Vault-13

ARK ETF TR ARKF

FINTECH INNOVA · ETP · CUSIP 00214Q708

190 institutional holders +3 vs Q1 2023
7,512,4217.5m shares reported held*
$157.7mreported value*
20 new 38 added 68 reduced 20 sold out net sold ≈ $9.1m (-443.5k 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 ($543.1k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $20.99. Options: 9 managers hold calls ($16.3m notional), 8 hold puts ($12.3m).

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 211Q4 22: 201Q1 23: 187Q2 23: 190190Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022211
Q4 2022201
Q1 2023187
Q2 2023190

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 57 bought or addedQ4 22: 115 cut or sold outQ4 22Q1 23: 58 bought or addedQ1 23: 103 cut or sold outQ1 23Q2 23: 58 bought or addedQ2 23: 88 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 202257115
Q1 202358103
Q2 20235888

Calls vs puts

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

CallsPuts
$0$10m$20m$30mQ3 22 calls: $25.0mQ3 22 puts: $25.9mQ3 22P/C 1.04Q4 22 calls: $23.9mQ4 22 puts: $5.0mQ4 22P/C 0.21Q1 23 calls: $16.3mQ1 23 puts: $7.3mQ1 23P/C 0.45Q2 23 calls: $16.3mQ2 23 puts: $12.3mQ2 23P/C 0.75
Numbers
QuarterCallsPutsP/C
Q3 2022$25.0m$25.9m1.04
Q4 2022$23.9m$5.0m0.21
Q1 2023$16.3m$7.3m0.45
Q2 2023$16.3m$12.3m0.75

Biggest buyers

BANK OF AMERICA CORP /DE/ Added +247,328+247.3k
MIRABELLA FINANCIAL SERVICES LLP New +94,099+94.1k
STEPHENS INC /AR/ New +58,090+58.1k
Purus Wealth Management, LLC Added +56,998+57.0k
NWAM LLC New +54,717+54.7k
ROYAL BANK OF CANADA Added +53,462+53.5k
SOUTHPORT MANAGEMENT, L.L.C. New +50,000+50.0k
OSAIC HOLDINGS, INC. Added +46,864+46.9k
FLOW TRADERS U.S. LLC Added +44,010+44.0k
LPL Financial LLC Added +38,605+38.6k

Biggest sellers

Portfolio Strategies, Inc. Sold out -394,034-394.0k
Bank Pictet & Cie (Europe) AG Sold out -251,000-251.0k
MORGAN STANLEY Reduced -119,164-119.2k
COMMONWEALTH EQUITY SERVICES, LLC Reduced -111,041-111.0k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -105,370-105.4k
HRT FINANCIAL LP Reduced -93,824-93.8k
JANE STREET GROUP, LLC Reduced -48,786-48.8k
NewEdge Advisors, LLC Reduced -40,798-40.8k
Insight Advisors, LLC/ PA Sold out -25,602-25.6k
Cambridge Investment Research Advisors, Inc. Reduced -22,837-22.8k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $6.1m289.4k shares
JANE STREET GROUP, LLC Added $5.0m239.5k shares
CITADEL ADVISORS LLC Added $3.5m166.1k shares
Walleye Trading LLC Reduced $886.6k42.4k shares
IMC-Chicago, LLC Reduced $811.3k38.8k shares
Carmichael Hill & Associates, Inc. Added $62.7k3.0k shares
JPMORGAN CHASE & CO New $14.6k700 shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares
Cutler Group LLC / CA Reduced $01.2k shares

Biggest puts

MILLENNIUM MANAGEMENT LLC New $4.2m201.0k shares
JANE STREET GROUP, LLC Reduced $2.8m136.1k shares
CITADEL ADVISORS LLC Added $2.7m127.6k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $1.3m60.9k shares
Walleye Trading LLC Added $832.2k39.8k shares
IMC-Chicago, LLC Reduced $447.5k21.4k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares
Cutler Group LLC / CA Reduced $06.3k 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 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 942,508942.5k $19.7m $19.7m 0.01% Added +38.6k +38,605
2 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 580,737580.7k $12.1m $12.1m 0.00% Reduced -119.2k -119,164
3 Main Management ETF Advisors, LLC 0.72% of their portfolio SAN FRANCISCO, CA 472,630472.6k $9.9m $9.9m 0.72% Added +38.5k +38,505
4 UBS Group AG 0.00% of their portfolio ZURICH, V8 393,208393.2k $8.2m $8.2m 0.00% Reduced -7.2k -7,225
5 Clearwater Capital Advisors, LLC 0.93% of their portfolio HOFFMAN ESTATES, IL 375,017375.0k $7.8m $7.8m 0.93% Reduced -2.2k -2,153
6 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 250,956251.0k $5.2m $5.2m 0.00% Added +247.3k +247,328
7 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 243,135243.1k $5.1m $5.1m 0.01% Reduced -111.0k -111,041
8 Yarbrough Capital, LLC 0.28% of their portfolio FRANKLIN, TN 238,709238.7k $5.0m $5.0m 0.28% Unchanged
9 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 220,882220.9k $4.6m $4.6m 0.00% Added +53.5k +53,462
10 PRUDENTIAL PLC 0.05% of their portfolio LONDON, X0 214,000214.0k $4.4m $4.4m 0.05% Reduced -12.8k -12,800
11 Lingotto Investment Management LLP 0.26% of their portfolio London, X0 191,948191.9k $4.0m $4.0m 0.26% Unchanged
12 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 188,313188.3k $3.9m $3.9m 0.01% Added +46.9k +46,864
13 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 184,684184.7k $3.9m $3.9m 0.00% Added +6.5k +6,495
14 Cetera Advisors LLC 0.05% of their portfolio DENVER, CO 164,864164.9k $3.4m $3.4m 0.05% Added +8.1k +8,126
15 Brookstone Capital Management 0.06% of their portfolio WHEATON, IL 148,650148.7k $3.1m $3.1m 0.06% Reduced -7.4k -7,399
16 FLOW TRADERS U.S. LLC 0.12% of their portfolio NEW YORK, NY 130,431130.4k $2.7m $2.7m 0.12% Added +44.0k +44,010
17 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 117,206117.2k $2.5m $2.5m 0.01% Reduced -22.8k -22,837
18 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 105,756105.8k $2.2m $2.2m 0.00% Added +314 +314
19 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 102,252102.3k $2.1m $2.1m 0.00% Reduced -9.9k -9,923
20 MIRABELLA FINANCIAL SERVICES LLP 0.23% of their portfolio London, X0 94,09994.1k $2.0m $2.0m 0.23% New
21 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 92,10692.1k $1.9m $1.9m 0.00% Reduced -8.9k -8,943
22 Candriam S.C.A. 0.01% of their portfolio STRASSEN, N4 80,55280.6k $1.7m $1.7m 0.01% Unchanged
23 IEQ CAPITAL, LLC 0.03% of their portfolio Foster City, CA 76,57776.6k $1.6m $1.6m 0.03% Added +12.0k +12,000
24 Purus Wealth Management, LLC 1.03% of their portfolio Newport Beach, CA 76,27676.3k $1.6m $1.6m 1.03% Added +57.0k +56,998
25 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 73,96074.0k $1.5m $1.5m 0.00% Reduced -1.2k -1,166
26 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 71,80271.8k $1.5m $1.5m 0.00% Unchanged
27 Wealthfront Advisers LLC 0.01% of their portfolio Palo Alto, CA 65,88565.9k $1.4m $1.4m 0.01% Reduced -3.2k -3,201
28 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 63,70563.7k $1.3m $1.3m 0.00% Reduced -48.8k -48,786
29 Mutual Advisors, LLC 0.05% of their portfolio OMAHA, NE 62,43062.4k $1.3m $1.3m 0.05% Reduced -950 -950
30 STEPHENS INC /AR/ 0.02% of their portfolio LITTLE ROCK, AR 58,09058.1k $1.2m $1.2m 0.02% New
31 NWAM LLC 0.09% of their portfolio MERCER ISLAND, WA 54,71754.7k $1.1m $1.1m 0.09% New
32 CWM, LLC 0.01% of their portfolio OMAHA, NE 54,41454.4k $1.1m $1.1m 0.01% Added +15.1k +15,119
33 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 52,60052.6k $1.1m $1.1m 0.00% Added +37.9k +37,900
34 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 50,30650.3k $1.1m $1.1m 0.00% Reduced -3.3k -3,279
35 SOUTHPORT MANAGEMENT, L.L.C. 5.73% of their portfolio Wilson, WY 50,00050.0k $1.0m $1.0m 5.73% New
36 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 42,63342.6k $891.5k $891.5k 0.00% Reduced -1.2k -1,241
37 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 41,42541.4k $866.2k $866.2k 0.00% Reduced -105.4k -105,370
38 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 39,44639.4k $824.8k $824.8k 0.01% Added +10.2k +10,163
39 Mariner, LLC 0.00% of their portfolio Overland Park, KS 39,39739.4k $823.4k $823.4k 0.00% Reduced -3.3k -3,333
40 Granite Bay Wealth Management, LLC 0.72% of their portfolio PORTSMOUTH, NH 36,84536.8k $770.0k $770.0k 0.72% Reduced -3.0k -2,950
41 Financial Advocates Investment Management 0.06% of their portfolio OLYMPIA, WA 36,57536.6k $764.8k $764.8k 0.06% Reduced -5.9k -5,947
42 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.17% of their portfolio ORLANDO, FL 33,58333.6k $1.3m $1.3m 0.17% Reduced -19.7k -19,702
43 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 30,16230.2k $630.7k $630.7k 0.00% Reduced -1.0k -1,006
44 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 28,70028.7k $600.1k $600.1k 0.00% Reduced -18.3k -18,340
45 SIMPLEX TRADING, LLC 0.03% of their portfolio CHICAGO, IL 28,48928.5k $595.0k $595.0k 0.03% New
46 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 27,64027.6k $578.0k $578.0k 0.00% Reduced -5.2k -5,153
47 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 27,26027.3k $605.8k $605.8k 0.01% Reduced -1.6k -1,569
48 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 27,11027.1k $556.0k $556.0k 0.00% Added +15.6k +15,554
49 Vestmark Advisory Solutions, Inc. 0.02% of their portfolio Wakefield, MA 25,97426.0k $543.1k $543.1k 0.02% New
50 INDEPENDENT FINANCIAL GROUP, LLC 0.04% of their portfolio SAN DIEGO, CA 24,80024.8k $518.6k $518.6k 0.04% Added +500 +500
51 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 23,97324.0k $501.3k $501.3k 0.01% Reduced -692 -692
52 BRIDGES INVESTMENT MANAGEMENT INC 0.02% of their portfolio OMAHA, NE 23,64223.6k $494.4k $494.4k 0.02% Unchanged
53 Financial Architects, Inc 0.07% of their portfolio MARLTON, NJ 22,71022.7k $474.9k $474.9k 0.07% Reduced -134 -134
54 GTS SECURITIES LLC 0.01% of their portfolio NEW YORK, NY 21,55421.6k $450.7k $450.7k 0.01% First filing
55 MML INVESTORS SERVICES, LLC 0.00% of their portfolio SPRINGFIELD, MA 20,74720.7k $434.0k $434.0k 0.00% Reduced -1.0k -1,030
56 CREDIT SUISSE AG/ 0.00% of their portfolio ZURICH, V8 19,69419.7k $411.8k $411.8k 0.00% Reduced -8.6k -8,645
57 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 18,83618.8k $393.9k $393.9k 0.00% Reduced -10.3k -10,254
58 RMR Wealth Builders 0.07% of their portfolio Montclair, NJ 18,28818.3k $382.4k $382.4k 0.07% Added +76 +76
59 Csenge Advisory Group 0.03% of their portfolio CLEARWATER, FL 17,91817.9k $374.7k $374.7k 0.03% Reduced -3.0k -3,011
60 IFP Advisors, Inc 0.01% of their portfolio TAMPA, FL 17,31817.3k $357.3k $357.3k 0.01% Reduced -386 -386
61 INSIGNEO ADVISORY SERVICES, LLC 0.07% of their portfolio MIAMI, FL 17,04917.0k $356.5k $356.5k 0.07% Reduced -630 -630
62 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 16,91516.9k $353.7k $353.7k 0.00% Reduced -2.6k -2,563
63 Strategic Advisors LLC 0.07% of their portfolio New York, NY 16,86416.9k $352.6k $352.6k 0.07% Reduced -421 -421
64 Elevated Capital Advisors, LLC 0.12% of their portfolio SANDY, UT 16,77616.8k $350.8k $350.8k 0.12% New
65 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 16,74516.7k $350.1k $350.1k 0.00% Reduced -3.8k -3,811
66 OLD MISSION CAPITAL LLC 0.01% of their portfolio CHICAGO, IL 16,56616.6k $346.4k $346.4k 0.01% New
67 Ancora Advisors LLC 0.01% of their portfolio Cleveland, OH 14,15214.2k $295.9k $295.9k 0.01% Reduced -1.0k -1,009
68 Stratos Wealth Partners, LTD. 0.01% of their portfolio BEACHWOOD, OH 13,99314.0k $292.6k $292.6k 0.01% Added +1.2k +1,171
69 PFG Advisors 0.02% of their portfolio Phoenix, AZ 13,94513.9k $291.6k $291.6k 0.02% Reduced -1.5k -1,514
70 Focus Financial Network, Inc. 0.02% of their portfolio MINNEAPOLIS, MN 13,86813.9k $290.0k $290.0k 0.02% Reduced -1.8k -1,793
71 Gerber Kawasaki Wealth & Investment Management 0.02% of their portfolio SANTA MONICA, CA 13,60413.6k $284.5k $284.5k 0.02% Reduced -2.3k -2,290
72 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 12,89212.9k $270.1k $270.1k 0.00% Added +874 +874
73 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 12,59812.6k $262.9k $262.9k 0.00% Reduced -28 -28
74 HRT FINANCIAL LP 0.00% of their portfolio NEW YORK, NY 12,36412.4k $258.0k $258.0k 0.00% Reduced -93.8k -93,824
75 CENTAURUS FINANCIAL, INC. 0.02% of their portfolio ANAHEIM, CA 12,14012.1k $254.0k $254.0k 0.02% Added +2.4k +2,413
76 First Heartland Consultants, Inc. 0.03% of their portfolio LAKE ST. LOUIS, MO 12,11412.1k $253.3k $253.3k 0.03% New
77 Caprock Group, LLC 0.02% of their portfolio BOISE, ID 12,08712.1k $252.7k $252.7k 0.02% Added +1.1k +1,071
78 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 11,79711.8k $246.7k $246.7k 0.00% Reduced -874 -874
79 StoneX Group Inc. 0.02% of their portfolio NEW YORK, NY 11,48911.5k $240.2k $240.2k 0.02% Added +793 +793
80 AdvisorNet Financial, Inc 0.02% of their portfolio MINNETONKA, MN 11,43911.4k $239.2k $239.2k 0.02% Reduced -495 -495
81 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 11,33611.3k $237.0k $237.0k 0.00% Reduced -3.5k -3,515
82 SG Americas Securities, LLC 0.00% of their portfolio NEW YORK, NY 11,29811.3k $236.0k $236.0k 0.00% Added +5.6k +5,586
83 Dynamic Advisor Solutions LLC 0.01% of their portfolio PHOENIX, AZ 10,92210.9k $228.4k $228.4k 0.01% Added +17 +17
84 Prosperity Wealth Management, Inc. 0.15% of their portfolio San Ramon, CA 10,76010.8k $225.0k $225.0k 0.15% New
85 LEVEL FOUR ADVISORY SERVICES, LLC 0.01% of their portfolio DALLAS, TX 10,61010.6k $221.9k $221.9k 0.01% Reduced -125 -125
86 Vontobel Holding Ltd. 0.00% of their portfolio ZURICH, V8 10,60010.6k $221.4k $221.4k 0.00% Unchanged
87 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 10,51810.5k $219.9k $219.9k 0.00% Reduced -14.9k -14,910
88 IMC-Chicago, LLC 0.01% of their portfolio CHICAGO, IL 10,15510.2k $212.3k $212.3k 0.01% New
89 HALBERT HARGROVE GLOBAL ADVISORS, LLC 0.02% of their portfolio LONG BEACH, CA 10,13910.1k $212.0k $212.0k 0.02% Reduced -14 -14
90 Wealthcare Advisory Partners LLC 0.01% of their portfolio WEST CHESTER, PA 10,01710.0k $209.5k $209.5k 0.01% Reduced -1.9k -1,925
91 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 9,8629.9k $206.2k $206.2k 0.00% Added +1.3k +1,268
92 KESTRA PRIVATE WEALTH SERVICES, LLC 0.01% of their portfolio AUSTIN, TX 9,7829.8k $204.5k $204.5k 0.01% Reduced -518 -518
93 Integrated Wealth Concepts LLC 0.00% of their portfolio WALTHAM, MA 9,7329.7k $203.5k $203.5k 0.00% Reduced -457 -457
94 TD Waterhouse Canada Inc. 0.00% of their portfolio TORONTO, A6 6,0476.0k $132.5k $132.5k 0.00% Unchanged
95 Clearstead Trust, LLC 0.04% of their portfolio PORTLAND, ME 5,5875.6k $116.8k $116.8k 0.04% Reduced -53 -53
96 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 5,4705.5k $114.4k $114.4k 0.00% Reduced -40.8k -40,798
97 Financial Perspectives, Inc 0.05% of their portfolio MINNEAPOLIS, MN 5,3605.4k $112.1k $112.1k 0.05% Added +264 +264
98 PRIVATE TRUST CO NA 0.01% of their portfolio CLEVELAND, OH 4,9104.9k $102.7k $102.7k 0.01% Added +4.4k +4,353
99 Main Management LLC 0.01% of their portfolio SAN FRANCISCO, CA 4,6424.6k $97.0k $97.0k 0.01% Reduced -1.8k -1,844
100 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 3,9153.9k $81.9k $81.9k 0.00% New