Vault-13

ARK ETF TR ARKW

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

210 institutional holders -3 vs Q1 2023
4,373,9804.4m shares reported held*
$255.9mreported value*
20 new 45 added 67 reduced 24 sold out net bought ≈ $16.1m (+245.6k 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 ≈ $58.50. Options: 9 managers hold calls ($18.5m notional), 5 hold puts ($8.2m).

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 218Q4 22: 217Q1 23: 213Q2 23: 210210Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022218
Q4 2022217
Q1 2023213
Q2 2023210

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 23Q2 23: 65 bought or addedQ2 23: 91 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 202276113
Q1 202376105
Q2 20236591

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 0.54Q2 23 calls: $18.5mQ2 23 puts: $8.2mQ2 23P/C 0.44
Numbers
QuarterCallsPutsP/C
Q3 2022$106.0m$10.8m0.10
Q4 2022$12.3m$5.6m0.46
Q1 2023$15.2m$8.1m0.54
Q2 2023$18.5m$8.2m0.44

Biggest buyers

TWO SIGMA INVESTMENTS, LP Added +139,500+139.5k
MORGAN STANLEY Added +128,294+128.3k
MIRABELLA FINANCIAL SERVICES LLP New +102,460+102.5k
CITADEL ADVISORS LLC Added +52,310+52.3k
KESTRA PRIVATE WEALTH SERVICES, LLC Added +34,122+34.1k
HRT FINANCIAL LP New +32,914+32.9k
TWO SIGMA ADVISERS, LP Added +31,700+31.7k
BARCLAYS PLC Added +29,263+29.3k
Qube Research & Technologies Ltd Added +26,747+26.7k
Purus Wealth Management, LLC Added +19,192+19.2k

Biggest sellers

JANE STREET GROUP, LLC Sold out -69,318-69.3k
Portfolio Strategies, Inc. Sold out -67,796-67.8k
MONEY CONCEPTS CAPITAL CORP Sold out -50,490-50.5k
CONSILIO WEALTH ADVISORS, LLC Sold out -42,531-42.5k
MILLENNIUM MANAGEMENT LLC Sold out -40,057-40.1k
Ameritas Advisory Services, LLC Sold out -30,901-30.9k
BANK OF AMERICA CORP /DE/ Reduced -28,136-28.1k
NewEdge Advisors, LLC Reduced -17,144-17.1k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -15,082-15.1k
ROYAL BANK OF CANADA Reduced -11,605-11.6k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $7.9m135.3k shares
CITADEL ADVISORS LLC Reduced $4.7m79.9k shares
WOLVERINE TRADING, LLC New $4.0m67.9k shares
JANE STREET GROUP, LLC Reduced $849.8k14.5k shares
UBS Group AG New $705.1k12.0k shares
Walleye Trading LLC Reduced $322.4k5.5k shares
Cutler Group LLC / CA Added $26.0k3.8k shares
HAP Trading, LLC Added $16.3k11.2k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $5.4m91.7k shares
CITADEL ADVISORS LLC Reduced $1.4m24.2k shares
JANE STREET GROUP, LLC Reduced $1.4m23.6k shares
Walleye Trading LLC Added $29.3k500 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, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 697,060697.1k $40.9m $40.9m 0.00% Added +128.3k +128,294
2 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 341,334341.3k $20.0m $20.0m 0.00% Reduced -28.1k -28,136
3 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 288,814288.8k $16.9m $16.9m 0.01% Added +4.7k +4,695
4 TWO SIGMA INVESTMENTS, LP 0.04% of their portfolio NEW YORK, NY 229,600229.6k $13.5m $13.5m 0.04% Added +139.5k +139,500
5 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 156,579156.6k $9.2m $9.2m 0.01% Added +3.8k +3,817
6 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 149,534149.5k $8.8m $8.8m 0.02% Reduced -6.8k -6,791
7 HARBOUR INVESTMENTS, INC. 0.38% of their portfolio MADISON, WI 129,718129.7k $7.6m $7.6m 0.38% Added +6.2k +6,233
8 PRUDENTIAL PLC 0.09% of their portfolio LONDON, X0 127,200127.2k $7.5m $7.5m 0.09% Added +13.1k +13,100
9 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 109,798109.8k $6.4m $6.4m 0.01% Added +17.7k +17,710
10 STATE OF WISCONSIN INVESTMENT BOARD 0.02% of their portfolio MADISON, WI 105,180105.2k $6.2m $6.2m 0.02% Reduced -2.4k -2,400
11 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 103,259103.3k $6.1m $6.1m 0.01% Reduced -6.4k -6,380
12 MIRABELLA FINANCIAL SERVICES LLP 0.70% of their portfolio London, X0 102,460102.5k $6.0m $6.0m 0.70% New
13 TWO SIGMA ADVISERS, LP 0.01% of their portfolio NEW YORK, NY 92,80092.8k $5.4m $5.4m 0.01% Added +31.7k +31,700
14 Brookstone Capital Management 0.10% of their portfolio WHEATON, IL 84,98485.0k $5.0m $5.0m 0.10% Reduced -544 -544
15 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 71,74471.7k $4.2m $4.2m 0.00% Added +52.3k +52,310
16 Cetera Advisor Networks LLC 0.03% of their portfolio EL SEGUNDO, CA 66,24666.2k $3.9m $3.9m 0.03% Added +3.2k +3,246
17 Kovack Advisors, Inc. 0.38% of their portfolio FT. LAUDERDALE, FL 50,56050.6k $3.0m $3.0m 0.38% Reduced -3.4k -3,383
18 CWM, LLC 0.02% of their portfolio OMAHA, NE 49,93849.9k $2.9m $2.9m 0.02% Added +11.2k +11,229
19 Mutual Advisors, LLC 0.11% of their portfolio OMAHA, NE 49,89449.9k $2.9m $2.9m 0.11% Reduced -553 -553
20 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 49,64849.6k $2.9m $2.9m 0.00% Reduced -11.6k -11,605
21 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 47,78947.8k $2.8m $2.8m 0.01% Added +300 +300
22 Relyea Zuckerberg Hanson LLC 0.63% of their portfolio STAMFORD, CT 47,77947.8k $2.8m $2.8m 0.63% Added +7.1k +7,108
23 Crescent Grove Advisors, LLC 0.29% of their portfolio LAKE FOREST, IL 46,10446.1k $2.7m $2.7m 0.29% Reduced -3 -3
24 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 45,12945.1k $2.6m $2.6m 0.00% Reduced -535 -535
25 KESTRA PRIVATE WEALTH SERVICES, LLC 0.08% of their portfolio AUSTIN, TX 40,86540.9k $2.4m $2.4m 0.08% Added +34.1k +34,122
26 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 38,69338.7k $2.3m $2.3m 0.00% Added +1.6k +1,583
27 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 37,12537.1k $2.2m $2.2m 0.01% Added +124 +124
28 Purus Wealth Management, LLC 1.35% of their portfolio Newport Beach, CA 35,47135.5k $2.1m $2.1m 1.35% Added +19.2k +19,192
29 Mariner, LLC 0.01% of their portfolio Overland Park, KS 35,17635.2k $2.1m $2.1m 0.01% Reduced -1.4k -1,419
30 VERUS CAPITAL PARTNERS, LLC 0.28% of their portfolio SCOTTSDALE, AZ 33,37933.4k $2.0m $2.0m 0.28% Reduced -3.1k -3,126
31 HRT FINANCIAL LP 0.02% of their portfolio NEW YORK, NY 32,91432.9k $1.9m $1.9m 0.02% New
32 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 31,10531.1k $1.8m $1.8m 0.00% Added +29.3k +29,263
33 Financial Guidance Group, Inc. 1.33% of their portfolio Palm Harbor, FL 30,84830.8k $1.8m $1.8m 1.33% Reduced -779 -779
34 Aviance Capital Partners, LLC 0.37% of their portfolio NAPLES, FL 30,00030.0k $1.8m $1.8m 0.37% Unchanged
35 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 29,18529.2k $1.7m $1.7m 0.01% Reduced -88 -88
36 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 28,63228.6k $976.1k $976.1k 0.00% Added +26.7k +26,747
37 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 28,39928.4k $1.7m $1.7m 0.00% Added +2.4k +2,418
38 Strong Tower Advisory Services 0.74% of their portfolio MINNEAPOLIS, MN 26,82426.8k $1.6m $1.6m 0.74% Added +131 +131
39 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 25,39925.4k $1.5m $1.5m 0.00% Reduced -15.1k -15,082
40 Tower Research Capital LLC (TRC) 0.05% of their portfolio NEW YORK, NY 24,92924.9k $1.5m $1.5m 0.05% Reduced -6.4k -6,364
41 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 22,30622.3k $1.3m $1.3m 0.00% Reduced -1.0k -1,007
42 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 22,13122.1k $1.3m $1.3m 0.01% Reduced -1.4k -1,375
43 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 21,07621.1k $1.2m $1.2m 0.00% Reduced -333 -333
44 Betterment LLC 0.00% of their portfolio NEW YORK, NY 20,97321.0k $1.2m $1.2m 0.00% Added +3.2k +3,219
45 Sterling Investment Counsel, LLC 0.66% of their portfolio Buffalo, NY 20,90020.9k $1.2m $1.2m 0.66% Added +69 +69
46 Smith Anglin Financial, LLC 0.14% of their portfolio DALLAS, TX 20,24820.2k $1.2m $1.2m 0.14% Reduced -209 -209
47 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 19,81719.8k $1.2m $1.2m 0.02% Reduced -131 -131
48 Steward Partners Investment Advisory, LLC 0.02% of their portfolio STAMFORD, CT 19,78419.8k $1.2m $1.2m 0.02% Reduced -678 -678
49 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 16,70116.7k $978.8k $978.8k 0.01% Added +2.3k +2,341
50 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 16,60016.6k $973.0k $973.0k 0.00% Reduced -1.1k -1,100
51 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 15,97316.0k $936.2k $936.2k 0.00% Reduced -600 -600
52 Wealthfront Advisers LLC 0.00% of their portfolio Palo Alto, CA 15,57615.6k $912.9k $912.9k 0.00% Reduced -1.7k -1,717
53 Prosperity Wealth Management, Inc. 0.58% of their portfolio San Ramon, CA 15,09515.1k $884.7k $884.7k 0.58% Added +660 +660
54 White Knight Strategic Wealth Advisors, LLC 0.99% of their portfolio PRINCETON, NJ 14,44514.4k $846.6k $846.6k 0.99% Reduced -2.0k -1,996
55 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 13,60713.6k $797.5k $797.5k 0.01% Reduced -798 -798
56 GTS SECURITIES LLC 0.02% of their portfolio NEW YORK, NY 12,46712.5k $730.7k $730.7k 0.02% First filing
57 EXENCIAL WEALTH ADVISORS, LLC 0.03% of their portfolio OKLAHOMA CITY, OK 12,15212.2k $712.3k $712.3k 0.03% Reduced -200 -200
58 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 12,10012.1k $709.2k $709.2k 0.02% Reduced -623 -623
59 STEPHENS INC /AR/ 0.01% of their portfolio LITTLE ROCK, AR 11,71211.7k $686.4k $686.4k 0.01% Reduced -1.6k -1,575
60 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 11,33111.3k $664.1k $664.1k 0.00% Reduced -259 -259
61 Pacific Sun Financial Corp 0.39% of their portfolio LOS ANGELES, CA 10,94410.9k $586.7k $586.7k 0.39% First filing
62 Family Legacy, Inc. 0.25% of their portfolio GREENVILLE, SC 10,72710.7k $628.7k $628.7k 0.25% Added +323 +323
63 Houlihan Financial Resource Group, Ltd. 0.02% of their portfolio ASHBURN, VA 9,3009.3k $484.0k $484.0k 0.02% New
64 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 9,1119.1k $534.0k $534.0k 0.01% Added +4.0k +3,961
65 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 8,6638.7k $507.8k $507.8k 0.01% Reduced -17.1k -17,144
66 INDEPENDENT FINANCIAL GROUP, LLC 0.03% of their portfolio SAN DIEGO, CA 8,5138.5k $498.9k $498.9k 0.03% Added +558 +558
67 StoneX Group Inc. 0.05% of their portfolio NEW YORK, NY 8,3778.4k $491.0k $491.0k 0.05% Added +1.6k +1,612
68 Intrua Financial, LLC 0.08% of their portfolio Houston, TX 7,9998.0k $468.8k $468.8k 0.08% Reduced -850 -850
69 Stevard, LLC 0.43% of their portfolio Chicago, IL 7,7847.8k $456.2k $456.2k 0.43% Reduced -61 -61
70 Strategic Blueprint, LLC 0.04% of their portfolio ATLANTA, GA 7,4427.4k $436.2k $436.2k 0.04% Reduced -445 -445
71 Wealthcare Advisory Partners LLC 0.02% of their portfolio WEST CHESTER, PA 7,3447.3k $430.4k $430.4k 0.02% Reduced -360 -360
72 Integrated Wealth Concepts LLC 0.01% of their portfolio WALTHAM, MA 7,0147.0k $411.1k $411.1k 0.01% Reduced -2.4k -2,429
73 PERSONAL CFO SOLUTIONS, LLC 0.08% of their portfolio CHESTER, NJ 6,7356.7k $394.7k $394.7k 0.08% Reduced -107 -107
74 CENTAURUS FINANCIAL, INC. 0.03% of their portfolio ANAHEIM, CA 6,4976.5k $381.0k $381.0k 0.03% Reduced -2.1k -2,052
75 Phoenix Wealth Advisors 0.22% of their portfolio CHAPEL HILL, NC 6,3686.4k $373.2k $373.2k 0.22% New
76 Csenge Advisory Group 0.02% of their portfolio CLEARWATER, FL 6,3266.3k $370.7k $370.7k 0.02% Reduced -1.6k -1,621
77 Safeguard Investment Advisory Group, LLC 0.16% of their portfolio Corona, CA 6,2986.3k $369.2k $369.2k 0.16% Reduced -66 -66
78 Trilogy Capital Inc. 0.02% of their portfolio IRVINE, CA 5,8335.8k $373.3k $373.3k 0.02% New
79 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.03% of their portfolio CEDAR RAPIDS, IA 5,1205.1k $300.1k $300.1k 0.03% Reduced -8.5k -8,471
80 IFP Advisors, Inc 0.01% of their portfolio TAMPA, FL 4,8264.8k $273.1k $273.1k 0.01% Added +2.3k +2,303
81 Charles Schwab Trust Co 0.03% of their portfolio HENDERSON, NV 4,7004.7k $249.1k $249.1k 0.03% Unchanged
82 Clear Harbor Asset Management, LLC 0.03% of their portfolio Stamford, CT 4,6474.6k $272.4k $272.4k 0.03% Reduced -727 -727
83 Focus Financial Network, Inc. 0.02% of their portfolio MINNEAPOLIS, MN 4,6264.6k $271.1k $271.1k 0.02% Added +792 +792
84 DHK Financial Advisors, Inc. 0.23% of their portfolio PORTSMOUTH, NH 4,6024.6k $269.7k $269.7k 0.23% New
85 V Wealth Advisors LLC 0.04% of their portfolio Overland Park, KS 4,3994.4k $257.8k $257.8k 0.04% New
86 Gradient Investments LLC 0.01% of their portfolio ARDEN HILLS, MN 4,3864.4k $257.1k $257.1k 0.01% Added +2.7k +2,687
87 PFG Advisors 0.02% of their portfolio Phoenix, AZ 4,3804.4k $256.7k $256.7k 0.02% Reduced -239 -239
88 LEVEL FOUR ADVISORY SERVICES, LLC 0.02% of their portfolio DALLAS, TX 4,3454.3k $254.7k $254.7k 0.02% Unchanged
89 B. Riley Wealth Advisors, Inc. 0.01% of their portfolio MEMPHIS, TN 4,2244.2k $247.5k $247.5k 0.01% New
90 ICA Group Wealth Management, LLC 0.06% of their portfolio DENVER, CO 4,1454.1k $242.9k $242.9k 0.06% Reduced -540 -540
91 NWAM LLC 0.02% of their portfolio MERCER ISLAND, WA 3,9083.9k $229.1k $229.1k 0.02% Unchanged
92 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 3,8973.9k $228.4k $228.4k 0.00% Unchanged
93 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 3,8893.9k $228.0k $228.0k 0.00% Added +3 +3
94 Western Wealth Management, LLC 0.02% of their portfolio GOLDEN, CO 3,8793.9k $227.3k $227.3k 0.02% New
95 Sigma Planning Corp 0.01% of their portfolio ANN ARBOR, MI 3,8343.8k $224.7k $224.7k 0.01% Reduced -1.6k -1,612
96 Financial Perspectives, Inc 0.10% of their portfolio MINNEAPOLIS, MN 3,8263.8k $224.2k $224.2k 0.10% Added +339 +339
97 Winthrop Advisory Group LLC 0.04% of their portfolio BOSTON, MA 3,7953.8k $222.4k $222.4k 0.04% Added +61 +61
98 SCOTIA CAPITAL INC. 0.00% of their portfolio TORONTO, A6 3,7913.8k $222.2k $222.2k 0.00% Added +39 +39
99 Echo Wealth Management, LLC 0.27% of their portfolio PLYMOUTH, MN 3,7323.7k $248.4k $248.4k 0.27% Reduced -474 -474
100 Moloney Securities Asset Management, LLC 0.04% of their portfolio MANCHESTER, MO 3,7203.7k $218.0k $218.0k 0.04% New