Vault-13

DBX ETF TR ASHR

XTRACK HRVST CSI · ETP · CUSIP 233051879

131 institutional holders -17 vs Q1 2023
34,573,91034.6m shares reported held*
$925.2mreported value*
20 new 35 added 53 reduced 40 sold out net sold ≈ $333.2m (-12.4m 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 ≈ $26.76. Options: 14 managers hold calls ($355.8m notional), 6 hold puts ($20.4m).

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 127Q4 22: 142Q1 23: 148Q2 23: 131131Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022127
Q4 2022142
Q1 2023148
Q2 2023131

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 67 bought or addedQ4 22: 70 cut or sold outQ4 22Q1 23: 78 bought or addedQ1 23: 70 cut or sold outQ1 23Q2 23: 55 bought or addedQ2 23: 93 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20226770
Q1 20237870
Q2 20235593

Calls vs puts

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

CallsPuts
$0$200m$400m$600mQ3 22 calls: $161.8mQ3 22 puts: $163.8mQ3 22P/C 1.01Q4 22 calls: $381.5mQ4 22 puts: $98.1mQ4 22P/C 0.26Q1 23 calls: $543.6mQ1 23 puts: $80.9mQ1 23P/C 0.15Q2 23 calls: $355.8mQ2 23 puts: $20.4mQ2 23P/C 0.06
Numbers
QuarterCallsPutsP/C
Q3 2022$161.8m$163.8m1.01
Q4 2022$381.5m$98.1m0.26
Q1 2023$543.6m$80.9m0.15
Q2 2023$355.8m$20.4m0.06

Biggest buyers

JANE STREET GROUP, LLC Added +2,051,172+2.1m
GOLDMAN SACHS GROUP INC Added +1,034,512+1.0m
OLD MISSION CAPITAL LLC Added +429,778+429.8k
Summit Trail Advisors, LLC Added +400,172+400.2k
Provida Pension Fund Administrator Added +398,265+398.3k
ClariVest Asset Management LLC New +209,125+209.1k
MILLENNIUM MANAGEMENT LLC New +181,220+181.2k
CI INVESTMENTS INC. Added +125,984+126.0k
AMERIPRISE FINANCIAL INC Added +113,333+113.3k
Alberta Investment Management Corp Added +85,700+85.7k

Biggest sellers

Varma Mutual Pension Insurance Co Sold out -3,543,629-3.5m
MORGAN STANLEY Reduced -2,041,411-2.0m
SPX Gestao de Recursos Ltda Sold out -2,004,210-2.0m
TWO SIGMA INVESTMENTS, LP Reduced -1,100,000-1.1m
Rock Creek Group LLC Reduced -1,018,499-1.0m
BANK OF MONTREAL /CAN/ Reduced -908,115-908.1k
UBS Group AG Reduced -773,759-773.8k
STRS OHIO Reduced -640,000-640.0k
Fullerton Fund Management Co Ltd. Reduced -538,599-538.6k
BNP PARIBAS FINANCIAL MARKETS Reduced -448,197-448.2k

Biggest calls

CITADEL ADVISORS LLC Added $219.9m8.2m shares
NOMURA HOLDINGS INC Added $40.8m1.5m shares
BANK OF AMERICA CORP /DE/ Reduced $26.8m1.0m shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $18.9m704.6k shares
BTG Pactual Global Asset Management Ltd New $16.9m630.0k shares
BNP PARIBAS FINANCIAL MARKETS Reduced $10.7m4.0k shares
Parallax Volatility Advisers, L.P. Added $10.7m399.1k shares
GOLDMAN SACHS GROUP INC Unchanged $9.4m350.0k shares
Ibex Investors LLC New $1.1m40.0k shares
Shay Capital LLC Added $495.1k18.5k shares

Biggest puts

PEAK6 Investments LLC Unchanged $7.7m287.4k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $6.1m229.6k shares
NOMURA HOLDINGS INC New $4.7m175.0k shares
CITADEL ADVISORS LLC Reduced $1.6m58.8k shares
Walleye Trading LLC Reduced $264.9k9.9k shares
Cutler Group LLC / CA Reduced $24.0k32.0k 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 Provida Pension Fund Administrator 4.02% of their portfolio LAS CONDES, SANTIAGO, F3 4,257,2244.3m $113.9m $113.9m 4.02% Added +398.3k +398,265
2 JANE STREET GROUP, LLC 0.11% of their portfolio NEW YORK, NY 3,055,4623.1m $81.8m $81.8m 0.11% Added +2.1m +2,051,172
3 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 3,040,9523.0m $81.4m $81.4m 0.01% Reduced -2.0m -2,041,411
4 CI INVESTMENTS INC. 0.28% of their portfolio TORONTO, Z4 2,097,9052.1m $56.1m $56.1m 0.28% Added +126.0k +125,984
5 CITIGROUP INC 0.06% of their portfolio NEW YORK, NY 1,729,5811.7m $46.3m $46.3m 0.06% Reduced -367.1k -367,148
6 GOLDMAN SACHS GROUP INC 0.01% of their portfolio NEW YORK, NY 1,295,4601.3m $34.7m $34.7m 0.01% Added +1.0m +1,034,512
7 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 1,249,9711.2m $33.4m $33.4m 0.00% Reduced -359.2k -359,180
8 Rafferty Asset Management, LLC 0.17% of their portfolio New York, NY 1,148,9951.1m $30.7m $30.7m 0.17% Added +79.7k +79,689
9 UBS Group AG 0.01% of their portfolio ZURICH, V8 988,633988.6k $26.5m $26.5m 0.01% Reduced -773.8k -773,759
10 CITADEL ADVISORS LLC 0.03% of their portfolio MIAMI, FL 969,692969.7k $25.9m $25.9m 0.03% Reduced -175.4k -175,393
11 Fullerton Fund Management Co Ltd. 1.74% of their portfolio SINGAPORE, U0 928,976929.0k $24.9m $24.9m 1.74% Reduced -538.6k -538,599
12 OLD MISSION CAPITAL LLC 0.90% of their portfolio CHICAGO, IL 905,557905.6k $24.2m $24.2m 0.90% Added +429.8k +429,778
13 Alaska Permanent Fund Corp 0.44% of their portfolio JUNEAU, AK 840,321840.3k $22.5m $22.5m 0.44% First filing
14 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.03% of their portfolio BALA CYNWYD, PA 779,964780.0k $20.9m $20.9m 0.03% Reduced -133.7k -133,702
15 Driehaus Capital Management LLC 0.25% of their portfolio Chicago, IL 754,528754.5k $20.2m $20.2m 0.25% Reduced -189.5k -189,547
16 AMERIPRISE FINANCIAL INC 0.01% of their portfolio MINNEAPOLIS, MN 643,577643.6k $17.2m $17.2m 0.01% Added +113.3k +113,333
17 FIL Ltd 0.02% of their portfolio HAMILTON, D0 630,002630.0k $16.9m $16.9m 0.02% Reduced -83.5k -83,534
18 Summit Trail Advisors, LLC 0.62% of their portfolio NEW YORK, NY 609,800609.8k $16.3m $16.3m 0.62% Added +400.2k +400,172
19 TWO SIGMA INVESTMENTS, LP 0.04% of their portfolio NEW YORK, NY 500,000500.0k $13.4m $13.4m 0.04% Reduced -1.1m -1,100,000
20 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 493,431493.4k $13.2m $13.2m 0.00% Reduced -385.2k -385,191
21 CAUSEWAY CAPITAL MANAGEMENT LLC 0.33% of their portfolio LOS ANGELES, CA 471,303471.3k $12.6m $12.6m 0.33% Reduced -97.6k -97,605
22 Rock Creek Group LLC 1.73% of their portfolio Washington, DC 446,126446.1k $11.9m $11.9m 1.73% Reduced -1.0m -1,018,499
23 CANTOR FITZGERALD, L. P. 0.23% of their portfolio NEW YORK, NY 374,627374.6k $10.0m $10.0m 0.23% Reduced -17.4k -17,410
24 CONNABLE OFFICE INC 1.28% of their portfolio KALAMAZOO, MI 348,716348.7k $9.3m $9.3m 1.28% Added +6.8k +6,780
25 STRS OHIO 0.04% of their portfolio COLUMBUS, OH 320,000320.0k $8.6m $8.6m 0.04% Reduced -640.0k -640,000
26 Alberta Investment Management Corp 0.08% of their portfolio EDMONTON, A0 305,700305.7k $8.2m $8.2m 0.08% Added +85.7k +85,700
27 PRUDENTIAL PLC 0.09% of their portfolio LONDON, X0 270,900270.9k $7.2m $7.2m 0.09% Added +81.1k +81,130
28 BARINGS LLC 0.23% of their portfolio CHARLOTTE, NC 256,113256.1k $6.9m $6.9m 0.23% Reduced -56.9k -56,920
29 BANK OF NOVA SCOTIA 0.02% of their portfolio TORONTO, A6 237,619237.6k $6.4m $6.4m 0.02% Reduced -157.0k -156,994
30 ClariVest Asset Management LLC 0.28% of their portfolio SAN DIEGO, CA 209,125209.1k $5.6m $5.6m 0.28% New
31 Delphi Financial Group, Inc. 2.75% of their portfolio Wilmington, DE 202,385202.4k $5.4m $5.4m 2.75% Unchanged
32 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 187,542187.5k $5.0m $5.0m 0.00% Reduced -44.2k -44,185
33 Allworth Financial LP 0.04% of their portfolio FOLSOM, CA 182,477182.5k $4.9m $4.9m 0.04% Reduced -15.0k -15,027
34 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 181,663181.7k $4.9m $4.9m 0.01% Added +3.1k +3,053
35 MILLENNIUM MANAGEMENT LLC 0.01% of their portfolio NEW YORK, NY 181,220181.2k $4.8m $4.8m 0.01% New
36 STATE STREET CORP 0.00% of their portfolio BOSTON, MA 147,581147.6k $3.9m $3.9m 0.00% Added +10.0k +10,000
37 LFA - Lugano Financial Advisors SA 2.41% of their portfolio LUGANO, V8 135,529135.5k $3.6m $3.6m 2.41% Added +812 +812
38 Summit Place Financial Advisors, LLC 2.31% of their portfolio SUMMIT, NJ 133,401133.4k $3.6m $3.6m 2.31% Added +5.9k +5,907
39 LAZARD ASSET MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 129,874129.9k $3.5m $3.5m 0.00% Unchanged
40 PINEBRIDGE INVESTMENTS, L.P. 0.03% of their portfolio NEW YORK, NY 120,346120.3k $3.2m $3.2m 0.03% Reduced -69.8k -69,837
41 HSBC HOLDINGS PLC 0.00% of their portfolio LONDON, X0 110,000110.0k $2.9m $2.9m 0.00% Added +15.0k +15,000
42 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 108,797108.8k $2.9m $2.9m 0.00% Reduced -319 -319
43 Perigon Wealth Management, LLC 0.11% of their portfolio SAN FRANCISCO, CA 104,865104.9k $2.8m $2.8m 0.11% Reduced -5.7k -5,711
44 SPINNAKER TRUST 0.20% of their portfolio PORTLAND, ME 102,691102.7k $2.7m $2.7m 0.20% Reduced -251.6k -251,613
45 Orion Porfolio Solutions, LLC 0.03% of their portfolio OMAHA, NE 92,13892.1k $2.5m $2.5m 0.03% Added +1.7k +1,708
46 Orion Portfolio Solutions, LLC 0.03% of their portfolio Omaha, NE 92,13892.1k $2.5m $2.5m 0.03% Added +1.7k +1,708
47 NEUBERGER BERMAN GROUP LLC 0.00% of their portfolio NEW YORK, NY 86,20986.2k $2.3m $2.3m 0.00% Added +6.0k +6,014
48 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 83,54783.5k $2.2m $2.2m 0.01% First filing
49 TBH Global Asset Management, LLC 0.44% of their portfolio Brentwood, TN 83,45283.5k $2.2m $2.2m 0.44% New
50 PEAK6 Investments LLC 0.19% of their portfolio CHICAGO, IL 81,67481.7k $2.2m $2.2m 0.19% Added +25.2k +25,177
51 IPG Investment Advisors LLC 0.45% of their portfolio SAN DIEGO, CA 76,54676.5k $2.0m $2.0m 0.45% Unchanged
52 Allianz Asset Management GmbH 0.00% of their portfolio MUNICH, 2M 72,00072.0k $1.9m $1.9m 0.00% New
53 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 70,89370.9k $1.9m $1.9m 0.00% Reduced -12.0k -11,953
54 Parallax Volatility Advisers, L.P. 0.06% of their portfolio San Francisco, CA 68,30768.3k $1.8m $1.8m 0.06% Added +58.1k +58,121
55 EVERGREEN CAPITAL MANAGEMENT LLC 0.07% of their portfolio Bellevue, WA 64,14464.1k $1.7m $1.7m 0.07% Added +2.3k +2,320
56 NOMURA ASSET MANAGEMENT CO LTD 0.01% of their portfolio TOKYO, M0 61,41061.4k $1.6m $1.6m 0.01% Added +2.2k +2,250
57 Mirae Asset Global Investments Co., Ltd. 0.00% of their portfolio SEOUL, M5 60,20060.2k $1.6m $1.6m 0.00% Reduced -276.3k -276,320
58 Walleye Trading LLC 0.08% of their portfolio NEW YORK, NY 55,03455.0k $1.5m $1.5m 0.08% New
59 ACIMA PRIVATE WEALTH, LLC 0.67% of their portfolio RICHMOND, VA 52,05352.1k $1.4m $1.4m 0.67% Added +124 +124
60 Polunin Capital Partners Ltd 0.28% of their portfolio LONDON, X0 50,44550.4k $1.3m $1.3m 0.28% New
61 QUATTRO FINANCIAL ADVISORS LLC 0.52% of their portfolio The Woodlands, TX 49,03549.0k $1.3m $1.3m 0.52% Reduced -5.5k -5,461
62 DELTEC ASSET MANAGEMENT LLC 0.27% of their portfolio New York, NY 46,50046.5k $1.2m $1.2m 0.27% Added +4.2k +4,250
63 CREDIT SUISSE AG/ 0.00% of their portfolio ZURICH, V8 45,62645.6k $1.2m $1.2m 0.00% Reduced -371.1k -371,124
64 SELDON CAPITAL LP 1.26% of their portfolio SAN FRANCISCO, CA 44,10644.1k $1.2m $1.2m 1.26% Reduced -44.1k -44,106
65 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 43,55443.6k $1.2m $1.2m 0.01% New
66 Banque Cantonale Vaudoise 0.05% of their portfolio LAUSANNE, V8 42,78842.8k $1.1m $1.1m 0.05% Reduced -526 -526
67 Global Endowment Management, LP 0.13% of their portfolio CHARLOTTE, NC 40,80040.8k $1.1m $1.1m 0.13% Unchanged
68 PICTON MAHONEY ASSET MANAGEMENT 0.05% of their portfolio Toronto, A6 40,78040.8k $1.1m $1.1m 0.05% Reduced -6.5k -6,520
69 Hudson Bay Capital Management LP 0.01% of their portfolio STAMFORD, CT 40,00040.0k $1.1m $1.1m 0.01% New
70 AGF MANAGEMENT LTD 0.01% of their portfolio TORONTO, A6 39,97540.0k $1.1m $1.1m 0.01% Reduced -7.4k -7,411
71 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 36,66136.7k $981.0k $981.0k 0.00% Reduced -448.2k -448,197
72 New York Life Investment Management LLC 0.01% of their portfolio New York, NY 35,83235.8k $958.9k $958.9k 0.01% Added +1.4k +1,425
73 Vontobel Holding Ltd. 0.01% of their portfolio ZURICH, V8 33,88633.9k $906.8k $906.8k 0.01% New
74 SCHRODER INVESTMENT MANAGEMENT GROUP 0.00% of their portfolio London, X0 32,00032.0k $856.3k $856.3k 0.00% Reduced -38.0k -38,000
75 MBB PUBLIC MARKETS I LLC 0.05% of their portfolio CHICAGO, IL 32,00032.0k $856.3k $856.3k 0.05% Added +17.0k +17,000
76 COLONY GROUP LLC 0.01% of their portfolio Boston, MA 31,32731.3k $838.0k $838.0k 0.01% Reduced -17.9k -17,859
77 STABLEFORD CAPITAL II LLC 0.39% of their portfolio SCOTTSDALE, AZ 31,19831.2k $872.0k $872.0k 0.39% New
78 Capula Management Ltd 0.10% of their portfolio Grand Cayman, E9 30,00030.0k $802.8k $802.8k 0.10% Not comparable
79 PRUDENTIAL FINANCIAL INC 0.00% of their portfolio NEWARK, NJ 29,70029.7k $794.8k $794.8k 0.00% Added +3.3k +3,300
80 Harel Insurance Investments & Financial Services Ltd. 0.02% of their portfolio Ramat Gan, L3 28,89228.9k $767.0k $767.0k 0.02% Reduced -226.5k -226,508
81 Aberdeen Group plc 0.00% of their portfolio EDINBURGH, X0 27,88427.9k $746.2k $746.2k 0.00% Unchanged
82 Endowment Wealth Management, Inc. 0.68% of their portfolio APPLETON, WI 27,82827.8k $744.7k $744.7k 0.68% Reduced -132 -132
83 Ninety One UK Ltd 0.00% of their portfolio London, X0 27,13927.1k $726.2k $726.2k 0.00% Reduced -579 -579
84 Desjardins Global Asset Management Inc. 0.08% of their portfolio MONTREAL, A8 26,72326.7k $715.1k $715.1k 0.08% Reduced -8.4k -8,404
85 SIMPLEX TRADING, LLC 0.03% of their portfolio CHICAGO, IL 26,32626.3k $704.0k $704.0k 0.03% New
86 Zurcher Kantonalbank (Zurich Cantonalbank) 0.00% of their portfolio ZURICH, V8 21,35021.4k $567.3k $567.3k 0.00% Unchanged
87 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 20,11220.1k $538.2k $538.2k 0.00% Reduced -614 -614
88 INVESTMENT HOUSE LLC 0.04% of their portfolio REDONDO BEACH, CA 19,07419.1k $510.4k $510.4k 0.04% New
89 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 18,95619.0k $507.3k $507.3k 0.00% Reduced -1.8k -1,841
90 Mondrian Investment Partners LTD 0.01% of their portfolio LONDON, X0 18,55818.6k $496.6k $496.6k 0.01% Added +14.4k +14,371
91 J.P. Morgan Private Wealth Advisors LLC 0.00% of their portfolio SAN FRANCISCO, CA 17,40617.4k $465.8k $465.8k 0.00% Reduced -733 -733
92 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 17,16917.2k $459.4k $459.4k 0.00% Reduced -1.1k -1,103
93 DRW Securities, LLC 0.04% of their portfolio CHICAGO, IL 17,00017.0k $455.0k $455.0k 0.04% Added +10.0k +10,000
94 Intercontinental Wealth Advisors, LLC 0.10% of their portfolio SAN ANTONIO, TX 16,29416.3k $436.0k $436.0k 0.10% Unchanged
95 AJ WEALTH STRATEGIES, LLC 0.02% of their portfolio NEW YORK, NY 14,82114.8k $396.6k $396.6k 0.02% Unchanged
96 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 13,29113.3k $355.7k $355.7k 0.00% Reduced -1 -1
97 Daiichi Life Insurance Co., Ltd. 0.01% of their portfolio TOKYO, M0 13,22713.2k $354.0k $354.0k 0.01% Added +5.0k +5,022
98 Jaffetilchin Investment Partners, LLC 0.04% of their portfolio TAMPA, FL 12,54112.5k $335.6k $335.6k 0.04% Reduced -139 -139
99 Phraction Management LLC 0.16% of their portfolio COLCHESTER, CT 12,11012.1k $324.1k $324.1k 0.16% Unchanged
100 Strait & Sound Wealth Management LLC 0.32% of their portfolio SAN FRANCISCO, CA 12,00012.0k $321.1k $321.1k 0.32% Unchanged