Vault-13

GLOBAL X FDS LIT

LITHIUM BTRY ETF · ETP · CUSIP 37954Y855

423 institutional holders +17 vs Q1 2023
10,672,44010.7m shares reported held*
$691.5mreported value*
47 new 105 added 131 reduced 38 sold out net sold ≈ $24.9m (-410.0k 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 ≈ $64.79. Options: 8 managers hold calls ($40.3m notional), 8 hold puts ($22.8m).

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 429Q4 22: 414Q1 23: 406Q2 23: 423423Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022429
Q4 2022414
Q1 2023406
Q2 2023423

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 23Q2 23: 152 bought or addedQ2 23: 169 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022135212
Q1 2023160184
Q2 2023152169

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 0.62Q2 23 calls: $40.3mQ2 23 puts: $22.8mQ2 23P/C 0.56
Numbers
QuarterCallsPutsP/C
Q3 2022$35.8m$45.7m1.28
Q4 2022$34.9m$46.1m1.32
Q1 2023$39.2m$24.1m0.62
Q2 2023$40.3m$22.8m0.56

Biggest buyers

BlueCrest Capital Management Ltd New +206,197+206.2k
Cerity Partners LLC Added +51,348+51.3k
Point72 Europe (London) LLP New +39,400+39.4k
ROYAL BANK OF CANADA Added +37,224+37.2k
Trilogy Capital Inc. New +36,386+36.4k
Steward Partners Investment Advisory, LLC Added +25,804+25.8k
WELLS FARGO & COMPANY/MN Added +25,580+25.6k
MML INVESTORS SERVICES, LLC Added +20,663+20.7k
Quantitative Investment Management, LLC New +20,513+20.5k
EP Wealth Advisors, LLC New +18,522+18.5k

Biggest sellers

Mirae Asset Global Investments Co., Ltd. Reduced -166,982-167.0k
UBS Group AG Reduced -93,042-93.0k
Cavalier Investments, LLC Sold out -76,800-76.8k
JPMORGAN CHASE & CO Reduced -59,622-59.6k
MONEY CONCEPTS CAPITAL CORP Reduced -48,429-48.4k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -37,622-37.6k
MORGAN STANLEY Reduced -35,216-35.2k
NOTTINGHAM ADVISORS, INC. Sold out -33,932-33.9k
PRUDENTIAL PLC Reduced -31,800-31.8k
Ameritas Advisory Services, LLC Reduced -31,604-31.6k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $18.2m280.1k shares
CITADEL ADVISORS LLC Reduced $11.4m175.1k shares
UBS Group AG Added $6.1m94.0k shares
WOLVERINE TRADING, LLC Reduced $2.9m45.0k shares
Walleye Trading LLC Added $1.0m15.8k shares
MILLENNIUM MANAGEMENT LLC Reduced $572.2k8.8k shares
Cutler Group LLC / CA Added $140.0k40.8k shares
SteelPeak Wealth, LLC Added $39.0k600 shares

Biggest puts

CITADEL ADVISORS LLC Reduced $10.7m165.1k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $6.2m94.6k shares
Walleye Trading LLC Added $3.3m50.9k shares
WOLVERINE TRADING, LLC Added $1.4m22.3k shares
MILLENNIUM MANAGEMENT LLC Added $1.1m17.3k shares
WELLS FARGO & COMPANY/MN Unchanged $19.5k300 shares
UBS Group AG Reduced $13.0k200 shares
Cutler Group LLC / CA Added $4.0k33.8k 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, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.05% of their portfolio FORT MILL, SC 982,735982.7k $63.9m $63.9m 0.05% Added +12.2k +12,186
2 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 915,810915.8k $59.5m $59.5m 0.01% Reduced -35.2k -35,216
3 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 664,678664.7k $43.2m $43.2m 0.01% Reduced -1.6k -1,593
4 Mirae Asset Global Investments Co., Ltd. 0.07% of their portfolio SEOUL, M5 506,444506.4k $32.9m $32.9m 0.07% Reduced -167.0k -166,982
5 PNC Financial Services Group, Inc. 0.02% of their portfolio Pittsburgh, PA 414,079414.1k $26.9m $26.9m 0.02% Reduced -12.3k -12,315
6 UBS Group AG 0.01% of their portfolio ZURICH, V8 392,073392.1k $25.5m $25.5m 0.01% Reduced -93.0k -93,042
7 Gerber Kawasaki Wealth & Investment Management 1.67% of their portfolio SANTA MONICA, CA 382,612382.6k $24.9m $24.9m 1.67% Reduced -23.8k -23,829
8 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 355,534355.5k $23.1m $23.1m 0.01% Added +25.6k +25,580
9 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 238,494238.5k $15.5m $15.5m 0.00% Added +37.2k +37,224
10 BlueCrest Capital Management Ltd 1.75% of their portfolio ST HELIER, Y9 206,197206.2k $13.4m $13.4m 1.75% New
11 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 198,892198.9k $12.9m $12.9m 0.01% Reduced -12.5k -12,533
12 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 197,169197.2k $12.9m $12.9m 0.02% Reduced -22.1k -22,073
13 PRUDENTIAL PLC 0.15% of their portfolio LONDON, X0 197,000197.0k $12.8m $12.8m 0.15% Reduced -31.8k -31,800
14 COMMONWEALTH EQUITY SERVICES, LLC 0.03% of their portfolio WALTHAM, MA 195,900195.9k $12.7m $12.7m 0.03% Reduced -25.2k -25,159
15 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 161,402161.4k $10.5m $10.5m 0.01% Added +5.5k +5,549
16 Kraft, Davis & Associates, LLC 3.03% of their portfolio St. Louis, MO 146,220146.2k $8.7m $8.7m 3.03% First filing
17 Private Advisor Group, LLC 0.07% of their portfolio MORRISTOWN, NJ 126,954127.0k $8.3m $8.3m 0.07% Added +1.1k +1,119
18 MFA WEALTH ADVISORS, LLC 2.23% of their portfolio PITTSBURGH, PA 108,818108.8k $7.1m $7.1m 2.23% Added +6.0k +5,981
19 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 108,641108.6k $7.1m $7.1m 0.01% Added +6.4k +6,367
20 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 103,964104.0k $6.8m $6.8m 0.03% Reduced -2.9k -2,850
21 CITIGROUP INC 0.01% of their portfolio NEW YORK, NY 101,313101.3k $6.6m $6.6m 0.01% Added +9.3k +9,303
22 Money Design Co.,Ltd. 0.37% of their portfolio TOKYO, M0 94,87594.9k $6.2m $6.2m 0.37% Reduced -5.4k -5,415
23 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 91,87891.9k $6.0m $6.0m 0.00% Reduced -7.9k -7,931
24 CX Institutional 0.31% of their portfolio AUBURN, IN 91,45291.5k $5.9m $5.9m 0.31% Reduced -346 -346
25 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 87,54787.5k $5.7m $5.7m 0.01% Reduced -3.3k -3,282
26 JANE STREET GROUP, LLC 0.01% of their portfolio NEW YORK, NY 83,56983.6k $5.4m $5.4m 0.01% Added +12.2k +12,171
27 Cetera Advisors LLC 0.08% of their portfolio DENVER, CO 81,46481.5k $5.3m $5.3m 0.08% Reduced -3.0k -2,973
28 Longbow Finance SA 0.55% of their portfolio LUTRY, V8 80,00080.0k $4.7m $4.7m 0.55% Unchanged
29 MML INVESTORS SERVICES, LLC 0.03% of their portfolio SPRINGFIELD, MA 79,25479.3k $5.2m $5.2m 0.03% Added +20.7k +20,663
30 Destination Wealth Management 0.19% of their portfolio Walnut Creek, CA 78,76378.8k $5.1m $5.1m 0.19% Reduced -15.8k -15,788
31 CONSOLIDATED CAPITAL MANAGEMENT, LLC 2.45% of their portfolio BURBANK, CA 76,68276.7k $5.0m $5.0m 2.45% Reduced -149 -149
32 Cetera Advisor Networks LLC 0.03% of their portfolio EL SEGUNDO, CA 76,09976.1k $4.9m $4.9m 0.03% Added +1.7k +1,651
33 ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLC 2.26% of their portfolio New Cumberland, PA 74,65174.7k $4.9m $4.9m 2.26% Added +127 +127
34 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 70,12670.1k $4.6m $4.6m 0.01% Reduced -5.5k -5,457
35 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.01% of their portfolio BALA CYNWYD, PA 59,08259.1k $3.8m $3.8m 0.01% Reduced -37.6k -37,622
36 Cerity Partners LLC 0.01% of their portfolio NEW YORK, NY 56,54756.5k $3.7m $3.7m 0.01% Added +51.3k +51,348
37 NOMURA ASSET MANAGEMENT CO LTD 0.02% of their portfolio TOKYO, M0 56,20056.2k $3.7m $3.7m 0.02% Reduced -1.9k -1,900
38 Harel Insurance Investments & Financial Services Ltd. 0.09% of their portfolio Ramat Gan, L3 54,00054.0k $3.5m $3.5m 0.09% Unchanged
39 Steward Partners Investment Advisory, LLC 0.05% of their portfolio STAMFORD, CT 51,36151.4k $3.3m $3.3m 0.05% Added +25.8k +25,804
40 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 50,43750.4k $3.3m $3.3m 0.00% Reduced -59.6k -59,622
41 Integrated Wealth Concepts LLC 0.05% of their portfolio WALTHAM, MA 49,01349.0k $3.2m $3.2m 0.05% Added +5.6k +5,643
42 Yarbrough Capital, LLC 0.18% of their portfolio FRANKLIN, TN 47,99948.0k $3.1m $3.1m 0.18% Unchanged
43 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 47,02847.0k $3.1m $3.1m 0.01% First filing
44 Cetera Investment Advisers 0.03% of their portfolio SCHAUMBURG, IL 46,15046.1k $3.0m $3.0m 0.03% Reduced -6.5k -6,524
45 Susquehanna International Group Ltd. 2.34% of their portfolio DUBLIN, L2 44,70944.7k $2.9m $2.9m 2.34% Reduced -19.3k -19,291
46 Kestra Advisory Services, LLC 0.03% of their portfolio AUSTIN, TX 44,44044.4k $2.9m $2.9m 0.03% Added +1.4k +1,394
47 JUNCTURE WEALTH STRATEGIES, LLC 1.33% of their portfolio SCOTTSDALE, AZ 43,56343.6k $2.8m $2.8m 1.33% Added +1.8k +1,839
48 Destiny Wealth Partners, LLC 0.51% of their portfolio TAVARES, FL 40,84540.8k $2.7m $2.7m 0.51% Added +1.8k +1,821
49 Ballentine Partners, LLC 0.06% of their portfolio Waltham, MA 39,80039.8k $2.6m $2.6m 0.06% Reduced -155 -155
50 Point72 Europe (London) LLP 0.37% of their portfolio LONDON, X0 39,40039.4k $2.6m $2.6m 0.37% New
51 Wealthfront Advisers LLC 0.01% of their portfolio Palo Alto, CA 38,33038.3k $2.5m $2.5m 0.01% Reduced -1.6k -1,570
52 Trilogy Capital Inc. 0.15% of their portfolio IRVINE, CA 36,38636.4k $2.4m $2.4m 0.15% New
53 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 36,23636.2k $2.4m $2.4m 0.00% Reduced -28.0k -27,980
54 Lido Advisors, LLC 0.03% of their portfolio Los Angeles, CA 35,86535.9k $2.3m $2.3m 0.03% Reduced -897 -897
55 CREDIT SUISSE AG/ 0.00% of their portfolio ZURICH, V8 33,99234.0k $2.2m $2.2m 0.00% Added +8.7k +8,691
56 IHT Wealth Management, LLC 0.11% of their portfolio Chicago, IL 33,43833.4k $2.2m $2.2m 0.11% Added +628 +628
57 Canal Insurance CO 0.60% of their portfolio Greenville, SC 33,10033.1k $2.2m $2.2m 0.60% Unchanged
58 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 30,70730.7k $2.0m $2.0m 0.00% Added +3.5k +3,525
59 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 29,92029.9k $1.9m $1.9m 0.00% Reduced -1.6k -1,580
60 NewEdge Advisors, LLC 0.02% of their portfolio NEW ORLEANS, LA 29,35029.4k $1.8m $1.8m 0.02% Added +4.3k +4,289
61 J.P. Morgan Private Wealth Advisors LLC 0.01% of their portfolio SAN FRANCISCO, CA 29,28829.3k $1.9m $1.9m 0.01% Reduced -14.7k -14,711
62 Carmel Capital Management L.L.C. 0.98% of their portfolio CARMEL, CA 29,00029.0k $1.9m $1.9m 0.98% Added +500 +500
63 SEAVIEW INVESTMENT MANAGERS LLC 0.61% of their portfolio MIAMI, FL 28,84828.8k $1.9m $1.9m 0.61% Reduced -226 -226
64 Mariner, LLC 0.00% of their portfolio Overland Park, KS 27,58827.6k $1.8m $1.8m 0.00% Reduced -4.8k -4,811
65 HERBST GROUP, LLC 1.23% of their portfolio WESTPORT, CT 27,32527.3k $1.8m $1.8m 1.23% Reduced -567 -567
66 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 25,27325.3k $1.6m $1.6m 0.02% Reduced -26.8k -26,845
67 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 24,41724.4k $1.6m $1.6m 0.01% Reduced -1.0k -1,001
68 BLAIR WILLIAM & CO/IL 0.01% of their portfolio CHICAGO, IL 24,30024.3k $1.6m $1.6m 0.01% Added +631 +631
69 INDEPENDENT FINANCIAL GROUP, LLC 0.11% of their portfolio SAN DIEGO, CA 24,13824.1k $1.6m $1.6m 0.11% Added +9.4k +9,413
70 Banque Cantonale Vaudoise 0.07% of their portfolio LAUSANNE, V8 21,75121.8k $1.4m $1.4m 0.07% Added +4.9k +4,852
71 Quantitative Investment Management, LLC 0.13% of their portfolio CHARLOTTESVILLE, VA 20,51320.5k $1.3m $1.3m 0.13% New
72 Snowden Capital Advisors LLC 0.05% of their portfolio New York, NY 20,45820.5k $1.3m $1.3m 0.05% Added +218 +218
73 PRUDENTIAL FINANCIAL INC 0.00% of their portfolio NEWARK, NJ 20,31020.3k $1.3m $1.3m 0.00% Reduced -7.5k -7,483
74 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 19,78019.8k $1.3m $1.3m 0.01% Reduced -314 -314
75 EP Wealth Advisors, LLC 0.00% of their portfolio TORRANCE, CA 18,52218.5k $251.8k $251.8k 0.00% New
76 HARBOUR INVESTMENTS, INC. 0.06% of their portfolio MADISON, WI 18,39618.4k $1.2m $1.2m 0.06% Reduced -447 -447
77 Sowell Financial Services LLC 0.06% of their portfolio NORTH LITTLE ROCK, AR 17,81717.8k $1.2m $1.2m 0.06% New
78 Eagle Strategies LLC 0.27% of their portfolio NEW YORK, NY 16,96817.0k $1.1m $1.1m 0.27% Added +834 +834
79 AXXCESS WEALTH MANAGEMENT, LLC 0.08% of their portfolio CARLSBAD, CA 16,67216.7k $1.1m $1.1m 0.08% Added +5.2k +5,165
80 Elmwood Wealth Management, Inc. 0.50% of their portfolio BERKELEY, CA 16,60316.6k $1.1m $1.1m 0.50% Reduced -355 -355
81 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 16,28516.3k $1.1m $1.1m 0.02% Reduced -3.0k -3,029
82 Sigma Planning Corp 0.04% of their portfolio ANN ARBOR, MI 16,17916.2k $1.1m $1.1m 0.04% Reduced -1.5k -1,549
83 ERn Financial, LLC 0.22% of their portfolio MIDDLETON, WI 16,12016.1k $1.0m $1.0m 0.22% Added +11 +11
84 Arrowroot Family Office, LLC 0.79% of their portfolio MARINA DEL REY, CA 16,08216.1k $1.0m $1.0m 0.79% Added +6.9k +6,932
85 Financial Advocates Investment Management 0.07% of their portfolio OLYMPIA, WA 15,66615.7k $1.0m $1.0m 0.07% Added +4.2k +4,238
86 Claro Advisors Inc. 0.24% of their portfolio BOSTON, MA 15,13715.1k $984.2k $984.2k 0.24% Reduced -133 -133
87 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 15,09615.1k $1.0m $1.0m 0.00% Reduced -442 -442
88 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 14,89314.9k $968.4k $968.4k 0.02% Reduced -174 -174
89 SCOTIA CAPITAL INC. 0.01% of their portfolio TORONTO, A6 14,80014.8k $962.3k $962.3k 0.01% Reduced -340 -340
90 Ground Swell Capital, LLC 1.18% of their portfolio FOLLY BEACH, SC 14,79014.8k $961.6k $961.6k 1.18% New
91 Founders Capital Management 0.69% of their portfolio HOUSTON, TX 14,60114.6k $949.4k $949.4k 0.69% Reduced -1.4k -1,380
92 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 14,56314.6k $945.4k $945.4k 0.00% Reduced -29.0k -28,976
93 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 14,55114.6k $946.0k $946.0k 0.00% Added +6.7k +6,660
94 Armor Investment Advisors, LLC 0.57% of their portfolio RALEIGH, NC 14,51414.5k $943.7k $943.7k 0.57% Added +1.9k +1,938
95 Private Wealth Strategies, L.L.C. 0.22% of their portfolio New Albany, OH 14,11614.1k $917.8k $917.8k 0.22% Added +72 +72
96 Lattice Capital Management, LLC 1.59% of their portfolio KIRKLAND, WA 14,10014.1k $916.8k $916.8k 1.59% Unchanged
97 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 14,07314.1k $915.0k $915.0k 0.00% Reduced -804 -804
98 SHUFRO ROSE & CO LLC 0.08% of their portfolio NEW YORK, NY 14,05014.1k $913.5k $913.5k 0.08% Added +1.2k +1,200
99 WR Wealth Planners, LLC 0.35% of their portfolio COLUMBIA, MO 13,88813.9k $903.0k $903.0k 0.35% Added +140 +140
100 OPPENHEIMER & CO INC 0.02% of their portfolio NEW YORK, NY 13,79813.8k $897.1k $897.1k 0.02% Added +8.2k +8,246