Vault-13

GLOBAL X FDS LIT

LITHIUM BTRY ETF · ETP · CUSIP 37954Y855

380 institutional holders -8 vs Q3 2023
9,354,9199.4m shares reported held*
$474.9mreported value*
40 new 62 added 154 reduced 70 sold out net sold ≈ $73.8m (-1.5m 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 ≈ $50.76. Options: 7 managers hold calls ($21.3m notional), 7 hold puts ($18.5m).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 429Q4 22: 414Q1 23: 406Q2 23: 423Q3 23: 388Q4 23: 380380Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022429
Q4 2022414
Q1 2023406
Q2 2023423
Q3 2023388
Q4 2023380

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 23Q3 23: 140 bought or addedQ3 23: 209 cut or sold outQ3 23Q4 23: 102 bought or addedQ4 23: 224 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022135212
Q1 2023160184
Q2 2023152169
Q3 2023140209
Q4 2023102224

Calls vs puts

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

CallsPuts
$0$20m$40m$60mQ1 23 calls: $39.2mQ1 23 puts: $24.1mQ1 23P/C 0.62Q2 23 calls: $40.3mQ2 23 puts: $22.8mQ2 23P/C 0.56Q3 23 calls: $31.0mQ3 23 puts: $9.9mQ3 23P/C 0.32Q4 23 calls: $21.3mQ4 23 puts: $18.5mQ4 23P/C 0.87
Numbers
QuarterCallsPutsP/C
Q1 2023$39.2m$24.1m0.62
Q2 2023$40.3m$22.8m0.56
Q3 2023$31.0m$9.9m0.32
Q4 2023$21.3m$18.5m0.87

Biggest buyers

MORGAN STANLEY Added +386,133+386.1k
JPMORGAN CHASE & CO Added +217,888+217.9k
Mirae Asset Global Investments Co., Ltd. Added +169,329+169.3k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added +160,056+160.1k
BANK OF AMERICA CORP /DE/ Added +82,069+82.1k
RENAISSANCE TECHNOLOGIES LLC New +46,500+46.5k
Qube Research & Technologies Ltd Added +43,450+43.5k
Touchstone Capital, Inc. New +27,304+27.3k
GRIMES & Co WEALTH MANAGEMENT, LLC New +23,711+23.7k
Financial Advocates Investment Management Added +21,619+21.6k

Biggest sellers

JANE STREET GROUP, LLC Reduced -437,164-437.2k
BANK OF MONTREAL /CAN/ Reduced -323,091-323.1k
Gerber Kawasaki Wealth & Investment Management Reduced -256,743-256.7k
LPL Financial LLC Reduced -221,715-221.7k
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC Sold out -159,896-159.9k
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO Reduced -101,592-101.6k
UBS Group AG Reduced -90,833-90.8k
WELLS FARGO & COMPANY/MN Reduced -90,029-90.0k
HighTower Advisors, LLC Reduced -89,322-89.3k
OSAIC HOLDINGS, INC. Reduced -88,489-88.5k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $11.7m228.8k shares
CITADEL ADVISORS LLC Added $7.7m151.8k shares
GTS SECURITIES LLC Added $1.3m26.4k shares
Walleye Trading LLC Unchanged $514.5k10.1k shares
SteelPeak Wealth, LLC Unchanged $30.6k600 shares
Cutler Group LLC / CA Added $15.0k10.9k shares
BANK OF AMERICA CORP /DE/ New $5.1k100 shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $7.5m147.9k shares
CITADEL ADVISORS LLC Added $7.0m136.9k shares
BlueCrest Capital Management Ltd New $2.0m40.0k shares
GTS SECURITIES LLC Added $916.9k18.0k shares
PEAK6 Investments LLC New $555.2k10.9k shares
TORNO CAPITAL, LLC First filing $509.4k10.0k shares
Cutler Group LLC / CA Added $13.0k5.2k 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 1,232,7321.2m $62.8m $62.8m 0.00% Added +386.1k +386,133
2 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 740,532740.5k $37.7m $37.7m 0.02% Reduced -221.7k -221,715
3 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 725,076725.1k $36.9m $36.9m 0.00% Added +82.1k +82,069
4 Mirae Asset Global Investments Co., Ltd. 0.04% of their portfolio SEOUL, M5 394,520394.5k $20.1m $20.1m 0.04% Added +169.3k +169,329
5 PNC Financial Services Group, Inc. 0.02% of their portfolio Pittsburgh, PA 385,673385.7k $19.6m $19.6m 0.02% Reduced -2.4k -2,416
6 JANE STREET GROUP, LLC 0.02% of their portfolio NEW YORK, NY 383,941383.9k $19.6m $19.6m 0.02% Reduced -437.2k -437,164
7 UBS Group AG 0.01% of their portfolio ZURICH, V8 289,536289.5k $14.7m $14.7m 0.01% Reduced -90.8k -90,833
8 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 249,826249.8k $12.7m $12.7m 0.00% Reduced -90.0k -90,029
9 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 236,174236.2k $12.0m $12.0m 0.00% Added +217.9k +217,888
10 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.02% of their portfolio BALA CYNWYD, PA 198,319198.3k $10.1m $10.1m 0.02% Added +160.1k +160,056
11 PRUDENTIAL PLC 0.10% of their portfolio LONDON, X0 190,200190.2k $9.7m $9.7m 0.10% Reduced -22.3k -22,275
12 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 177,996178.0k $9.1m $9.1m 0.00% Reduced -74.9k -74,920
13 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 144,980145.0k $7.4m $7.4m 0.01% Reduced -25.3k -25,338
14 Kraft, Davis & Associates, LLC 1.87% of their portfolio St. Louis, MO 143,555143.6k $6.2m $6.2m 1.87% Reduced -6.8k -6,836
15 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 132,962133.0k $6.8m $6.8m 0.01% Reduced -88.5k -88,489
16 MFA WEALTH ADVISORS, LLC 1.86% of their portfolio PITTSBURGH, PA 129,730129.7k $6.6m $6.6m 1.86% Added +11.5k +11,465
17 Private Advisor Group, LLC 0.05% of their portfolio MORRISTOWN, NJ 119,938119.9k $6.1m $6.1m 0.05% Reduced -15.5k -15,466
18 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 114,740114.7k $5.8m $5.8m 0.00% Added +9.8k +9,768
19 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 104,440104.4k $5.3m $5.3m 0.02% Added +9.9k +9,923
20 Gerber Kawasaki Wealth & Investment Management 0.28% of their portfolio SANTA MONICA, CA 91,68791.7k $4.7m $4.7m 0.28% Reduced -256.7k -256,743
21 Longbow Finance SA 0.42% of their portfolio LUTRY, V8 80,00080.0k $4.1m $4.1m 0.42% Unchanged
22 MML INVESTORS SERVICES, LLC 0.02% of their portfolio SPRINGFIELD, MA 79,80479.8k $4.1m $4.1m 0.02% Reduced -214 -214
23 CITIGROUP INC 0.01% of their portfolio NEW YORK, NY 74,20874.2k $3.8m $3.8m 0.01% Added +3.9k +3,880
24 CX Institutional 0.20% of their portfolio AUBURN, IN 73,31873.3k $3.7m $3.7m 0.20% Reduced -19.2k -19,190
25 ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLC 1.52% of their portfolio New Cumberland, PA 72,98673.0k $3.7m $3.7m 1.52% Reduced -5.0k -4,973
26 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 71,31071.3k $3.6m $3.6m 0.00% Reduced -18.4k -18,406
27 Money Design Co.,Ltd. 0.20% of their portfolio TOKYO, M0 70,66970.7k $3.6m $3.6m 0.20% Reduced -19.1k -19,130
28 Susquehanna International Group Ltd. 0.81% of their portfolio DUBLIN, L2 69,91969.9k $3.6m $3.6m 0.81% Unchanged
29 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 69,49069.5k $3.5m $3.5m 0.00% Reduced -15.7k -15,700
30 Destination Wealth Management 0.12% of their portfolio Walnut Creek, CA 67,54267.5k $3.4m $3.4m 0.12% Reduced -10.4k -10,408
31 Cetera Advisors LLC 0.05% of their portfolio DENVER, CO 67,49367.5k $3.4m $3.4m 0.05% Reduced -13.1k -13,131
32 CREDIT SUISSE AG/ 0.00% of their portfolio ZURICH, V8 62,34862.3k $3.2m $3.2m 0.00% Added +13.0k +13,030
33 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 60,90060.9k $3.1m $3.1m 0.00% Reduced -101.6k -101,592
34 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 60,64560.6k $3.1m $3.1m 0.01% Reduced -15.1k -15,102
35 Squarepoint Ops LLC 0.01% of their portfolio NEW YORK, NY 58,04858.0k $3.0m $3.0m 0.01% Added +11.5k +11,548
36 Kestra Advisory Services, LLC 0.02% of their portfolio AUSTIN, TX 48,48648.5k $2.5m $2.5m 0.02% Reduced -131 -131
37 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 47,28047.3k $2.4m $2.4m 0.01% Reduced -10.3k -10,254
38 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 46,50046.5k $2.4m $2.4m 0.00% New
39 Qube Research & Technologies Ltd 0.01% of their portfolio LONDON, X0 46,03646.0k $2.3m $2.3m 0.01% Added +43.5k +43,450
40 Wealthfront Advisers LLC 0.01% of their portfolio Palo Alto, CA 43,75443.8k $2.2m $2.2m 0.01% Added +1.5k +1,477
41 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 40,14940.1k $2.0m $2.0m 0.00% Added +17.6k +17,640
42 Ballentine Partners, LLC 0.04% of their portfolio Waltham, MA 39,80039.8k $2.0m $2.0m 0.04% Unchanged
43 Cetera Investment Advisers 0.02% of their portfolio SCHAUMBURG, IL 39,09539.1k $2.0m $2.0m 0.02% Reduced -3.5k -3,507
44 Integrated Wealth Concepts LLC 0.03% of their portfolio WALTHAM, MA 38,65238.7k $2.0m $2.0m 0.03% Reduced -10.2k -10,218
45 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 38,40038.4k $2.0m $2.0m 0.01% Reduced -10.1k -10,064
46 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 33,54233.5k $1.7m $1.7m 0.00% Reduced -4.6k -4,609
47 Canal Insurance CO 0.47% of their portfolio Greenville, SC 33,10033.1k $1.7m $1.7m 0.47% Unchanged
48 OLD MISSION CAPITAL LLC 0.05% of their portfolio CHICAGO, IL 32,53232.5k $1.7m $1.7m 0.05% Reduced -38.5k -38,529
49 Financial Advocates Investment Management 0.07% of their portfolio OLYMPIA, WA 32,08632.1k $1.0m $1.0m 0.07% Added +21.6k +21,619
50 Steward Partners Investment Advisory, LLC 0.02% of their portfolio STAMFORD, CT 31,38631.4k $1.6m $1.6m 0.02% Reduced -4.0k -4,045
51 Lido Advisors, LLC 0.01% of their portfolio Los Angeles, CA 29,39429.4k $1.5m $1.5m 0.01% Reduced -4.6k -4,587
52 HRT FINANCIAL LP 0.01% of their portfolio NEW YORK, NY 29,11029.1k $1.5m $1.5m 0.01% Reduced -3.6k -3,636
53 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 28,46828.5k $1.5m $1.5m 0.00% Added +9.4k +9,442
54 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 28,07128.1k $1.4m $1.4m 0.00% Reduced -89.3k -89,322
55 Touchstone Capital, Inc. 1.32% of their portfolio PITTSBURGH, PA 27,30427.3k $1.4m $1.4m 1.32% New
56 Ameritas Advisory Services, LLC 0.07% of their portfolio Lincoln, NE 26,84126.8k $1.3m $1.3m 0.07% Reduced -8.0k -7,951
57 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 26,39126.4k $1.3m $1.3m 0.02% Reduced -5.1k -5,131
58 IHT Wealth Management, LLC 0.05% of their portfolio Chicago, IL 23,93123.9k $1.2m $1.2m 0.05% Reduced -6.6k -6,645
59 GRIMES & Co WEALTH MANAGEMENT, LLC 0.04% of their portfolio WESTBOROUGH, MA 23,71123.7k $1.2m $1.2m 0.04% New
60 Mariner, LLC 0.00% of their portfolio Overland Park, KS 22,09722.1k $1.1m $1.1m 0.00% Reduced -1.5k -1,529
61 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 21,96122.0k $1.1m $1.1m 0.00% Reduced -5.5k -5,515
62 Eagle Strategies LLC 0.24% of their portfolio NEW YORK, NY 21,66821.7k $1.1m $1.1m 0.24% Added +137 +137
63 Sowell Financial Services LLC 0.06% of their portfolio NORTH LITTLE ROCK, AR 21,05621.1k $1.1m $1.1m 0.06% New
64 Banque Cantonale Vaudoise 0.05% of their portfolio LAUSANNE, V8 20,72120.7k $1.1m $1.1m 0.05% Reduced -3.4k -3,377
65 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 20,48320.5k $1.0m $1.0m 0.00% Reduced -3.9k -3,909
66 BCWM, LLC 0.33% of their portfolio OVERLAND PARK, KS 19,38319.4k $987.4k $987.4k 0.33% New
67 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 17,99518.0k $916.7k $916.7k 0.01% Added +1.9k +1,889
68 Armor Investment Advisors, LLC 0.47% of their portfolio RALEIGH, NC 17,61017.6k $897.1k $897.1k 0.47% Added +1.8k +1,843
69 HARBOUR INVESTMENTS, INC. 0.03% of their portfolio MADISON, WI 16,06716.1k $818.4k $818.4k 0.03% Reduced -2.1k -2,067
70 FNY Investment Advisers, LLC 0.91% of their portfolio NEW YORK, NY 16,05016.1k $817.0k $817.0k 0.91% New
71 SG Americas Securities, LLC 0.01% of their portfolio NEW YORK, NY 16,04216.0k $817.0k $817.0k 0.01% Added +4.9k +4,889
72 SCOTIA CAPITAL INC. 0.01% of their portfolio TORONTO, A6 15,84215.8k $807.0k $807.0k 0.01% Reduced -47 -47
73 Snowden Capital Advisors LLC 0.03% of their portfolio New York, NY 15,25915.3k $777.3k $777.3k 0.03% Reduced -353 -353
74 SHUFRO ROSE & CO LLC 0.08% of their portfolio NEW YORK, NY 15,15015.2k $835.8k $835.8k 0.08% Reduced -500 -500
75 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 14,39814.4k $736.8k $736.8k 0.00% Added +3.0k +3,002
76 Sage Capital Management, LLC 0.44% of their portfolio Stockton, NJ 14,39314.4k $733.2k $733.2k 0.44% First filing
77 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 14,19814.2k $616.8k $616.8k 0.00% Reduced -5.1k -5,135
78 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 14,11414.1k $719.0k $719.0k 0.00% Added +341 +341
79 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 14,01214.0k $718.7k $718.7k 0.02% Added +95 +95
80 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 13,98714.0k $726.9k $726.9k 0.00% Reduced -323.1k -323,091
81 Halter Ferguson Financial Inc. 0.45% of their portfolio CARMEL, IN 13,79913.8k $702.9k $702.9k 0.45% First filing
82 AXXCESS WEALTH MANAGEMENT, LLC 0.02% of their portfolio CARLSBAD, CA 13,48313.5k $686.8k $686.8k 0.02% Reduced -4.2k -4,181
83 HBW ADVISORY SERVICES LLC 0.11% of their portfolio SIMI VALLEY, CA 13,29513.3k $569.0k $569.0k 0.11% Added +1.9k +1,862
84 FOCUS FINANCIAL NETWORK INC /ADV 0.03% of their portfolio Minneapolis, MN 13,20113.2k $677.2k $677.2k 0.03% First filing
85 LINCOLN NATIONAL CORP 0.01% of their portfolio RADNOR, PA 13,06013.1k $665.3k $665.3k 0.01% Added +1.4k +1,367
86 Arrowroot Family Office, LLC 0.47% of their portfolio MARINA DEL REY, CA 12,92612.9k $658.5k $658.5k 0.47% Reduced -2.3k -2,335
87 DHK Financial Advisors, Inc. 0.49% of their portfolio PORTSMOUTH, NH 12,72812.7k $652.9k $652.9k 0.49% Unchanged
88 Focus Partners Wealth 0.01% of their portfolio ST LOUIS, MO 12,64512.6k $644.0k $644.0k 0.01% First filing
89 SMITHBRIDGE ASSET MANAGEMENT INC/DE 0.14% of their portfolio Chadds Ford, PA 12,44312.4k $634.0k $634.0k 0.14% Reduced -1.1k -1,128
90 WR Wealth Planners, LLC 0.23% of their portfolio COLUMBIA, MO 12,27312.3k $625.2k $625.2k 0.23% Reduced -2.1k -2,118
91 CWM, LLC 0.00% of their portfolio OMAHA, NE 12,25512.3k $624.0k $624.0k 0.00% Added +534 +534
92 Purus Wealth Management, LLC 0.35% of their portfolio Newport Beach, CA 11,87211.9k $604.7k $604.7k 0.35% Reduced -1.0k -1,030
93 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 11,28211.3k $574.7k $574.7k 0.00% Reduced -8.5k -8,528
94 PARK AVENUE SECURITIES LLC 0.01% of their portfolio NEW YORK, NY 11,26911.3k $574.0k $574.0k 0.01% Reduced -6.4k -6,357
95 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 11,19711.2k $570.4k $570.4k 0.01% Reduced -1.1k -1,137
96 Waverly Advisors, LLC 0.02% of their portfolio BIRMINGHAM, AL 10,97011.0k $558.8k $558.8k 0.02% Reduced -43 -43
97 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 10,92210.9k $556.0k $556.0k 0.00% Added +3.0k +2,997
98 Stelac Advisory Services LLC 0.29% of their portfolio NEW YORK, NY 10,52010.5k $539.6k $539.6k 0.29% Reduced -1.8k -1,806
99 Stratos Wealth Partners, LTD. 0.01% of their portfolio BEACHWOOD, OH 10,48110.5k $533.9k $533.9k 0.01% Reduced -5.1k -5,052
100 TAP Consulting, LLC 0.13% of their portfolio KIRKWOOD, MO 10,43310.4k $531.4k $531.4k 0.13% New