Vault-13

ARK ETF TR ARKG

GENOMIC REV ETF · ETP · CUSIP 00214Q302 · ISIN US00214Q3020

297 institutional holders -24 vs Q4 2022
22,300,32322.3m shares reported held*
$670.0mreported value*
24 new 81 added 94 reduced 45 sold out net bought ≈ $116.5m (+3.9m 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 ≈ $30.04. Options: 13 managers hold calls ($51.8m notional), 16 hold puts ($97.2m).

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

0200400Q3 22: 314Q4 22: 321Q1 23: 297297Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022314
Q4 2022321
Q1 2023297

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 98 bought or addedQ4 22: 168 cut or sold outQ4 22Q1 23: 105 bought or addedQ1 23: 139 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 202298168
Q1 2023105139

Calls vs puts

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

CallsPuts
$0$50m$100m$150mQ3 22 calls: $101.7mQ3 22 puts: $74.8mQ3 22P/C 0.74Q4 22 calls: $63.0mQ4 22 puts: $62.9mQ4 22P/C 1.00Q1 23 calls: $51.8mQ1 23 puts: $97.2mQ1 23P/C 1.88
Numbers
QuarterCallsPutsP/C
Q3 2022$101.7m$74.8m0.74
Q4 2022$63.0m$62.9m1.00
Q1 2023$51.8m$97.2m1.88

Biggest buyers

BNP PARIBAS FINANCIAL MARKETS Added +1,280,246+1.3m
CITIGROUP INC Added +1,092,968+1.1m
BANK OF AMERICA CORP /DE/ Added +921,127+921.1k
MORGAN STANLEY Added +561,518+561.5k
GOLDMAN SACHS GROUP INC Added +238,636+238.6k
WELLS FARGO & COMPANY/MN Added +201,263+201.3k
JPMORGAN CHASE & CO Added +168,398+168.4k
STATE OF WISCONSIN INVESTMENT BOARD Added +105,100+105.1k
TWO SIGMA ADVISERS, LP New +68,500+68.5k
Main Management ETF Advisors, LLC Added +49,710+49.7k

Biggest sellers

Chevy Chase Trust Holdings, LLC Sold out -122,216-122.2k
JANE STREET GROUP, LLC Reduced -105,170-105.2k
NATIONAL BANK OF CANADA /FI/ Reduced -86,280-86.3k
Tower Research Capital LLC (TRC) Reduced -81,675-81.7k
CITADEL ADVISORS LLC Reduced -71,718-71.7k
MILLENNIUM MANAGEMENT LLC Sold out -65,630-65.6k
CONSOLIDATED CAPITAL MANAGEMENT, LLC Sold out -63,610-63.6k
Sierra Capital LLC Reduced -57,875-57.9k
Qube Research & Technologies Ltd Reduced -34,975-35.0k
Belpointe Asset Management LLC Reduced -33,623-33.6k

Biggest calls

BNP PARIBAS FINANCIAL MARKETS New $18.0m6.0k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $13.6m452.8k shares
CITADEL ADVISORS LLC Reduced $4.5m150.1k shares
WOLVERINE TRADING, LLC Reduced $3.4m117.3k shares
Walleye Trading LLC Reduced $3.3m110.2k shares
JANE STREET GROUP, LLC Reduced $2.8m94.3k shares
IMC-Chicago, LLC Reduced $2.7m89.1k shares
Granite Point Capital Management, L.P. Unchanged $1.7m20.0k shares
MILLENNIUM MANAGEMENT LLC New $1.2m40.0k shares
JPMORGAN CHASE & CO Unchanged $535.0k17.8k shares

Biggest puts

Point72 Asset Management, L.P. New $30.1m1.0m shares
GOLDMAN SACHS GROUP INC Added $24.1m800.0k shares
PURA VIDA INVESTMENTS, LLC Reduced $17.3m575.0k shares
CITADEL ADVISORS LLC Added $4.8m160.6k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $3.3m110.0k shares
MILLENNIUM MANAGEMENT LLC Unchanged $3.0m100.0k shares
Polar Asset Management Partners Inc. New $3.0m100.0k shares
BANK OF AMERICA CORP /DE/ Added $2.7m90.0k shares
JANE STREET GROUP, LLC Added $2.7m88.7k shares
IMC-Chicago, LLC Added $2.4m80.4k 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, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 4,167,2324.2m $125.3m $125.3m 0.01% Added +561.5k +561,518
2 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 2,533,7772.5m $76.2m $76.2m 0.01% Added +921.1k +921,127
3 WELLS FARGO & COMPANY/MN 0.02% of their portfolio SAN FRANCISCO, CA 2,474,7292.5m $74.4m $74.4m 0.02% Added +201.3k +201,263
4 BNP PARIBAS FINANCIAL MARKETS 0.13% of their portfolio PARIS, I0 1,983,9002.0m $59.7m $59.7m 0.13% Added +1.3m +1,280,246
5 CITIGROUP INC 0.06% of their portfolio NEW YORK, NY 1,402,8571.4m $42.2m $42.2m 0.06% Added +1.1m +1,092,968
6 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 965,111965.1k $29.0m $29.0m 0.02% Reduced -5.2k -5,182
7 STATE OF WISCONSIN INVESTMENT BOARD 0.08% of their portfolio MADISON, WI 933,400933.4k $28.1m $28.1m 0.08% Added +105.1k +105,100
8 GOLDMAN SACHS GROUP INC 0.01% of their portfolio NEW YORK, NY 910,748910.7k $27.4m $27.4m 0.01% Added +238.6k +238,636
9 UBS Group AG 0.01% of their portfolio ZURICH, V8 548,016548.0k $16.5m $16.5m 0.01% Reduced -28.8k -28,831
10 COMMONWEALTH EQUITY SERVICES, LLC 0.03% of their portfolio WALTHAM, MA 528,953529.0k $15.9m $15.9m 0.03% Reduced -23.9k -23,928
11 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 302,617302.6k $9.1m $9.1m 0.02% Added +14.5k +14,521
12 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 282,743282.7k $8.5m $8.5m 0.02% Added +14.0k +13,979
13 Main Management ETF Advisors, LLC 0.63% of their portfolio SAN FRANCISCO, CA 247,250247.2k $7.4m $7.4m 0.63% Added +49.7k +49,710
14 Clearwater Capital Advisors, LLC 0.89% of their portfolio HOFFMAN ESTATES, IL 242,795242.8k $7.3m $7.3m 0.89% Reduced -3.1k -3,117
15 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 234,576234.6k $7.1m $7.1m 0.00% Added +44.9k +44,877
16 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 217,825217.8k $6.5m $6.5m 0.03% Added +12.5k +12,532
17 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 201,951202.0k $6.1m $6.1m 0.01% Added +6.0k +5,977
18 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 184,833184.8k $5.6m $5.6m 0.00% Added +168.4k +168,398
19 DDD Partners, LLC 0.85% of their portfolio BELLEVUE, WA 181,037181.0k $5.4m $5.4m 0.85% Reduced -3.2k -3,250
20 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 134,459134.5k $4.0m $4.0m 0.00% Reduced -13.2k -13,222
21 PRUDENTIAL PLC 0.04% of their portfolio LONDON, X0 132,170132.2k $3.8m $3.8m 0.04% Unchanged
22 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 112,783112.8k $3.4m $3.4m 0.01% Added +12.6k +12,636
23 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 104,841104.8k $3.2m $3.2m 0.00% Added +3.3k +3,331
24 Brookstone Capital Management 0.06% of their portfolio WHEATON, IL 104,468104.5k $3.2m $3.2m 0.06% Reduced -3.7k -3,711
25 Purus Wealth Management, LLC 2.27% of their portfolio Newport Beach, CA 95,47495.5k $2.9m $2.9m 2.27% Reduced -475 -475
26 Cetera Advisor Networks LLC 0.02% of their portfolio EL SEGUNDO, CA 94,52794.5k $2.8m $2.8m 0.02% Added +98 +98
27 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 85,94185.9k $2.6m $2.6m 0.00% Added +27.8k +27,813
28 ROTHSCHILD INVESTMENT LLC /IL 0.21% of their portfolio CHICAGO, IL 81,27081.3k $2.4m $2.4m 0.21% Reduced -6.8k -6,775
29 Hudson Bay Capital Management LP 0.01% of their portfolio STAMFORD, CT 80,00080.0k $2.4m $2.4m 0.01% Added +40.0k +40,000
30 Snowden Capital Advisors LLC 0.09% of their portfolio New York, NY 73,48173.5k $2.2m $2.2m 0.09% Reduced -28.4k -28,420
31 Mariner, LLC 0.01% of their portfolio Overland Park, KS 70,86170.9k $2.1m $2.1m 0.01% Added +860 +860
32 TWO SIGMA ADVISERS, LP 0.01% of their portfolio NEW YORK, NY 68,50068.5k $2.1m $2.1m 0.01% New
33 Foundations Investment Advisors, LLC 0.07% of their portfolio PHOENIX, AZ 67,30367.3k $2.0m $2.0m 0.07% Reduced -4.3k -4,256
34 Cetera Advisors LLC 0.03% of their portfolio DENVER, CO 66,94766.9k $2.0m $2.0m 0.03% Reduced -510 -510
35 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 65,17765.2k $2.0m $2.0m 0.00% Reduced -3.0k -3,024
36 Bellecapital International Ltd. 0.48% of their portfolio ZURICH, V8 63,72363.7k $1.9m $1.9m 0.48% Added +5.4k +5,380
37 CREDIT SUISSE AG/ 0.00% of their portfolio ZURICH, V8 60,30360.3k $1.8m $1.8m 0.00% Added +18.0k +18,017
38 SG Americas Securities, LLC 0.02% of their portfolio NEW YORK, NY 56,31356.3k $1.7m $1.7m 0.02% Added +11.9k +11,863
39 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 53,70753.7k $1.6m $1.6m 0.02% Reduced -1.6k -1,564
40 NewEdge Advisors, LLC 0.02% of their portfolio NEW ORLEANS, LA 53,66753.7k $1.6m $1.6m 0.02% Reduced -3.9k -3,932
41 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 52,38752.4k $1.6m $1.6m 0.01% Reduced -1.5k -1,483
42 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 48,98449.0k $1.5m $1.5m 0.00% Reduced -71.7k -71,718
43 Ameritas Advisory Services, LLC 0.07% of their portfolio Lincoln, NE 48,83948.8k $1.5m $1.5m 0.07% Added +6.5k +6,454
44 Ikarian Capital, LLC 0.58% of their portfolio DALLAS, TX 46,46246.5k $1.4m $1.4m 0.58% Unchanged
45 Strategic Wealth Investment Group, LLC 0.25% of their portfolio LOUISVILLE, KY 44,37844.4k $1.3m $1.3m 0.25% Added +4.2k +4,177
46 MEANS INVESTMENT CO., INC. 0.23% of their portfolio BANGOR, ME 43,24843.2k $1.3m $1.3m 0.23% Reduced -932 -932
47 Mutual Advisors, LLC 0.05% of their portfolio OMAHA, NE 42,03642.0k $1.3m $1.3m 0.05% Added +820 +820
48 Longitude (Cayman) Ltd. 2.45% of their portfolio GRAND CAYMAN, E9 41,00041.0k $1.2m $1.2m 2.45% Reduced -5.0k -5,000
49 Avior Wealth Management, LLC 0.08% of their portfolio OMAHA, NE 40,46540.5k $1.2m $1.2m 0.08% Reduced -5.4k -5,393
50 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 40,38540.4k $1.2m $1.2m 0.01% Added +1.5k +1,474
51 EQUITABLE TRUST CO 0.09% of their portfolio NASHVILLE, TN 39,24039.2k $1.2m $1.2m 0.09% Reduced -4.9k -4,887
52 Wealthfront Advisers LLC 0.00% of their portfolio Palo Alto, CA 36,41836.4k $1.1m $1.1m 0.00% Added +3.0k +2,951
53 BARNES PETTEY FINANCIAL ADVISORS, LLC 1.00% of their portfolio CLARKSDALE, MS 34,94034.9k $1.1m $1.1m 1.00% Added +409 +409
54 Tower Research Capital LLC (TRC) 0.03% of their portfolio NEW YORK, NY 33,83733.8k $1.0m $1.0m 0.03% Reduced -81.7k -81,675
55 Waverly Advisors, LLC 0.05% of their portfolio BIRMINGHAM, AL 29,85029.9k $897.6k $897.6k 0.05% Added +2.7k +2,700
56 J.P. Morgan Private Wealth Advisors LLC 0.00% of their portfolio SAN FRANCISCO, CA 28,83428.8k $867.0k $867.0k 0.00% Reduced -4.5k -4,474
57 CWM, LLC 0.01% of their portfolio OMAHA, NE 28,72928.7k $864.0k $864.0k 0.01% Added +5.5k +5,514
58 McGuire Investment Group, LLC 0.17% of their portfolio WAKEFIELD, RI 28,17928.2k $847.3k $847.3k 0.17% Reduced -4.5k -4,474
59 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 27,08327.1k $814.4k $814.4k 0.01% Reduced -4.1k -4,080
60 Parallax Volatility Advisers, L.P. 0.03% of their portfolio San Francisco, CA 26,21126.2k $788.2k $788.2k 0.03% Added +26.2k +26,210
61 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 24,84324.8k $747.0k $747.0k 0.01% Reduced -5.5k -5,536
62 Gladstone Institutional Advisory LLC 0.05% of their portfolio Bedminster, NJ 24,32824.3k $731.6k $731.6k 0.05% Reduced -3.2k -3,180
63 MONEY CONCEPTS CAPITAL CORP 0.02% of their portfolio PALM BEACH GARDENS, FL 23,11023.1k $282.4k $282.4k 0.02% Added +19.5k +19,501
64 Strategic Blueprint, LLC 0.07% of their portfolio ATLANTA, GA 22,65822.7k $681.3k $681.3k 0.07% Added +1.9k +1,909
65 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 22,60122.6k $679.6k $679.6k 0.00% Reduced -35.0k -34,975
66 Crescent Grove Advisors, LLC 0.08% of their portfolio LAKE FOREST, IL 22,59622.6k $679.5k $679.5k 0.08% Unchanged
67 Sierra Capital LLC 0.11% of their portfolio MIAMI, FL 22,35122.4k $672.0k $672.0k 0.11% Reduced -57.9k -57,875
68 Oxler Private Wealth LLC 0.33% of their portfolio Rye Brook, NY 22,16622.2k $666.5k $666.5k 0.33% Reduced -160 -160
69 Safeguard Investment Advisory Group, LLC 0.32% of their portfolio Corona, CA 21,79321.8k $655.3k $655.3k 0.32% Reduced -441 -441
70 Belpointe Asset Management LLC 0.04% of their portfolio RENO, NV 21,61021.6k $649.8k $649.8k 0.04% Reduced -33.6k -33,623
71 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 21,35521.4k $642.1k $642.1k 0.00% Added +2.7k +2,653
72 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 21,01321.0k $632.0k $632.0k 0.00% Reduced -222 -222
73 TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio NEW YORK, NY 20,80020.8k $625.5k $625.5k 0.00% New
74 HRT FINANCIAL LP 0.01% of their portfolio NEW YORK, NY 20,04720.0k $602.0k $602.0k 0.01% Reduced -7.7k -7,730
75 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 19,45119.5k $584.9k $584.9k 0.00% Reduced -18 -18
76 Summit Investment Advisory Services, LLC 0.41% of their portfolio ROSEVILLE, MN 19,38519.4k $582.9k $582.9k 0.41% Added +109 +109
77 Tidal Investments LLC 0.01% of their portfolio Milwaukee, WI 19,14219.1k $576.0k $576.0k 0.01% Added +9.9k +9,879
78 Intrua Financial, LLC 0.12% of their portfolio Houston, TX 19,08519.1k $569.9k $569.9k 0.12% Reduced -3.8k -3,789
79 INSIGNEO ADVISORY SERVICES, LLC 0.18% of their portfolio MIAMI, FL 18,87618.9k $567.6k $567.6k 0.18% Added +1.8k +1,806
80 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 18,76518.8k $564.2k $564.2k 0.00% Added +2.8k +2,763
81 Prosperity Wealth Management, Inc. 0.45% of their portfolio San Ramon, CA 18,42418.4k $554.0k $554.0k 0.45% Added +2.8k +2,805
82 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 16,35716.4k $491.8k $491.8k 0.01% Added +1.3k +1,310
83 Insight Advisors, LLC/ PA 0.12% of their portfolio Newtown, PA 16,30716.3k $490.4k $490.4k 0.12% Reduced -7.2k -7,230
84 Aveo Capital Partners, LLC 0.06% of their portfolio ENGLEWOOD, CO 16,03616.0k $482.2k $482.2k 0.06% Reduced -100 -100
85 One Charles Private Wealth Services, LLC 0.30% of their portfolio HINGHAM, MA 15,80915.8k $475.4k $475.4k 0.30% Reduced -8.0k -8,028
86 Integrated Wealth Concepts LLC 0.01% of their portfolio WALTHAM, MA 15,56915.6k $468.0k $468.0k 0.01% Added +70 +70
87 Perigon Wealth Management, LLC 0.03% of their portfolio SAN FRANCISCO, CA 15,53615.5k $467.2k $467.2k 0.03% Added +1.6k +1,608
88 Elite Wealth Management, Inc. 0.20% of their portfolio KIRKLAND, WA 15,18115.2k $456.5k $456.5k 0.20% Reduced -259 -259
89 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 14,97415.0k $450.3k $450.3k 0.00% Reduced -105.2k -105,170
90 Brown Miller Wealth Management, LLC 0.27% of their portfolio MCLEAN, VA 14,96315.0k $449.9k $449.9k 0.27% Added +592 +592
91 TD Waterhouse Canada Inc. 0.00% of their portfolio TORONTO, A6 14,39114.4k $439.8k $439.8k 0.00% Added +312 +312
92 BRIDGES INVESTMENT MANAGEMENT INC 0.02% of their portfolio OMAHA, NE 14,33914.3k $431.2k $431.2k 0.02% Added +1.1k +1,110
93 BOOTHBAY FUND MANAGEMENT, LLC 0.01% of their portfolio NEW YORK, NY 14,30314.3k $430.1k $430.1k 0.01% Added +7.0k +7,021
94 Sigma Planning Corp 0.01% of their portfolio ANN ARBOR, MI 13,98014.0k $420.4k $420.4k 0.01% Added +303 +303
95 Kovack Advisors, Inc. 0.05% of their portfolio FT. LAUDERDALE, FL 13,26413.3k $398.8k $398.8k 0.05% Added +911 +911
96 Jaffetilchin Investment Partners, LLC 0.04% of their portfolio TAMPA, FL 12,91612.9k $388.4k $388.4k 0.04% Reduced -505 -505
97 SkyOak Wealth, LLC 0.12% of their portfolio SOUTHFIELD, MI 12,86112.9k $386.7k $386.7k 0.12% Reduced -204 -204
98 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 12,61412.6k $379.3k $379.3k 0.00% Reduced -7.7k -7,747
99 PARK AVENUE SECURITIES LLC 0.01% of their portfolio NEW YORK, NY 11,61111.6k $349.0k $349.0k 0.01% Reduced -2.1k -2,110
100 Wealth Quarterback LLC 0.29% of their portfolio TOMS RIVER, NJ 11,55411.6k $347.4k $347.4k 0.29% Reduced -2.9k -2,890