Vault-13

GLOBAL X FDS PFFD

US PFD ETF · ETP · CUSIP 37954Y657

256 institutional holders -12 vs Q4 2023
67,427,10967.4m shares reported held*
$1.4bnreported value*
26 new 112 added 76 reduced 39 sold out net bought ≈ $80.2m (+4.0m 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 ≈ $20.14. Options: 1 managers hold calls ($491.9k notional), 1 hold puts ($38.3k).

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 210Q4 22: 223Q1 23: 230Q2 23: 226Q3 23: 241Q4 23: 268Q1 24: 256256Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 2022210
Q4 2022223
Q1 2023230
Q2 2023226
Q3 2023241
Q4 2023268
Q1 2024256

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 118 bought or addedQ4 22: 99 cut or sold outQ4 22Q1 23: 137 bought or addedQ1 23: 93 cut or sold outQ1 23Q2 23: 124 bought or addedQ2 23: 102 cut or sold outQ2 23Q3 23: 123 bought or addedQ3 23: 94 cut or sold outQ3 23Q4 23: 118 bought or addedQ4 23: 123 cut or sold outQ4 23Q1 24: 138 bought or addedQ1 24: 115 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 202211899
Q1 202313793
Q2 2023124102
Q3 202312394
Q4 2023118123
Q1 2024138115

Calls vs puts

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

CallsPuts
$0$250k$500k$750k$1mQ2 23 calls: $461.5kQ2 23 puts: $17.5kQ2 23P/C 0.04Q3 23 calls: $306.6kQ3 23 puts: $71.5kQ3 23P/C 0.23Q4 23 calls: $888.5kQ4 23 puts: $265.8kQ4 23P/C 0.30Q1 24 calls: $491.9kQ1 24 puts: $38.3kQ1 24P/C 0.08
Numbers
QuarterCallsPutsP/C
Q2 2023$461.5k$17.5k0.04
Q3 2023$306.6k$71.5k0.23
Q4 2023$888.5k$265.8k0.30
Q1 2024$491.9k$38.3k0.08

Biggest buyers

MORGAN STANLEY Added +6,483,889+6.5m
LPL Financial LLC Added +943,406+943.4k
BNP PARIBAS FINANCIAL MARKETS Added +449,450+449.4k
Q3 Asset Management New +284,292+284.3k
Cetera Investment Advisers Added +283,025+283.0k
Hennion & Walsh Asset Management, Inc. Added +278,198+278.2k
CIBC WORLD MARKET INC. New +116,000+116.0k
Columbus Macro, LLC New +115,072+115.1k
Private Advisor Group, LLC Added +112,407+112.4k
Orgel Wealth Management, LLC Added +96,209+96.2k

Biggest sellers

Charles Schwab Investment Advisory, Inc. Reduced -2,470,492-2.5m
BANK OF AMERICA CORP /DE/ Reduced -1,162,585-1.2m
TORONTO DOMINION BANK Sold out -826,500-826.5k
RATIONAL ADVISORS, INC. Reduced -690,614-690.6k
OLD MISSION CAPITAL LLC Sold out -401,268-401.3k
Flaharty Asset Management, LLC Reduced -339,733-339.7k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Sold out -216,255-216.3k
Kohmann Bosshard Financial Services, LLC Reduced -171,478-171.5k
AlphaCore Capital LLC Sold out -157,811-157.8k
WELLS FARGO & COMPANY/MN Reduced -127,659-127.7k

Biggest calls

CITADEL ADVISORS LLC Reduced $491.9k24.4k shares

Biggest puts

CITADEL ADVISORS LLC Reduced $38.3k1.9k 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 14,217,20714.2m $286.6m $286.6m 0.01% Added +6.5m +6,483,889
2 LPL Financial LLC 0.06% of their portfolio FORT MILL, SC 5,529,8105.5m $111.5m $111.5m 0.06% Added +943.4k +943,406
3 WELLS FARGO & COMPANY/MN 0.03% of their portfolio SAN FRANCISCO, CA 5,482,0325.5m $110.5m $110.5m 0.03% Reduced -127.7k -127,659
4 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 4,457,6354.5m $89.9m $89.9m 0.01% Reduced -1.2m -1,162,585
5 Global X Japan Co., Ltd. 8.72% of their portfolio CHIYODA-KU, TOKYO, M0 2,098,3502.1m $41.0m $41.0m 8.72% Unchanged
6 Orgel Wealth Management, LLC 1.03% of their portfolio ALTOONA, WI 1,854,4151.9m $37.4m $37.4m 1.03% Added +96.2k +96,209
7 RATIONAL ADVISORS, INC. 2.90% of their portfolio San Juan, PR 1,550,6661.6m $31.3m $31.3m 2.90% Reduced -690.6k -690,614
8 CWM, LLC 0.14% of their portfolio OMAHA, NE 1,407,9461.4m $28.4m $28.4m 0.14% Reduced -8.5k -8,457
9 State of Wisconsin - Board of Commissioners of Public Lands 6.43% of their portfolio MADISON, WI 1,341,3051.3m $27.0m $27.0m 6.43% Unchanged
10 Ratio Wealth Group 4.66% of their portfolio DENVER, CO 1,240,1791.2m $25.0m $25.0m 4.66% Added +67.4k +67,381
11 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 1,051,5521.1m $21.2m $21.2m 0.01% Added +51.0k +51,012
12 Lido Advisors, LLC 0.19% of their portfolio Los Angeles, CA 1,030,9381.0m $20.8m $20.8m 0.19% Added +44.8k +44,769
13 Full Sail Capital, LLC 1.38% of their portfolio OKLAHOMA CITY, OK 982,521982.5k $19.8m $19.8m 1.38% Added +65.7k +65,711
14 ASSETMARK, INC 0.06% of their portfolio CONCORD, CA 963,707963.7k $19.4m $19.4m 0.06% Added +94.9k +94,861
15 Flaharty Asset Management, LLC 2.84% of their portfolio CLEARWATER, FL 948,207948.2k $19.1m $19.1m 2.84% Reduced -339.7k -339,733
16 Creative Planning 0.02% of their portfolio OVERLAND PARK, KS 947,793947.8k $19.1m $19.1m 0.02% Added +92.9k +92,948
17 FUKOKU MUTUAL LIFE INSURANCE Co 1.46% of their portfolio TOKYO, M0 919,000919.0k $18.5m $18.5m 1.46% Unchanged
18 UBS Group AG 0.01% of their portfolio ZURICH, V8 858,077858.1k $17.3m $17.3m 0.01% Added +66.9k +66,924
19 Tiller Private Wealth, Inc. 7.58% of their portfolio BETHLEHEM, PA 841,930841.9k $17.0m $17.0m 7.58% Added +36.0k +35,978
20 Kohmann Bosshard Financial Services, LLC 2.22% of their portfolio FAIRLAWN, OH 791,400791.4k $16.0m $16.0m 2.22% Reduced -171.5k -171,478
21 Hennion & Walsh Asset Management, Inc. 0.85% of their portfolio Parsippany, NJ 784,754784.8k $15.8m $15.8m 0.85% Added +278.2k +278,198
22 ADVISORS MANAGEMENT GROUP INC /ADV 3.49% of their portfolio LA CROSSE, WI 697,833697.8k $14.1m $14.1m 3.49% Added +17.6k +17,615
23 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 679,098679.1k $13.7m $13.7m 0.00% Added +92.1k +92,092
24 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 645,886645.9k $13.0m $13.0m 0.02% Added +4.9k +4,861
25 CONNING INC. 0.38% of their portfolio HARTFORD, CT 580,200580.2k $11.7m $11.7m 0.38% Unchanged
26 Mariner, LLC 0.02% of their portfolio Overland Park, KS 578,040578.0k $11.7m $11.7m 0.02% Reduced -17.2k -17,172
27 BNP PARIBAS FINANCIAL MARKETS 0.01% of their portfolio PARIS, I0 492,734492.7k $9.9m $9.9m 0.01% Added +449.4k +449,450
28 Steward Partners Investment Advisory, LLC 0.10% of their portfolio STAMFORD, CT 450,303450.3k $9.1m $9.1m 0.10% Added +32.8k +32,817
29 Cetera Investment Advisers 0.02% of their portfolio SCHAUMBURG, IL 429,424429.4k $8.7m $8.7m 0.02% Added +283.0k +283,025
30 KWB Wealth 1.14% of their portfolio REDLANDS, CA 420,414420.4k $8.5m $8.5m 1.14% Reduced -11.4k -11,411
31 Mirae Asset Global Investments Co., Ltd. 0.02% of their portfolio SEOUL, M5 400,828400.8k $7.8m $7.8m 0.02% Added +26.4k +26,371
32 Iron Horse Wealth Management, LLC 3.07% of their portfolio JOHSTON, IA 384,916384.9k $7.8m $7.8m 3.07% Added +20.5k +20,504
33 David Kennon Inc 3.19% of their portfolio SARASOTA, FL 369,845369.8k $7.5m $7.5m 3.19% Added +4.1k +4,056
34 Trinity Legacy Partners, LLC 2.10% of their portfolio HOUSTON, TX 355,788355.8k $7.2m $7.2m 2.10% Added +95.4k +95,376
35 AHL INVESTMENT MANAGEMENT, INC. 5.44% of their portfolio Winter Park, FL 352,053352.1k $7.1m $7.1m 5.44% Reduced -1.7k -1,700
36 Collaborative Wealth Managment Inc. 3.50% of their portfolio LAKE MARY, FL 346,537346.5k $7.0m $7.0m 3.50% Added +22.9k +22,869
37 Rockefeller Capital Management L.P. 0.02% of their portfolio NEW YORK, NY 336,663336.7k $6.8m $6.8m 0.02% Added +20.6k +20,568
38 AIRE ADVISORS, LLC 1.46% of their portfolio BEVERLY HILLS, CA 320,956321.0k $6.5m $6.5m 1.46% Reduced -1.0k -1,039
39 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 307,332307.3k $6.2m $6.2m 0.01% Added +27.7k +27,728
40 SEI INVESTMENTS CO 0.01% of their portfolio OAKS, PA 304,068304.1k $6.1m $6.1m 0.01% Added +48.7k +48,742
41 Ameritas Investment Partners, Inc. 0.21% of their portfolio LINCOLN, NE 303,384303.4k $6.1m $6.1m 0.21% Reduced -2.1k -2,102
42 Q3 Asset Management 1.63% of their portfolio BIRMINGHAM, MI 284,292284.3k $5.7m $5.7m 1.63% New
43 Prairiewood Capital, LLC 2.65% of their portfolio FARGO, ND 280,026280.0k $5.6m $5.6m 2.65% Added +21.9k +21,938
44 COLLECTIVE FAMILY OFFICE LLC 1.81% of their portfolio YORK, PA 277,190277.2k $5.6m $5.6m 1.81% Added +23.3k +23,287
45 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 267,072267.1k $5.4m $5.4m 0.01% Reduced -648 -648
46 NAPLES GLOBAL ADVISORS, LLC 0.54% of their portfolio NAPLES, FL 259,557259.6k $5.2m $5.2m 0.54% Added +71.1k +71,123
47 PARK AVENUE SECURITIES LLC 0.06% of their portfolio NEW YORK, NY 240,604240.6k $4.9m $4.9m 0.06% Added +82.8k +82,843
48 Texas Yale Capital Corp. 0.22% of their portfolio ST. PETERSBURG, FL 240,320240.3k $4.8m $4.8m 0.22% Added +15.0k +14,955
49 Sound Income Strategies, LLC 0.35% of their portfolio FT LAUDERDALE, FL 230,209230.2k $4.6m $4.6m 0.35% Added +22.5k +22,513
50 Kestra Advisory Services, LLC 0.03% of their portfolio AUSTIN, TX 220,142220.1k $4.4m $4.4m 0.03% Added +53.1k +53,098
51 Grey Ledge Advisors, LLC 1.17% of their portfolio GUILFORD, CT 205,368205.4k $4.1m $4.1m 1.17% Added +71.8k +71,772
52 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 204,195204.2k $4.1m $4.1m 0.00% Added +13.3k +13,262
53 APPLETON PARTNERS INC/MA 0.32% of their portfolio BOSTON, MA 202,778202.8k $4.1m $4.1m 0.32% Added +6.1k +6,142
54 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 199,086199.1k $4.0m $4.0m 0.01% Reduced -40.1k -40,145
55 Prepared Retirement Institute LLC 2.94% of their portfolio LANSDALE, PA 195,655195.7k $3.9m $3.9m 2.94% Reduced -12.7k -12,674
56 Blue Edge Capital, LLC 0.65% of their portfolio RICHMOND, VA 193,034193.0k $3.9m $3.9m 0.65% Added +1.3k +1,341
57 Leicht Financial Planning & Wealth Management, Inc. 2.07% of their portfolio PARSIPPANY, NJ 187,558187.6k $3.8m $3.8m 2.07% Added +4.0k +4,033
58 SWS Partners 1.13% of their portfolio COLUMBUS, OH 187,123187.1k $3.8m $3.8m 1.13% Reduced -4.4k -4,404
59 GYL Financial Synergies, LLC 0.27% of their portfolio West Hartford, CT 172,460172.5k $3.5m $3.5m 0.27% Added +1.4k +1,360
60 Merit Financial Group, LLC 0.08% of their portfolio ALPHARETTA, GA 171,293171.3k $3.4m $3.4m 0.08% Added +47.4k +47,397
61 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 169,857169.9k $3.4m $3.4m 0.02% Added +112.4k +112,407
62 Stratos Wealth Partners, LTD. 0.05% of their portfolio BEACHWOOD, OH 141,308141.3k $2.8m $2.8m 0.05% Added +5.7k +5,695
63 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 139,459139.5k $2.8m $2.8m 0.01% Added +50.7k +50,674
64 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 121,161121.2k $2.4m $2.4m 0.01% Added +47.4k +47,384
65 CIBC WORLD MARKETS CORP 0.02% of their portfolio NEW YORK, NY 117,863117.9k $2.4m $2.4m 0.02% Added +90.5k +90,550
66 Gerber Kawasaki Wealth & Investment Management 0.13% of their portfolio SANTA MONICA, CA 116,201116.2k $2.3m $2.3m 0.13% Added +8.6k +8,627
67 CIBC WORLD MARKET INC. 0.01% of their portfolio TORONTO, A6 116,000116.0k $2.3m $2.3m 0.01% New
68 Columbus Macro, LLC 0.88% of their portfolio NEW CASTLE, PA 115,072115.1k $2.3m $2.3m 0.88% New
69 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 113,892113.9k $2.3m $2.3m 0.00% Added +3.2k +3,224
70 CreativeOne Wealth, LLC 0.09% of their portfolio OVERLAND PARK, KS 108,981109.0k $2.2m $2.2m 0.09% Added +6.4k +6,357
71 EAGLE HARBOR ASSET MANAGEMENT INC /ADV 2.22% of their portfolio SEATTLE, WA 104,035104.0k $2.1m $2.1m 2.22% Added +10.2k +10,237
72 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 90,83190.8k $1.8m $1.8m 0.00% Reduced -14.5k -14,467
73 Cyndeo Wealth Partners, LLC 0.15% of their portfolio ST. PETERSBURG, FL 88,43988.4k $1.8m $1.8m 0.15% Added +77.9k +77,929
74 DUNCKER STREETT & CO INC 0.33% of their portfolio St. Louis, MO 83,32883.3k $1.7m $1.7m 0.33% Reduced -5.4k -5,406
75 PLIMOTH TRUST CO LLC 0.42% of their portfolio SWANSEA, MA 77,66277.7k $1.6m $1.6m 0.42% Reduced -369 -369
76 Investors Research Corp 0.36% of their portfolio ATLANTA, GA 77,18777.2k $1.6m $1.6m 0.36% Reduced -2.2k -2,245
77 Fifth Third Securities, Inc. 0.15% of their portfolio Cincinnati, OH 77,08377.1k $1.6m $1.6m 0.15% Added +25.9k +25,948
78 FF Advisors,LLC 1.05% of their portfolio MANHATTAN BEACH, CA 75,65375.7k $1.5m $1.5m 1.05% Added +21.8k +21,788
79 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 73,66373.7k $1.5m $1.5m 0.00% Added +1.4k +1,366
80 Perissos Private Wealth Management, LLC 1.32% of their portfolio BETHANY, OK 72,37672.4k $1.5m $1.5m 1.32% First filing
81 Mutual Advisors, LLC 0.04% of their portfolio OMAHA, NE 67,62967.6k $1.4m $1.4m 0.04% Added +13.1k +13,070
82 RHS Financial, LLC 0.76% of their portfolio SAN FRANCISCO, CA 65,12565.1k $1.3m $1.3m 0.76% New
83 Apollon Wealth Management, LLC 0.04% of their portfolio MOUNT PLEASANT, SC 63,33763.3k $1.3m $1.3m 0.04% Added +18.1k +18,104
84 PRUDENTIAL FINANCIAL INC 0.00% of their portfolio NEWARK, NJ 62,72162.7k $1.3m $1.3m 0.00% Added +11.9k +11,912
85 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 61,93561.9k $1.2m $1.2m 0.00% Added +42.2k +42,167
86 GREAT VALLEY ADVISOR GROUP, INC. 0.04% of their portfolio WILMINGTON, DE 61,01461.0k $1.2m $1.2m 0.04% New
87 Waverly Advisors, LLC 0.03% of their portfolio BIRMINGHAM, AL 60,95061.0k $1.2m $1.2m 0.03% New
88 FLAGSHIP HARBOR ADVISORS, LLC 0.08% of their portfolio BOSTON, MA 60,69160.7k $1.2m $1.2m 0.08% Added +1.9k +1,866
89 Advisors Capital Management, LLC 0.02% of their portfolio RIDGEWOOD, NJ 59,11359.1k $1.2m $1.2m 0.02% Added +3.1k +3,119
90 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 58,05458.1k $1.2m $1.2m 0.01% Added +48.2k +48,218
91 Unison Advisors LLC 0.11% of their portfolio PROVIDENCE, RI 53,72153.7k $1.1m $1.1m 0.11% Added +3.0k +2,974
92 Rockport Wealth LLC 0.72% of their portfolio Fairview Park, OH 53,00153.0k $1.1m $1.1m 0.72% First filing
93 Fortis Capital Management LLC 0.26% of their portfolio BELLEVUE, WA 49,98150.0k $1.0m $1.0m 0.26% Reduced -3.1k -3,094
94 TrueWealth Advisors, LLC 0.38% of their portfolio BIRMINGHAM, AL 49,41649.4k $996.2k $996.2k 0.38% Reduced -16.8k -16,836
95 Accel Wealth Management 0.42% of their portfolio WAVERLY, IA 49,12349.1k $990.3k $990.3k 0.42% Reduced -836 -836
96 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 48,85448.9k $984.9k $984.9k 0.01% Added +10.4k +10,366
97 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 45,66545.7k $920.6k $920.6k 0.01% Reduced -8.4k -8,388
98 Delta Wealth Advisors LLC 0.92% of their portfolio INDIANAPOLIS, IN 44,20044.2k $891.1k $891.1k 0.92% First filing
99 Triumph Capital Management 0.36% of their portfolio DENVER, CO 43,49243.5k $878.5k $878.5k 0.36% Added +29.1k +29,134
100 Western Wealth Management, LLC 0.06% of their portfolio GOLDEN, CO 41,02841.0k $827.1k $827.1k 0.06% New