Vault-13

ARK ETF TR ARKW

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

213 institutional holders -4 vs Q4 2022
4,105,7374.1m shares reported held*
$217.3mreported value*
34 new 42 added 71 reduced 34 sold out net sold ≈ $48.2m (-860.7k 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 ≈ $52.92. Options: 7 managers hold calls ($15.2m notional), 6 hold puts ($8.1m).

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 218Q4 22: 217Q1 23: 213213Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022218
Q4 2022217
Q1 2023213

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 76 bought or addedQ4 22: 113 cut or sold outQ4 22Q1 23: 76 bought or addedQ1 23: 105 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 202276113
Q1 202376105

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 0.46Q1 23 calls: $15.2mQ1 23 puts: $8.1mQ1 23P/C 0.54
Numbers
QuarterCallsPutsP/C
Q3 2022$106.0m$10.8m0.10
Q4 2022$12.3m$5.6m0.46
Q1 2023$15.2m$8.1m0.54

Biggest buyers

HARBOUR INVESTMENTS, INC. Added +78,374+78.4k
Portfolio Strategies, Inc. New +67,796+67.8k
TWO SIGMA INVESTMENTS, LP Added +57,700+57.7k
JANE STREET GROUP, LLC Added +49,399+49.4k
MONEY CONCEPTS CAPITAL CORP Added +46,996+47.0k
MILLENNIUM MANAGEMENT LLC New +40,057+40.1k
TWO SIGMA ADVISERS, LP Added +39,300+39.3k
Raymond James Financial Services Advisors, Inc. Added +27,654+27.7k
PRUDENTIAL PLC Added +17,800+17.8k
RENAISSANCE TECHNOLOGIES LLC New +17,700+17.7k

Biggest sellers

Mivtachim The Workers Social Insurance Fund Ltd. (Under Special Management) Sold out -465,000-465.0k
STATE OF WISCONSIN INVESTMENT BOARD Reduced -225,420-225.4k
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO Reduced -76,034-76.0k
BANK OF AMERICA CORP /DE/ Reduced -71,034-71.0k
GOLDMAN SACHS GROUP INC Reduced -63,143-63.1k
BNP PARIBAS FINANCIAL MARKETS Reduced -55,698-55.7k
CONSOLIDATED CAPITAL MANAGEMENT, LLC Sold out -42,515-42.5k
MORGAN STANLEY Reduced -38,571-38.6k
LPL Financial LLC Reduced -37,365-37.4k
Yarbrough Capital, LLC Sold out -34,100-34.1k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $7.7m143.8k shares
CITADEL ADVISORS LLC Reduced $4.9m90.5k shares
Walleye Trading LLC Added $1.7m31.2k shares
JANE STREET GROUP, LLC Added $981.1k18.3k shares
HAP Trading, LLC New $7.0k10.2k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares
Cutler Group LLC / CA Reduced $0100 shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $4.8m89.2k shares
JANE STREET GROUP, LLC Added $1.8m32.8k shares
CITADEL ADVISORS LLC Added $1.6m29.0k shares
HAP Trading, LLC New $46.0k10.0k shares
Walleye Trading LLC Unchanged $5.4k100 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, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 568,766568.8k $30.5m $30.5m 0.00% Reduced -38.6k -38,571
2 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 369,470369.5k $19.8m $19.8m 0.00% Reduced -71.0k -71,034
3 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 284,119284.1k $15.2m $15.2m 0.01% Reduced -37.4k -37,365
4 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 156,325156.3k $8.4m $8.4m 0.02% Reduced -3.8k -3,788
5 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 152,762152.8k $8.2m $8.2m 0.01% Reduced -76.0k -76,034
6 HARBOUR INVESTMENTS, INC. 0.36% of their portfolio MADISON, WI 123,485123.5k $6.6m $6.6m 0.36% Added +78.4k +78,374
7 PRUDENTIAL PLC 0.07% of their portfolio LONDON, X0 114,100114.1k $5.9m $5.9m 0.07% Added +17.8k +17,800
8 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 109,639109.6k $5.9m $5.9m 0.01% Reduced -1.9k -1,850
9 STATE OF WISCONSIN INVESTMENT BOARD 0.02% of their portfolio MADISON, WI 107,580107.6k $5.8m $5.8m 0.02% Reduced -225.4k -225,420
10 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 92,08892.1k $4.9m $4.9m 0.01% Added +27.7k +27,654
11 TWO SIGMA INVESTMENTS, LP 0.01% of their portfolio NEW YORK, NY 90,10090.1k $4.8m $4.8m 0.01% Added +57.7k +57,700
12 Brookstone Capital Management 0.09% of their portfolio WHEATON, IL 85,52885.5k $4.4m $4.4m 0.09% Reduced -1.7k -1,723
13 JANE STREET GROUP, LLC 0.01% of their portfolio NEW YORK, NY 69,31869.3k $3.7m $3.7m 0.01% Added +49.4k +49,399
14 Portfolio Strategies, Inc. 0.71% of their portfolio MONTVALE, NJ 67,79667.8k $3.6m $3.6m 0.71% New
15 Cetera Advisor Networks LLC 0.02% of their portfolio EL SEGUNDO, CA 63,00063.0k $3.4m $3.4m 0.02% Added +3.4k +3,418
16 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 61,25361.3k $3.3m $3.3m 0.00% Reduced -28.6k -28,638
17 TWO SIGMA ADVISERS, LP 0.01% of their portfolio NEW YORK, NY 61,10061.1k $3.3m $3.3m 0.01% Added +39.3k +39,300
18 Kovack Advisors, Inc. 0.39% of their portfolio FT. LAUDERDALE, FL 53,94353.9k $2.9m $2.9m 0.39% Reduced -3.7k -3,703
19 MONEY CONCEPTS CAPITAL CORP 0.03% of their portfolio PALM BEACH GARDENS, FL 50,49050.5k $488.3k $488.3k 0.03% Added +47.0k +46,996
20 Mutual Advisors, LLC 0.11% of their portfolio OMAHA, NE 50,44750.4k $2.7m $2.7m 0.11% Added +1.7k +1,706
21 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 47,48947.5k $2.5m $2.5m 0.01% Reduced -2.2k -2,166
22 Crescent Grove Advisors, LLC 0.29% of their portfolio LAKE FOREST, IL 46,10746.1k $2.5m $2.5m 0.29% Reduced -175 -175
23 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 45,66445.7k $2.4m $2.4m 0.00% Reduced -3.6k -3,649
24 CONSILIO WEALTH ADVISORS, LLC 1.29% of their portfolio BELLEVUE, WA 42,53142.5k $2.3m $2.3m 1.29% Added +9.5k +9,468
25 Relyea Zuckerberg Hanson LLC 0.53% of their portfolio STAMFORD, CT 40,67140.7k $2.2m $2.2m 0.53% Reduced -14.9k -14,938
26 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 40,48140.5k $2.2m $2.2m 0.00% Reduced -7.4k -7,424
27 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 40,05740.1k $2.1m $2.1m 0.00% New
28 CWM, LLC 0.01% of their portfolio OMAHA, NE 38,70938.7k $2.1m $2.1m 0.01% Reduced -133 -133
29 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 37,11037.1k $2.0m $2.0m 0.00% Reduced -1.6k -1,605
30 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 37,00137.0k $2.0m $2.0m 0.01% Added +1.3k +1,286
31 Mariner, LLC 0.01% of their portfolio Overland Park, KS 36,59536.6k $2.0m $2.0m 0.01% Added +2.7k +2,694
32 VERUS CAPITAL PARTNERS, LLC 0.31% of their portfolio SCOTTSDALE, AZ 36,50536.5k $2.0m $2.0m 0.31% Reduced -2.8k -2,786
33 Financial Guidance Group, Inc. 1.29% of their portfolio Palm Harbor, FL 31,62731.6k $1.7m $1.7m 1.29% Reduced -396 -396
34 Tower Research Capital LLC (TRC) 0.05% of their portfolio NEW YORK, NY 31,29331.3k $1.7m $1.7m 0.05% Reduced -10.6k -10,582
35 Ameritas Advisory Services, LLC 0.08% of their portfolio Lincoln, NE 30,90130.9k $1.5m $1.5m 0.08% Added +5.4k +5,365
36 Aviance Capital Partners, LLC 0.36% of their portfolio NAPLES, FL 30,00030.0k $1.6m $1.6m 0.36% Unchanged
37 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 29,27329.3k $1.6m $1.6m 0.01% Reduced -58 -58
38 Strong Tower Advisory Services 0.75% of their portfolio MINNEAPOLIS, MN 26,69326.7k $1.4m $1.4m 0.75% Added +497 +497
39 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 25,98126.0k $1.4m $1.4m 0.00% Reduced -55.7k -55,698
40 NewEdge Advisors, LLC 0.02% of their portfolio NEW ORLEANS, LA 25,80725.8k $1.4m $1.4m 0.02% Reduced -2.4k -2,356
41 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 23,50623.5k $1.3m $1.3m 0.01% Reduced -164 -164
42 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 23,31323.3k $1.2m $1.2m 0.00% Reduced -18.2k -18,156
43 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 21,40921.4k $1.1m $1.1m 0.00% Reduced -2.2k -2,214
44 Sterling Investment Counsel, LLC 0.66% of their portfolio Buffalo, NY 20,83120.8k $1.1m $1.1m 0.66% Added +6.1k +6,128
45 Steward Partners Investment Advisory, LLC 0.02% of their portfolio STAMFORD, CT 20,46220.5k $1.1m $1.1m 0.02% Reduced -4.1k -4,119
46 Smith Anglin Financial, LLC 0.16% of their portfolio DALLAS, TX 20,45720.5k $1.1m $1.1m 0.16% Added +465 +465
47 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 19,94819.9k $1.1m $1.1m 0.02% Reduced -714 -714
48 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 19,43419.4k $1.0m $1.0m 0.00% Reduced -21.2k -21,214
49 Betterment LLC 0.00% of their portfolio NEW YORK, NY 17,75417.8k $952.0k $952.0k 0.00% Added +77 +77
50 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 17,70017.7k $949.0k $949.0k 0.00% New
51 Wealthfront Advisers LLC 0.00% of their portfolio Palo Alto, CA 17,29317.3k $927.1k $927.1k 0.00% Reduced -2.6k -2,571
52 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 16,57316.6k $888.5k $888.5k 0.00% Added +755 +755
53 White Knight Strategic Wealth Advisors, LLC 1.11% of their portfolio PRINCETON, NJ 16,44116.4k $881.0k $881.0k 1.11% Reduced -1.3k -1,254
54 Purus Wealth Management, LLC 0.69% of their portfolio Newport Beach, CA 16,27916.3k $872.7k $872.7k 0.69% Reduced -19 -19
55 Prosperity Wealth Management, Inc. 0.63% of their portfolio San Ramon, CA 14,43514.4k $773.9k $773.9k 0.63% Added +2.3k +2,344
56 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 14,40514.4k $772.3k $772.3k 0.01% Added +821 +821
57 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 14,36014.4k $769.9k $769.9k 0.01% Reduced -461 -461
58 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.08% of their portfolio CEDAR RAPIDS, IA 13,59113.6k $728.6k $728.6k 0.08% Added +6.3k +6,316
59 STEPHENS INC /AR/ 0.01% of their portfolio LITTLE ROCK, AR 13,28713.3k $712.3k $712.3k 0.01% Reduced -1.3k -1,325
60 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 12,72312.7k $682.1k $682.1k 0.02% Reduced -2.7k -2,695
61 EXENCIAL WEALTH ADVISORS, LLC 0.03% of their portfolio OKLAHOMA CITY, OK 12,35212.4k $662.2k $662.2k 0.03% Reduced -2.0k -1,976
62 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 11,59011.6k $621.3k $621.3k 0.00% Added +820 +820
63 Family Legacy, Inc. 0.24% of their portfolio GREENVILLE, SC 10,40410.4k $557.7k $557.7k 0.24% Added +151 +151
64 Integrated Wealth Concepts LLC 0.01% of their portfolio WALTHAM, MA 9,4439.4k $506.0k $506.0k 0.01% New
65 Intrua Financial, LLC 0.09% of their portfolio Houston, TX 8,8498.8k $428.8k $428.8k 0.09% Reduced -2.6k -2,591
66 Trexquant Investment LP 0.01% of their portfolio STAMFORD, CT 8,6838.7k $465.5k $465.5k 0.01% New
67 CENTAURUS FINANCIAL, INC. 0.04% of their portfolio ANAHEIM, CA 8,5498.5k $458.0k $458.0k 0.04% Added +1.2k +1,177
68 INDEPENDENT FINANCIAL GROUP, LLC 0.03% of their portfolio SAN DIEGO, CA 7,9558.0k $426.5k $426.5k 0.03% Added +277 +277
69 Csenge Advisory Group 0.03% of their portfolio CLEARWATER, FL 7,9477.9k $426.0k $426.0k 0.03% Reduced -1.0k -1,038
70 Strategic Blueprint, LLC 0.04% of their portfolio ATLANTA, GA 7,8877.9k $422.8k $422.8k 0.04% Reduced -228 -228
71 Stevard, LLC 0.40% of their portfolio Chicago, IL 7,8457.8k $420.6k $420.6k 0.40% Unchanged
72 Wealthcare Advisory Partners LLC 0.02% of their portfolio WEST CHESTER, PA 7,7047.7k $413.0k $413.0k 0.02% Added +74 +74
73 CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC 0.22% of their portfolio Phoenix, AZ 6,8496.8k $367.2k $367.2k 0.22% Added +489 +489
74 PERSONAL CFO SOLUTIONS, LLC 0.08% of their portfolio CHESTER, NJ 6,8426.8k $366.8k $366.8k 0.08% Reduced -434 -434
75 StoneX Group Inc. 0.04% of their portfolio NEW YORK, NY 6,7656.8k $362.5k $362.5k 0.04% Reduced -417 -417
76 KESTRA PRIVATE WEALTH SERVICES, LLC 0.01% of their portfolio AUSTIN, TX 6,7436.7k $361.5k $361.5k 0.01% New
77 Safeguard Investment Advisory Group, LLC 0.16% of their portfolio Corona, CA 6,3646.4k $341.2k $341.2k 0.16% Reduced -361 -361
78 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 6,2056.2k $332.7k $332.7k 0.00% Added +3.8k +3,837
79 Beirne Wealth Consulting Services, LLC 0.22% of their portfolio SHELTON, CT 5,9115.9k $316.9k $316.9k 0.22% Reduced -7.9k -7,856
80 One Charles Private Wealth Services, LLC 0.19% of their portfolio HINGHAM, MA 5,8465.8k $313.4k $313.4k 0.19% Reduced -3.7k -3,716
81 Belpointe Asset Management LLC 0.02% of their portfolio RENO, NV 5,8015.8k $311.0k $311.0k 0.02% Reduced -11.0k -10,986
82 Sigma Planning Corp 0.01% of their portfolio ANN ARBOR, MI 5,4465.4k $292.0k $292.0k 0.01% Reduced -20 -20
83 Clear Harbor Asset Management, LLC 0.03% of their portfolio Stamford, CT 5,3745.4k $288.1k $288.1k 0.03% Unchanged
84 Equitable Holdings, Inc. 0.00% of their portfolio NEW YORK, NY 5,1505.2k $276.1k $276.1k 0.00% New
85 EMC Capital Management 0.22% of their portfolio HOUSTON, TX 5,0355.0k $262.0k $262.0k 0.22% Unchanged
86 Charles Schwab Trust Co 0.03% of their portfolio HENDERSON, NV 4,7004.7k $252.0k $252.0k 0.03% New
87 ICA Group Wealth Management, LLC 0.06% of their portfolio DENVER, CO 4,6854.7k $251.2k $251.2k 0.06% Reduced -460 -460
88 PFG Advisors 0.02% of their portfolio Phoenix, AZ 4,6194.6k $247.6k $247.6k 0.02% New
89 BlueCrest Capital Management Ltd 0.03% of their portfolio ST HELIER, Y9 4,4914.5k $240.8k $240.8k 0.03% New
90 LEVEL FOUR ADVISORY SERVICES, LLC 0.02% of their portfolio DALLAS, TX 4,3454.3k $232.9k $232.9k 0.02% New
91 Echo Wealth Management, LLC 0.25% of their portfolio PLYMOUTH, MN 4,2064.2k $225.5k $225.5k 0.25% New
92 NWAM LLC 0.02% of their portfolio MERCER ISLAND, WA 3,9083.9k $209.6k $209.6k 0.02% New
93 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 3,8973.9k $208.9k $208.9k 0.00% Reduced -63.1k -63,143
94 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 3,8863.9k $208.3k $208.3k 0.00% New
95 Focus Financial Network, Inc. 0.01% of their portfolio MINNEAPOLIS, MN 3,8343.8k $205.5k $205.5k 0.01% New
96 SCOTIA CAPITAL INC. 0.00% of their portfolio TORONTO, A6 3,7523.8k $201.1k $201.1k 0.00% New
97 Winthrop Advisory Group LLC 0.04% of their portfolio BOSTON, MA 3,7343.7k $200.2k $200.2k 0.04% New
98 Financial Perspectives, Inc 0.09% of their portfolio MINNEAPOLIS, MN 3,4873.5k $186.9k $186.9k 0.09% Added +28 +28
99 SG Americas Securities, LLC 0.00% of their portfolio NEW YORK, NY 2,7322.7k $146.0k $146.0k 0.00% New
100 IFP Advisors, Inc 0.01% of their portfolio TAMPA, FL 2,5232.5k $137.7k $137.7k 0.01% Reduced -4.5k -4,518