Vault-13

GLOBAL X FDS RYLD

RUSSELL 2000 · ETP · CUSIP 37954Y459

138 institutional holders +7 vs Q3 2023
21,297,28621.3m shares reported held*
$359.5mreported value*
18 new 52 added 40 reduced 19 sold out net bought ≈ $19.1m (+1.1m 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 ≈ $16.88. Options: 2 managers hold calls ($728.2k notional), 2 hold puts ($179.1k).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 105Q4 22: 123Q1 23: 124Q2 23: 133Q3 23: 131Q4 23: 138138Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022105
Q4 2022123
Q1 2023124
Q2 2023133
Q3 2023131
Q4 2023138

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 74 bought or addedQ4 22: 37 cut or sold outQ4 22Q1 23: 80 bought or addedQ1 23: 42 cut or sold outQ1 23Q2 23: 79 bought or addedQ2 23: 50 cut or sold outQ2 23Q3 23: 82 bought or addedQ3 23: 50 cut or sold outQ3 23Q4 23: 70 bought or addedQ4 23: 59 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20227437
Q1 20238042
Q2 20237950
Q3 20238250
Q4 20237059

Calls vs puts

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

CallsPuts
$0$500k$1m$1.5m$2mQ1 23 calls: $1.6mQ1 23 puts: $276.1kQ1 23P/C 0.18Q2 23 calls: $1.0mQ2 23 puts: $57.5kQ2 23P/C 0.06Q3 23 calls: $1.8mQ3 23 puts: $691.7kQ3 23P/C 0.38Q4 23 calls: $728.2kQ4 23 puts: $179.1kQ4 23P/C 0.25
Numbers
QuarterCallsPutsP/C
Q1 2023$1.6m$276.1k0.18
Q2 2023$1.0m$57.5k0.06
Q3 2023$1.8m$691.7k0.38
Q4 2023$728.2k$179.1k0.25

Biggest buyers

MORGAN STANLEY Added +2,010,789+2.0m
AMERIPRISE FINANCIAL INC Added +323,583+323.6k
WELLS FARGO & COMPANY/MN Added +230,651+230.7k
ENVESTNET ASSET MANAGEMENT INC Added +172,620+172.6k
JANE STREET GROUP, LLC New +170,684+170.7k
MML INVESTORS SERVICES, LLC New +170,010+170.0k
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC New +135,570+135.6k
RENAISSANCE TECHNOLOGIES LLC New +125,806+125.8k
Mesirow Financial Investment Management, Inc. New +102,668+102.7k
UBS Group AG Added +96,421+96.4k

Biggest sellers

LPL Financial LLC Reduced -1,154,286-1.2m
ROYAL BANK OF CANADA Reduced -404,015-404.0k
Hamilton Capital Partners Inc. Reduced -330,665-330.7k
OSAIC HOLDINGS, INC. Reduced -304,131-304.1k
BANK OF AMERICA CORP /DE/ Reduced -150,015-150.0k
IFP Advisors, Inc Reduced -127,409-127.4k
Atria Investments, Inc Sold out -118,130-118.1k
Atria Wealth Solutions, Inc. Reduced -110,399-110.4k
Eudaimonia Partners, LLC Sold out -88,336-88.3k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -70,123-70.1k

Biggest calls

CITADEL ADVISORS LLC Reduced $728.2k43.5k shares
Cutler Group LLC / CA Reduced $01.8k shares

Biggest puts

CITADEL ADVISORS LLC Reduced $174.1k10.4k shares
Cutler Group LLC / CA Reduced $5.0k8.1k 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, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 4,421,8404.4m $74.0m $74.0m 0.00% Added +2.0m +2,010,789
2 LPL Financial LLC 0.03% of their portfolio FORT MILL, SC 2,745,7522.7m $46.0m $46.0m 0.03% Reduced -1.2m -1,154,286
3 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 1,805,6831.8m $30.2m $30.2m 0.00% Reduced -150.0k -150,015
4 Hamilton Capital Partners Inc. 4.92% of their portfolio TORONTO, A6 1,468,2391.5m $24.6m $24.6m 4.92% Reduced -330.7k -330,665
5 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 917,371917.4k $15.4m $15.4m 0.00% Reduced -404.0k -404,015
6 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 754,684754.7k $12.6m $12.6m 0.00% Added +323.6k +323,583
7 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 623,208623.2k $10.4m $10.4m 0.00% Added +230.7k +230,651
8 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 424,997425.0k $7.1m $7.1m 0.01% Reduced -18.0k -17,972
9 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 423,123423.1k $7.1m $7.1m 0.01% Reduced -304.1k -304,131
10 CENTAURUS FINANCIAL, INC. 0.54% of their portfolio ANAHEIM, CA 422,657422.7k $7.1m $7.1m 0.54% Reduced -34.7k -34,730
11 Brookstone Capital Management 0.13% of their portfolio WHEATON, IL 413,706413.7k $6.9m $6.9m 0.13% Added +16.3k +16,336
12 UBS Group AG 0.00% of their portfolio ZURICH, V8 393,842393.8k $6.6m $6.6m 0.00% Added +96.4k +96,421
13 HUB Investment Partners, LLC 0.37% of their portfolio AUSTIN, TX 315,049315.0k $5.3m $5.3m 0.37% Added +74.0k +73,951
14 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 307,768307.8k $5.2m $5.2m 0.02% Added +6.1k +6,078
15 Atlas Private Wealth Advisors 0.91% of their portfolio RED BANK, NJ 292,168292.2k $4.9m $4.9m 0.91% Reduced -2.9k -2,947
16 PREVAIL INNOVATIVE WEALTH ADVISORS, LLC 2.30% of their portfolio LEAWOOD, KS 287,835287.8k $4.8m $4.8m 2.30% Added +43.9k +43,859
17 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 275,620275.6k $4.6m $4.6m 0.02% Added +10.2k +10,180
18 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 271,759271.8k $4.5m $4.5m 0.00% Added +172.6k +172,620
19 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 242,508242.5k $4.1m $4.1m 0.00% Added +55.0k +55,041
20 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 208,034208.0k $3.5m $3.5m 0.01% Added +14.2k +14,176
21 FinTrust Capital Advisors, LLC 0.65% of their portfolio Greenville, SC 194,711194.7k $3.3m $3.3m 0.65% Added +19.8k +19,836
22 Cetera Advisor Networks LLC 0.02% of their portfolio EL SEGUNDO, CA 189,433189.4k $3.2m $3.2m 0.02% Reduced -3.5k -3,460
23 AlphaStar Capital Management, LLC 0.54% of their portfolio CORNELIUS, NC 174,885174.9k $5.9m $5.9m 0.54% Added +82.0k +81,983
24 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 170,684170.7k $2.9m $2.9m 0.00% New
25 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 170,010170.0k $2.8m $2.8m 0.01% New
26 Sowell Financial Services LLC 0.14% of their portfolio NORTH LITTLE ROCK, AR 157,759157.8k $2.7m $2.7m 0.14% Reduced -496 -496
27 Atria Wealth Solutions, Inc. 0.03% of their portfolio NEW YORK, NY 138,519138.5k $2.3m $2.3m 0.03% Reduced -110.4k -110,399
28 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.29% of their portfolio ORLANDO, FL 135,570135.6k $2.3m $2.3m 0.29% New
29 Institute for Wealth Management, LLC. 0.36% of their portfolio DENVER, CO 132,364132.4k $2.2m $2.2m 0.36% Reduced -15.5k -15,485
30 INDEPENDENT FINANCIAL GROUP, LLC 0.11% of their portfolio SAN DIEGO, CA 128,453128.5k $2.2m $2.2m 0.11% Reduced -27.4k -27,358
31 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 125,806125.8k $2.1m $2.1m 0.00% New
32 AVANTAX ADVISORY SERVICES, INC. 0.02% of their portfolio DALLAS, TX 115,684115.7k $1.9m $1.9m 0.02% Added +96.2k +96,163
33 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 104,352104.4k $1.7m $1.7m 0.01% Added +88.2k +88,176
34 Mesirow Financial Investment Management, Inc. 0.06% of their portfolio CHICAGO, IL 102,668102.7k $1.7m $1.7m 0.06% New
35 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 96,21996.2k $1.6m $1.6m 0.00% Added +23.0k +22,962
36 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 91,65891.7k $1.5m $1.5m 0.01% Reduced -1.1k -1,117
37 Kingsview Wealth Management, LLC 0.04% of their portfolio GRANTS PASS, OR 84,24084.2k $1.4m $1.4m 0.04% Added +1.8k +1,829
38 Investment Partners Asset Management, Inc. 1.31% of their portfolio METUCHEN, NJ 78,42578.4k $1.3m $1.3m 1.31% First filing
39 Colonial River Investments, LLC 0.76% of their portfolio MIDLOTHIAN, VA 76,63076.6k $1.3m $1.3m 0.76% Added +50.5k +50,477
40 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 76,60776.6k $1.3m $1.3m 0.00% Added +39.2k +39,250
41 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 72,95873.0k $1.2m $1.2m 0.01% Added +58.5k +58,519
42 J.W. COLE ADVISORS, INC. 0.07% of their portfolio TAMPA, FL 70,18670.2k $1.2m $1.2m 0.07% Added +557 +557
43 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 69,89469.9k $1.2m $1.2m 0.01% Added +13.4k +13,436
44 IHT Wealth Management, LLC 0.05% of their portfolio Chicago, IL 68,65068.7k $1.1m $1.1m 0.05% Added +1.3k +1,322
45 NWF Advisory Services Inc. 0.21% of their portfolio Los Angeles, CA 62,85662.9k $1.1m $1.1m 0.21% Unchanged
46 CoreFirst Bank & Trust 0.62% of their portfolio TOPEKA, KS 55,46555.5k $928.5k $928.5k 0.62% Reduced -709 -709
47 High Net Worth Advisory Group LLC 0.34% of their portfolio NAPLES, FL 54,37954.4k $910.4k $910.4k 0.34% Reduced -43.4k -43,370
48 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 51,27451.3k $866.9k $866.9k 0.02% Added +3.8k +3,787
49 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 48,60548.6k $813.6k $813.6k 0.01% Added +2.0k +2,030
50 MAS Advisors LLC 1.02% of their portfolio Miami, FL 47,20847.2k $790.3k $790.3k 1.02% Reduced -3.8k -3,763
51 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 45,52345.5k $762.1k $762.1k 0.00% Reduced -667 -667
52 Kovack Advisors, Inc. 0.09% of their portfolio FT. LAUDERDALE, FL 45,23045.2k $757.2k $757.2k 0.09% New
53 CIBC WORLD MARKET INC. 0.00% of their portfolio TORONTO, A6 44,50044.5k $745.0k $745.0k 0.00% New
54 Solutions 4 Wealth, Ltd 2.35% of their portfolio SOUTHLAKE, TX 43,01643.0k $720.1k $720.1k 2.35% First filing
55 IFP Advisors, Inc 0.03% of their portfolio TAMPA, FL 38,17938.2k $639.1k $639.1k 0.03% Reduced -127.4k -127,409
56 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 34,63034.6k $579.7k $579.7k 0.00% Reduced -1.5k -1,487
57 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 32,71232.7k $547.6k $547.6k 0.00% Added +30.5k +30,491
58 Prosperity Wealth Management, Inc. 0.36% of their portfolio San Ramon, CA 32,58732.6k $545.5k $545.5k 0.36% Reduced -1.5k -1,538
59 Foundations Investment Advisors, LLC 0.01% of their portfolio PHOENIX, AZ 31,94131.9k $523.5k $523.5k 0.01% Reduced -555 -555
60 OLD MISSION CAPITAL LLC 0.01% of their portfolio CHICAGO, IL 29,99730.0k $502.1k $502.1k 0.01% Reduced -45.9k -45,855
61 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 27,74127.7k $464.4k $464.4k 0.01% Added +4.3k +4,317
62 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 26,35926.4k $441.3k $441.3k 0.00% Added +268 +268
63 Accel Wealth Management 0.22% of their portfolio WAVERLY, IA 25,80725.8k $432.0k $432.0k 0.22% Reduced -3.8k -3,750
64 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 23,98524.0k $401.5k $401.5k 0.00% Reduced -625 -625
65 Mariner, LLC 0.00% of their portfolio Overland Park, KS 23,72523.7k $397.2k $397.2k 0.00% Reduced -18.1k -18,089
66 Smartleaf Asset Management LLC 0.11% of their portfolio BOSTON, MA 23,56823.6k $395.9k $395.9k 0.11% First filing
67 CreativeOne Wealth, LLC 0.02% of their portfolio OVERLAND PARK, KS 22,96123.0k $385.0k $385.0k 0.02% Added +10.7k +10,682
68 WEDBUSH SECURITIES INC 0.02% of their portfolio PASADENA, CA 22,39022.4k $375.0k $375.0k 0.02% Added +1.1k +1,100
69 Wealthspire Retirement, LLC 0.06% of their portfolio ALISO VIEJO, CA 21,86221.9k $366.0k $366.0k 0.06% Reduced -9.8k -9,832
70 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.03% of their portfolio CEDAR RAPIDS, IA 20,60020.6k $344.8k $344.8k 0.03% Added +1.5k +1,500
71 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 20,45420.5k $342.4k $342.4k 0.00% Reduced -70.1k -70,123
72 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 20,10420.1k $336.5k $336.5k 0.00% Reduced -3 -3
73 NFSG Corp 0.16% of their portfolio BOCA RATON, FL 19,96220.0k $334.2k $334.2k 0.16% Reduced -9.0k -8,984
74 Cornerstone Advisory, LLC 0.05% of their portfolio HUNT VALLEY, MD 19,65419.7k $329.0k $329.0k 0.05% Added +458 +458
75 Baker Avenue Asset Management, LP 0.01% of their portfolio SAN FRANCISCO, CA 19,13919.1k $320.4k $320.4k 0.01% Added +132 +132
76 WealthShield Partners, LLC 0.05% of their portfolio CARY, NC 18,95819.0k $320.5k $320.5k 0.05% Added +394 +394
77 Chicago Partners Investment Group LLC 0.01% of their portfolio CHICAGO, IL 17,82717.8k $290.6k $290.6k 0.01% New
78 Lifeworks Advisors, LLC 0.10% of their portfolio GRAND RAPIDS, MI 17,13917.1k $286.9k $286.9k 0.10% Unchanged
79 Western Wealth Management, LLC 0.02% of their portfolio GOLDEN, CO 16,78916.8k $281.0k $281.0k 0.02% Reduced -1.4k -1,429
80 Atlantic Union Bankshares Corp 0.03% of their portfolio GLEN ALLEN, VA 16,15616.2k $270.5k $270.5k 0.03% Unchanged
81 Patriot Financial Group Insurance Agency, LLC 0.05% of their portfolio Westborough, MA 15,55515.6k $260.4k $260.4k 0.05% Reduced -853 -853
82 Weaver Consulting Group 0.11% of their portfolio HUNTINGTON BEACH, CA 15,54415.5k $260.2k $260.2k 0.11% Reduced -11.0k -10,977
83 Beacon Pointe Advisors, LLC 0.00% of their portfolio NEWPORT BEACH, CA 14,49014.5k $242.6k $242.6k 0.00% Unchanged
84 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 14,26914.3k $238.9k $238.9k 0.01% Unchanged
85 Arax Advisory Partners 0.03% of their portfolio NEW YORK, NY 14,16414.2k $237.1k $237.1k 0.03% Added +322 +322
86 Castle Rock Wealth Management, LLC 0.07% of their portfolio WALNUT CREEK, CA 14,09214.1k $231.7k $231.7k 0.07% Added +1.3k +1,294
87 Triumph Capital Management 0.10% of their portfolio DENVER, CO 13,85613.9k $234.3k $234.3k 0.10% Added +1.3k +1,294
88 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 13,44313.4k $225.0k $225.0k 0.00% New
89 Apollon Wealth Management, LLC 0.01% of their portfolio MOUNT PLEASANT, SC 13,33213.3k $223.2k $223.2k 0.01% New
90 Sigma Planning Corp 0.02% of their portfolio ANN ARBOR, MI 13,28613.3k $222.4k $222.4k 0.02% Reduced -20.7k -20,678
91 TWO SIGMA SECURITIES, LLC 0.01% of their portfolio NEW YORK, NY 13,24313.2k $221.7k $221.7k 0.01% New
92 D.A. DAVIDSON & CO. 0.00% of their portfolio GREAT FALLS, MT 13,23413.2k $221.5k $221.5k 0.00% New
93 FLAGSHIP HARBOR ADVISORS, LLC 0.02% of their portfolio BOSTON, MA 12,89012.9k $215.8k $215.8k 0.02% Added +1.3k +1,292
94 PENSION & WEALTH MANAGEMENT ADVISORS, INC. 0.14% of their portfolio WALTHAM, MA 12,87912.9k $215.6k $215.6k 0.14% Added +25 +25
95 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 12,76712.8k $213.7k $213.7k 0.00% Added +2.3k +2,342
96 COMERICA BANK 0.00% of their portfolio DALLAS, TX 11,56711.6k $193.6k $193.6k 0.00% Reduced -20.1k -20,133
97 PFG Investments, LLC 0.04% of their portfolio WOODBURY, NY 11,45311.5k $191.7k $191.7k 0.04% Reduced -3.3k -3,291
98 Cresset Asset Management, LLC 0.00% of their portfolio Chicago, IL 11,35911.4k $192.0k $192.0k 0.00% Reduced -22.1k -22,099
99 KESTRA PRIVATE WEALTH SERVICES, LLC 0.00% of their portfolio AUSTIN, TX 11,21511.2k $187.7k $187.7k 0.00% Reduced -1.9k -1,917
100 Concurrent Investment Advisors, LLC 0.01% of their portfolio Tampa, FL 10,57510.6k $177.0k $177.0k 0.01% First filing