Vault-13

ARK ETF TR ARKK

INNOVATION ETF · ETP · CUSIP 00214Q104 · ISIN US00214Q1040

603 institutional holders -22 vs Q1 2023
71,808,16171.8m shares reported held*
$3.2bnreported value*
43 new 170 added 233 reduced 69 sold out net sold ≈ $1.2bn (-27.1m 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 ($6.0m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $44.06. Options: 34 managers hold calls ($775.9m notional), 44 hold puts ($1.1bn).

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0250500750Q3 22: 622Q4 22: 597Q1 23: 625Q2 23: 603603Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022622
Q4 2022597
Q1 2023625
Q2 2023603

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q4 22: 193 bought or addedQ4 22: 372 cut or sold outQ4 22Q1 23: 282 bought or addedQ1 23: 279 cut or sold outQ1 23Q2 23: 213 bought or addedQ2 23: 302 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022193372
Q1 2023282279
Q2 2023213302

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$500m$1bn$1.5bn$2bnQ3 22 calls: $1.4bnQ3 22 puts: $1.6bnQ3 22P/C 1.16Q4 22 calls: $1.3bnQ4 22 puts: $970.5mQ4 22P/C 0.75Q1 23 calls: $1.1bnQ1 23 puts: $1.6bnQ1 23P/C 1.47Q2 23 calls: $775.9mQ2 23 puts: $1.1bnQ2 23P/C 1.44
Numbers
QuarterCallsPutsP/C
Q3 2022$1.4bn$1.6bn1.16
Q4 2022$1.3bn$970.5m0.75
Q1 2023$1.1bn$1.6bn1.47
Q2 2023$775.9m$1.1bn1.44

Biggest buyers

TWO SIGMA ADVISERS, LP Added +1,370,700+1.4m
TOTAL INVESTMENT MANAGEMENT INC New +1,226,605+1.2m
GROUP ONE TRADING LLC Added +373,552+373.6k
CITADEL ADVISORS LLC Added +349,217+349.2k
Quantitative Investment Management, LLC New +322,505+322.5k
Walleye Capital LLC New +281,611+281.6k
Blue Trust, Inc. Added +260,386+260.4k
Houlihan Financial Resource Group, Ltd. Added +250,440+250.4k
Walleye Trading LLC New +152,845+152.8k
TWO SIGMA INVESTMENTS, LP Added +152,090+152.1k

Biggest sellers

SHANDA ASSET MANAGEMENT HOLDINGS Ltd Reduced -8,000,000-8.0m
BNP PARIBAS FINANCIAL MARKETS Reduced -4,756,282-4.8m
JANE STREET GROUP, LLC Reduced -3,685,911-3.7m
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -3,651,360-3.7m
WELLS FARGO & COMPANY/MN Reduced -3,503,124-3.5m
CITIGROUP INC Reduced -1,802,245-1.8m
GOLDMAN SACHS GROUP INC Reduced -718,694-718.7k
MORGAN STANLEY Reduced -546,553-546.6k
HRT FINANCIAL LP Sold out -526,283-526.3k
UBS Group AG Reduced -519,873-519.9k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $197.4m4.5m shares
JANE STREET GROUP, LLC Reduced $101.9m2.3m shares
CITADEL ADVISORS LLC Reduced $82.5m1.9m shares
WOLVERINE TRADING, LLC Added $46.0m1.1m shares
SOROS FUND MANAGEMENT LLC New $44.1m1.0m shares
BANK OF AMERICA CORP /DE/ Added $42.6m965.3k shares
GROUP ONE TRADING LLC Reduced $30.7m696.2k shares
Parallax Volatility Advisers, L.P. Added $27.5m623.2k shares
GOLDMAN SACHS GROUP INC Reduced $26.5m599.3k shares
JPMORGAN CHASE & CO Added $25.2m571.1k shares

Biggest puts

JANE STREET GROUP, LLC Added $232.9m5.3m shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $199.4m4.5m shares
CITADEL ADVISORS LLC Reduced $159.3m3.6m shares
Parallax Volatility Advisers, L.P. Added $80.4m1.8m shares
GOLDMAN SACHS GROUP INC Reduced $80.2m1.8m shares
GROUP ONE TRADING LLC Reduced $67.1m1.5m shares
WOLVERINE TRADING, LLC Reduced $42.2m963.0k shares
One River Asset Management, LLC Unchanged $41.0m928.9k shares
CTC LLC Reduced $31.4m7.1k shares
UBS Group AG Added $28.7m650.0k 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 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.04% of their portfolio NEW YORK, NY 9,063,9859.1m $400.1m $400.1m 0.04% Reduced -546.6k -546,553
2 BANK OF AMERICA CORP /DE/ 0.02% of their portfolio CHARLOTTE, NC 4,224,6554.2m $186.5m $186.5m 0.02% Reduced -161.6k -161,605
3 WELLS FARGO & COMPANY/MN 0.05% of their portfolio SAN FRANCISCO, CA 4,058,3214.1m $179.1m $179.1m 0.05% Reduced -3.5m -3,503,124
4 TWO SIGMA ADVISERS, LP 0.44% of their portfolio NEW YORK, NY 3,907,1003.9m $172.5m $172.5m 0.44% Added +1.4m +1,370,700
5 LPL Financial LLC 0.11% of their portfolio FORT MILL, SC 3,542,8583.5m $156.4m $156.4m 0.11% Reduced -14.7k -14,748
6 GOLDMAN SACHS GROUP INC 0.03% of their portfolio NEW YORK, NY 3,098,2233.1m $136.8m $136.8m 0.03% Reduced -718.7k -718,694
7 CITIGROUP INC 0.17% of their portfolio NEW YORK, NY 2,949,3812.9m $130.2m $130.2m 0.17% Reduced -1.8m -1,802,245
8 JANE STREET GROUP, LLC 0.15% of their portfolio NEW YORK, NY 2,477,8642.5m $109.4m $109.4m 0.15% Reduced -3.7m -3,685,911
9 TWO SIGMA INVESTMENTS, LP 0.28% of their portfolio NEW YORK, NY 2,404,2102.4m $106.1m $106.1m 0.28% Added +152.1k +152,090
10 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.13% of their portfolio BALA CYNWYD, PA 1,873,9411.9m $82.7m $82.7m 0.13% Reduced -3.7m -3,651,360
11 UBS Group AG 0.04% of their portfolio ZURICH, V8 1,855,1571.9m $81.9m $81.9m 0.04% Reduced -519.9k -519,873
12 Blue Trust, Inc. 1.02% of their portfolio BRENTWOOD, TN 1,591,3811.6m $64.2m $64.2m 1.02% Added +260.4k +260,386
13 JPMORGAN CHASE & CO 0.01% of their portfolio NEW YORK, NY 1,508,5391.5m $66.6m $66.6m 0.01% Reduced -185.2k -185,154
14 COMMONWEALTH EQUITY SERVICES, LLC 0.12% of their portfolio WALTHAM, MA 1,376,7071.4m $60.8m $60.8m 0.12% Added +21.0k +21,013
15 OSAIC HOLDINGS, INC. 0.10% of their portfolio SCOTTSDALE, AZ 1,240,9481.2m $54.8m $54.8m 0.10% Reduced -64.8k -64,764
16 TOTAL INVESTMENT MANAGEMENT INC 7.02% of their portfolio SCOTTSDALE, AZ 1,226,6051.2m $54.1m $54.1m 7.02% New
17 RAYMOND JAMES & ASSOCIATES 0.03% of their portfolio ST PETERSBURG, FL 911,941911.9k $40.3m $40.3m 0.03% Reduced -40.1k -40,059
18 HighTower Advisors, LLC 0.07% of their portfolio CHICAGO, IL 833,839833.8k $36.8m $36.8m 0.07% Added +96.4k +96,366
19 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 727,977728.0k $32.1m $32.1m 0.01% Reduced -173.5k -173,527
20 Bristlecone Advisors, LLC 3.13% of their portfolio BELLEVUE, WA 706,617706.6k $31.2m $31.2m 3.13% Unchanged
21 GROUP ONE TRADING LLC 1.29% of their portfolio CHICAGO, IL 681,578681.6k $30.1m $30.1m 1.29% Added +373.6k +373,552
22 Raymond James Financial Services Advisors, Inc. 0.05% of their portfolio ST. PETERSBURG, FL 657,373657.4k $29.0m $29.0m 0.05% Added +62.0k +61,983
23 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.04% of their portfolio MILWAUKEE, WI 655,748655.7k $28.9m $28.9m 0.04% Added +150.8k +150,814
24 CITADEL ADVISORS LLC 0.03% of their portfolio MIAMI, FL 647,241647.2k $28.6m $28.6m 0.03% Added +349.2k +349,217
25 Cambridge Investment Research Advisors, Inc. 0.13% of their portfolio FAIRFIELD, IA 627,340627.3k $27.7m $27.7m 0.13% Added +47.3k +47,308
26 Mariner, LLC 0.07% of their portfolio Overland Park, KS 556,836556.8k $24.6m $24.6m 0.07% Added +68.3k +68,273
27 Cresset Asset Management, LLC 0.17% of their portfolio Chicago, IL 544,931544.9k $24.1m $24.1m 0.17% Added +26.5k +26,472
28 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 542,118542.1k $23.9m $23.9m 0.01% Added +96.8k +96,850
29 STATE OF WISCONSIN INVESTMENT BOARD 0.06% of their portfolio MADISON, WI 512,000512.0k $22.6m $22.6m 0.06% Added +1.1k +1,100
30 BNP PARIBAS FINANCIAL MARKETS 0.04% of their portfolio PARIS, I0 462,859462.9k $20.4m $20.4m 0.04% Reduced -4.8m -4,756,282
31 KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC 0.06% of their portfolio LOS ANGELES, CA 443,737443.7k $19.6m $19.6m 0.06% Reduced -13.2k -13,228
32 Private Advisor Group, LLC 0.15% of their portfolio MORRISTOWN, NJ 388,910388.9k $17.2m $17.2m 0.15% Added +8.9k +8,881
33 BARCLAYS PLC 0.01% of their portfolio LONDON, X0 322,705322.7k $14.2m $14.2m 0.01% Reduced -191.0k -191,044
34 Quantitative Investment Management, LLC 1.35% of their portfolio CHARLOTTESVILLE, VA 322,505322.5k $14.2m $14.2m 1.35% New
35 Brookstone Capital Management 0.27% of their portfolio WHEATON, IL 308,403308.4k $13.5m $13.5m 0.27% Added +3.7k +3,724
36 CREDIT SUISSE AG/ 0.01% of their portfolio ZURICH, V8 284,123284.1k $12.5m $12.5m 0.01% Added +61.6k +61,586
37 Walleye Capital LLC 0.22% of their portfolio NEW YORK, NY 281,611281.6k $12.4m $12.4m 0.22% New
38 NATIONAL BANK OF CANADA /FI/ 0.02% of their portfolio MONTREAL, A8 264,849264.8k $11.9m $11.9m 0.02% Added +101.2k +101,189
39 Houlihan Financial Resource Group, Ltd. 0.32% of their portfolio ASHBURN, VA 261,989262.0k $10.4m $10.4m 0.32% Added +250.4k +250,440
40 KLINGENSTEIN FIELDS & CO LP 0.52% of their portfolio NEW YORK, NY 257,142257.1k $11.4m $11.4m 0.52% Added +14.4k +14,414
41 CAPTRUST FINANCIAL ADVISORS 0.04% of their portfolio RALEIGH, NC 252,921252.9k $11.2m $11.2m 0.04% Reduced -4.7k -4,705
42 Simplicity Solutions, LLC 0.30% of their portfolio MINNEAPOLIS, MN 246,264246.3k $10.9m $10.9m 0.30% Reduced -22.4k -22,404
43 TRUIST FINANCIAL CORP 0.02% of their portfolio CHARLOTTE, NC 235,555235.6k $10.4m $10.4m 0.02% Added +121.0k +120,985
44 SIMPLEX TRADING, LLC 0.44% of their portfolio CHICAGO, IL 235,047235.0k $10.4m $10.4m 0.44% Reduced -20.7k -20,735
45 Baird Financial Group, Inc. 0.03% of their portfolio MILWAUKEE, WI 232,677232.7k $10.3m $10.3m 0.03% Reduced -1.9k -1,920
46 Ascension Capital Advisors, Inc. 6.33% of their portfolio Houston, TX 223,822223.8k $9.9m $9.9m 6.33% Added +1.1k +1,106
47 WOLVERINE TRADING, LLC 0.13% of their portfolio CHICAGO, IL 218,616218.6k $9.6m $9.6m 0.13% Added +97.4k +97,448
48 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 212,064212.1k $9.5m $9.5m 0.00% Reduced -19.4k -19,382
49 Wealthfront Advisers LLC 0.04% of their portfolio Palo Alto, CA 201,147201.1k $8.9m $8.9m 0.04% Reduced -12.7k -12,704
50 Bleakley Financial Group, LLC 0.27% of their portfolio PARSIPPANY, NJ 199,302199.3k $8.8m $8.8m 0.27% Reduced -10.9k -10,854
51 American Financial Advisors, LLC 1.37% of their portfolio Marietta, GA 197,859197.9k $8.7m $8.7m 1.37% Added +66 +66
52 MML INVESTORS SERVICES, LLC 0.05% of their portfolio SPRINGFIELD, MA 196,261196.3k $8.7m $8.7m 0.05% Added +3.8k +3,762
53 One River Asset Management, LLC 6.47% of their portfolio STAMFORD, CT 185,340185.3k $8.1m $8.1m 6.47% Reduced -96.3k -96,300
54 Kestra Advisory Services, LLC 0.08% of their portfolio AUSTIN, TX 179,459179.5k $7.9m $7.9m 0.08% Reduced -6.6k -6,607
55 ELEVATUS WELATH MANAGEMENT 5.15% of their portfolio VICTOR, NY 168,030168.0k $7.4m $7.4m 5.15% First filing
56 Intercontinental Wealth Advisors, LLC 1.76% of their portfolio SAN ANTONIO, TX 166,881166.9k $7.4m $7.4m 1.76% Added +36.8k +36,803
57 Cetera Investment Advisers 0.06% of their portfolio SCHAUMBURG, IL 162,186162.2k $7.2m $7.2m 0.06% Reduced -12.1k -12,053
58 Walleye Trading LLC 0.35% of their portfolio NEW YORK, NY 152,845152.8k $6.7m $6.7m 0.35% New
59 Cetera Advisor Networks LLC 0.05% of their portfolio EL SEGUNDO, CA 148,935148.9k $6.6m $6.6m 0.05% Reduced -81.4k -81,364
60 Strategic Family Wealth Counselors, L.L.C. 2.86% of their portfolio FAIRFIELD, NJ 140,935140.9k $6.2m $6.2m 2.86% Reduced -8.0k -7,980
61 Crescent Grove Advisors, LLC 0.62% of their portfolio LAKE FOREST, IL 130,234130.2k $5.7m $5.7m 0.62% Reduced -1.1k -1,080
62 SG Americas Securities, LLC 0.05% of their portfolio NEW YORK, NY 127,051127.1k $5.6m $5.6m 0.05% Reduced -30.7k -30,671
63 Rockefeller Capital Management L.P. 0.02% of their portfolio NEW YORK, NY 126,469126.5k $5.5m $5.5m 0.02% First filing
64 Financial Advisory Group 1.06% of their portfolio HOUSTON, TX 121,712121.7k $5.4m $5.4m 1.06% Reduced -2.9k -2,855
65 Apella Capital, LLC 0.38% of their portfolio WEST HARTFORD, CT 121,661121.7k $5.4m $5.4m 0.38% First filing
66 NewEdge Advisors, LLC 0.06% of their portfolio NEW ORLEANS, LA 120,837120.8k $5.3m $5.3m 0.06% Reduced -13.3k -13,270
67 One Charles Private Wealth Services, LLC 3.04% of their portfolio HINGHAM, MA 118,626118.6k $5.2m $5.2m 3.04% Reduced -4.0k -4,009
68 TITLEIST ASSET MANAGEMENT, LLC 1.14% of their portfolio SAN ANTONIO, TX 115,695115.7k $5.1m $5.1m 1.14% Added +1.0k +1,041
69 Relyea Zuckerberg Hanson LLC 1.12% of their portfolio STAMFORD, CT 113,087113.1k $5.0m $5.0m 1.12% Reduced -9.6k -9,603
70 SkyOak Wealth, LLC 1.34% of their portfolio SOUTHFIELD, MI 107,621107.6k $4.8m $4.8m 1.34% Added +6.2k +6,197
71 Clearwater Capital Advisors, LLC 0.55% of their portfolio HOFFMAN ESTATES, IL 104,533104.5k $4.6m $4.6m 0.55% Reduced -2.5k -2,481
72 CONSOLIDATED CAPITAL MANAGEMENT, LLC 2.21% of their portfolio BURBANK, CA 101,866101.9k $4.5m $4.5m 2.21% Reduced -757 -757
73 Snowden Capital Advisors LLC 0.16% of their portfolio New York, NY 98,72098.7k $4.4m $4.4m 0.16% Added +215 +215
74 CWM, LLC 0.03% of their portfolio OMAHA, NE 98,56398.6k $4.4m $4.4m 0.03% Added +27.3k +27,335
75 B. Riley Wealth Advisors, Inc. 0.10% of their portfolio MEMPHIS, TN 97,21997.2k $4.3m $4.3m 0.10% Added +52.0k +51,976
76 INDEPENDENT FINANCIAL GROUP, LLC 0.29% of their portfolio SAN DIEGO, CA 95,51795.5k $4.2m $4.2m 0.29% Added +35.1k +35,067
77 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 92,13192.1k $4.1m $4.1m 0.01% Added +10.7k +10,715
78 PFG Advisors 0.31% of their portfolio Phoenix, AZ 91,23491.2k $4.0m $4.0m 0.31% Added +2.8k +2,794
79 BLUEFIN CAPITAL MANAGEMENT, LLC 0.91% of their portfolio NEW YORK, NY 90,39990.4k $4.0m $4.0m 0.91% New
80 Highland Financial Advisors, LLC 2.03% of their portfolio WAYNE, NJ 89,05389.1k $3.9m $3.9m 2.03% Reduced -3.0k -2,965
81 SCOTIA CAPITAL INC. 0.03% of their portfolio TORONTO, A6 88,99389.0k $3.9m $3.9m 0.03% Added +19.7k +19,696
82 Cetera Advisors LLC 0.06% of their portfolio DENVER, CO 88,13688.1k $3.9m $3.9m 0.06% Added +8.0k +7,958
83 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 88,06288.1k $3.9m $3.9m 0.01% Added +21.6k +21,591
84 AXXCESS WEALTH MANAGEMENT, LLC 0.27% of their portfolio CARLSBAD, CA 84,15184.2k $3.7m $3.7m 0.27% Reduced -573 -573
85 Sigma Planning Corp 0.13% of their portfolio ANN ARBOR, MI 83,92483.9k $3.7m $3.7m 0.13% Reduced -12.4k -12,434
86 Thrivent Financial for Lutherans 0.01% of their portfolio Minneapolis, MN 83,42283.4k $3.7m $3.7m 0.01% Added +11.4k +11,374
87 IFP Advisors, Inc 0.08% of their portfolio TAMPA, FL 83,23883.2k $3.7m $3.7m 0.08% Added +38.2k +38,193
88 KESTRA PRIVATE WEALTH SERVICES, LLC 0.12% of their portfolio AUSTIN, TX 81,44981.4k $3.6m $3.6m 0.12% Added +2.0k +1,976
89 Verition Fund Management LLC 0.05% of their portfolio GREENWICH, CT 78,44378.4k $3.5m $3.5m 0.05% Unchanged
90 Atria Wealth Solutions, Inc. 0.05% of their portfolio NEW YORK, NY 77,02977.0k $3.4m $3.4m 0.05% Reduced -46.7k -46,659
91 FOUNDERS FINANCIAL SECURITIES LLC 0.45% of their portfolio TOWSON, MD 76,70176.7k $3.4m $3.4m 0.45% Reduced -2.1k -2,131
92 Horizon Investments, LLC 0.10% of their portfolio Charlotte, NC 76,54576.5k $3.4m $3.4m 0.10% Reduced -2.1k -2,141
93 BARNES PETTEY FINANCIAL ADVISORS, LLC 2.89% of their portfolio CLARKSDALE, MS 75,82075.8k $3.3m $3.3m 2.89% Reduced -4.1k -4,070
94 Steward Partners Investment Advisory, LLC 0.05% of their portfolio STAMFORD, CT 73,59673.6k $3.2m $3.2m 0.05% Added +103 +103
95 ELEVATION POINT WEALTH PARTNERS, LLC 0.34% of their portfolio DENVER, CO 73,48973.5k $3.2m $3.2m 0.34% Added +6.0k +5,959
96 Belpointe Asset Management LLC 0.31% of their portfolio RENO, NV 66,62866.6k $2.9m $2.9m 0.31% Added +55.8k +55,843
97 AMG National Trust Bank 0.10% of their portfolio GREENWOOD VILLAGE, CO 66,34766.3k $2.9m $2.9m 0.10% Added +21.4k +21,425
98 Legacy Private Trust Co. 0.23% of their portfolio NEENAH, WI 63,25163.3k $2.8m $2.8m 0.23% Reduced -19.3k -19,313
99 HBW ADVISORY SERVICES LLC 0.60% of their portfolio SIMI VALLEY, CA 63,12863.1k $2.8m $2.8m 0.60% Added +1.5k +1,499
100 Vontobel Holding Ltd. 0.02% of their portfolio ZURICH, V8 62,34762.3k $2.8m $2.8m 0.02% Added +49.3k +49,253