Vault-13

ARK ETF TR ARKW

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

222 institutional holders -7 vs Q4 2023
5,843,4645.8m shares reported held*
$487.2mreported value*
22 new 37 added 90 reduced 27 sold out net bought ≈ $50.2m (+603.4k 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 ≈ $83.38. Options: 6 managers hold calls ($12.4m notional), 5 hold puts ($9.0m).

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 218Q4 22: 217Q1 23: 213Q2 23: 210Q3 23: 217Q4 23: 229Q1 24: 222222Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 2022218
Q4 2022217
Q1 2023213
Q2 2023210
Q3 2023217
Q4 2023229
Q1 2024222

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 23Q3 23: 56 bought or addedQ3 23: 98 cut or sold outQ3 23Q4 23: 70 bought or addedQ4 23: 89 cut or sold outQ4 23Q1 24: 59 bought or addedQ1 24: 117 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 202276113
Q1 202376105
Q2 20236591
Q3 20235698
Q4 20237089
Q1 202459117

Calls vs puts

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

CallsPuts
$0$10m$20m$30m$40mQ2 23 calls: $18.5mQ2 23 puts: $8.2mQ2 23P/C 0.44Q3 23 calls: $19.3mQ3 23 puts: $6.8mQ3 23P/C 0.35Q4 23 calls: $36.3mQ4 23 puts: $14.5mQ4 23P/C 0.40Q1 24 calls: $12.4mQ1 24 puts: $9.0mQ1 24P/C 0.73
Numbers
QuarterCallsPutsP/C
Q2 2023$18.5m$8.2m0.44
Q3 2023$19.3m$6.8m0.35
Q4 2023$36.3m$14.5m0.40
Q1 2024$12.4m$9.0m0.73

Biggest buyers

MORGAN STANLEY Added +1,016,302+1.0m
BANK OF AMERICA CORP /DE/ Added +107,445+107.4k
WEXFORD CAPITAL LP New +72,333+72.3k
Cetera Investment Advisers Added +57,664+57.7k
LPL Financial LLC Added +52,472+52.5k
Aptus Capital Advisors, LLC New +46,733+46.7k
Gradient Investments LLC Added +45,500+45.5k
HRT FINANCIAL LP Added +43,672+43.7k
GTS SECURITIES LLC New +31,841+31.8k
Qube Research & Technologies Ltd Added +15,275+15.3k

Biggest sellers

PRUDENTIAL PLC Reduced -184,700-184.7k
Price Capital Management, Inc. Sold out -143,300-143.3k
TWO SIGMA INVESTMENTS, LP Reduced -107,300-107.3k
ROYAL BANK OF CANADA Reduced -87,693-87.7k
STATE OF WISCONSIN INVESTMENT BOARD Sold out -77,180-77.2k
CITADEL ADVISORS LLC Reduced -74,246-74.2k
Cetera Advisor Networks LLC Sold out -38,318-38.3k
OSAIC HOLDINGS, INC. Reduced -22,642-22.6k
Kovack Advisors, Inc. Reduced -19,863-19.9k
KESTRA PRIVATE WEALTH SERVICES, LLC Reduced -17,269-17.3k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $7.1m84.7k shares
IMC-Chicago, LLC Reduced $1.8m21.8k shares
CITADEL ADVISORS LLC Reduced $1.7m19.9k shares
JANE STREET GROUP, LLC Reduced $1.1m13.2k shares
WOLVERINE TRADING, LLC Reduced $724.7k8.7k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $7.7m92.1k shares
CITADEL ADVISORS LLC Reduced $1.1m12.8k shares
WOLVERINE TRADING, LLC Reduced $274.9k3.3k shares
Cutler Group LLC / CA Reduced $2.0k1.8k 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 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 2,257,8062.3m $188.1m $188.1m 0.01% Added +1.0m +1,016,302
2 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 397,928397.9k $33.1m $33.1m 0.02% Added +52.5k +52,472
3 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 390,251390.3k $32.5m $32.5m 0.00% Added +107.4k +107,445
4 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 173,475173.5k $14.5m $14.5m 0.01% Reduced -1.6k -1,608
5 Priebe Wealth Holdings LLC 10.02% of their portfolio MAPLE GROVE, MN 154,267154.3k $12.9m $12.9m 10.02% Added +1.1k +1,089
6 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 148,117148.1k $12.3m $12.3m 0.02% Added +8.7k +8,697
7 TWO SIGMA INVESTMENTS, LP 0.03% of their portfolio NEW YORK, NY 139,300139.3k $11.6m $11.6m 0.03% Reduced -107.3k -107,300
8 TWO SIGMA ADVISERS, LP 0.02% of their portfolio NEW YORK, NY 109,000109.0k $9.1m $9.1m 0.02% Added +3.5k +3,500
9 PRUDENTIAL PLC 0.07% of their portfolio LONDON, X0 95,55095.5k $8.0m $8.0m 0.07% Reduced -184.7k -184,700
10 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 81,69981.7k $6.8m $6.8m 0.01% Reduced -9.8k -9,754
11 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 78,06678.1k $6.5m $6.5m 0.00% Reduced -3.2k -3,227
12 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 76,79976.8k $6.4m $6.4m 0.01% Reduced -22.6k -22,642
13 WEXFORD CAPITAL LP 1.23% of their portfolio WEST PALM BEACH, FL 72,33372.3k $6.0m $6.0m 1.23% New
14 Brookstone Capital Management 0.11% of their portfolio WHEATON, IL 71,45371.5k $6.0m $6.0m 0.11% Added +2.4k +2,425
15 Relyea Zuckerberg Hanson LLC 1.01% of their portfolio STAMFORD, CT 69,41969.4k $5.8m $5.8m 1.01% Reduced -3.1k -3,136
16 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 66,00166.0k $5.5m $5.5m 0.01% Added +57.7k +57,664
17 Gradient Investments LLC 0.11% of their portfolio ARDEN HILLS, MN 57,36857.4k $4.8m $4.8m 0.11% Added +45.5k +45,500
18 HRT FINANCIAL LP 0.03% of their portfolio NEW YORK, NY 52,75452.8k $4.4m $4.4m 0.03% Added +43.7k +43,672
19 CWM, LLC 0.02% of their portfolio OMAHA, NE 46,75746.8k $3.9m $3.9m 0.02% Reduced -5.2k -5,152
20 Aptus Capital Advisors, LLC 0.08% of their portfolio FAIRHOPE, AL 46,73346.7k $3.9m $3.9m 0.08% New
21 Financial Guidance Group, Inc. 2.53% of their portfolio Palm Harbor, FL 46,73346.7k $3.9m $3.9m 2.53% Reduced -555 -555
22 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 46,28946.3k $3.9m $3.9m 0.00% Reduced -618 -618
23 Crescent Grove Advisors, LLC 0.39% of their portfolio LAKE FOREST, IL 44,62244.6k $3.7m $3.7m 0.39% Reduced -2.0k -2,050
24 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 43,81843.8k $3.6m $3.6m 0.01% Reduced -2.8k -2,765
25 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 41,05341.1k $3.4m $3.4m 0.00% Reduced -87.7k -87,693
26 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.01% of their portfolio BALA CYNWYD, PA 40,47240.5k $3.4m $3.4m 0.01% Added +2.9k +2,851
27 Mutual Advisors, LLC 0.10% of their portfolio OMAHA, NE 36,69436.7k $3.1m $3.1m 0.10% Reduced -13.5k -13,455
28 VERUS CAPITAL PARTNERS, LLC 0.31% of their portfolio SCOTTSDALE, AZ 33,85733.9k $2.8m $2.8m 0.31% Added +703 +703
29 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 33,82633.8k $2.8m $2.8m 0.01% Reduced -3.3k -3,304
30 Purus Wealth Management, LLC 1.39% of their portfolio Newport Beach, CA 33,75133.8k $2.8m $2.8m 1.39% Reduced -482 -482
31 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 31,97832.0k $2.7m $2.7m 0.00% Reduced -4.1k -4,129
32 GTS SECURITIES LLC 0.07% of their portfolio NEW YORK, NY 31,84131.8k $2.7m $2.7m 0.07% New
33 Kestra Advisory Services, LLC 0.02% of their portfolio AUSTIN, TX 29,17729.2k $2.4m $2.4m 0.02% Added +2.9k +2,945
34 Mariner, LLC 0.00% of their portfolio Overland Park, KS 28,74528.7k $2.4m $2.4m 0.00% Reduced -4.3k -4,343
35 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 27,97628.0k $2.3m $2.3m 0.02% Reduced -1.1k -1,124
36 Kovack Advisors, Inc. 0.24% of their portfolio FT. LAUDERDALE, FL 23,63823.6k $2.0m $2.0m 0.24% Reduced -19.9k -19,863
37 Ameritas Advisory Services, LLC 0.08% of their portfolio Lincoln, NE 23,49423.5k $2.0m $2.0m 0.08% Added +4.0k +3,973
38 Aviance Capital Partners, LLC 0.25% of their portfolio NAPLES, FL 20,00020.0k $1.7m $1.7m 0.25% Unchanged
39 Wealthfront Advisers LLC 0.01% of their portfolio Palo Alto, CA 19,97820.0k $1.7m $1.7m 0.01% Added +2.6k +2,590
40 NWF Advisory Services Inc. 0.28% of their portfolio Los Angeles, CA 19,88219.9k $1.7m $1.7m 0.28% Added +2.3k +2,256
41 Smith Anglin Financial, LLC 0.16% of their portfolio DALLAS, TX 19,17319.2k $1.6m $1.6m 0.16% Reduced -446 -446
42 Sterling Investment Counsel, LLC 0.73% of their portfolio Buffalo, NY 18,88118.9k $1.6m $1.6m 0.73% Reduced -2.1k -2,093
43 Prosperity Wealth Management, Inc. 0.74% of their portfolio San Ramon, CA 18,75418.8k $1.6m $1.6m 0.74% Added +2.0k +1,980
44 Betterment LLC 0.00% of their portfolio NEW YORK, NY 18,60518.6k $1.6m $1.6m 0.00% Reduced -773 -773
45 Strong Tower Advisory Services 0.61% of their portfolio MINNEAPOLIS, MN 18,39218.4k $1.5m $1.5m 0.61% Reduced -220 -220
46 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 18,32918.3k $1.5m $1.5m 0.01% Added +2.0k +2,045
47 Steward Partners Investment Advisory, LLC 0.02% of their portfolio STAMFORD, CT 17,64417.6k $1.5m $1.5m 0.02% Reduced -2.1k -2,138
48 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 17,55817.6k $1.5m $1.5m 0.00% Added +10.5k +10,518
49 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 16,55616.6k $1.4m $1.4m 0.02% Reduced -3.1k -3,138
50 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 16,29416.3k $1.3m $1.3m 0.00% Reduced -2.1k -2,087
51 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 15,71015.7k $1.3m $1.3m 0.00% Reduced -7.8k -7,754
52 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 15,55515.6k $1.3m $1.3m 0.00% Added +15.3k +15,275
53 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 14,91914.9k $1.2m $1.2m 0.00% Reduced -74.2k -74,246
54 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 13,93113.9k $1.2m $1.2m 0.00% Reduced -2.5k -2,538
55 STEPHENS INC /AR/ 0.02% of their portfolio LITTLE ROCK, AR 13,53013.5k $1.1m $1.1m 0.02% Added +1.5k +1,547
56 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 12,45412.5k $1.0m $1.0m 0.00% Reduced -3.6k -3,584
57 KESTRA PRIVATE WEALTH SERVICES, LLC 0.02% of their portfolio AUSTIN, TX 12,43512.4k $1.0m $1.0m 0.02% Reduced -17.3k -17,269
58 Pathstone Holdings, LLC 0.00% of their portfolio ENGLEWOOD, NJ 12,20012.2k $1.0m $1.0m 0.00% Unchanged
59 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 11,85111.9k $987.2k $987.2k 0.02% Reduced -1.1k -1,062
60 EXENCIAL WEALTH ADVISORS, LLC 0.03% of their portfolio OKLAHOMA CITY, OK 11,22411.2k $935.0k $935.0k 0.03% Reduced -252 -252
61 Phoenix Wealth Advisors 0.56% of their portfolio CHAPEL HILL, NC 10,99111.0k $915.5k $915.5k 0.56% Added +3.9k +3,912
62 INDEPENDENT FINANCIAL GROUP, LLC 0.04% of their portfolio SAN DIEGO, CA 10,13210.1k $844.0k $844.0k 0.04% Reduced -213 -213
63 Stevard, LLC 0.70% of their portfolio Chicago, IL 9,3219.3k $776.4k $776.4k 0.70% Unchanged
64 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.06% of their portfolio CEDAR RAPIDS, IA 9,0029.0k $749.9k $749.9k 0.06% Reduced -3.8k -3,802
65 White Knight Strategic Wealth Advisors, LLC 0.75% of their portfolio PRINCETON, NJ 8,7228.7k $726.5k $726.5k 0.75% Reduced -1.2k -1,157
66 Pacific Sun Financial Corp 0.41% of their portfolio LOS ANGELES, CA 8,5428.5k $711.5k $711.5k 0.41% Reduced -300 -300
67 Cubist Systematic Strategies, LLC 0.01% of their portfolio STAMFORD, CT 7,6847.7k $640.1k $640.1k 0.01% New
68 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 7,5357.5k $627.7k $627.7k 0.01% Reduced -740 -740
69 StoneX Group Inc. 0.05% of their portfolio NEW YORK, NY 7,2737.3k $605.8k $605.8k 0.05% Reduced -152 -152
70 Intrua Financial, LLC 0.09% of their portfolio Houston, TX 6,5666.6k $547.0k $547.0k 0.09% Reduced -455 -455
71 PERSONAL CFO SOLUTIONS, LLC 0.07% of their portfolio CHESTER, NJ 5,7455.7k $478.6k $478.6k 0.07% Added +12 +12
72 Western Wealth Management, LLC 0.04% of their portfolio GOLDEN, CO 5,5145.5k $459.3k $459.3k 0.04% Reduced -40 -40
73 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 5,0155.0k $417.8k $417.8k 0.00% Added +3.0k +2,968
74 EMC Capital Management 0.24% of their portfolio HOUSTON, TX 4,9354.9k $394.0k $394.0k 0.24% Reduced -100 -100
75 Equitable Holdings, Inc. 0.00% of their portfolio NEW YORK, NY 4,8364.8k $402.8k $402.8k 0.00% Reduced -8.5k -8,509
76 SCOTIA CAPITAL INC. 0.00% of their portfolio TORONTO, A6 4,6624.7k $388.3k $388.3k 0.00% Added +528 +528
77 DHK Financial Advisors, Inc. 0.27% of their portfolio PORTSMOUTH, NH 4,6024.6k $383.3k $383.3k 0.27% Unchanged
78 Insight Advisors, LLC/ PA 0.07% of their portfolio Newtown, PA 4,5474.5k $378.8k $378.8k 0.07% Reduced -518 -518
79 NWAM LLC 0.03% of their portfolio MERCER ISLAND, WA 4,4414.4k $346.3k $346.3k 0.03% Unchanged
80 CoreCap Advisors, LLC 0.02% of their portfolio SOUTHFIELD, MI 4,3534.4k $362.6k $362.6k 0.02% Added +616 +616
81 Strategic Blueprint, LLC 0.03% of their portfolio ATLANTA, GA 4,3224.3k $360.0k $360.0k 0.03% Reduced -2.4k -2,417
82 Focus Financial Network, Inc. 0.02% of their portfolio MINNEAPOLIS, MN 4,2674.3k $317.5k $317.5k 0.02% First filing
83 Summit Financial, LLC 0.02% of their portfolio PARSIPPANY, NJ 4,2484.2k $353.9k $353.9k 0.02% Added +396 +396
84 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 4,0054.0k $334.0k $334.0k 0.00% New
85 Clearstead Trust, LLC 0.09% of their portfolio PORTLAND, ME 3,9984.0k $333.0k $333.0k 0.09% Unchanged
86 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 3,8973.9k $324.6k $324.6k 0.00% Unchanged
87 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.03% of their portfolio ORLANDO, FL 3,8803.9k $318.6k $318.6k 0.03% Reduced -1.5k -1,485
88 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 3,8423.8k $320.0k $320.0k 0.01% Added +1.8k +1,767
89 SeaCrest Wealth Management, LLC 0.04% of their portfolio PURCHASE, NY 3,8273.8k $318.8k $318.8k 0.04% Reduced -63 -63
90 B. Riley Wealth Advisors, Inc. 0.01% of their portfolio MEMPHIS, TN 3,8143.8k $206.5k $206.5k 0.01% Reduced -605 -605
91 Financial Perspectives, Inc 0.12% of their portfolio MINNEAPOLIS, MN 3,7833.8k $315.1k $315.1k 0.12% Reduced -43 -43
92 Provenance Wealth Advisors, LLC 0.04% of their portfolio FORT LAUDERDALE, FL 3,7183.7k $309.7k $309.7k 0.04% Unchanged
93 CENTAURUS FINANCIAL, INC. 0.02% of their portfolio ANAHEIM, CA 3,5963.6k $300.0k $300.0k 0.02% Reduced -958 -958
94 Moloney Securities Asset Management, LLC 0.04% of their portfolio MANCHESTER, MO 3,4753.5k $289.5k $289.5k 0.04% Unchanged
95 Clear Harbor Asset Management, LLC 0.03% of their portfolio Stamford, CT 3,4283.4k $285.6k $285.6k 0.03% Unchanged
96 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 3,3593.4k $279.8k $279.8k 0.00% Reduced -330 -330
97 Envestnet Portfolio Solutions, Inc. 0.00% of their portfolio BERWYN, PA 3,2563.3k $271.2k $271.2k 0.00% Reduced -3.1k -3,090
98 Csenge Advisory Group 0.02% of their portfolio CLEARWATER, FL 3,2313.2k $269.1k $269.1k 0.02% Reduced -1.0k -1,036
99 PFG Investments, LLC 0.02% of their portfolio WOODBURY, NY 2,9823.0k $248.4k $248.4k 0.02% New
100 Echo Wealth Management, LLC 0.21% of their portfolio PLYMOUTH, MN 2,9743.0k $247.7k $247.7k 0.21% Reduced -92 -92