Vault-13

GLOBAL X FDS LIT

LITHIUM BTRY ETF · ETP · CUSIP 37954Y855

330 institutional holders -50 vs Q4 2023
8,588,3438.6m shares reported held*
$388.8mreported value*
28 new 87 added 119 reduced 72 sold out net sold ≈ $33.3m (-744.0k 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 ($2.4k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $45.27. Options: 8 managers hold calls ($26.4m notional), 8 hold puts ($11.7m).

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 429Q4 22: 414Q1 23: 406Q2 23: 423Q3 23: 388Q4 23: 380Q1 24: 330330Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 2022429
Q4 2022414
Q1 2023406
Q2 2023423
Q3 2023388
Q4 2023380
Q1 2024330

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 23Q1 24: 115 bought or addedQ1 24: 191 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 2022135212
Q1 2023160184
Q2 2023152169
Q3 2023140209
Q4 2023102224
Q1 2024115191

Calls vs puts

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

CallsPuts
$0$20m$40m$60mQ2 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 0.87Q1 24 calls: $26.4mQ1 24 puts: $11.7mQ1 24P/C 0.44
Numbers
QuarterCallsPutsP/C
Q2 2023$40.3m$22.8m0.56
Q3 2023$31.0m$9.9m0.32
Q4 2023$21.3m$18.5m0.87
Q1 2024$26.4m$11.7m0.44

Biggest buyers

MORGAN STANLEY Added +960,766+960.8k
PNC Financial Services Group, Inc. Added +206,609+206.6k
Whitcomb & Hess, Inc. New +168,567+168.6k
Cetera Investment Advisers Added +80,106+80.1k
CX Institutional Added +67,962+68.0k
Squarepoint Ops LLC Added +54,893+54.9k
MILLENNIUM MANAGEMENT LLC New +34,659+34.7k
BNP PARIBAS FINANCIAL MARKETS Added +31,176+31.2k
MIRABELLA FINANCIAL SERVICES LLP New +24,510+24.5k
Phoenix Financial Ltd. New +24,000+24.0k

Biggest sellers

JANE STREET GROUP, LLC Reduced -283,521-283.5k
BANK OF AMERICA CORP /DE/ Reduced -248,122-248.1k
PRUDENTIAL PLC Sold out -190,200-190.2k
Mirae Asset Global Investments Co., Ltd. Reduced -141,949-141.9k
MFA WEALTH ADVISORS, LLC Sold out -129,730-129.7k
JPMORGAN CHASE & CO Reduced -126,930-126.9k
LPL Financial LLC Reduced -108,042-108.0k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -84,666-84.7k
CITADEL ADVISORS LLC Sold out -69,490-69.5k
Cetera Advisors LLC Sold out -67,493-67.5k

Biggest calls

MIRABELLA FINANCIAL SERVICES LLP New $9.1m200.0k shares
CITADEL ADVISORS LLC Added $7.5m165.9k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $7.1m157.1k shares
WOLVERINE TRADING, LLC New $1.3m29.1k shares
GTS SECURITIES LLC Reduced $670.3k14.8k shares
Walleye Trading LLC Reduced $412.1k9.1k shares
Cubist Systematic Strategies, LLC New $276.3k6.1k shares
Cutler Group LLC / CA Reduced $1.0k3.9k shares

Biggest puts

CITADEL ADVISORS LLC Reduced $4.0m88.5k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $3.0m66.3k shares
BlueCrest Capital Management Ltd Unchanged $1.8m40.0k shares
GTS SECURITIES LLC Added $978.3k21.6k shares
PEAK6 Investments LLC Added $919.4k20.3k shares
WOLVERINE TRADING, LLC New $625.0k13.8k shares
Cubist Systematic Strategies, LLC New $366.8k8.1k shares
Cutler Group LLC / CA Reduced $0200 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 0.00% of their portfolio NEW YORK, NY 2,193,4982.2m $99.3m $99.3m 0.00% Added +960.8k +960,766
2 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 632,490632.5k $28.6m $28.6m 0.02% Reduced -108.0k -108,042
3 PNC Financial Services Group, Inc. 0.02% of their portfolio Pittsburgh, PA 592,282592.3k $26.8m $26.8m 0.02% Added +206.6k +206,609
4 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 476,954477.0k $21.6m $21.6m 0.00% Reduced -248.1k -248,122
5 Mirae Asset Global Investments Co., Ltd. 0.03% of their portfolio SEOUL, M5 252,571252.6k $12.6m $12.6m 0.03% Reduced -141.9k -141,949
6 UBS Group AG 0.00% of their portfolio ZURICH, V8 234,299234.3k $10.6m $10.6m 0.00% Reduced -55.2k -55,237
7 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 189,642189.6k $8.6m $8.6m 0.00% Reduced -60.2k -60,184
8 Whitcomb & Hess, Inc. 2.45% of their portfolio ASHLAND, OH 168,567168.6k $7.6m $7.6m 2.45% New
9 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 162,702162.7k $7.4m $7.4m 0.00% Reduced -15.3k -15,294
10 CX Institutional 0.31% of their portfolio AUBURN, IN 141,280141.3k $6.4m $6.4m 0.31% Added +68.0k +67,962
11 Kraft, Davis & Associates, LLC 1.91% of their portfolio St. Louis, MO 138,509138.5k $6.3m $6.3m 1.91% Reduced -5.0k -5,046
12 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 119,201119.2k $5.4m $5.4m 0.01% Added +80.1k +80,106
13 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 115,624115.6k $5.2m $5.2m 0.00% Added +884 +884
14 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.01% of their portfolio BALA CYNWYD, PA 113,653113.7k $5.1m $5.1m 0.01% Reduced -84.7k -84,666
15 Squarepoint Ops LLC 0.02% of their portfolio NEW YORK, NY 112,941112.9k $5.1m $5.1m 0.02% Added +54.9k +54,893
16 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 109,244109.2k $4.9m $4.9m 0.00% Reduced -126.9k -126,930
17 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 107,441107.4k $4.9m $4.9m 0.02% Added +3.0k +3,001
18 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 105,732105.7k $4.8m $4.8m 0.01% Reduced -39.2k -39,248
19 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 104,150104.2k $4.7m $4.7m 0.01% Reduced -28.8k -28,812
20 JANE STREET GROUP, LLC 0.01% of their portfolio NEW YORK, NY 100,420100.4k $4.5m $4.5m 0.01% Reduced -283.5k -283,521
21 Private Advisor Group, LLC 0.03% of their portfolio MORRISTOWN, NJ 91,03691.0k $4.1m $4.1m 0.03% Reduced -28.9k -28,902
22 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 84,94484.9k $3.8m $3.8m 0.00% Added +10.7k +10,736
23 MML INVESTORS SERVICES, LLC 0.02% of their portfolio SPRINGFIELD, MA 80,71480.7k $3.7m $3.7m 0.02% Added +910 +910
24 Longbow Finance SA 0.37% of their portfolio LUTRY, V8 80,00080.0k $3.6m $3.6m 0.37% Unchanged
25 Destination Wealth Management 0.12% of their portfolio Walnut Creek, CA 77,06177.1k $3.5m $3.5m 0.12% Added +9.5k +9,519
26 Money Design Co.,Ltd. 0.18% of their portfolio TOKYO, M0 73,51073.5k $3.3m $3.3m 0.18% Added +2.8k +2,841
27 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 71,32571.3k $3.2m $3.2m 0.00% Added +31.2k +31,176
28 Susquehanna International Group Ltd. 0.75% of their portfolio DUBLIN, L2 69,91969.9k $3.2m $3.2m 0.75% Unchanged
29 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 60,74760.7k $2.8m $2.8m 0.00% Reduced -10.6k -10,563
30 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 54,19854.2k $2.5m $2.5m 0.00% Reduced -6.7k -6,702
31 OLD MISSION CAPITAL LLC 0.06% of their portfolio CHICAGO, IL 50,79650.8k $2.3m $2.3m 0.06% Added +18.3k +18,264
32 Kestra Advisory Services, LLC 0.02% of their portfolio AUSTIN, TX 50,43050.4k $2.3m $2.3m 0.02% Added +1.9k +1,944
33 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 49,93349.9k $2.3m $2.3m 0.00% Reduced -10.7k -10,712
34 Wealthfront Advisers LLC 0.01% of their portfolio Palo Alto, CA 44,03944.0k $2.0m $2.0m 0.01% Added +285 +285
35 Lido Advisors, LLC 0.02% of their portfolio Los Angeles, CA 40,08240.1k $1.8m $1.8m 0.02% Added +10.7k +10,688
36 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 37,69337.7k $1.7m $1.7m 0.00% Reduced -707 -707
37 Ameritas Advisory Services, LLC 0.07% of their portfolio Lincoln, NE 36,83536.8k $1.7m $1.7m 0.07% Added +10.0k +9,994
38 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 34,65934.7k $1.6m $1.6m 0.00% New
39 Canal Insurance CO 0.39% of their portfolio Greenville, SC 33,10033.1k $1.5m $1.5m 0.39% Unchanged
40 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 32,44332.4k $1.5m $1.5m 0.00% Reduced -1.1k -1,099
41 HRT FINANCIAL LP 0.01% of their portfolio NEW YORK, NY 30,44530.4k $1.4m $1.4m 0.01% Added +1.3k +1,335
42 Gerber Kawasaki Wealth & Investment Management 0.07% of their portfolio SANTA MONICA, CA 29,35929.4k $1.3m $1.3m 0.07% Reduced -62.3k -62,328
43 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 27,86927.9k $1.3m $1.3m 0.00% Reduced -599 -599
44 Banque Cantonale Vaudoise 0.05% of their portfolio LAUSANNE, V8 26,22726.2k $1.2m $1.2m 0.05% Added +5.5k +5,506
45 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 25,23425.2k $1.1m $1.1m 0.00% Added +3.3k +3,273
46 MIRABELLA FINANCIAL SERVICES LLP 0.08% of their portfolio London, X0 24,51024.5k $1.1m $1.1m 0.08% New
47 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 24,40624.4k $1.1m $1.1m 0.00% Reduced -3.7k -3,665
48 Phoenix Financial Ltd. 0.02% of their portfolio Givatayim, L3 24,00024.0k $1.1m $1.1m 0.02% New
49 Armor Investment Advisors, LLC 0.51% of their portfolio RALEIGH, NC 23,45023.4k $1.1m $1.1m 0.51% Added +5.8k +5,840
50 IHT Wealth Management, LLC 0.04% of their portfolio Chicago, IL 21,75321.8k $985.2k $985.2k 0.04% Reduced -2.2k -2,178
51 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 21,60021.6k $978.0k $978.0k 0.00% Reduced -24.9k -24,900
52 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 21,14121.1k $957.5k $957.5k 0.01% Reduced -10.2k -10,245
53 CREDIT SUISSE AG/ 0.00% of their portfolio ZURICH, V8 20,58220.6k $932.2k $932.2k 0.00% Reduced -41.8k -41,766
54 Mariner, LLC 0.00% of their portfolio Overland Park, KS 20,35620.4k $921.9k $921.9k 0.00% Reduced -1.7k -1,741
55 SG Americas Securities, LLC 0.00% of their portfolio NEW YORK, NY 19,34919.3k $876.0k $876.0k 0.00% Added +3.3k +3,307
56 MB Generational Wealth, LLC 0.00% of their portfolio SPOKANE, WA 19,13919.1k $2.3k $2.3k 0.00% New
57 Integrated Wealth Concepts LLC 0.01% of their portfolio WALTHAM, MA 19,00119.0k $860.6k $860.6k 0.01% Reduced -19.7k -19,651
58 Snowden Capital Advisors LLC 0.02% of their portfolio New York, NY 17,23717.2k $780.7k $780.7k 0.02% Added +2.0k +1,978
59 LINCOLN NATIONAL CORP 0.01% of their portfolio RADNOR, PA 17,15317.2k $776.9k $776.9k 0.01% Added +4.1k +4,093
60 Global Assets Advisory, LLC 0.01% of their portfolio ORLANDO, FL 17,09317.1k $375 $375 0.01% New
61 Walleye Trading LLC 0.01% of their portfolio NEW YORK, NY 16,21916.2k $734.6k $734.6k 0.01% New
62 SCOTIA CAPITAL INC. 0.00% of their portfolio TORONTO, A6 15,59915.6k $706.5k $706.5k 0.00% Reduced -243 -243
63 Sage Capital Management, LLC 0.37% of their portfolio Stockton, NJ 15,22615.2k $689.6k $689.6k 0.37% Added +833 +833
64 SHUFRO ROSE & CO LLC 0.06% of their portfolio NEW YORK, NY 14,75014.8k $668.0k $668.0k 0.06% Reduced -400 -400
65 PEAK6 Investments LLC 0.03% of their portfolio CHICAGO, IL 14,23514.2k $644.7k $644.7k 0.03% Added +9.1k +9,124
66 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 14,08214.1k $637.8k $637.8k 0.00% Reduced -32 -32
67 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 13,95614.0k $632.1k $632.1k 0.01% Reduced -12.4k -12,435
68 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 13,91713.9k $767.8k $767.8k 0.02% Reduced -95 -95
69 Eagle Strategies LLC 0.14% of their portfolio NEW YORK, NY 13,47813.5k $610.4k $610.4k 0.14% Reduced -8.2k -8,190
70 HBW ADVISORY SERVICES LLC 0.11% of their portfolio SIMI VALLEY, CA 13,29513.3k $569.0k $569.0k 0.11% Unchanged
71 Arrowroot Family Office, LLC 0.38% of their portfolio MARINA DEL REY, CA 13,12013.1k $594.2k $594.2k 0.38% Added +194 +194
72 DHK Financial Advisors, Inc. 0.41% of their portfolio PORTSMOUTH, NH 12,72812.7k $576.5k $576.5k 0.41% Unchanged
73 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 12,52512.5k $567.3k $567.3k 0.01% Added +1.3k +1,328
74 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 12,03012.0k $544.8k $544.8k 0.00% Reduced -2.4k -2,368
75 CWM, LLC 0.00% of their portfolio OMAHA, NE 11,74511.7k $532.0k $532.0k 0.00% Reduced -510 -510
76 StoneX Group Inc. 0.05% of their portfolio NEW YORK, NY 11,69811.7k $529.8k $529.8k 0.05% Added +1.9k +1,879
77 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 11,66311.7k $540.6k $540.6k 0.00% Reduced -2.3k -2,324
78 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 11,04111.0k $500.0k $500.0k 0.00% Reduced -9.4k -9,442
79 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 10,75810.8k $487.2k $487.2k 0.00% Added +1.5k +1,520
80 Waverly Advisors, LLC 0.01% of their portfolio BIRMINGHAM, AL 10,59610.6k $479.9k $479.9k 0.01% Reduced -374 -374
81 Stelac Advisory Services LLC 0.22% of their portfolio NEW YORK, NY 10,52010.5k $476.5k $476.5k 0.22% Unchanged
82 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 10,45310.5k $473.4k $473.4k 0.00% Added +1.6k +1,613
83 ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLC 0.17% of their portfolio New Cumberland, PA 10,29210.3k $466.1k $466.1k 0.17% Reduced -62.7k -62,694
84 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 10,11410.1k $458.0k $458.0k 0.00% Added +31 +31
85 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 9,96210.0k $451.2k $451.2k 0.00% Added +425 +425
86 Keel Point, LLC 0.05% of their portfolio HUNTSVILLE, AL 9,9319.9k $449.8k $449.8k 0.05% Reduced -122 -122
87 PFG Investments, LLC 0.03% of their portfolio WOODBURY, NY 9,7089.7k $439.7k $439.7k 0.03% Added +3.6k +3,576
88 RMR Wealth Builders 0.05% of their portfolio Montclair, NJ 9,5899.6k $434.3k $434.3k 0.05% Reduced -83 -83
89 Marex Group Ltd 0.01% of their portfolio London, X0 9,5549.6k $432.7k $432.7k 0.01% Reduced -533 -533
90 TOWNSQUARE CAPITAL LLC 0.01% of their portfolio Lehi, UT 9,4939.5k $429.9k $429.9k 0.01% Added +1.6k +1,589
91 INDEPENDENT FINANCIAL GROUP, LLC 0.02% of their portfolio SAN DIEGO, CA 9,4079.4k $426.1k $426.1k 0.02% Reduced -587 -587
92 Sigma Planning Corp 0.01% of their portfolio ANN ARBOR, MI 9,2349.2k $418.2k $418.2k 0.01% Added +2.1k +2,120
93 Parallel Advisors, LLC 0.01% of their portfolio SAN FRANCISCO, CA 9,0859.1k $411.5k $411.5k 0.01% Reduced -29 -29
94 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 8,9208.9k $404.0k $404.0k 0.01% Reduced -231 -231
95 Evolution Wealth Advisors, LLC 0.08% of their portfolio AVENTURA, FL 8,8708.9k $401.7k $401.7k 0.08% New
96 Kepos Capital LP 0.10% of their portfolio NEW YORK, NY 8,7648.8k $397.0k $397.0k 0.10% Added +4.3k +4,317
97 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 8,5958.6k $389.3k $389.3k 0.00% Reduced -2.7k -2,687
98 Clarity Capital Partners LLC 0.26% of their portfolio Newport Beach, CA 8,5778.6k $388.5k $388.5k 0.26% Added +1.4k +1,434
99 Cresset Asset Management, LLC 0.00% of their portfolio Chicago, IL 8,4978.5k $384.9k $384.9k 0.00% Added +656 +656
100 INSIGNEO ADVISORY SERVICES, LLC 0.05% of their portfolio MIAMI, FL 8,4748.5k $383.8k $383.8k 0.05% Reduced -135 -135