Vault-13

GLOBAL X FDS PFFD

US PFD ETF · ETP · CUSIP 37954Y657

272 institutional holders +9 vs Q2 2024
60,069,18360.1m shares reported held*
$1.2bnreported value*
28 new 126 added 78 reduced 16 sold out net bought ≈ $61.3m (+3.0m 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 ($419.2k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $20.78. Options: 1 managers hold calls ($43.6k notional), 1 hold puts ($37.4k).

Trends to Q3 2024

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 210Q4 22: 223Q1 23: 230Q2 23: 226Q3 23: 241Q4 23: 268Q1 24: 256Q2 24: 263Q3 24: 272272Q3 22Q1 23Q3 23Q1 24Q3 24
Numbers
QuarterHolders
Q3 2022210
Q4 2022223
Q1 2023230
Q2 2023226
Q3 2023241
Q4 2023268
Q1 2024256
Q2 2024263
Q3 2024272

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 outQ1 23: 137 bought or addedQ1 23: 93 cut or sold outQ1 23Q2 23: 124 bought or addedQ2 23: 102 cut or sold outQ3 23: 123 bought or addedQ3 23: 94 cut or sold outQ3 23Q4 23: 118 bought or addedQ4 23: 123 cut or sold outQ1 24: 138 bought or addedQ1 24: 115 cut or sold outQ1 24Q2 24: 138 bought or addedQ2 24: 102 cut or sold outQ3 24: 154 bought or addedQ3 24: 94 cut or sold outQ3 24
Numbers
QuarterBought or addedCut or sold out
Q4 202211899
Q1 202313793
Q2 2023124102
Q3 202312394
Q4 2023118123
Q1 2024138115
Q2 2024138102
Q3 202415494

Calls vs puts

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

CallsPuts
$0$250k$500k$750k$1mQ4 23 calls: $888.5kQ4 23 puts: $265.8kQ4 23P/C 0.30Q1 24 calls: $491.9kQ1 24 puts: $38.3kQ1 24P/C 0.08Q2 24 calls: $403.4kQ2 24 puts: $25.6kQ2 24P/C 0.06Q3 24 calls: $43.6kQ3 24 puts: $37.4kQ3 24P/C 0.86
Numbers
QuarterCallsPutsP/C
Q4 2023$888.5k$265.8k0.30
Q1 2024$491.9k$38.3k0.08
Q2 2024$403.4k$25.6k0.06
Q3 2024$43.6k$37.4k0.86

Biggest buyers

LPL Financial LLC Added +950,535+950.5k
Ocean Park Asset Management, LLC Added +472,500+472.5k
AMERIPRISE FINANCIAL INC Added +358,848+358.8k
Robertson Stephens Wealth Management, LLC New +339,172+339.2k
Modern Wealth Management, LLC New +320,757+320.8k
Global X Japan Co., Ltd. Added +271,468+271.5k
WealthTrust Axiom LLC New +261,018+261.0k
Orgel Wealth Management, LLC Added +195,514+195.5k
BANK OF AMERICA CORP /DE/ Added +162,168+162.2k
Hennion & Walsh Asset Management, Inc. Added +140,769+140.8k

Biggest sellers

ING GROEP NV Sold out -337,600-337.6k
RATIONAL ADVISORS, INC. Reduced -271,767-271.8k
UBS Group AG Reduced -256,381-256.4k
MORGAN STANLEY Reduced -188,525-188.5k
BNP PARIBAS FINANCIAL MARKETS Reduced -120,744-120.7k
ROYAL BANK OF CANADA Reduced -101,532-101.5k
WELLS FARGO & COMPANY/MN Reduced -90,670-90.7k
Kohmann Bosshard Financial Services, LLC Reduced -68,481-68.5k
AHL INVESTMENT MANAGEMENT, INC. Reduced -59,221-59.2k
Triumph Capital Management Reduced -39,579-39.6k

Biggest calls

CITADEL ADVISORS LLC Reduced $43.6k2.1k shares

Biggest puts

CITADEL ADVISORS LLC Added $37.4k1.8k 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, Q3 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.07% of their portfolio FORT MILL, SC 7,139,5937.1m $148.4m $148.4m 0.07% Added +950.5k +950,535
2 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 5,372,8335.4m $111.6m $111.6m 0.01% Added +162.2k +162,168
3 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 4,615,5784.6m $95.9m $95.9m 0.01% Reduced -188.5k -188,525
4 Global X Japan Co., Ltd. 7.17% of their portfolio CHIYODA-KU, TOKYO, M0 2,699,4982.7m $56.1m $56.1m 7.17% Added +271.5k +271,468
5 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 2,455,0182.5m $51.0m $51.0m 0.01% Reduced -90.7k -90,670
6 Orgel Wealth Management, LLC 1.16% of their portfolio ALTOONA, WI 2,233,2362.2m $46.4m $46.4m 1.16% Added +195.5k +195,514
7 State of Wisconsin - Board of Commissioners of Public Lands 17.04% of their portfolio MADISON, WI 1,341,3051.3m $27.9m $27.9m 17.04% Unchanged
8 CWM, LLC 0.12% of their portfolio OMAHA, NE 1,302,3631.3m $27.1m $27.1m 0.12% Reduced -27.7k -27,715
9 RATIONAL ADVISORS, INC. 2.43% of their portfolio San Juan, PR 1,214,4851.2m $25.2m $25.2m 2.43% Reduced -271.8k -271,767
10 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 1,202,2981.2m $25.0m $25.0m 0.01% Added +22.3k +22,284
11 Hennion & Walsh Asset Management, Inc. 1.16% of their portfolio Parsippany, NJ 1,192,0821.2m $24.8m $24.8m 1.16% Added +140.8k +140,769
12 Full Sail Capital, LLC 1.44% of their portfolio OKLAHOMA CITY, OK 1,080,9961.1m $22.5m $22.5m 1.44% Added +21.2k +21,208
13 Lido Advisors, LLC 0.16% of their portfolio Los Angeles, CA 1,050,3191.1m $21.8m $21.8m 0.16% Added +68.6k +68,643
14 ADVISORS MANAGEMENT GROUP INC /ADV 4.94% of their portfolio LA CROSSE, WI 1,005,7901.0m $20.9m $20.9m 4.94% Added +20.3k +20,268
15 Ocean Park Asset Management, LLC 0.89% of their portfolio SANTA MONICA, CA 978,700978.7k $20.3m $20.3m 0.89% Added +472.5k +472,500
16 Creative Planning 0.02% of their portfolio OVERLAND PARK, KS 945,370945.4k $19.6m $19.6m 0.02% Added +13.1k +13,055
17 Flaharty Asset Management, LLC 2.71% of their portfolio CLEARWATER, FL 927,091927.1k $19.3m $19.3m 2.71% Reduced -27.1k -27,056
18 FUKOKU MUTUAL LIFE INSURANCE Co 1.36% of their portfolio TOKYO, M0 919,000919.0k $19.1m $19.1m 1.36% Unchanged
19 Tiller Private Wealth, Inc. 7.71% of their portfolio BETHLEHEM, PA 895,102895.1k $18.6m $18.6m 7.71% Added +24.2k +24,170
20 ASSETMARK, INC 0.05% of their portfolio CONCORD, CA 819,402819.4k $17.0m $17.0m 0.05% Reduced -28.9k -28,901
21 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 736,177736.2k $15.3m $15.3m 0.02% Added +64.1k +64,053
22 BNP PARIBAS FINANCIAL MARKETS 0.01% of their portfolio PARIS, I0 705,174705.2k $14.7m $14.7m 0.01% Reduced -120.7k -120,744
23 Cetera Investment Advisers 0.03% of their portfolio SCHAUMBURG, IL 660,737660.7k $13.7m $13.7m 0.03% Added +101.5k +101,515
24 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 651,415651.4k $13.5m $13.5m 0.00% Reduced -101.5k -101,532
25 UBS Group AG 0.00% of their portfolio ZURICH, V8 638,116638.1k $13.3m $13.3m 0.00% Reduced -256.4k -256,381
26 CONNING INC. 0.40% of their portfolio HARTFORD, CT 580,200580.2k $12.1m $12.1m 0.40% Unchanged
27 Steward Partners Investment Advisory, LLC 0.11% of their portfolio STAMFORD, CT 550,458550.5k $11.4m $11.4m 0.11% Added +15.4k +15,360
28 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 495,197495.2k $10.3m $10.3m 0.00% Added +358.8k +358,848
29 Iron Horse Wealth Management, LLC 3.02% of their portfolio JOHSTON, IA 425,094425.1k $8.8m $8.8m 3.02% Added +23.4k +23,407
30 KWB Wealth 1.08% of their portfolio REDLANDS, CA 421,647421.6k $8.3m $8.3m 1.08% Added +10.3k +10,254
31 SEI INVESTMENTS CO 0.01% of their portfolio OAKS, PA 402,863402.9k $8.4m $8.4m 0.01% Added +41.1k +41,101
32 Collaborative Wealth Managment Inc. 3.72% of their portfolio LAKE MARY, FL 396,047396.0k $8.2m $8.2m 3.72% Added +12.8k +12,847
33 Trinity Legacy Partners, LLC 2.11% of their portfolio HOUSTON, TX 394,212394.2k $8.2m $8.2m 2.11% Added +30.6k +30,575
34 COLLECTIVE FAMILY OFFICE LLC 2.19% of their portfolio YORK, PA 387,489387.5k $8.1m $8.1m 2.19% Added +19.2k +19,169
35 David Kennon Inc 3.15% of their portfolio SARASOTA, FL 384,708384.7k $8.0m $8.0m 3.15% Added +7.6k +7,573
36 Rockefeller Capital Management L.P. 0.02% of their portfolio NEW YORK, NY 359,174359.2k $7.5m $7.5m 0.02% Added +12.0k +12,032
37 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 357,275357.3k $7.4m $7.4m 0.01% Added +28.3k +28,265
38 NAPLES GLOBAL ADVISORS, LLC 0.67% of their portfolio NAPLES, FL 345,250345.2k $7.2m $7.2m 0.67% Added +38.6k +38,615
39 Robertson Stephens Wealth Management, LLC 0.26% of their portfolio San Francisco, CA 339,172339.2k $7.0m $7.0m 0.26% New
40 MIRAE ASSET GLOBAL ETFS HOLDINGS Ltd. 0.02% of their portfolio CAUSEWAY BAY, K3 334,942334.9k $7.0m $7.0m 0.02% Reduced -13.9k -13,852
41 Modern Wealth Management, LLC 0.41% of their portfolio KANSAS CITY, MO 320,757320.8k $6.7m $6.7m 0.41% New
42 AHL INVESTMENT MANAGEMENT, INC. 4.44% of their portfolio Winter Park, FL 309,597309.6k $6.4m $6.4m 4.44% Reduced -59.2k -59,221
43 PARK AVENUE SECURITIES LLC 0.07% of their portfolio NEW YORK, NY 307,260307.3k $6.4m $6.4m 0.07% Added +4.6k +4,640
44 AIRE ADVISORS, LLC 1.36% of their portfolio BEVERLY HILLS, CA 296,719296.7k $6.2m $6.2m 1.36% Reduced -21.1k -21,106
45 GYL Financial Synergies, LLC 0.46% of their portfolio West Hartford, CT 293,155293.2k $6.1m $6.1m 0.46% Added +6.3k +6,261
46 Prairiewood Capital, LLC 2.55% of their portfolio FARGO, ND 289,426289.4k $6.0m $6.0m 2.55% Added +3.3k +3,311
47 Private Advisor Group, LLC 0.03% of their portfolio MORRISTOWN, NJ 271,056271.1k $5.6m $5.6m 0.03% Added +26.6k +26,613
48 WealthTrust Axiom LLC 1.61% of their portfolio WAYNE, PA 261,018261.0k $5.4m $5.4m 1.61% New
49 Sound Income Strategies, LLC 0.34% of their portfolio FT LAUDERDALE, FL 256,455256.5k $5.3m $5.3m 0.34% Added +9.8k +9,846
50 Kestra Advisory Services, LLC 0.03% of their portfolio AUSTIN, TX 254,461254.5k $5.3m $5.3m 0.03% Reduced -4.7k -4,744
51 Texas Yale Capital Corp. 0.23% of their portfolio ST. PETERSBURG, FL 253,219253.2k $5.3m $5.3m 0.23% Added +9.6k +9,596
52 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 231,053231.1k $4.8m $4.8m 0.01% Reduced -34.9k -34,867
53 Grey Ledge Advisors, LLC 1.22% of their portfolio GUILFORD, CT 229,288229.3k $4.8m $4.8m 1.22% Added +12.3k +12,283
54 Mariner, LLC 0.01% of their portfolio Overland Park, KS 228,871228.9k $4.8m $4.8m 0.01% Added +16.8k +16,825
55 MML INVESTORS SERVICES, LLC 0.02% of their portfolio SPRINGFIELD, MA 215,611215.6k $4.5m $4.5m 0.02% Added +39.6k +39,636
56 New York Life Investment Management LLC 0.04% of their portfolio New York, NY 209,634209.6k $4.4m $4.4m 0.04% Added +28.7k +28,714
57 APPLETON PARTNERS INC/MA 0.32% of their portfolio BOSTON, MA 207,967208.0k $4.3m $4.3m 0.32% Added +2.9k +2,898
58 Leicht Financial Planning & Wealth Management, Inc. 2.10% of their portfolio PARSIPPANY, NJ 200,712200.7k $4.2m $4.2m 2.10% Added +1.9k +1,891
59 Blue Edge Capital, LLC 0.65% of their portfolio RICHMOND, VA 200,491200.5k $4.2m $4.2m 0.65% Added +2.5k +2,520
60 Prepared Retirement Institute LLC 2.49% of their portfolio LANSDALE, PA 197,580197.6k $4.1m $4.1m 2.49% Added +4.8k +4,791
61 SWS Partners 1.19% of their portfolio COLUMBUS, OH 180,133180.1k $3.7m $3.7m 1.19% Reduced -10.8k -10,822
62 Merit Financial Group, LLC 0.08% of their portfolio ALPHARETTA, GA 180,100180.1k $3.7m $3.7m 0.08% Added +5.9k +5,887
63 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 157,349157.3k $3.3m $3.3m 0.01% Added +10.6k +10,618
64 EAGLE HARBOR ASSET MANAGEMENT INC /ADV 3.23% of their portfolio SEATTLE, WA 156,668156.7k $3.3m $3.3m 3.23% Added +15.9k +15,863
65 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 146,410146.4k $3.0m $3.0m 0.00% Added +132.3k +132,291
66 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 129,806129.8k $2.7m $2.7m 0.01% Added +7.8k +7,819
67 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 122,274122.3k $2.5m $2.5m 0.00% Reduced -22.3k -22,327
68 Stratos Wealth Partners, LTD. 0.04% of their portfolio BEACHWOOD, OH 121,870121.9k $2.5m $2.5m 0.04% Reduced -12.3k -12,270
69 Gerber Kawasaki Wealth & Investment Management 0.11% of their portfolio SANTA MONICA, CA 113,974114.0k $2.4m $2.4m 0.11% Added +5.8k +5,761
70 Columbus Macro, LLC 0.85% of their portfolio NEW CASTLE, PA 111,911111.9k $2.3m $2.3m 0.85% Reduced -2.1k -2,086
71 RHS Financial, LLC 1.07% of their portfolio SAN FRANCISCO, CA 101,958102.0k $2.1m $2.1m 1.07% Added +38.2k +38,224
72 Cyndeo Wealth Partners, LLC 0.14% of their portfolio ST. PETERSBURG, FL 98,43998.4k $2.0m $2.0m 0.14% Added +10.0k +10,000
73 CreativeOne Wealth, LLC 0.07% of their portfolio OVERLAND PARK, KS 95,41995.4k $2.0m $2.0m 0.07% Reduced -5.9k -5,897
74 Fifth Third Securities, Inc. 0.18% of their portfolio Cincinnati, OH 91,87691.9k $1.9m $1.9m 0.18% Added +9.1k +9,095
75 Gladstone Institutional Advisory LLC 0.09% of their portfolio Bedminster, NJ 88,84288.8k $1.8m $1.8m 0.09% Added +78.0k +77,991
76 CIBC WORLD MARKETS CORP 0.01% of their portfolio NEW YORK, NY 87,36387.4k $1.8m $1.8m 0.01% Reduced -34.6k -34,575
77 CIBC WORLD MARKET INC. 0.00% of their portfolio TORONTO, A6 87,00087.0k $1.8m $1.8m 0.00% Reduced -29.0k -29,000
78 Perissos Private Wealth Management, LLC 1.42% of their portfolio BETHANY, OK 85,20785.2k $1.8m $1.8m 1.42% Reduced -8.5k -8,481
79 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 82,62482.6k $1.7m $1.7m 0.00% Reduced -2.8k -2,804
80 FF Advisors,LLC 1.12% of their portfolio MANHATTAN BEACH, CA 82,20182.2k $1.7m $1.7m 1.12% Added +4.1k +4,136
81 DUNCKER STREETT & CO INC 0.31% of their portfolio St. Louis, MO 80,79780.8k $1.7m $1.7m 0.31% Reduced -2.1k -2,081
82 Investors Research Corp 0.35% of their portfolio ATLANTA, GA 77,05777.1k $1.6m $1.6m 0.35% Reduced -18 -18
83 Kohmann Bosshard Financial Services, LLC 0.19% of their portfolio FAIRLAWN, OH 75,50075.5k $1.6m $1.6m 0.19% Reduced -68.5k -68,481
84 PLIMOTH TRUST CO LLC 0.38% of their portfolio SWANSEA, MA 71,91271.9k $1.5m $1.5m 0.38% Reduced -2.2k -2,213
85 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 71,87071.9k $1.5m $1.5m 0.00% Reduced -12.9k -12,884
86 Mutual Advisors, LLC 0.04% of their portfolio OMAHA, NE 71,35871.4k $1.5m $1.5m 0.04% Added +1.8k +1,759
87 GREAT VALLEY ADVISOR GROUP, INC. 0.04% of their portfolio WILMINGTON, DE 70,15670.2k $1.5m $1.5m 0.04% Added +4.7k +4,657
88 PRINCIPAL SECURITIES, INC. 0.03% of their portfolio DES MOINES, IA 68,96469.0k $1.4m $1.4m 0.03% Added +3.8k +3,837
89 Waverly Advisors, LLC 0.03% of their portfolio BIRMINGHAM, AL 67,72267.7k $1.4m $1.4m 0.03% Added +293 +293
90 Apollon Wealth Management, LLC 0.04% of their portfolio MOUNT PLEASANT, SC 66,83266.8k $1.4m $1.4m 0.04% Reduced -517 -517
91 Advisors Capital Management, LLC 0.02% of their portfolio RIDGEWOOD, NJ 66,14466.1k $1.4m $1.4m 0.02% Added +707 +707
92 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 66,12866.1k $1.4m $1.4m 0.01% Added +14.4k +14,400
93 PRUDENTIAL FINANCIAL INC 0.00% of their portfolio NEWARK, NJ 65,01165.0k $1.4m $1.4m 0.00% Reduced -4.5k -4,469
94 FLAGSHIP HARBOR ADVISORS, LLC 0.07% of their portfolio BOSTON, MA 64,85964.9k $1.3m $1.3m 0.07% Reduced -1.4k -1,415
95 Rockport Wealth LLC 0.36% of their portfolio Fairview Park, OH 64,69364.7k $1.3m $1.3m 0.36% Added +10.9k +10,858
96 Leslie Global Wealth, LLC 0.65% of their portfolio Itasca, IL 64,28464.3k $1.3m $1.3m 0.65% Added +2.4k +2,447
97 Focus Financial Network, Inc. 0.05% of their portfolio MINNEAPOLIS, MN 64,23564.2k $1.3m $1.3m 0.05% Added +2.0k +1,959
98 Unison Advisors LLC 0.15% of their portfolio PROVIDENCE, RI 59,61959.6k $1.2m $1.2m 0.15% Added +1.9k +1,904
99 Accel Wealth Management 0.38% of their portfolio WAVERLY, IA 48,53148.5k $1.0m $1.0m 0.38% Added +6.3k +6,336
100 TrueWealth Advisors, LLC 0.33% of their portfolio BIRMINGHAM, AL 47,58847.6k $988.9k $988.9k 0.33% Added +34 +34