Vault-13

ARK ETF TR ARKW

NEXT GNRTN INTER · ETP · CUSIP 00214Q401 · ISIN US00214Q4010

217 institutional holders -1 vs Q3 2022
4,989,7745.0m shares reported held*
$192.3mreported value*
29 new 47 added 79 reduced 34 sold out net sold ≈ $2.5m (-55.9k 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 ≈ $38.55. Options: 8 managers hold calls ($12.3m notional), 8 hold puts ($5.6m).

Trends to Q4 2022

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 218Q4 22: 217217Q3 22Q4 22
Numbers
QuarterHolders
Q3 2022218
Q4 2022217

Calls vs puts

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

CallsPuts
$0$50m$100m$150mQ3 22 calls: $106.0mQ3 22 puts: $10.8mQ3 22P/C 0.10Q4 22 calls: $12.3mQ4 22 puts: $5.6mQ4 22P/C 0.46
Numbers
QuarterCallsPutsP/C
Q3 2022$106.0m$10.8m0.10
Q4 2022$12.3m$5.6m0.46

Biggest buyers

GOLDMAN SACHS GROUP INC New +67,040+67.0k
MORGAN STANLEY Added +54,575+54.6k
HARBOUR INVESTMENTS, INC. Added +44,476+44.5k
Relyea Zuckerberg Hanson LLC Added +36,382+36.4k
TWO SIGMA INVESTMENTS, LP New +32,400+32.4k
Financial Guidance Group, Inc. New +32,023+32.0k
Crescent Grove Advisors, LLC Added +28,586+28.6k
Mariner, LLC Added +28,539+28.5k
Tower Research Capital LLC (TRC) Added +19,850+19.9k
BNP PARIBAS FINANCIAL MARKETS Added +19,594+19.6k

Biggest sellers

LPL Financial LLC Reduced -82,037-82.0k
Caption Management, LLC Sold out -70,000-70.0k
HRT FINANCIAL LP Reduced -51,764-51.8k
EMC Capital Management Reduced -37,977-38.0k
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO Reduced -29,705-29.7k
CITADEL ADVISORS LLC Reduced -25,250-25.2k
Quantitative Investment Management, LLC Reduced -21,530-21.5k
PEAK6 Investments LLC Reduced -19,562-19.6k
Brookstone Capital Management Reduced -18,857-18.9k
Cambridge Investment Research Advisors, Inc. Reduced -18,831-18.8k

Biggest calls

CITADEL ADVISORS LLC Reduced $6.3m162.2k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $5.2m134.9k shares
JANE STREET GROUP, LLC Added $597.5k15.5k shares
Walleye Trading LLC Unchanged $212.0k5.5k shares
PEAK6 Investments LLC Reduced $7.7k200 shares
Belvedere Trading LLC New $3.9k100 shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares
Cutler Group LLC / CA Reduced $06.9k shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $3.3m85.4k shares
CITADEL ADVISORS LLC Reduced $859.7k22.3k shares
JANE STREET GROUP, LLC Reduced $612.9k15.9k shares
Belvedere Trading LLC New $597.5k15.5k shares
PEAK6 Investments LLC Reduced $227.4k5.9k shares
Cutler Group LLC / CA Reduced $5.0k1.1k shares
Walleye Trading LLC Unchanged $3.9k100 shares
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 2022

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 607,337607.3k $23.4m $23.4m 0.00% Added +54.6k +54,575
2 Mivtachim The Workers Social Insurance Fund Ltd. (Under Special Management) 0.93% of their portfolio Tel Aviv, L3 465,000465.0k $17.9m $17.9m 0.93% Unchanged
3 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 440,504440.5k $17.0m $17.0m 0.00% Added +2.3k +2,315
4 STATE OF WISCONSIN INVESTMENT BOARD 0.04% of their portfolio MADISON, WI 333,000333.0k $12.8m $12.8m 0.04% Reduced -7.6k -7,600
5 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 321,484321.5k $12.4m $12.4m 0.01% Reduced -82.0k -82,037
6 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 228,796228.8k $8.8m $8.8m 0.01% Reduced -29.7k -29,705
7 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 160,113160.1k $6.2m $6.2m 0.01% Added +13.1k +13,070
8 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 111,489111.5k $4.3m $4.3m 0.01% Added +1.3k +1,327
9 PRUDENTIAL PLC 0.05% of their portfolio LONDON, X0 96,30096.3k $3.7m $3.7m 0.05% Reduced -4.5k -4,500
10 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 89,89189.9k $3.5m $3.5m 0.00% Added +1.6k +1,573
11 Brookstone Capital Management 0.07% of their portfolio WHEATON, IL 87,25187.3k $3.4m $3.4m 0.07% Reduced -18.9k -18,857
12 BNP PARIBAS FINANCIAL MARKETS 0.01% of their portfolio PARIS, I0 81,67981.7k $3.1m $3.1m 0.01% Added +19.6k +19,594
13 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 67,04067.0k $2.6m $2.6m 0.00% New
14 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 64,43464.4k $2.5m $2.5m 0.00% Reduced -993 -993
15 Cetera Advisor Networks LLC 0.02% of their portfolio EL SEGUNDO, CA 59,58259.6k $2.3m $2.3m 0.02% Added +3.9k +3,890
16 Kovack Advisors, Inc. 0.33% of their portfolio FT. LAUDERDALE, FL 57,64657.6k $2.2m $2.2m 0.33% Reduced -1.1k -1,123
17 Relyea Zuckerberg Hanson LLC 0.61% of their portfolio STAMFORD, CT 55,60955.6k $2.1m $2.1m 0.61% Added +36.4k +36,382
18 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 49,65549.7k $1.9m $1.9m 0.01% Reduced -18.8k -18,831
19 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 49,31349.3k $1.9m $1.9m 0.00% Reduced -2.3k -2,316
20 Mutual Advisors, LLC 0.08% of their portfolio OMAHA, NE 48,74148.7k $1.9m $1.9m 0.08% Added +1.4k +1,385
21 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 47,90547.9k $1.8m $1.8m 0.00% Added +12.5k +12,546
22 Crescent Grove Advisors, LLC 0.19% of their portfolio LAKE FOREST, IL 46,28246.3k $1.8m $1.8m 0.19% Added +28.6k +28,586
23 HARBOUR INVESTMENTS, INC. 0.11% of their portfolio MADISON, WI 45,11145.1k $1.7m $1.7m 0.11% Added +44.5k +44,476
24 CONSOLIDATED CAPITAL MANAGEMENT, LLC 0.98% of their portfolio BURBANK, CA 42,51542.5k $1.6m $1.6m 0.98% Reduced -9.7k -9,747
25 Tower Research Capital LLC (TRC) 0.07% of their portfolio NEW YORK, NY 41,87541.9k $1.6m $1.6m 0.07% Added +19.9k +19,850
26 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 41,46941.5k $1.6m $1.6m 0.00% Added +4.8k +4,820
27 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 40,64840.6k $1.6m $1.6m 0.00% Reduced -25.2k -25,250
28 VERUS CAPITAL PARTNERS, LLC 0.28% of their portfolio SCOTTSDALE, AZ 39,29139.3k $1.5m $1.5m 0.28% Reduced -47 -47
29 CWM, LLC 0.01% of their portfolio OMAHA, NE 38,84238.8k $1.5m $1.5m 0.01% Added +967 +967
30 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 38,71538.7k $1.5m $1.5m 0.00% Reduced -11.9k -11,883
31 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 35,71535.7k $1.4m $1.4m 0.01% Added +6.2k +6,207
32 Yarbrough Capital, LLC 0.10% of their portfolio FRANKLIN, TN 34,10034.1k $1.3m $1.3m 0.10% Unchanged
33 Mariner, LLC 0.00% of their portfolio Overland Park, KS 33,90133.9k $1.3m $1.3m 0.00% Added +28.5k +28,539
34 CONSILIO WEALTH ADVISORS, LLC 0.81% of their portfolio BELLEVUE, WA 33,06333.1k $1.3m $1.3m 0.81% Added +9.3k +9,262
35 TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio NEW YORK, NY 32,40032.4k $1.2m $1.2m 0.00% New
36 Financial Guidance Group, Inc. 1.00% of their portfolio Palm Harbor, FL 32,02332.0k $1.2m $1.2m 1.00% New
37 Aviance Capital Partners, LLC 0.27% of their portfolio NAPLES, FL 30,00030.0k $1.2m $1.2m 0.27% Unchanged
38 Private Advisor Group, LLC 0.03% of their portfolio MORRISTOWN, NJ 29,33129.3k $1.1m $1.1m 0.03% Reduced -5.1k -5,096
39 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 28,16328.2k $262.7k $262.7k 0.01% Added +12.5k +12,477
40 Strong Tower Advisory Services 0.61% of their portfolio MINNEAPOLIS, MN 26,19626.2k $1.0m $1.0m 0.61% Reduced -432 -432
41 Ameritas Advisory Services, LLC 0.05% of their portfolio Lincoln, NE 25,53625.5k $984.4k $984.4k 0.05% Reduced -1.3k -1,294
42 Steward Partners Investment Advisory, LLC 0.02% of their portfolio STAMFORD, CT 24,58124.6k $947.6k $947.6k 0.02% Reduced -489 -489
43 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 23,67023.7k $912.5k $912.5k 0.01% Added +14.3k +14,303
44 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 23,62323.6k $905.0k $905.0k 0.00% Reduced -3.3k -3,291
45 TWO SIGMA ADVISERS, LP 0.00% of their portfolio NEW YORK, NY 21,80021.8k $840.4k $840.4k 0.00% Added +7.7k +7,700
46 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 20,66220.7k $796.5k $796.5k 0.01% Reduced -1.5k -1,502
47 Smith Anglin Financial, LLC 0.15% of their portfolio DALLAS, TX 19,99220.0k $770.7k $770.7k 0.15% Added +503 +503
48 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 19,91919.9k $767.9k $767.9k 0.00% Added +7.2k +7,208
49 Wealthfront Advisers LLC 0.00% of their portfolio Palo Alto, CA 19,86419.9k $765.8k $765.8k 0.00% Added +3.2k +3,187
50 Walleye Trading LLC 0.02% of their portfolio NEW YORK, NY 19,14219.1k $737.9k $737.9k 0.02% Added +17.4k +17,391
51 CMC Financial Group 1.51% of their portfolio ATLANTA, GA 18,89218.9k $940.6k $940.6k 1.51% New
52 White Knight Strategic Wealth Advisors, LLC 0.94% of their portfolio PRINCETON, NJ 17,69517.7k $682.0k $682.0k 0.94% Reduced -1.9k -1,885
53 Betterment LLC 0.00% of their portfolio NEW YORK, NY 17,67717.7k $681.0k $681.0k 0.00% Added +9.6k +9,613
54 Belpointe Asset Management LLC 0.04% of their portfolio RENO, NV 16,78716.8k $647.1k $647.1k 0.04% Added +6.6k +6,608
55 UBS Group AG 0.00% of their portfolio ZURICH, V8 16,64916.6k $641.8k $641.8k 0.00% Added +8.3k +8,271
56 Purus Wealth Management, LLC 0.57% of their portfolio Newport Beach, CA 16,29816.3k $628.3k $628.3k 0.57% Reduced -107 -107
57 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 15,81815.8k $609.8k $609.8k 0.00% Added +3.7k +3,669
58 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 15,41815.4k $594.4k $594.4k 0.02% Reduced -1.1k -1,063
59 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 14,82114.8k $571.4k $571.4k 0.01% Reduced -3.5k -3,460
60 Sterling Investment Counsel, LLC 0.35% of their portfolio Buffalo, NY 14,70314.7k $566.8k $566.8k 0.35% Added +1.1k +1,097
61 STEPHENS INC /AR/ 0.01% of their portfolio LITTLE ROCK, AR 14,61214.6k $563.3k $563.3k 0.01% Added +2.0k +2,040
62 EXENCIAL WEALTH ADVISORS, LLC 0.03% of their portfolio OKLAHOMA CITY, OK 14,32814.3k $552.4k $552.4k 0.03% Reduced -2.3k -2,263
63 Beirne Wealth Consulting Services, LLC 0.26% of their portfolio SHELTON, CT 13,76713.8k $530.7k $530.7k 0.26% Added +593 +593
64 TWO SIGMA SECURITIES, LLC 0.08% of their portfolio NEW YORK, NY 13,73913.7k $529.6k $529.6k 0.08% New
65 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 13,58413.6k $523.7k $523.7k 0.00% Added +982 +982
66 Pacific Sun Financial Corp 0.33% of their portfolio LOS ANGELES, CA 12,27412.3k $473.2k $473.2k 0.33% Reduced -3.2k -3,242
67 Belvedere Trading LLC 0.27% of their portfolio CHICAGO, IL 12,14912.1k $468.3k $468.3k 0.27% New
68 Prosperity Wealth Management, Inc. 0.46% of their portfolio San Ramon, CA 12,09112.1k $466.1k $466.1k 0.46% First filing
69 HRT FINANCIAL LP 0.01% of their portfolio NEW YORK, NY 11,62711.6k $448.0k $448.0k 0.01% Reduced -51.8k -51,764
70 Intrua Financial, LLC 0.11% of their portfolio Houston, TX 11,44011.4k $490.2k $490.2k 0.11% Reduced -1.7k -1,729
71 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 10,77010.8k $415.2k $415.2k 0.00% Reduced -2.7k -2,748
72 Family Legacy, Inc. 0.21% of their portfolio GREENVILLE, SC 10,25310.3k $478.5k $478.5k 0.21% Reduced -1.3k -1,309
73 Laurel Wealth Advisors, Inc. 0.04% of their portfolio SOLANA BEACH, CA 9,99210.0k $385.0k $385.0k 0.04% Reduced -4.8k -4,800
74 One Charles Private Wealth Services, LLC 0.24% of their portfolio HINGHAM, MA 9,5629.6k $368.6k $368.6k 0.24% Reduced -236 -236
75 Csenge Advisory Group 0.03% of their portfolio CLEARWATER, FL 8,9859.0k $346.4k $346.4k 0.03% Unchanged
76 Strategic Blueprint, LLC 0.04% of their portfolio ATLANTA, GA 8,1158.1k $312.8k $312.8k 0.04% Reduced -754 -754
77 Trilogy Capital Inc. 0.02% of their portfolio IRVINE, CA 7,9678.0k $307.1k $307.1k 0.02% New
78 Stevard, LLC 0.26% of their portfolio Chicago, IL 7,8457.8k $302.4k $302.4k 0.26% Reduced -5.5k -5,539
79 HSBC HOLDINGS PLC 0.00% of their portfolio LONDON, X0 7,7807.8k $297.4k $297.4k 0.00% Reduced -1.1k -1,100
80 INDEPENDENT FINANCIAL GROUP, LLC 0.03% of their portfolio SAN DIEGO, CA 7,6787.7k $296.0k $296.0k 0.03% Reduced -3.5k -3,477
81 Wealthcare Advisory Partners LLC 0.01% of their portfolio WEST CHESTER, PA 7,6307.6k $294.1k $294.1k 0.01% Reduced -480 -480
82 CENTAURUS FINANCIAL, INC. 0.03% of their portfolio ANAHEIM, CA 7,3727.4k $284.0k $284.0k 0.03% Added +208 +208
83 PERSONAL CFO SOLUTIONS, LLC 0.06% of their portfolio CHESTER, NJ 7,2767.3k $280.5k $280.5k 0.06% Reduced -1.9k -1,948
84 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.03% of their portfolio CEDAR RAPIDS, IA 7,2757.3k $280.5k $280.5k 0.03% Reduced -2.4k -2,363
85 StoneX Group Inc. 0.03% of their portfolio NEW YORK, NY 7,1827.2k $276.7k $276.7k 0.03% Reduced -2.8k -2,810
86 IFP Advisors, Inc 0.01% of their portfolio TAMPA, FL 7,0417.0k $395.0k $395.0k 0.01% Reduced -6.4k -6,431
87 Safeguard Investment Advisory Group, LLC 0.16% of their portfolio Corona, CA 6,7256.7k $259.3k $259.3k 0.16% Reduced -76 -76
88 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 6,4986.5k $250.5k $250.5k 0.00% Reduced -1.6k -1,554
89 CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC 0.17% of their portfolio Phoenix, AZ 6,3606.4k $245.2k $245.2k 0.17% Reduced -3.3k -3,304
90 Highland Financial Advisors, LLC 0.14% of their portfolio WAYNE, NJ 6,2486.2k $241.0k $241.0k 0.14% Added +1.9k +1,876
91 Quantitative Investment Management, LLC 0.04% of their portfolio CHARLOTTESVILLE, VA 6,0966.1k $235.0k $235.0k 0.04% Reduced -21.5k -21,530
92 Sigma Planning Corp 0.01% of their portfolio ANN ARBOR, MI 5,4665.5k $210.8k $210.8k 0.01% Reduced -2.7k -2,689
93 Clear Harbor Asset Management, LLC 0.03% of their portfolio Stamford, CT 5,3745.4k $207.2k $207.2k 0.03% Reduced -460 -460
94 ICA Group Wealth Management, LLC 0.05% of their portfolio DENVER, CO 5,1455.1k $198.3k $198.3k 0.05% Reduced -1.4k -1,397
95 EMC Capital Management 0.17% of their portfolio HOUSTON, TX 5,0355.0k $194.0k $194.0k 0.17% Reduced -38.0k -37,977
96 Castle Rock Wealth Management, LLC 0.09% of their portfolio WALNUT CREEK, CA 4,1924.2k $200.2k $200.2k 0.09% Reduced -2.3k -2,262
97 PEAK6 Investments LLC 0.01% of their portfolio CHICAGO, IL 3,9974.0k $154.1k $154.1k 0.01% Reduced -19.6k -19,562
98 MONEY CONCEPTS CAPITAL CORP 0.01% of their portfolio PALM BEACH GARDENS, FL 3,4943.5k $134.7k $134.7k 0.01% Reduced -9.0k -9,018
99 Financial Perspectives, Inc 0.07% of their portfolio MINNEAPOLIS, MN 3,4593.5k $133.3k $133.3k 0.07% Reduced -2.3k -2,275
100 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 3,1143.1k $120.0k $120.0k 0.00% New