMURA ASSET MANAGEMENT CO LTD new | 1,432 | $7K | 0.0% | 2026-Q2 |
| Allworth Financial LP trimmed | 1,134 | $5K | 0.0% | 2026-Q2 |
| Chung Wu Investment Group, LLC | 1,100 | $5K | 0.0% | 2026-Q2 |
| GROUP ONE TRADING LLC trimmed | 833 | $4K | 0.0% | 2026-Q2 |
| Caitong International Asset Management Co., Ltd added | 721 | $3K | 0.0% | 2026-Q2 |
| North Star Investment Management Corp. new | 658 | $3K | 0.0% | 2026-Q2 |
| KERR FINANCIAL PLANNING Corp added | 209 | $985 | 0.0% | 2026-Q2 |
| SHP Wealth Management new | 200 | $946 | 0.0% | 2026-Q2 |
| Aspect Partners, LLC added | 172 | $812 | 0.0% | 2026-Q2 |
| JFS WEALTH ADVISORS, LLC new | 171 | $809 | 0.0% | 2026-Q2 |
| TD Waterhouse Canada Inc. new | 125 | $591 | 0.0% | 2026-Q2 |
| FIRST HORIZON CORP new | 100 | $473 | 0.0% | 2026-Q2 |
| HARBOUR INVESTMENTS, INC. added | 72 | $339 | 0.0% | 2026-Q2 |
| Global Retirement Partners, LLC new | 1 | $6 | 0.0% | 2026-Q2 |
| DANSKE BANK A/S trimmed | 1 | $5 | 0.0% | 2026-Q2 |
Ownership over time
Tracked institutional holder count and total shares held by filing quarter (independent scales). The curated-era tail and any mid-ingest latest quarter are handled honestly — a partial quarter is not drawn as a collapse.
Reading this table
Funds hold the same stock for different reasons — an index fund “holds” almost everything, an active manager sizes a name to a mandate and a benchmark, and each fund entered at its own price and time. Because 13F is filed up to 45 days after quarter-end, every row is a backward-looking snapshot; a manager may have traded since. Share-class siblings (a company’s A and C shares) are rolled up to one line so a dual-class name is never double-counted. Compare like-for-like. A large holder is not an endorsement, and a fund exiting is not a warning — this is a starting question, not a verdict.
About 13F filings
A Form 13F is a quarterly disclosure that institutional investment managers with over $100 million in US-listed equities must file with the SEC. In plain English: it is a snapshot of the long stock positions a fund held at the end of a quarter. It covers long US-listed equities only — not short positions, options, cash, or private holdings — and the funds shown are the large sample we track, not the complete 13F universe.