Vault-13

ARK ETF TR ARKW

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

220 institutional holders -2 vs Q1 2024
3,987,1574.0m shares reported held*
$310.0mreported value*
17 new 38 added 89 reduced 24 sold out net sold ≈ $148.6m (-1.9m 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 ≈ $77.75. Options: 7 managers hold calls ($8.0m notional), 5 hold puts ($3.1m).

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 218Q4 22: 217Q1 23: 213Q2 23: 210Q3 23: 217Q4 23: 229Q1 24: 222Q2 24: 220220Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 2022218
Q4 2022217
Q1 2023213
Q2 2023210
Q3 2023217
Q4 2023229
Q1 2024222
Q2 2024220

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 outQ2 23: 65 bought or addedQ2 23: 91 cut or sold outQ2 23Q3 23: 56 bought or addedQ3 23: 98 cut or sold outQ4 23: 70 bought or addedQ4 23: 89 cut or sold outQ4 23Q1 24: 59 bought or addedQ1 24: 117 cut or sold outQ2 24: 55 bought or addedQ2 24: 113 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 202276113
Q1 202376105
Q2 20236591
Q3 20235698
Q4 20237089
Q1 202459117
Q2 202455113

Calls vs puts

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

CallsPuts
$0$10m$20m$30m$40mQ3 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 0.73Q2 24 calls: $8.0mQ2 24 puts: $3.1mQ2 24P/C 0.38
Numbers
QuarterCallsPutsP/C
Q3 2023$19.3m$6.8m0.35
Q4 2023$36.3m$14.5m0.40
Q1 2024$12.4m$9.0m0.73
Q2 2024$8.0m$3.1m0.38

Biggest buyers

D. E. Shaw & Co., Inc. New +56,076+56.1k
PRUDENTIAL PLC Added +36,800+36.8k
CITADEL ADVISORS LLC Added +35,258+35.3k
Gradient Investments LLC Added +31,625+31.6k
Vienna Asset Management LLC New +31,408+31.4k
Geneos Wealth Management Inc. Added +24,124+24.1k
GFS Advisors, LLC New +20,000+20.0k
JPMORGAN CHASE & CO Added +19,498+19.5k
Kestra Advisory Services, LLC Added +14,098+14.1k
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO Added +12,582+12.6k

Biggest sellers

MORGAN STANLEY Reduced -1,455,694-1.5m
TWO SIGMA INVESTMENTS, LP Reduced -104,600-104.6k
TWO SIGMA ADVISERS, LP Reduced -99,700-99.7k
LPL Financial LLC Reduced -76,085-76.1k
WEXFORD CAPITAL LP Sold out -72,333-72.3k
RAYMOND JAMES & ASSOCIATES Reduced -38,669-38.7k
BANK OF AMERICA CORP /DE/ Reduced -37,540-37.5k
Brookstone Capital Management Reduced -22,249-22.2k
Cetera Investment Advisers Reduced -20,578-20.6k
OSAIC HOLDINGS, INC. Reduced -20,384-20.4k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $5.0m64.7k shares
CITADEL ADVISORS LLC Reduced $1.2m15.3k shares
IMC-Chicago, LLC Reduced $1.1m14.1k shares
WOLVERINE TRADING, LLC Reduced $405.8k5.2k shares
JANE STREET GROUP, LLC Reduced $288.7k3.7k shares
Walleye Trading LLC New $7.8k100 shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CITADEL ADVISORS LLC Added $1.1m14.1k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $873.9k11.2k shares
JANE STREET GROUP, LLC New $819.3k10.5k shares
Walleye Trading LLC New $265.3k3.4k 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 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 802,112802.1k $62.6m $62.6m 0.00% Reduced -1.5m -1,455,694
2 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 352,711352.7k $27.5m $27.5m 0.00% Reduced -37.5k -37,540
3 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 321,843321.8k $25.1m $25.1m 0.01% Reduced -76.1k -76,085
4 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 186,057186.1k $14.5m $14.5m 0.01% Added +12.6k +12,582
5 Priebe Wealth Holdings LLC 9.35% of their portfolio MAPLE GROVE, MN 151,290151.3k $11.8m $11.8m 9.35% Reduced -3.0k -2,977
6 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 138,464138.5k $10.8m $10.8m 0.02% Reduced -9.7k -9,653
7 PRUDENTIAL PLC 0.07% of their portfolio LONDON, X0 132,350132.3k $10.3m $10.3m 0.07% Added +36.8k +36,800
8 Gradient Investments LLC 0.16% of their portfolio ARDEN HILLS, MN 88,99389.0k $6.9m $6.9m 0.16% Added +31.6k +31,625
9 Relyea Zuckerberg Hanson LLC 0.88% of their portfolio STAMFORD, CT 67,51867.5k $5.3m $5.3m 0.88% Reduced -1.9k -1,901
10 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 63,09963.1k $4.9m $4.9m 0.01% Reduced -18.6k -18,600
11 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 56,41556.4k $4.4m $4.4m 0.01% Reduced -20.4k -20,384
12 D. E. Shaw & Co., Inc. 0.01% of their portfolio New York, NY 56,07656.1k $4.4m $4.4m 0.01% New
13 HRT FINANCIAL LP 0.02% of their portfolio NEW YORK, NY 52,41152.4k $4.1m $4.1m 0.02% Reduced -343 -343
14 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 50,17750.2k $3.9m $3.9m 0.00% Added +35.3k +35,258
15 Brookstone Capital Management 0.07% of their portfolio WHEATON, IL 49,20449.2k $4.1m $4.1m 0.07% Reduced -22.2k -22,249
16 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 45,64545.6k $3.6m $3.6m 0.00% Reduced -644 -644
17 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 45,42345.4k $3.5m $3.5m 0.01% Reduced -20.6k -20,578
18 CWM, LLC 0.02% of their portfolio OMAHA, NE 45,35045.4k $3.5m $3.5m 0.02% Reduced -1.4k -1,407
19 Crescent Grove Advisors, LLC 0.38% of their portfolio LAKE FOREST, IL 44,62244.6k $3.5m $3.5m 0.38% Unchanged
20 Kestra Advisory Services, LLC 0.02% of their portfolio AUSTIN, TX 43,27543.3k $3.4m $3.4m 0.02% Added +14.1k +14,098
21 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 39,39739.4k $3.1m $3.1m 0.00% Reduced -38.7k -38,669
22 Aptus Capital Advisors, LLC 0.06% of their portfolio FAIRHOPE, AL 39,08039.1k $3.0m $3.0m 0.06% Reduced -7.7k -7,653
23 Financial Guidance Group, Inc. 1.87% of their portfolio Palm Harbor, FL 39,08039.1k $3.0m $3.0m 1.87% Reduced -7.7k -7,653
24 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 37,05637.1k $2.9m $2.9m 0.00% Added +19.5k +19,498
25 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 36,57936.6k $2.9m $2.9m 0.01% Reduced -7.2k -7,239
26 TWO SIGMA INVESTMENTS, LP 0.01% of their portfolio NEW YORK, NY 34,70034.7k $2.7m $2.7m 0.01% Reduced -104.6k -104,600
27 VERUS CAPITAL PARTNERS, LLC 0.28% of their portfolio SCOTTSDALE, AZ 34,22934.2k $2.7m $2.7m 0.28% Added +372 +372
28 Purus Wealth Management, LLC 1.16% of their portfolio Newport Beach, CA 33,57433.6k $2.6m $2.6m 1.16% Reduced -177 -177
29 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 33,49233.5k $2.6m $2.6m 0.01% Reduced -334 -334
30 Mutual Advisors, LLC 0.08% of their portfolio OMAHA, NE 32,76432.8k $2.6m $2.6m 0.08% Reduced -3.9k -3,930
31 Vienna Asset Management LLC 2.03% of their portfolio SARATOGA, CA 31,40831.4k $2.5m $2.5m 2.03% New
32 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 28,80328.8k $2.2m $2.2m 0.02% Added +827 +827
33 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 24,46324.5k $1.9m $1.9m 0.00% Reduced -16.6k -16,590
34 Geneos Wealth Management Inc. 0.08% of their portfolio ENGLEWOOD, CO 24,29724.3k $1.9m $1.9m 0.08% Added +24.1k +24,124
35 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 23,98124.0k $1.9m $1.9m 0.00% Reduced -8.0k -7,997
36 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 23,90723.9k $1.9m $1.9m 0.00% Reduced -16.6k -16,565
37 Mariner, LLC 0.00% of their portfolio Overland Park, KS 23,63323.6k $1.8m $1.8m 0.00% Reduced -5.1k -5,112
38 Ameritas Advisory Services, LLC 0.07% of their portfolio Lincoln, NE 22,40222.4k $1.7m $1.7m 0.07% Reduced -1.1k -1,092
39 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 21,58421.6k $1.7m $1.7m 0.00% Added +5.9k +5,874
40 GTS SECURITIES LLC 0.03% of their portfolio NEW YORK, NY 21,12721.1k $1.6m $1.6m 0.03% Reduced -10.7k -10,714
41 NWF Advisory Services Inc. 0.26% of their portfolio Los Angeles, CA 20,69420.7k $1.6m $1.6m 0.26% Added +812 +812
42 GFS Advisors, LLC 0.00% of their portfolio HOUSTON, TX 20,00020.0k $7.0k $7.0k 0.00% New
43 Aviance Capital Partners, LLC 0.22% of their portfolio NAPLES, FL 20,00020.0k $1.6m $1.6m 0.22% Unchanged
44 Betterment LLC 0.00% of their portfolio NEW YORK, NY 19,40619.4k $1.5m $1.5m 0.00% Added +801 +801
45 Strong Tower Advisory Services 0.49% of their portfolio MINNEAPOLIS, MN 19,23019.2k $1.5m $1.5m 0.49% Added +838 +838
46 Smith Anglin Financial, LLC 0.15% of their portfolio DALLAS, TX 19,15619.2k $1.5m $1.5m 0.15% Reduced -17 -17
47 Wealthfront Advisers LLC 0.00% of their portfolio Palo Alto, CA 18,83618.8k $1.5m $1.5m 0.00% Reduced -1.1k -1,142
48 Sterling Investment Counsel, LLC 0.57% of their portfolio Buffalo, NY 18,56818.6k $1.4m $1.4m 0.57% Reduced -313 -313
49 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 17,76717.8k $1.4m $1.4m 0.01% Added +123 +123
50 Kovack Advisors, Inc. 0.15% of their portfolio FT. LAUDERDALE, FL 16,98017.0k $1.3m $1.3m 0.15% Reduced -6.7k -6,658
51 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 16,64516.6k $1.3m $1.3m 0.01% Reduced -1.7k -1,684
52 Mattson Financial Services, LLC 0.46% of their portfolio KENTWOOD, MI 16,58216.6k $1.3m $1.3m 0.46% First filing
53 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 14,43114.4k $1.1m $1.1m 0.00% Added +2.0k +1,977
54 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 14,31714.3k $1.1m $1.1m 0.00% Reduced -2.0k -1,977
55 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 13,68913.7k $1.1m $1.1m 0.00% Reduced -242 -242
56 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 12,14512.1k $947.7k $947.7k 0.01% Reduced -4.4k -4,411
57 Phoenix Wealth Advisors 0.43% of their portfolio CHAPEL HILL, NC 10,88610.9k $849.4k $849.4k 0.43% Reduced -105 -105
58 STEPHENS INC /AR/ 0.01% of their portfolio LITTLE ROCK, AR 10,71510.7k $836.1k $836.1k 0.01% Reduced -2.8k -2,815
59 Stratos Wealth Partners, LTD. 0.01% of their portfolio BEACHWOOD, OH 10,04910.0k $784.2k $784.2k 0.01% Reduced -1.8k -1,802
60 Stevard, LLC 0.63% of their portfolio Chicago, IL 9,3219.3k $727.3k $727.3k 0.63% Unchanged
61 TWO SIGMA ADVISERS, LP 0.00% of their portfolio NEW YORK, NY 9,3009.3k $725.7k $725.7k 0.00% Reduced -99.7k -99,700
62 INDEPENDENT FINANCIAL GROUP, LLC 0.03% of their portfolio SAN DIEGO, CA 9,2989.3k $725.6k $725.6k 0.03% Reduced -834 -834
63 Cubist Systematic Strategies, LLC 0.01% of their portfolio STAMFORD, CT 9,0929.1k $709.4k $709.4k 0.01% Added +1.4k +1,408
64 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 8,7918.8k $682.9k $682.9k 0.00% Added +8.2k +8,230
65 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.05% of their portfolio CEDAR RAPIDS, IA 8,6198.6k $672.5k $672.5k 0.05% Reduced -383 -383
66 White Knight Strategic Wealth Advisors, LLC 0.62% of their portfolio PRINCETON, NJ 7,9928.0k $623.6k $623.6k 0.62% Reduced -730 -730
67 Pacific Sun Financial Corp 0.37% of their portfolio LOS ANGELES, CA 7,9357.9k $619.2k $619.2k 0.37% Reduced -607 -607
68 KESTRA PRIVATE WEALTH SERVICES, LLC 0.01% of their portfolio AUSTIN, TX 7,8587.9k $613.2k $613.2k 0.01% Reduced -4.6k -4,577
69 StoneX Group Inc. 0.04% of their portfolio NEW YORK, NY 7,1257.1k $556.0k $556.0k 0.04% Reduced -148 -148
70 Intrua Financial, LLC 0.08% of their portfolio Houston, TX 6,3666.4k $496.8k $496.8k 0.08% Reduced -200 -200
71 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 6,2426.2k $487.1k $487.1k 0.00% Reduced -9.3k -9,313
72 EXENCIAL WEALTH ADVISORS, LLC 0.02% of their portfolio OKLAHOMA CITY, OK 6,1656.2k $481.0k $481.0k 0.02% Reduced -5.1k -5,059
73 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 5,7505.8k $468.7k $468.7k 0.00% Added +735 +735
74 Western Wealth Management, LLC 0.03% of their portfolio GOLDEN, CO 4,9585.0k $386.9k $386.9k 0.03% Reduced -556 -556
75 EMC Capital Management 0.23% of their portfolio HOUSTON, TX 4,9354.9k $393.0k $393.0k 0.23% Unchanged
76 Summit Financial, LLC 0.02% of their portfolio PARSIPPANY, NJ 4,9154.9k $383.5k $383.5k 0.02% Added +667 +667
77 Equitable Holdings, Inc. 0.00% of their portfolio NEW YORK, NY 4,6724.7k $364.6k $364.6k 0.00% Reduced -164 -164
78 DHK Financial Advisors, Inc. 0.27% of their portfolio PORTSMOUTH, NH 4,6024.6k $383.3k $383.3k 0.27% Unchanged
79 Insight Advisors, LLC/ PA 0.06% of their portfolio Newtown, PA 4,5124.5k $352.1k $352.1k 0.06% Reduced -35 -35
80 SCOTIA CAPITAL INC. 0.00% of their portfolio TORONTO, A6 4,2714.3k $333.3k $333.3k 0.00% Reduced -391 -391
81 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.03% of their portfolio ORLANDO, FL 4,1504.2k $323.8k $323.8k 0.03% Added +270 +270
82 Clearstead Trust, LLC 0.08% of their portfolio PORTLAND, ME 3,9984.0k $312.0k $312.0k 0.08% Unchanged
83 CoreCap Advisors, LLC 0.03% of their portfolio SOUTHFIELD, MI 3,9744.0k $310.1k $310.1k 0.03% Reduced -379 -379
84 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 3,9714.0k $309.9k $309.9k 0.01% Added +129 +129
85 Quadcap Wealth Management, LLC 0.06% of their portfolio Frisco, TX 3,9433.9k $307.7k $307.7k 0.06% Added +1.1k +1,114
86 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 3,8973.9k $304.1k $304.1k 0.00% Unchanged
87 UBS Group AG 0.00% of their portfolio ZURICH, V8 3,8683.9k $301.8k $301.8k 0.00% Added +2.8k +2,756
88 SeaCrest Wealth Management, LLC 0.03% of their portfolio PURCHASE, NY 3,8543.9k $300.7k $300.7k 0.03% Added +27 +27
89 Financial Perspectives, Inc 0.11% of their portfolio MINNEAPOLIS, MN 3,7833.8k $295.2k $295.2k 0.11% Unchanged
90 Pathstone Holdings, LLC 0.00% of their portfolio ENGLEWOOD, NJ 3,7473.7k $292.4k $292.4k 0.00% Reduced -8.5k -8,453
91 Provenance Wealth Advisors, LLC 0.04% of their portfolio FORT LAUDERDALE, FL 3,7183.7k $290.1k $290.1k 0.04% Unchanged
92 Belpointe Asset Management LLC 0.02% of their portfolio RENO, NV 3,7163.7k $290.0k $290.0k 0.02% Added +1.1k +1,069
93 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 3,6683.7k $286.2k $286.2k 0.00% Added +309 +309
94 Moloney Securities Asset Management, LLC 0.04% of their portfolio MANCHESTER, MO 3,4383.4k $268.3k $268.3k 0.04% Reduced -37 -37
95 Clear Harbor Asset Management, LLC 0.02% of their portfolio Stamford, CT 3,4283.4k $267.5k $267.5k 0.02% Unchanged
96 17 CAPITAL PARTNERS, LLC 0.19% of their portfolio PHEONIX, AZ 3,3743.4k $263.3k $263.3k 0.19% Added +678 +678
97 Focus Financial Network, Inc. 0.01% of their portfolio MINNEAPOLIS, MN 3,2783.3k $270.9k $270.9k 0.01% Reduced -989 -989
98 Echo Wealth Management, LLC 0.19% of their portfolio PLYMOUTH, MN 3,1743.2k $247.7k $247.7k 0.19% Added +200 +200
99 Quadrature Capital Ltd 0.00% of their portfolio LONDON, X0 3,0223.0k $235.7k $235.7k 0.00% New
100 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 2,8902.9k $226.0k $226.0k 0.00% Reduced -1.1k -1,115