Vault-13

ARK ETF TR ARKQ

AUTNMUS TECHNLGY · ETP · CUSIP 00214Q203

169 institutional holders +6 vs Q1 2023
3,452,4353.5m shares reported held*
$194.4mreported value*
21 new 39 added 44 reduced 14 sold out net bought ≈ $24.3m (+417.7k 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 ≈ $56.31. Options: 5 managers hold calls ($8.8m notional), 4 hold puts ($1.2m).

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 175Q4 22: 174Q1 23: 163Q2 23: 169169Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022175
Q4 2022174
Q1 2023163
Q2 2023169

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 55 bought or addedQ4 22: 85 cut or sold outQ4 22Q1 23: 41 bought or addedQ1 23: 81 cut or sold outQ1 23Q2 23: 60 bought or addedQ2 23: 58 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20225585
Q1 20234181
Q2 20236058

Calls vs puts

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

CallsPuts
$0$10m$20m$30m$40mQ3 22 calls: $29.8mQ3 22 puts: $1.9mQ3 22P/C 0.06Q4 22 calls: $34.7mQ4 22 puts: $236.7kQ4 22P/C 0.01Q1 23 calls: $6.9mQ1 23 puts: $824.8kQ1 23P/C 0.12Q2 23 calls: $8.8mQ2 23 puts: $1.2mQ2 23P/C 0.14
Numbers
QuarterCallsPutsP/C
Q3 2022$29.8m$1.9m0.06
Q4 2022$34.7m$236.7k0.01
Q1 2023$6.9m$824.8k0.12
Q2 2023$8.8m$1.2m0.14

Biggest buyers

LPL Financial LLC Added +301,772+301.8k
Raymond James Financial Services Advisors, Inc. Added +37,823+37.8k
Aspire Capital Advisors LLC Added +35,091+35.1k
BANK OF AMERICA CORP /DE/ Added +32,852+32.9k
JANE STREET GROUP, LLC New +21,147+21.1k
Merit Financial Group, LLC Added +13,976+14.0k
WELLS FARGO & COMPANY/MN Added +11,906+11.9k
DHK Financial Advisors, Inc. New +10,425+10.4k
Cambridge Investment Research Advisors, Inc. Added +10,251+10.3k
MORGAN STANLEY Added +8,792+8.8k

Biggest sellers

NewEdge Advisors, LLC Reduced -23,258-23.3k
Blue Trust, Inc. Reduced -20,713-20.7k
HighTower Advisors, LLC Reduced -15,552-15.6k
MONEY CONCEPTS CAPITAL CORP Sold out -11,385-11.4k
Prostatis Group LLC Reduced -8,879-8.9k
Belpointe Asset Management LLC Sold out -8,847-8.8k
Cetera Advisor Networks LLC Reduced -7,408-7.4k
Granite Bay Wealth Management, LLC Reduced -5,961-6.0k
UBS Group AG Reduced -5,224-5.2k
AMERIPRISE FINANCIAL INC Sold out -5,168-5.2k

Biggest calls

JANE STREET GROUP, LLC Added $6.6m117.8k shares
CITADEL ADVISORS LLC Added $1.8m31.3k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $349.4k6.2k shares
Cutler Group LLC / CA New $6.0k1.6k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CITADEL ADVISORS LLC Added $676.3k12.0k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $541.1k9.6k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares
Cutler Group LLC / CA New $0600 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 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 687,918687.9k $38.8m $38.8m 0.00% Added +32.9k +32,852
2 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 562,171562.2k $31.7m $31.7m 0.02% Added +301.8k +301,772
3 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 340,200340.2k $19.2m $19.2m 0.00% Added +8.8k +8,792
4 Prostatis Group LLC 4.79% of their portfolio HANOVER, MD 182,708182.7k $10.3m $10.3m 4.79% Reduced -8.9k -8,879
5 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 165,054165.1k $9.3m $9.3m 0.00% Added +11.9k +11,906
6 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 131,212131.2k $7.4m $7.4m 0.02% Added +797 +797
7 Hartford Financial Management Inc. 1.67% of their portfolio WEST HARTFORD, CT 120,208120.2k $6.8m $6.8m 1.67% Added +3.0k +2,977
8 Brookstone Capital Management 0.11% of their portfolio WHEATON, IL 94,25694.3k $5.3m $5.3m 0.11% Reduced -2.4k -2,422
9 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 76,54876.5k $4.3m $4.3m 0.01% Reduced -1.6k -1,599
10 PRUDENTIAL PLC 0.04% of their portfolio LONDON, X0 63,60063.6k $3.6m $3.6m 0.04% Reduced -3.2k -3,200
11 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 63,23163.2k $3.6m $3.6m 0.01% Added +37.8k +37,823
12 Aspire Capital Advisors LLC 1.59% of their portfolio SEATTLE, WA 58,06258.1k $3.3m $3.3m 1.59% Added +35.1k +35,091
13 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 57,23057.2k $3.2m $3.2m 0.00% Reduced -4.0k -3,996
14 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 47,29447.3k $2.7m $2.7m 0.01% Added +10.3k +10,251
15 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 40,75540.8k $2.3m $2.3m 0.02% Added +2.8k +2,760
16 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 39,20339.2k $2.2m $2.2m 0.00% Added +2.5k +2,471
17 Wealthfront Advisers LLC 0.01% of their portfolio Palo Alto, CA 34,24534.2k $1.9m $1.9m 0.01% Added +2.8k +2,817
18 Aviance Capital Partners, LLC 0.36% of their portfolio NAPLES, FL 30,02230.0k $1.7m $1.7m 0.36% Unchanged
19 Mutual Advisors, LLC 0.06% of their portfolio OMAHA, NE 29,92629.9k $1.7m $1.7m 0.06% Reduced -17 -17
20 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 25,41325.4k $1.4m $1.4m 0.01% Reduced -1.4k -1,402
21 CWM, LLC 0.01% of their portfolio OMAHA, NE 23,12823.1k $1.3m $1.3m 0.01% Added +8.5k +8,535
22 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 22,81622.8k $1.3m $1.3m 0.00% Reduced -1.1k -1,116
23 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 21,14721.1k $1.2m $1.2m 0.00% New
24 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 21,02021.0k $1.2m $1.2m 0.01% Added +7.3k +7,256
25 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 20,11520.1k $1.1m $1.1m 0.00% Reduced -970 -970
26 Merit Financial Group, LLC 0.03% of their portfolio ALPHARETTA, GA 18,56218.6k $1.0m $1.0m 0.03% Added +14.0k +13,976
27 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 18,11518.1k $1.0m $1.0m 0.00% Reduced -20 -20
28 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 16,59316.6k $936.0k $936.0k 0.00% Reduced -15.6k -15,552
29 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 15,50615.5k $873.9k $873.9k 0.01% Reduced -694 -694
30 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 14,97515.0k $844.0k $844.0k 0.01% Added +3.4k +3,369
31 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 14,97215.0k $843.8k $843.8k 0.00% Added +1 +1
32 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 14,40014.4k $812.0k $812.0k 0.00% Added +3.2k +3,200
33 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 13,09213.1k $737.9k $737.9k 0.00% Added +1.6k +1,605
34 UBS Group AG 0.00% of their portfolio ZURICH, V8 13,05613.1k $735.8k $735.8k 0.00% Reduced -5.2k -5,224
35 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 12,91512.9k $727.9k $727.9k 0.00% Reduced -727 -727
36 Stevard, LLC 0.66% of their portfolio Chicago, IL 12,29612.3k $693.0k $693.0k 0.66% Unchanged
37 Mariner, LLC 0.00% of their portfolio Overland Park, KS 11,91011.9k $671.2k $671.2k 0.00% Reduced -390 -390
38 PFG Advisors 0.05% of their portfolio Phoenix, AZ 11,58811.6k $653.1k $653.1k 0.05% Reduced -1.3k -1,335
39 Crescent Grove Advisors, LLC 0.07% of their portfolio LAKE FOREST, IL 11,22311.2k $632.5k $632.5k 0.07% Unchanged
40 Tyler-Stone Wealth Management 0.36% of their portfolio Beachwood, OH 11,13511.1k $628.0k $628.0k 0.36% First filing
41 DHK Financial Advisors, Inc. 0.50% of their portfolio PORTSMOUTH, NH 10,42510.4k $587.6k $587.6k 0.50% New
42 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 10,42410.4k $587.5k $587.5k 0.00% Added +3.7k +3,682
43 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 10,36610.4k $584.2k $584.2k 0.01% Reduced -105 -105
44 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 10,30210.3k $580.6k $580.6k 0.00% Reduced -7.4k -7,408
45 OPPENHEIMER ASSET MANAGEMENT INC. 0.01% of their portfolio NEW YORK, NY 10,29910.3k $580.5k $580.5k 0.01% Added +511 +511
46 Granite Bay Wealth Management, LLC 0.54% of their portfolio PORTSMOUTH, NH 10,29710.3k $580.0k $580.0k 0.54% Reduced -6.0k -5,961
47 WESPAC Advisors SoCal, LLC 0.18% of their portfolio Pasadena, CA 9,2509.2k $521.3k $521.3k 0.18% Unchanged
48 Purus Wealth Management, LLC 0.33% of their portfolio Newport Beach, CA 8,9078.9k $502.0k $502.0k 0.33% Reduced -3.1k -3,139
49 Sweet Financial Partners, LLC 0.12% of their portfolio FAIRMONT, MN 8,4908.5k $478.5k $478.5k 0.12% Unchanged
50 Sigma Planning Corp 0.02% of their portfolio ANN ARBOR, MI 7,5807.6k $427.2k $427.2k 0.02% Added +99 +99
51 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 7,2817.3k $410.4k $410.4k 0.00% Added +2.1k +2,101
52 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 7,0607.1k $397.9k $397.9k 0.00% Reduced -23.3k -23,258
53 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.05% of their portfolio ORLANDO, FL 6,5506.5k $349.7k $349.7k 0.05% Reduced -2.7k -2,740
54 Navis Wealth Advisors, LLC 0.34% of their portfolio RYE BROOK, NY 6,5006.5k $366.3k $366.3k 0.34% Unchanged
55 MATHER GROUP, LLC. 0.01% of their portfolio CHICAGO, IL 6,3796.4k $359.5k $359.5k 0.01% Unchanged
56 Csenge Advisory Group 0.02% of their portfolio CLEARWATER, FL 6,3786.4k $359.4k $359.4k 0.02% Added +100 +100
57 HIGHLINE WEALTH PARTNERS LLC 0.22% of their portfolio SHERMAN OAKS, CA 6,1756.2k $348.0k $348.0k 0.22% Added +32 +32
58 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 6,1316.1k $345.5k $345.5k 0.00% New
59 Prosperity Wealth Management, Inc. 0.22% of their portfolio San Ramon, CA 6,0906.1k $343.2k $343.2k 0.22% New
60 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 5,8295.8k $328.5k $328.5k 0.00% New
61 MEANS INVESTMENT CO., INC. 0.05% of their portfolio BANGOR, ME 5,7935.8k $326.5k $326.5k 0.05% Reduced -232 -232
62 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 5,3365.3k $300.7k $300.7k 0.00% Added +2.6k +2,636
63 Stratos Wealth Partners, LTD. 0.01% of their portfolio BEACHWOOD, OH 5,0275.0k $283.4k $283.4k 0.01% Added +402 +402
64 TRAPHAGEN INVESTMENT ADVISORS LLC 0.03% of their portfolio ORADELL, NJ 4,9194.9k $217.1k $217.1k 0.03% Reduced -4.5k -4,510
65 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 4,8294.8k $272.0k $272.0k 0.00% Reduced -361 -361
66 Ballentine Partners, LLC 0.01% of their portfolio Waltham, MA 4,7224.7k $266.1k $266.1k 0.01% Unchanged
67 Western Wealth Management, LLC 0.02% of their portfolio GOLDEN, CO 4,2574.3k $239.9k $239.9k 0.02% New
68 Cetera Advisors LLC 0.00% of their portfolio DENVER, CO 4,2474.2k $239.4k $239.4k 0.00% New
69 StoneX Group Inc. 0.02% of their portfolio NEW YORK, NY 4,1034.1k $231.2k $231.2k 0.02% Added +43 +43
70 Clearstead Trust, LLC 0.07% of their portfolio PORTLAND, ME 4,1034.1k $231.2k $231.2k 0.07% Unchanged
71 KESTRA PRIVATE WEALTH SERVICES, LLC 0.01% of their portfolio AUSTIN, TX 4,0274.0k $227.0k $227.0k 0.01% Reduced -132 -132
72 Smith Anglin Financial, LLC 0.03% of their portfolio DALLAS, TX 4,0234.0k $226.7k $226.7k 0.03% Added +12 +12
73 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 3,7003.7k $209.0k $209.0k 0.00% New
74 SIMPLEX TRADING, LLC 0.01% of their portfolio CHICAGO, IL 3,6853.7k $207.0k $207.0k 0.01% New
75 Essex Financial Services, Inc. 0.02% of their portfolio ESSEX, CT 3,6783.7k $207.3k $207.3k 0.02% Reduced -2.5k -2,545
76 Advisors Preferred, LLC 0.05% of their portfolio ROCKVILLE, MD 3,6363.6k $206.9k $206.9k 0.05% New
77 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 3,2963.3k $185.8k $185.8k 0.00% Added +322 +322
78 Tacita Capital Inc 0.13% of their portfolio TORONTO, A6 3,2003.2k $180.0k $180.0k 0.13% New
79 CENTAURUS FINANCIAL, INC. 0.02% of their portfolio ANAHEIM, CA 3,1683.2k $179.0k $179.0k 0.02% Added +319 +319
80 Financial Perspectives, Inc 0.07% of their portfolio MINNEAPOLIS, MN 2,9182.9k $164.5k $164.5k 0.07% Added +106 +106
81 First Horizon Advisors, Inc. 0.00% of their portfolio MEMPHIS, TN 2,4962.5k $140.7k $140.7k 0.00% Added +385 +385
82 IFP Advisors, Inc 0.00% of their portfolio TAMPA, FL 2,3042.3k $104.6k $104.6k 0.00% Added +1.2k +1,214
83 JTC Employer Solutions Trustee Ltd 0.01% of their portfolio ST HELIER, Y9 2,1652.2k $122.0k $122.0k 0.01% Unchanged
84 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 2,1092.1k $118.9k $118.9k 0.00% Added +716 +716
85 SIGNATUREFD, LLC 0.00% of their portfolio ATLANTA, GA 2,0152.0k $113.6k $113.6k 0.00% Reduced -694 -694
86 Blue Trust, Inc. 0.00% of their portfolio BRENTWOOD, TN 2,0072.0k $101.0k $101.0k 0.00% Reduced -20.7k -20,713
87 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 1,8411.8k $104.4k $104.4k 0.00% Reduced -40 -40
88 Avondale Wealth Management 0.09% of their portfolio WEST LAKE HILLS, TX 1,8371.8k $103.5k $103.5k 0.09% Unchanged
89 AdvisorNet Financial, Inc 0.01% of their portfolio MINNETONKA, MN 1,5241.5k $85.9k $85.9k 0.01% Reduced -403 -403
90 HUNTINGTON NATIONAL BANK 0.00% of their portfolio COLUMBUS, OH 1,5201.5k $85.7k $85.7k 0.00% Unchanged
91 Global Retirement Partners, LLC 0.00% of their portfolio San Rafael, CA 1,4821.5k $83.5k $83.5k 0.00% Added +1.2k +1,167
92 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 1,2651.3k $71.3k $71.3k 0.00% Unchanged
93 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 1,2441.2k $70.1k $70.1k 0.00% Unchanged
94 OXFORD FINANCIAL GROUP, LTD. LLC 0.01% of their portfolio INDIANAPOLIS, IN 1,2091.2k $68.2k $68.2k 0.01% Unchanged
95 VALLEY NATIONAL ADVISERS INC 0.01% of their portfolio BETHLEHEM, PA 1,2011.2k $68.0k $68.0k 0.01% Unchanged
96 Buck Wealth Strategies, LLC 0.02% of their portfolio DENVER, CO 1,1921.2k $37.8k $37.8k 0.02% Unchanged
97 CAROLINAS WEALTH CONSULTING LLC 0.01% of their portfolio CHARLOTTE, NC 1,0721.1k $60.4k $60.4k 0.01% Reduced -284 -284
98 Federation des caisses Desjardins du Quebec 0.00% of their portfolio LEVIS, A8 1,0721.1k $60.4k $60.4k 0.00% Reduced -1.7k -1,680
99 IAG Wealth Partners, LLC 0.01% of their portfolio WAUKESHA, WI 797797 $44.9k $44.9k 0.01% Unchanged
100 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 784784 $44.2k $44.2k 0.00% Reduced -40 -40