Vault-13

GLOBAL X FDS LIT

LITHIUM BTRY ETF · ETP · CUSIP 37954Y855

406 institutional holders -8 vs Q4 2022
10,891,66010.9m shares reported held*
$686.8mreported value*
40 new 120 added 143 reduced 41 sold out net sold ≈ $48.4m (-865.6k 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 ≈ $63.06. Options: 10 managers hold calls ($39.2m notional), 9 hold puts ($24.1m).

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 429Q4 22: 414Q1 23: 406406Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022429
Q4 2022414
Q1 2023406

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q4 22: 135 bought or addedQ4 22: 212 cut or sold outQ4 22Q1 23: 160 bought or addedQ1 23: 184 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022135212
Q1 2023160184

Calls vs puts

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

CallsPuts
$0$20m$40m$60mQ3 22 calls: $35.8mQ3 22 puts: $45.7mQ3 22P/C 1.28Q4 22 calls: $34.9mQ4 22 puts: $46.1mQ4 22P/C 1.32Q1 23 calls: $39.2mQ1 23 puts: $24.1mQ1 23P/C 0.62
Numbers
QuarterCallsPutsP/C
Q3 2022$35.8m$45.7m1.28
Q4 2022$34.9m$46.1m1.32
Q1 2023$39.2m$24.1m0.62

Biggest buyers

UBS Group AG Added +89,449+89.4k
CX Institutional Added +88,327+88.3k
CITADEL ADVISORS LLC New +64,216+64.2k
MONEY CONCEPTS CAPITAL CORP Added +41,571+41.6k
JPMORGAN CHASE & CO Added +38,839+38.8k
NATIONAL BANK OF CANADA /FI/ Added +31,489+31.5k
NOMURA ASSET MANAGEMENT CO LTD Added +26,200+26.2k
CONSOLIDATED CAPITAL MANAGEMENT, LLC Added +21,655+21.7k
Canal Insurance CO Added +20,000+20.0k
Walleye Trading LLC Added +16,107+16.1k

Biggest sellers

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -247,983-248.0k
MORGAN STANLEY Reduced -122,444-122.4k
HBW ADVISORY SERVICES LLC Reduced -111,151-111.2k
OLD MISSION CAPITAL LLC Sold out -98,108-98.1k
JANE STREET GROUP, LLC Reduced -60,091-60.1k
Mirae Asset Global Investments Co., Ltd. Reduced -57,476-57.5k
PRUDENTIAL PLC Reduced -56,260-56.3k
ROYAL BANK OF CANADA Reduced -49,299-49.3k
PEAK6 Investments LLC Reduced -48,356-48.4k
WELLS FARGO & COMPANY/MN Reduced -47,320-47.3k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $17.6m276.6k shares
CITADEL ADVISORS LLC Reduced $12.4m194.6k shares
WOLVERINE TRADING, LLC New $3.6m56.9k shares
UBS Group AG New $2.8m44.6k shares
CAPITAL FUND MANAGEMENT S.A. Reduced $1.1m16.7k shares
Walleye Trading LLC Added $946.9k14.9k shares
MILLENNIUM MANAGEMENT LLC New $604.0k9.5k shares
PEAK6 Investments LLC Reduced $108.0k1.7k shares
Cutler Group LLC / CA Added $37.0k18.7k shares
SteelPeak Wealth, LLC New $31.8k500 shares

Biggest puts

CITADEL ADVISORS LLC Added $11.4m179.9k shares
UBS Group AG New $5.2m81.1k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $3.8m59.9k shares
WOLVERINE TRADING, LLC New $1.3m20.1k shares
PEAK6 Investments LLC Reduced $1.2m19.2k shares
MILLENNIUM MANAGEMENT LLC New $686.0k10.8k shares
Walleye Trading LLC Unchanged $514.8k8.1k shares
WELLS FARGO & COMPANY/MN New $19.1k300 shares
Cutler Group LLC / CA Added $6.0k2.5k 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 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.05% of their portfolio FORT MILL, SC 970,549970.5k $61.7m $61.7m 0.05% Reduced -9.7k -9,727
2 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 951,026951.0k $60.4m $60.4m 0.01% Reduced -122.4k -122,444
3 Mirae Asset Global Investments Co., Ltd. 0.10% of their portfolio SEOUL, M5 673,426673.4k $42.8m $42.8m 0.10% Reduced -57.5k -57,476
4 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 666,271666.3k $42.3m $42.3m 0.00% Reduced -30.7k -30,683
5 UBS Group AG 0.01% of their portfolio ZURICH, V8 485,115485.1k $30.8m $30.8m 0.01% Added +89.4k +89,449
6 PNC Financial Services Group, Inc. 0.02% of their portfolio Pittsburgh, PA 426,394426.4k $27.1m $27.1m 0.02% Reduced -23.7k -23,744
7 Gerber Kawasaki Wealth & Investment Management 2.04% of their portfolio SANTA MONICA, CA 406,441406.4k $25.8m $25.8m 2.04% Reduced -8.6k -8,560
8 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 329,954330.0k $21.0m $21.0m 0.01% Reduced -47.3k -47,320
9 PRUDENTIAL PLC 0.17% of their portfolio LONDON, X0 228,800228.8k $14.5m $14.5m 0.17% Reduced -56.3k -56,260
10 COMMONWEALTH EQUITY SERVICES, LLC 0.03% of their portfolio WALTHAM, MA 221,059221.1k $14.0m $14.0m 0.03% Reduced -10.2k -10,176
11 OSAIC HOLDINGS, INC. 0.03% of their portfolio SCOTTSDALE, AZ 219,242219.2k $13.9m $13.9m 0.03% Reduced -15.4k -15,430
12 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 211,425211.4k $13.4m $13.4m 0.01% Added +8.2k +8,151
13 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 201,270201.3k $12.8m $12.8m 0.00% Reduced -49.3k -49,299
14 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 155,853155.9k $9.9m $9.9m 0.01% Reduced -45.2k -45,186
15 Private Advisor Group, LLC 0.08% of their portfolio MORRISTOWN, NJ 125,835125.8k $8.0m $8.0m 0.08% Reduced -29.9k -29,876
16 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 110,059110.1k $7.0m $7.0m 0.00% Added +38.8k +38,839
17 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 106,814106.8k $6.8m $6.8m 0.03% Reduced -6.1k -6,085
18 MFA WEALTH ADVISORS, LLC 2.15% of their portfolio PITTSBURGH, PA 102,837102.8k $6.5m $6.5m 2.15% Added +9.4k +9,380
19 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 102,274102.3k $6.5m $6.5m 0.01% Added +7.5k +7,527
20 Money Design Co.,Ltd. 0.38% of their portfolio TOKYO, M0 100,290100.3k $6.4m $6.4m 0.38% Reduced -802 -802
21 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 99,80999.8k $6.3m $6.3m 0.01% Reduced -4.5k -4,486
22 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.01% of their portfolio BALA CYNWYD, PA 96,70496.7k $6.1m $6.1m 0.01% Reduced -248.0k -247,983
23 Destination Wealth Management 0.23% of their portfolio Walnut Creek, CA 94,55194.6k $6.0m $6.0m 0.23% Reduced -20.5k -20,519
24 CITIGROUP INC 0.01% of their portfolio NEW YORK, NY 92,01092.0k $5.8m $5.8m 0.01% Added +4.2k +4,169
25 CX Institutional 0.31% of their portfolio AUBURN, IN 91,79891.8k $5.8m $5.8m 0.31% Added +88.3k +88,327
26 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 90,82990.8k $5.8m $5.8m 0.01% Reduced -1.8k -1,840
27 Cetera Advisors LLC 0.09% of their portfolio DENVER, CO 84,43784.4k $5.4m $5.4m 0.09% Reduced -3.7k -3,683
28 Longbow Finance SA 0.64% of their portfolio LUTRY, V8 80,00080.0k $5.1m $5.1m 0.64% Unchanged
29 CONSOLIDATED CAPITAL MANAGEMENT, LLC 2.63% of their portfolio BURBANK, CA 76,83176.8k $4.9m $4.9m 2.63% Added +21.7k +21,655
30 Cavalier Investments, LLC 2.12% of their portfolio ALPHARETTA, GA 76,80076.8k $4.9m $4.9m 2.12% Added +4.5k +4,482
31 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 75,58375.6k $4.8m $4.8m 0.01% Added +1.1k +1,085
32 ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLC 2.47% of their portfolio New Cumberland, PA 74,52474.5k $4.7m $4.7m 2.47% Reduced -4.0k -3,964
33 Cetera Advisor Networks LLC 0.03% of their portfolio EL SEGUNDO, CA 74,44874.4k $4.7m $4.7m 0.03% Reduced -18.2k -18,185
34 JANE STREET GROUP, LLC 0.01% of their portfolio NEW YORK, NY 71,39871.4k $4.5m $4.5m 0.01% Reduced -60.1k -60,091
35 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 64,21664.2k $4.1m $4.1m 0.00% New
36 Susquehanna International Group Ltd. 2.31% of their portfolio DUBLIN, L2 64,00064.0k $4.1m $4.1m 2.31% Reduced -1.1k -1,109
37 MML INVESTORS SERVICES, LLC 0.03% of their portfolio SPRINGFIELD, MA 58,59158.6k $3.7m $3.7m 0.03% Reduced -4.2k -4,247
38 NOMURA ASSET MANAGEMENT CO LTD 0.02% of their portfolio TOKYO, M0 58,10058.1k $3.7m $3.7m 0.02% Added +26.2k +26,200
39 Harel Insurance Investments & Financial Services Ltd. 0.07% of their portfolio Ramat Gan, L3 54,00054.0k $3.4m $3.4m 0.07% Unchanged
40 Cetera Investment Advisers 0.03% of their portfolio SCHAUMBURG, IL 52,67452.7k $3.3m $3.3m 0.03% Reduced -4.9k -4,926
41 Atria Wealth Solutions, Inc. 0.05% of their portfolio NEW YORK, NY 52,11852.1k $3.3m $3.3m 0.05% Added +559 +559
42 MONEY CONCEPTS CAPITAL CORP 0.03% of their portfolio PALM BEACH GARDENS, FL 51,63651.6k $556.5k $556.5k 0.03% Added +41.6k +41,571
43 Yarbrough Capital, LLC 0.25% of their portfolio FRANKLIN, TN 47,99948.0k $3.1m $3.1m 0.25% Unchanged
44 J.P. Morgan Private Wealth Advisors LLC 0.01% of their portfolio SAN FRANCISCO, CA 43,99944.0k $2.8m $2.8m 0.01% Reduced -15.9k -15,896
45 NATIONAL BANK OF CANADA /FI/ 0.01% of their portfolio MONTREAL, A8 43,53943.5k $2.8m $2.8m 0.01% Added +31.5k +31,489
46 Integrated Wealth Concepts LLC 0.06% of their portfolio WALTHAM, MA 43,37043.4k $2.8m $2.8m 0.06% Added +10.2k +10,201
47 Kestra Advisory Services, LLC 0.03% of their portfolio AUSTIN, TX 43,04643.0k $2.7m $2.7m 0.03% Added +1.7k +1,677
48 JUNCTURE WEALTH STRATEGIES, LLC 1.31% of their portfolio SCOTTSDALE, AZ 41,72441.7k $2.7m $2.7m 1.31% Added +12.4k +12,432
49 Ballentine Partners, LLC 0.06% of their portfolio Waltham, MA 39,95540.0k $2.5m $2.5m 0.06% Added +155 +155
50 Wealthfront Advisers LLC 0.01% of their portfolio Palo Alto, CA 39,90039.9k $2.5m $2.5m 0.01% Added +54 +54
51 Destiny Wealth Partners, LLC 0.51% of their portfolio TAVARES, FL 39,02439.0k $2.5m $2.5m 0.51% Added +3.4k +3,444
52 Ameritas Advisory Services, LLC 0.12% of their portfolio Lincoln, NE 37,77037.8k $2.3m $2.3m 0.12% Reduced -11.5k -11,505
53 Lido Advisors, LLC 0.00% of their portfolio Los Angeles, CA 36,76236.8k $144.3k $144.3k 0.00% Added +2.7k +2,734
54 NOTTINGHAM ADVISORS, INC. 0.29% of their portfolio AMHERST, NY 33,93233.9k $2.2m $2.2m 0.29% Reduced -843 -843
55 Canal Insurance CO 0.57% of their portfolio Greenville, SC 33,10033.1k $2.1m $2.1m 0.57% Added +20.0k +20,000
56 IHT Wealth Management, LLC 0.12% of their portfolio Chicago, IL 32,81032.8k $2.1m $2.1m 0.12% Reduced -841 -841
57 Mariner, LLC 0.01% of their portfolio Overland Park, KS 32,39932.4k $2.1m $2.1m 0.01% Reduced -5.5k -5,465
58 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 31,50031.5k $2.0m $2.0m 0.00% Reduced -1.6k -1,637
59 Belpointe Asset Management LLC 0.11% of their portfolio RENO, NV 30,86930.9k $2.0m $2.0m 0.11% Reduced -1.4k -1,408
60 Simplicity Wealth,LLC 1.24% of their portfolio SUMMIT, NJ 29,31229.3k $1.9m $1.9m 1.24% Reduced -888 -888
61 SEAVIEW INVESTMENT MANAGERS LLC 0.63% of their portfolio MIAMI, FL 29,07429.1k $1.8m $1.8m 0.63% Reduced -570 -570
62 Carmel Capital Management L.L.C. 1.04% of their portfolio CARMEL, CA 28,50028.5k $1.8m $1.8m 1.04% Reduced -300 -300
63 HERBST GROUP, LLC 1.25% of their portfolio WESTPORT, CT 27,89227.9k $1.8m $1.8m 1.25% Added +145 +145
64 PRUDENTIAL FINANCIAL INC 0.00% of their portfolio NEWARK, NJ 27,79327.8k $1.8m $1.8m 0.00% Added +7.4k +7,383
65 Prosperity Financial Group, Inc. 1.79% of their portfolio San Ramon, CA 27,78727.8k $1.8m $1.8m 1.79% Added +6.2k +6,166
66 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 27,18227.2k $1.7m $1.7m 0.00% Added +4.3k +4,321
67 Steward Partners Investment Advisory, LLC 0.03% of their portfolio STAMFORD, CT 25,55725.6k $1.6m $1.6m 0.03% Added +1.4k +1,426
68 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 25,41825.4k $1.6m $1.6m 0.01% Reduced -3.4k -3,360
69 CREDIT SUISSE AG/ 0.00% of their portfolio ZURICH, V8 25,30125.3k $1.6m $1.6m 0.00% Reduced -12.2k -12,184
70 NewEdge Advisors, LLC 0.02% of their portfolio NEW ORLEANS, LA 25,06125.1k $1.6m $1.6m 0.02% Reduced -12.4k -12,358
71 BLAIR WILLIAM & CO/IL 0.01% of their portfolio CHICAGO, IL 23,66923.7k $1.5m $1.5m 0.01% Reduced -11.6k -11,567
72 Walleye Trading LLC 0.05% of their portfolio NEW YORK, NY 21,45921.5k $1.4m $1.4m 0.05% Added +16.1k +16,107
73 MARSHALL WACE, LLP 0.00% of their portfolio LONDON, X0 21,08121.1k $1.3m $1.3m 0.00% Added +1.1k +1,069
74 Snowden Capital Advisors LLC 0.05% of their portfolio New York, NY 20,24020.2k $1.3m $1.3m 0.05% Reduced -1.1k -1,068
75 PARK AVENUE SECURITIES LLC 0.02% of their portfolio NEW YORK, NY 20,21620.2k $1.3m $1.3m 0.02% Added +2.2k +2,246
76 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 20,09420.1k $1.3m $1.3m 0.01% Added +496 +496
77 B. Riley Wealth Advisors, Inc. 0.03% of their portfolio MEMPHIS, TN 19,31419.3k $1.2m $1.2m 0.03% Reduced -9.9k -9,870
78 HARBOUR INVESTMENTS, INC. 0.07% of their portfolio MADISON, WI 18,84318.8k $1.2m $1.2m 0.07% Reduced -395 -395
79 Keel Point, LLC 0.17% of their portfolio HUNTSVILLE, AL 18,11018.1k $1.2m $1.2m 0.17% Added +8.3k +8,307
80 Elite Wealth Management, Inc. 0.50% of their portfolio KIRKLAND, WA 17,90817.9k $1.1m $1.1m 0.50% Reduced -313 -313
81 Sigma Planning Corp 0.04% of their portfolio ANN ARBOR, MI 17,72817.7k $1.1m $1.1m 0.04% Reduced -75 -75
82 Elmwood Wealth Management, Inc. 0.51% of their portfolio BERKELEY, CA 16,95817.0k $1.1m $1.1m 0.51% Added +2.5k +2,467
83 Banque Cantonale Vaudoise 0.05% of their portfolio LAUSANNE, V8 16,89916.9k $1.1m $1.1m 0.05% Reduced -1.5k -1,472
84 Mayflower Financial Advisors, LLC 0.14% of their portfolio BOSTON, MA 16,59316.6k $1.1m $1.1m 0.14% Added +8.1k +8,051
85 Eagle Strategies LLC 0.26% of their portfolio NEW YORK, NY 16,13416.1k $1.0m $1.0m 0.26% Added +1.4k +1,419
86 ERn Financial, LLC 0.23% of their portfolio MIDDLETON, WI 16,10916.1k $1.0m $1.0m 0.23% Added +563 +563
87 PEAK6 Investments LLC 0.06% of their portfolio CHICAGO, IL 16,05916.1k $1.0m $1.0m 0.06% Reduced -48.4k -48,356
88 Founders Capital Management 0.78% of their portfolio HOUSTON, TX 15,98116.0k $1.0m $1.0m 0.78% Reduced -1.4k -1,353
89 Csenge Advisory Group 0.07% of their portfolio CLEARWATER, FL 15,71515.7k $998.7k $998.7k 0.07% Reduced -5.7k -5,728
90 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 15,53815.5k $988.1k $988.1k 0.00% Added +662 +662
91 Claro Advisors Inc. 0.28% of their portfolio BOSTON, MA 15,27015.3k $970.4k $970.4k 0.28% Reduced -958 -958
92 SCOTIA CAPITAL INC. 0.01% of their portfolio TORONTO, A6 15,14015.1k $962.2k $962.2k 0.01% Added +529 +529
93 Stratos Wealth Partners, LTD. 0.03% of their portfolio BEACHWOOD, OH 15,06715.1k $957.5k $957.5k 0.03% Reduced -1.9k -1,897
94 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 14,87714.9k $945.4k $945.4k 0.00% Added +1.3k +1,332
95 Purus Wealth Management, LLC 0.74% of their portfolio Newport Beach, CA 14,75914.8k $937.9k $937.9k 0.74% Reduced -653 -653
96 INDEPENDENT FINANCIAL GROUP, LLC 0.07% of their portfolio SAN DIEGO, CA 14,72514.7k $935.8k $935.8k 0.07% Added +448 +448
97 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 14,53114.5k $923.5k $923.5k 0.00% Added +1.2k +1,154
98 Lattice Capital Management, LLC 1.19% of their portfolio KIRKLAND, WA 14,10014.1k $896.1k $896.1k 1.19% Unchanged
99 Private Wealth Strategies, L.L.C. 0.23% of their portfolio New Albany, OH 14,04414.0k $892.5k $892.5k 0.23% Reduced -55 -55
100 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 14,00114.0k $889.7k $889.7k 0.00% Reduced -17.7k -17,739