Vault-13

ISHARES TR SOXX

ISHARES SEMICDTR · ETP · CUSIP 464287523 · ISIN US4642875235

506 institutional holders +45 vs Q4 2022
7,177,4847.2m shares reported held*
$3.0bnreported value*
100 new 143 added 160 reduced 55 sold out net sold ≈ $209.8m (+41.5k 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 ($26.4m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $416.44. Options: 9 managers hold calls ($415.7m notional), 12 hold puts ($577.8m).

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 416Q4 22: 461Q1 23: 506506Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022416
Q4 2022461
Q1 2023506

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q4 22: 225 bought or addedQ4 22: 195 cut or sold outQ4 22Q1 23: 243 bought or addedQ1 23: 215 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022225195
Q1 2023243215

Calls vs puts

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

CallsPuts
$0$200m$400m$600mQ3 22 calls: $280.6mQ3 22 puts: $427.8mQ3 22P/C 1.52Q4 22 calls: $403.7mQ4 22 puts: $405.1mQ4 22P/C 1.00Q1 23 calls: $415.7mQ1 23 puts: $577.8mQ1 23P/C 1.39
Numbers
QuarterCallsPutsP/C
Q3 2022$280.6m$427.8m1.52
Q4 2022$403.7m$405.1m1.00
Q1 2023$415.7m$577.8m1.39

Biggest buyers

EP Wealth Advisors, LLC Added +449,257+449.3k
MONEY CONCEPTS CAPITAL CORP Added +141,589+141.6k
UBS Group AG Added +119,231+119.2k
NISSAY ASSET MANAGEMENT CORP /JAPAN New +91,265+91.3k
WELLS FARGO & COMPANY/MN Added +56,155+56.2k
MORGAN STANLEY Added +48,786+48.8k
Jump Financial, LLC New +45,433+45.4k
JPMORGAN CHASE & CO Added +39,367+39.4k
CITADEL ADVISORS LLC Added +39,053+39.1k
AMERIPRISE FINANCIAL INC Added +38,332+38.3k

Biggest sellers

GOLDMAN SACHS GROUP INC Reduced -244,402-244.4k
HEALTHCARE OF ONTARIO PENSION PLAN TRUST FUND Reduced -215,000-215.0k
BNP PARIBAS FINANCIAL MARKETS Reduced -205,176-205.2k
Twin Tree Management, LP Reduced -150,462-150.5k
CITIGROUP INC Reduced -108,950-109.0k
BARCLAYS PLC Reduced -81,601-81.6k
Southpoint Capital Advisors LP Sold out -80,000-80.0k
ASSETMARK, INC Reduced -52,595-52.6k
SUMITOMO MITSUI FINANCIAL GROUP, INC. Reduced -44,410-44.4k
STIFEL FINANCIAL CORP Reduced -35,836-35.8k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $266.7m599.5k shares
CITADEL ADVISORS LLC Added $93.8m210.9k shares
WOLVERINE TRADING, LLC New $19.4m43.9k shares
Parallax Volatility Advisers, L.P. Added $17.7m39.7k shares
MARSHALL WACE, LLP Reduced $15.5m34.9k shares
UBS Group AG Reduced $1.0m2.2k shares
PEAK6 Investments LLC Reduced $755.9k1.7k shares
Cutler Group LLC / CA Reduced $678.0k5.9k shares
Walleye Trading LLC Added $177.9k400 shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $288.7m649.0k shares
CITADEL ADVISORS LLC Added $143.1m321.9k shares
BARCLAYS PLC Added $28.5m64.0k shares
WOLVERINE TRADING, LLC New $24.6m55.7k shares
MILLENNIUM MANAGEMENT LLC New $22.2m50.0k shares
Atika Capital Management LLC New $22.2m500 shares
MARSHALL WACE, LLP Reduced $14.7m33.1k shares
UBS Group AG Added $13.3m30.0k shares
Parallax Volatility Advisers, L.P. Reduced $12.2m27.5k shares
BANK OF AMERICA CORP /DE/ Reduced $6.7m15.0k 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 MORGAN STANLEY 0.04% of their portfolio NEW YORK, NY 750,617750.6k $333.8m $333.8m 0.04% Added +48.8k +48,786
2 BANK OF AMERICA CORP /DE/ 0.03% of their portfolio CHARLOTTE, NC 645,761645.8k $287.2m $287.2m 0.03% Reduced -22.2k -22,221
3 UBS Group AG 0.11% of their portfolio ZURICH, V8 514,294514.3k $228.7m $228.7m 0.11% Added +119.2k +119,231
4 EP Wealth Advisors, LLC 0.54% of their portfolio TORRANCE, CA 452,481452.5k $31.5m $31.5m 0.54% Added +449.3k +449,257
5 GOLDMAN SACHS GROUP INC 0.04% of their portfolio NEW YORK, NY 365,185365.2k $162.4m $162.4m 0.04% Reduced -244.4k -244,402
6 JPMORGAN CHASE & CO 0.02% of their portfolio NEW YORK, NY 313,908313.9k $139.6m $139.6m 0.02% Added +39.4k +39,367
7 WELLS FARGO & COMPANY/MN 0.04% of their portfolio SAN FRANCISCO, CA 265,335265.3k $118.0m $118.0m 0.04% Added +56.2k +56,155
8 ASSETMARK, INC 0.48% of their portfolio CONCORD, CA 263,422263.4k $117.1m $117.1m 0.48% Reduced -52.6k -52,595
9 ROYAL BANK OF CANADA 0.02% of their portfolio TORONTO, A6 185,885185.9k $82.7m $82.7m 0.02% Added +33.7k +33,672
10 LPL Financial LLC 0.06% of their portfolio FORT MILL, SC 166,223166.2k $73.9m $73.9m 0.06% Added +11.9k +11,875
11 MONEY CONCEPTS CAPITAL CORP 0.17% of their portfolio PALM BEACH GARDENS, FL 147,234147.2k $3.0m $3.0m 0.17% Added +141.6k +141,589
12 HEALTHCARE OF ONTARIO PENSION PLAN TRUST FUND 0.29% of their portfolio TORONTO, A6 115,000115.0k $51.1m $51.1m 0.29% Reduced -215.0k -215,000
13 AMERIPRISE FINANCIAL INC 0.02% of their portfolio MINNEAPOLIS, MN 109,431109.4k $48.6m $48.6m 0.02% Added +38.3k +38,332
14 OSAIC HOLDINGS, INC. 0.08% of their portfolio SCOTTSDALE, AZ 93,27693.3k $41.4m $41.4m 0.08% Added +14.4k +14,420
15 NISSAY ASSET MANAGEMENT CORP /JAPAN 0.36% of their portfolio Tokyo, M0 91,26591.3k $40.6m $40.6m 0.36% New
16 ENVESTNET ASSET MANAGEMENT INC 0.02% of their portfolio Berwyn, PA 78,90078.9k $35.1m $35.1m 0.02% Added +24.7k +24,744
17 J.P. Morgan Private Wealth Advisors LLC 0.07% of their portfolio SAN FRANCISCO, CA 78,62678.6k $35.0m $35.0m 0.07% Added +2.3k +2,339
18 JANE STREET GROUP, LLC 0.06% of their portfolio NEW YORK, NY 72,07972.1k $32.1m $32.1m 0.06% Reduced -11.8k -11,842
19 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.05% of their portfolio BALA CYNWYD, PA 66,57266.6k $29.6m $29.6m 0.05% Added +21.0k +21,033
20 COMMONWEALTH EQUITY SERVICES, LLC 0.05% of their portfolio WALTHAM, MA 57,57857.6k $25.6m $25.6m 0.05% Added +9.5k +9,536
21 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.14% of their portfolio IRVING, TX 57,25057.2k $25.5m $25.5m 0.14% Reduced -3.3k -3,272
22 HighTower Advisors, LLC 0.05% of their portfolio CHICAGO, IL 56,64156.6k $25.1m $25.1m 0.05% Added +24.9k +24,893
23 CITIGROUP INC 0.03% of their portfolio NEW YORK, NY 55,90655.9k $24.9m $24.9m 0.03% Reduced -109.0k -108,950
24 Avalon Trust Co 2.27% of their portfolio SANTA FE, NM 51,45051.5k $22.9m $22.9m 2.27% First filing
25 MML INVESTORS SERVICES, LLC 0.16% of their portfolio SPRINGFIELD, MA 50,59850.6k $22.5m $22.5m 0.16% Added +32.9k +32,865
26 Jump Financial, LLC 0.82% of their portfolio Chicago, IL 45,43345.4k $20.2m $20.2m 0.82% New
27 CITADEL ADVISORS LLC 0.02% of their portfolio MIAMI, FL 44,61044.6k $19.8m $19.8m 0.02% Added +39.1k +39,053
28 BANCO BILBAO VIZCAYA ARGENTARIA, S.A. 0.23% of their portfolio Madrid, U3 41,84941.8k $18.6m $18.6m 0.23% Added +10.6k +10,602
29 Raymond James Financial Services Advisors, Inc. 0.03% of their portfolio ST. PETERSBURG, FL 41,45541.5k $18.4m $18.4m 0.03% Reduced -2.2k -2,236
30 Integrated Wealth Concepts LLC 0.37% of their portfolio WALTHAM, MA 40,71840.7k $18.1m $18.1m 0.37% Added +36.6k +36,576
31 Mirae Asset Global Investments Co., Ltd. 0.04% of their portfolio SEOUL, M5 39,57539.6k $17.6m $17.6m 0.04% Added +20.8k +20,827
32 Bulltick Wealth Management, LLC 4.61% of their portfolio Miami, FL 39,43439.4k $17.5m $17.5m 4.61% Reduced -130 -130
33 AFFINITY WEALTH MANAGEMENT LLC 4.11% of their portfolio WILMINGTON, DE 39,37339.4k $17.5m $17.5m 4.11% Reduced -6.3k -6,269
34 Corient Private Wealth LP 0.05% of their portfolio MIAMI, FL 37,72937.7k $16.8m $16.8m 0.05% Added +187 +187
35 FIRST NATIONAL CORP /MA/ /ADV 3.40% of their portfolio ROCKLAND, MA 32,10732.1k $14.3m $14.3m 3.40% Reduced -4.3k -4,314
36 BARCLAYS PLC 0.01% of their portfolio LONDON, X0 31,78231.8k $14.1m $14.1m 0.01% Reduced -81.6k -81,601
37 Cetera Advisor Networks LLC 0.10% of their portfolio EL SEGUNDO, CA 30,68830.7k $13.6m $13.6m 0.10% Added +2.3k +2,310
38 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.02% of their portfolio MILWAUKEE, WI 27,82227.8k $12.4m $12.4m 0.02% Reduced -295 -295
39 GREENWOOD GEARHART LLC 1.56% of their portfolio FAYETTEVILLE, AR 27,51927.5k $12.2m $12.2m 1.56% Added +571 +571
40 Yarbrough Capital, LLC 0.99% of their portfolio FRANKLIN, TN 27,46127.5k $12.2m $12.2m 0.99% Unchanged
41 WELLINGTON MANAGEMENT GROUP LLP 0.00% of their portfolio Boston, MA 27,04027.0k $12.0m $12.0m 0.00% New
42 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 26,87026.9k $11.9m $11.9m 0.01% Reduced -828 -828
43 Cambridge Investment Research Advisors, Inc. 0.06% of their portfolio FAIRFIELD, IA 26,72926.7k $11.9m $11.9m 0.06% Added +1.1k +1,064
44 STIFEL FINANCIAL CORP 0.02% of their portfolio ST. LOUIS, MO 24,81024.8k $11.0m $11.0m 0.02% Reduced -35.8k -35,836
45 Harel Insurance Investments & Financial Services Ltd. 0.22% of their portfolio Ramat Gan, L3 24,34624.3k $10.8m $10.8m 0.22% Added +15.9k +15,906
46 Atria Wealth Solutions, Inc. 0.16% of their portfolio NEW YORK, NY 24,25224.3k $10.8m $10.8m 0.16% Added +2.1k +2,134
47 BNP PARIBAS FINANCIAL MARKETS 0.02% of their portfolio PARIS, I0 24,02024.0k $10.7m $10.7m 0.02% Reduced -205.2k -205,176
48 OPPENHEIMER & CO INC 0.22% of their portfolio NEW YORK, NY 23,67323.7k $10.5m $10.5m 0.22% Reduced -1.2k -1,195
49 FIL Ltd 0.01% of their portfolio HAMILTON, D0 22,60122.6k $10.0m $10.0m 0.01% New
50 Legend Financial Advisors, Inc. 8.12% of their portfolio PITTSBURGH, PA 21,75221.8k $9.7m $9.7m 8.12% Added +67 +67
51 GM Advisory Group, LLC 0.83% of their portfolio MELVILLE, NY 20,57520.6k $9.1m $9.1m 0.83% Added +1.2k +1,212
52 NewEdge Advisors, LLC 0.11% of their portfolio NEW ORLEANS, LA 20,54520.5k $9.1m $9.1m 0.11% Reduced -5.5k -5,527
53 Ramiah Investment Group 8.21% of their portfolio BROOKFIELD, WI 20,37320.4k $9.1m $9.1m 8.21% New
54 BANK HAPOALIM BM 1.22% of their portfolio TEL AVIV, L3 19,79319.8k $8.8m $8.8m 1.22% Added +4.1k +4,063
55 Twin Tree Management, LP 0.25% of their portfolio DALLAS, TX 19,75919.8k $8.8m $8.8m 0.25% Reduced -150.5k -150,462
56 TD Waterhouse Canada Inc. 0.09% of their portfolio TORONTO, A6 19,00619.0k $9.0m $9.0m 0.09% Added +818 +818
57 360 Financial, Inc. 4.43% of their portfolio WAYZATA, MN 18,85918.9k $8.4m $8.4m 4.43% Added +898 +898
58 Kestra Advisory Services, LLC 0.09% of their portfolio AUSTIN, TX 18,41818.4k $8.2m $8.2m 0.09% Reduced -3.8k -3,827
59 Thrivent Financial for Lutherans 0.02% of their portfolio Minneapolis, MN 17,33417.3k $7.7m $7.7m 0.02% Reduced -277 -277
60 Traynor Capital Management, Inc. 1.11% of their portfolio MALVERN, PA 16,59616.6k $7.4m $7.4m 1.11% Reduced -4.2k -4,179
61 Clark Capital Management Group, Inc. 0.08% of their portfolio PHILADELPHIA, PA 16,54116.5k $7.4m $7.4m 0.08% New
62 Tower Research Capital LLC (TRC) 0.23% of their portfolio NEW YORK, NY 16,42116.4k $7.3m $7.3m 0.23% Reduced -10.4k -10,397
63 CREDIT SUISSE AG/ 0.01% of their portfolio ZURICH, V8 16,33416.3k $7.3m $7.3m 0.01% Reduced -7.8k -7,810
64 KFG WEALTH MANAGEMENT, LLC 4.77% of their portfolio GRANGER, IN 16,26316.3k $6.9m $6.9m 4.77% New
65 COMMERCE BANK 0.06% of their portfolio KANSAS CITY, MO 16,15116.2k $7.2m $7.2m 0.06% Added +650 +650
66 CMH Wealth Management LLC 2.07% of their portfolio PORTSMOUTH, NH 16,08316.1k $7.2m $7.2m 2.07% Added +93 +93
67 Freedom Investment Management, Inc. 0.80% of their portfolio SOUTH WINDSOR, CT 15,84415.8k $7.0m $7.0m 0.80% Added +11.8k +11,754
68 Advisory Services Network, LLC 0.19% of their portfolio ATLANTA, GA 15,37015.4k $6.8m $6.8m 0.19% Added +3.6k +3,560
69 Portfolio Strategies, Inc. 1.30% of their portfolio MONTVALE, NJ 15,03415.0k $6.7m $6.7m 1.30% New
70 MinichMacGregor Wealth Management, LLC 2.18% of their portfolio Saratoga Springs, NY 14,80914.8k $6.6m $6.6m 2.18% Added +14.5k +14,500
71 GREENUP STREET WEALTH MANAGEMENT LLC 2.31% of their portfolio OVERLAND PARK, KS 14,78214.8k $6.6m $6.6m 2.31% Added +7.0k +7,026
72 Northstar Advisory Group, LLC 4.87% of their portfolio NORTHFIELD, NJ 14,63914.6k $6.5m $6.5m 4.87% New
73 Norris Financial Group, LLC 4.68% of their portfolio GREENVILLE, SC 14,36214.4k $6.4m $6.4m 4.68% Added +4.8k +4,817
74 Financial Partners Group, Inc 1.42% of their portfolio Overland Park, KS 14,31814.3k $6.4m $6.4m 1.42% Reduced -184 -184
75 MARTIN & CO INC /TN/ 1.48% of their portfolio Knoxville, TN 12,92012.9k $5.7m $5.7m 1.48% Reduced -305 -305
76 AE Wealth Management LLC 0.04% of their portfolio TOPEKA, KS 12,92012.9k $5.7m $5.7m 0.04% Added +794 +794
77 DONALDSON CAPITAL MANAGEMENT, LLC 0.27% of their portfolio EVANSVILLE, IN 12,72112.7k $5.7m $5.7m 0.27% Added +31 +31
78 Fisher Asset Management, LLC 0.00% of their portfolio PLANO, TX 12,70412.7k $5.6m $5.6m 0.00% Reduced -690 -690
79 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 12,16712.2k $5.4m $5.4m 0.01% Added +378 +378
80 WOODMONT INVESTMENT COUNSEL LLC 0.58% of their portfolio NASHVILLE, TN 12,15812.2k $5.4m $5.4m 0.58% New
81 Cetera Investment Advisers 0.05% of their portfolio SCHAUMBURG, IL 12,14612.1k $5.4m $5.4m 0.05% Added +2.3k +2,305
82 Paragon Wealth Strategies, LLC 3.23% of their portfolio JACKSONVILLE, FL 11,93411.9k $5.3m $5.3m 3.23% New
83 Lindbrook Capital, LLC 0.60% of their portfolio CALABASAS, CA 11,46011.5k $5.1m $5.1m 0.60% Added +138 +138
84 Chicago Wealth Management, Inc. 4.01% of their portfolio CHICAGO, IL 11,34011.3k $5.0m $5.0m 4.01% New
85 NOVARE CAPITAL MANAGEMENT LLC 0.57% of their portfolio CHARLOTTE, NC 11,30111.3k $5.0m $5.0m 0.57% Reduced -272 -272
86 TOTH FINANCIAL ADVISORY CORP 0.77% of their portfolio LEESBURG, VA 11,17311.2k $5.0m $5.0m 0.77% Added +718 +718
87 U.S. Capital Wealth Advisors, LLC 0.23% of their portfolio AUSTIN, TX 11,14811.1k $5.0m $5.0m 0.23% Added +382 +382
88 Private Advisor Group, LLC 0.05% of their portfolio MORRISTOWN, NJ 10,93410.9k $4.9m $4.9m 0.05% New
89 Kingsview Wealth Management, LLC 0.19% of their portfolio GRANTS PASS, OR 10,25010.2k $4.6m $4.6m 0.19% New
90 Migdal Insurance & Financial Holdings Ltd. 0.10% of their portfolio Petach Tikva, L3 10,20110.2k $4.5m $4.5m 0.10% Added +146 +146
91 SUMITOMO MITSUI FINANCIAL GROUP, INC. 0.14% of their portfolio TOKYO, M0 10,03610.0k $4.5m $4.5m 0.14% Reduced -44.4k -44,410
92 Annandale Capital, LLC 1.38% of their portfolio DALLAS, TX 9,8009.8k $4.4m $4.4m 1.38% Unchanged
93 Adams Wealth Management 1.40% of their portfolio LOGAN, UT 9,7199.7k $4.3m $4.3m 1.40% Reduced -315 -315
94 Fulton Bank, N.A. 0.22% of their portfolio Lancaster, PA 9,5569.6k $4.2m $4.2m 0.22% Reduced -408 -408
95 Aveo Capital Partners, LLC 0.57% of their portfolio ENGLEWOOD, CO 9,5529.6k $4.2m $4.2m 0.57% Added +1.8k +1,800
96 Mariner, LLC 0.01% of their portfolio Overland Park, KS 9,4899.5k $4.2m $4.2m 0.01% Added +302 +302
97 Well Done, LLC 0.88% of their portfolio HOLLAND, MI 9,1979.2k $4.1m $4.1m 0.88% New
98 THEORY FINANCIAL LLC 2.45% of their portfolio FORT COLLINS, CO 9,1709.2k $4.1m $4.1m 2.45% Reduced -742 -742
99 Bremer Bank National Association 0.79% of their portfolio ST PAUL, MN 9,1319.1k $4.1m $4.1m 0.79% Unchanged
100 Gerber Kawasaki Wealth & Investment Management 0.32% of their portfolio SANTA MONICA, CA 9,1159.1k $4.1m $4.1m 0.32% Added +75 +75