Vault-13

ISHARES TR SOXX

ISHARES SEMICDTR · ETP · CUSIP 464287523 · ISIN US4642875235

525 institutional holders +1 vs Q2 2023
7,154,8937.2m shares reported held*
$3.4bnreported value*
55 new 186 added 164 reduced 55 sold out net bought ≈ $401.4m (+837.2k 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 ($26.5m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $473.96. Options: 9 managers hold calls ($306.9m notional), 16 hold puts ($663.8m).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 416Q4 22: 461Q1 23: 506Q2 23: 524Q3 23: 525525Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022416
Q4 2022461
Q1 2023506
Q2 2023524
Q3 2023525

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 23Q2 23: 241 bought or addedQ2 23: 233 cut or sold outQ2 23Q3 23: 241 bought or addedQ3 23: 219 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022225195
Q1 2023243215
Q2 2023241233
Q3 2023241219

Calls vs puts

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

CallsPuts
$0$200m$400m$600m$800mQ4 22 calls: $403.7mQ4 22 puts: $405.1mQ4 22P/C 1.00Q1 23 calls: $415.7mQ1 23 puts: $577.8mQ1 23P/C 1.39Q2 23 calls: $524.9mQ2 23 puts: $569.1mQ2 23P/C 1.08Q3 23 calls: $306.9mQ3 23 puts: $663.8mQ3 23P/C 2.16
Numbers
QuarterCallsPutsP/C
Q4 2022$403.7m$405.1m1.00
Q1 2023$415.7m$577.8m1.39
Q2 2023$524.9m$569.1m1.08
Q3 2023$306.9m$663.8m2.16

Biggest buyers

BANK OF AMERICA CORP /DE/ Added +181,739+181.7k
SUMITOMO MITSUI FINANCIAL GROUP, INC. Added +126,035+126.0k
BANK OF NOVA SCOTIA Added +123,790+123.8k
GOLDMAN SACHS GROUP INC Added +105,501+105.5k
JANE STREET GROUP, LLC Added +91,864+91.9k
Jump Financial, LLC Added +84,941+84.9k
GMT Capital Corp New +78,310+78.3k
OSAIC HOLDINGS, INC. Added +48,573+48.6k
TWO SIGMA ADVISERS, LP New +46,300+46.3k
Turim 21 Investimentos Ltda. New +39,227+39.2k

Biggest sellers

CITIGROUP INC Reduced -44,616-44.6k
HEALTHCARE OF ONTARIO PENSION PLAN TRUST FUND Reduced -35,000-35.0k
CITADEL ADVISORS LLC Reduced -28,298-28.3k
BNP PARIBAS FINANCIAL MARKETS Reduced -22,595-22.6k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -21,429-21.4k
AMERIPRISE FINANCIAL INC Reduced -18,246-18.2k
WELLS FARGO & COMPANY/MN Reduced -15,925-15.9k
J.P. Morgan Private Wealth Advisors LLC Reduced -13,241-13.2k
MILLENNIUM MANAGEMENT LLC Sold out -12,800-12.8k
FIRST NATIONAL CORP /MA/ /ADV Reduced -11,798-11.8k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $142.8m301.4k shares
CITADEL ADVISORS LLC Reduced $91.2m192.6k shares
WOLVERINE TRADING, LLC Added $30.7m64.9k shares
MARSHALL WACE, LLP Added $20.0m42.3k shares
Qube Research & Technologies Ltd New $10.0m21.2k shares
GTS SECURITIES LLC New $8.2m17.4k shares
Parallax Volatility Advisers, L.P. Reduced $2.9m6.1k shares
Cutler Group LLC / CA Added $861.0k17.7k shares
PEAK6 Investments LLC Reduced $94.7k200 shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $360.6m761.4k shares
CITADEL ADVISORS LLC Added $110.0m232.2k shares
Scion Asset Management, LLC New $47.4m100.0k shares
MARSHALL WACE, LLP Added $30.2m63.8k shares
Polar Asset Management Partners Inc. New $27.5m58.0k shares
WOLVERINE TRADING, LLC Reduced $26.4m55.7k shares
Parallax Volatility Advisers, L.P. Added $22.8m48.1k shares
GTS SECURITIES LLC New $13.0m27.4k shares
BARCLAYS PLC Unchanged $11.4m24.0k shares
Qube Research & Technologies Ltd New $3.9m8.2k 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, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 BANK OF AMERICA CORP /DE/ 0.05% of their portfolio CHARLOTTE, NC 877,582877.6k $415.7m $415.7m 0.05% Added +181.7k +181,739
2 MORGAN STANLEY 0.03% of their portfolio NEW YORK, NY 571,506571.5k $270.7m $270.7m 0.03% Added +10.6k +10,601
3 JPMORGAN CHASE & CO 0.03% of their portfolio NEW YORK, NY 542,796542.8k $257.1m $257.1m 0.03% Added +39.1k +39,053
4 UBS Group AG 0.09% of their portfolio ZURICH, V8 398,410398.4k $188.7m $188.7m 0.09% Added +278 +278
5 GOLDMAN SACHS GROUP INC 0.04% of their portfolio NEW YORK, NY 350,788350.8k $166.2m $166.2m 0.04% Added +105.5k +105,501
6 WELLS FARGO & COMPANY/MN 0.04% of their portfolio SAN FRANCISCO, CA 236,866236.9k $112.2m $112.2m 0.04% Reduced -15.9k -15,925
7 BNP PARIBAS FINANCIAL MARKETS 0.22% of their portfolio PARIS, I0 213,124213.1k $100.9m $100.9m 0.22% Reduced -22.6k -22,595
8 LPL Financial LLC 0.06% of their portfolio FORT MILL, SC 190,459190.5k $90.2m $90.2m 0.06% Added +12.4k +12,376
9 ROYAL BANK OF CANADA 0.02% of their portfolio TORONTO, A6 144,138144.1k $68.3m $68.3m 0.02% Reduced -10.9k -10,891
10 SUMITOMO MITSUI FINANCIAL GROUP, INC. 2.06% of their portfolio TOKYO, M0 134,999135.0k $63.9m $63.9m 2.06% Added +126.0k +126,035
11 OSAIC HOLDINGS, INC. 0.09% of their portfolio SCOTTSDALE, AZ 133,457133.5k $63.3m $63.3m 0.09% Added +48.6k +48,573
12 BANK OF NOVA SCOTIA 0.16% of their portfolio TORONTO, A6 129,220129.2k $61.2m $61.2m 0.16% Added +123.8k +123,790
13 ASSETMARK, INC 0.24% of their portfolio CONCORD, CA 127,040127.0k $60.2m $60.2m 0.24% Reduced -8.0k -8,035
14 JANE STREET GROUP, LLC 0.09% of their portfolio NEW YORK, NY 115,924115.9k $54.9m $54.9m 0.09% Added +91.9k +91,864
15 Jump Financial, LLC 1.89% of their portfolio Chicago, IL 107,311107.3k $50.8m $50.8m 1.89% Added +84.9k +84,941
16 AMERIPRISE FINANCIAL INC 0.01% of their portfolio MINNEAPOLIS, MN 80,30380.3k $38.9m $38.9m 0.01% Reduced -18.2k -18,246
17 HEALTHCARE OF ONTARIO PENSION PLAN TRUST FUND 0.17% of their portfolio TORONTO, A6 80,00080.0k $37.9m $37.9m 0.17% Reduced -35.0k -35,000
18 GMT Capital Corp 1.40% of their portfolio ATLANTA, GA 78,31078.3k $37.1m $37.1m 1.40% New
19 J.P. Morgan Private Wealth Advisors LLC 0.08% of their portfolio SAN FRANCISCO, CA 61,26261.3k $29.0m $29.0m 0.08% Reduced -13.2k -13,241
20 COMMONWEALTH EQUITY SERVICES, LLC 0.06% of their portfolio WALTHAM, MA 60,07060.1k $28.5m $28.5m 0.06% Added +4.2k +4,158
21 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 58,21458.2k $27.6m $27.6m 0.01% Added +1.7k +1,684
22 Cambridge Investment Research Advisors, Inc. 0.12% of their portfolio FAIRFIELD, IA 56,17256.2k $26.6m $26.6m 0.12% Added +22.6k +22,589
23 WELLINGTON MANAGEMENT GROUP LLP 0.01% of their portfolio Boston, MA 55,62655.6k $26.3m $26.3m 0.01% Added +21.5k +21,468
24 HighTower Advisors, LLC 0.05% of their portfolio CHICAGO, IL 55,24355.2k $26.0m $26.0m 0.05% Reduced -2.3k -2,254
25 MML INVESTORS SERVICES, LLC 0.14% of their portfolio SPRINGFIELD, MA 55,04355.0k $26.1m $26.1m 0.14% Added +3.7k +3,705
26 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.17% of their portfolio IRVING, TX 54,03154.0k $25.6m $25.6m 0.17% Reduced -2.0k -2,001
27 Mirae Asset Global Investments Co., Ltd. 0.06% of their portfolio SEOUL, M5 53,09853.1k $25.1m $25.1m 0.06% Added +592 +592
28 Rockefeller Capital Management L.P. 0.10% of their portfolio NEW YORK, NY 52,76052.8k $25.0m $25.0m 0.10% Added +9.9k +9,880
29 Avalon Trust Co 2.38% of their portfolio SANTA FE, NM 50,74050.7k $24.0m $24.0m 2.38% Reduced -375 -375
30 TWO SIGMA ADVISERS, LP 0.06% of their portfolio NEW YORK, NY 46,30046.3k $21.9m $21.9m 0.06% New
31 Raymond James Financial Services Advisors, Inc. 0.04% of their portfolio ST. PETERSBURG, FL 43,40843.4k $20.6m $20.6m 0.04% Added +9.1k +9,073
32 Integrated Wealth Concepts LLC 0.34% of their portfolio WALTHAM, MA 41,29041.3k $19.6m $19.6m 0.34% Reduced -323 -323
33 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.03% of their portfolio MILWAUKEE, WI 41,14941.1k $19.5m $19.5m 0.03% Added +6.5k +6,528
34 BARCLAYS PLC 0.01% of their portfolio LONDON, X0 40,48840.5k $19.2m $19.2m 0.01% Reduced -6.2k -6,161
35 AFFINITY WEALTH MANAGEMENT LLC 4.37% of their portfolio WILMINGTON, DE 40,07340.1k $19.0m $19.0m 4.37% Added +786 +786
36 STIFEL FINANCIAL CORP 0.03% of their portfolio ST. LOUIS, MO 39,83639.8k $18.9m $18.9m 0.03% Reduced -541 -541
37 SPC Financial, Inc. 2.11% of their portfolio ROCKVILLE, MD 39,64339.6k $18.8m $18.8m 2.11% Added +872 +872
38 Turim 21 Investimentos Ltda. 8.18% of their portfolio RIO DE JANEIRO, D5 39,22739.2k $18.6m $18.6m 8.18% New
39 Corient Private Wealth LP 0.04% of their portfolio MIAMI, FL 36,90336.9k $17.5m $17.5m 0.04% Reduced -413 -413
40 Bulltick Wealth Management, LLC 4.17% of their portfolio Miami, FL 35,28635.3k $16.8m $16.8m 4.17% Reduced -3.0k -3,048
41 HRT FINANCIAL LP 0.16% of their portfolio NEW YORK, NY 31,61031.6k $15.0m $15.0m 0.16% Added +2.2k +2,240
42 CITIGROUP INC 0.02% of their portfolio NEW YORK, NY 29,83129.8k $14.1m $14.1m 0.02% Reduced -44.6k -44,616
43 Advisory Services Network, LLC 0.38% of their portfolio ATLANTA, GA 29,52129.5k $14.0m $14.0m 0.38% Added +491 +491
44 Cetera Advisor Networks LLC 0.09% of their portfolio EL SEGUNDO, CA 28,93428.9k $13.7m $13.7m 0.09% Added +2.5k +2,537
45 GREENWOOD GEARHART LLC 1.61% of their portfolio FAYETTEVILLE, AR 28,66228.7k $13.6m $13.6m 1.61% Added +315 +315
46 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 28,50828.5k $13.5m $13.5m 0.01% Added +455 +455
47 Harel Insurance Investments & Financial Services Ltd. 0.26% of their portfolio Ramat Gan, L3 27,97128.0k $13.3m $13.3m 0.26% Added +27.5k +27,525
48 Yarbrough Capital, LLC 0.76% of their portfolio FRANKLIN, TN 27,46127.5k $13.0m $13.0m 0.76% Unchanged
49 EDMOND DE ROTHSCHILD HOLDING S.A. 0.25% of their portfolio CHAMBESY, V8 26,49726.5k $12.6m $12.6m 0.25% Added +25.6k +25,576
50 Paragon Wealth Strategies, LLC 3.74% of their portfolio JACKSONVILLE, FL 26,45626.5k $12.5m $12.5m 3.74% Added +278 +278
51 TRUIST FINANCIAL CORP 0.02% of their portfolio CHARLOTTE, NC 24,88724.9k $11.8m $11.8m 0.02% Added +13.5k +13,477
52 OPPENHEIMER & CO INC 0.24% of their portfolio NEW YORK, NY 24,80624.8k $11.7m $11.7m 0.24% Added +38 +38
53 Twin Tree Management, LP 0.38% of their portfolio DALLAS, TX 24,18224.2k $11.5m $11.5m 0.38% Added +8.1k +8,122
54 BANCO BILBAO VIZCAYA ARGENTARIA, S.A. 0.15% of their portfolio Madrid, U3 23,68223.7k $11.3m $11.3m 0.15% Added +4.8k +4,797
55 Atria Wealth Solutions, Inc. 0.16% of their portfolio NEW YORK, NY 23,47023.5k $11.1m $11.1m 0.16% Added +764 +764
56 NISSAY ASSET MANAGEMENT CORP /JAPAN 0.10% of their portfolio Tokyo, M0 23,31423.3k $11.0m $11.0m 0.10% Added +17.1k +17,061
57 FIL Ltd 0.01% of their portfolio HAMILTON, D0 22,86922.9k $10.8m $10.8m 0.01% Reduced -11.4k -11,357
58 GM Advisory Group, LLC 0.81% of their portfolio MELVILLE, NY 20,88420.9k $9.9m $9.9m 0.81% Added +341 +341
59 TD Waterhouse Canada Inc. 0.11% of their portfolio TORONTO, A6 19,82319.8k $10.4m $10.4m 0.11% Added +2.5k +2,481
60 Kestra Advisory Services, LLC 0.09% of their portfolio AUSTIN, TX 19,81919.8k $9.4m $9.4m 0.09% Added +530 +530
61 NewEdge Advisors, LLC 0.10% of their portfolio NEW ORLEANS, LA 19,72719.7k $9.3m $9.3m 0.10% Reduced -777 -777
62 BANK HAPOALIM BM 1.43% of their portfolio TEL AVIV, L3 18,59818.6k $8.8m $8.8m 1.43% Reduced -2.2k -2,204
63 Legend Financial Advisors, Inc. 7.48% of their portfolio PITTSBURGH, PA 18,50418.5k $8.8m $8.8m 7.48% Reduced -226 -226
64 VALLEY WEALTH MANAGERS, INC. 0.70% of their portfolio PARAMUS, NJ 17,79917.8k $8.4m $8.4m 0.70% New
65 360 Financial, Inc. 5.24% of their portfolio WAYZATA, MN 17,70317.7k $8.4m $8.4m 5.24% Reduced -1.0k -1,022
66 COMMERCE BANK 0.06% of their portfolio KANSAS CITY, MO 16,65016.6k $7.9m $7.9m 0.06% Added +764 +764
67 CMH Wealth Management LLC 2.19% of their portfolio PORTSMOUTH, NH 16,50516.5k $7.8m $7.8m 2.19% Added +77 +77
68 Portfolio Strategies, Inc. 1.41% of their portfolio MONTVALE, NJ 15,44615.4k $7.3m $7.3m 1.41% Added +421 +421
69 GREENUP STREET WEALTH MANAGEMENT LLC 2.28% of their portfolio OVERLAND PARK, KS 14,71214.7k $7.0m $7.0m 2.28% Reduced -6 -6
70 TOTH FINANCIAL ADVISORY CORP 1.05% of their portfolio LEESBURG, VA 14,59514.6k $6.9m $6.9m 1.05% Added +801 +801
71 MinichMacGregor Wealth Management, LLC 2.29% of their portfolio Saratoga Springs, NY 14,58314.6k $6.9m $6.9m 2.29% Added +111 +111
72 FIRST NATIONAL CORP /MA/ /ADV 1.82% of their portfolio ROCKLAND, MA 14,30614.3k $6.8m $6.8m 1.82% Reduced -11.8k -11,798
73 MONTAG A & ASSOCIATES INC 0.42% of their portfolio ATLANTA, GA 14,05314.1k $6.7m $6.7m 0.42% Reduced -3.6k -3,584
74 Traynor Capital Management, Inc. 0.89% of their portfolio MALVERN, PA 14,04014.0k $6.7m $6.7m 0.89% Reduced -457 -457
75 AE Wealth Management LLC 0.04% of their portfolio TOPEKA, KS 14,02114.0k $6.6m $6.6m 0.04% Added +288 +288
76 Financial Partners Group, Inc 1.29% of their portfolio Overland Park, KS 13,16213.2k $6.3m $6.3m 1.29% Reduced -457 -457
77 Fisher Asset Management, LLC 0.00% of their portfolio PLANO, TX 13,09913.1k $6.2m $6.2m 0.00% Added +236 +236
78 Fulton Bank, N.A. 0.29% of their portfolio Lancaster, PA 12,81012.8k $6.1m $6.1m 0.29% Reduced -200 -200
79 WOODMONT INVESTMENT COUNSEL LLC 0.59% of their portfolio NASHVILLE, TN 11,75711.8k $5.6m $5.6m 0.59% Added +155 +155
80 Sterling Manor Financial, LLC 4.95% of their portfolio Saratoga Springs, NY 11,55211.6k $5.5m $5.5m 4.95% New
81 Lindbrook Capital, LLC 0.61% of their portfolio CALABASAS, CA 11,50411.5k $5.4m $5.4m 0.61% Reduced -12 -12
82 NOVARE CAPITAL MANAGEMENT LLC 0.61% of their portfolio CHARLOTTE, NC 11,37711.4k $5.4m $5.4m 0.61% Added +243 +243
83 DONALDSON CAPITAL MANAGEMENT, LLC 0.25% of their portfolio EVANSVILLE, IN 11,09811.1k $5.3m $5.3m 0.25% Reduced -1.4k -1,367
84 KESTRA PRIVATE WEALTH SERVICES, LLC 0.16% of their portfolio AUSTIN, TX 10,89310.9k $5.2m $5.2m 0.16% Added +1.1k +1,098
85 Mariner, LLC 0.01% of their portfolio Overland Park, KS 10,86510.9k $5.1m $5.1m 0.01% Added +238 +238
86 Adams Wealth Management 1.71% of their portfolio LOGAN, UT 10,63110.6k $5.0m $5.0m 1.71% Added +450 +450
87 Meridian Wealth Management, LLC 0.30% of their portfolio LEXINGTON, KY 10,36210.4k $4.9m $4.9m 0.30% Added +6.4k +6,390
88 INDEPENDENT FINANCIAL GROUP, LLC 0.31% of their portfolio SAN DIEGO, CA 9,9359.9k $4.7m $4.7m 0.31% Added +153 +153
89 U.S. Capital Wealth Advisors, LLC 0.21% of their portfolio AUSTIN, TX 9,7539.8k $4.6m $4.6m 0.21% Reduced -2.1k -2,128
90 Wellington Shields Capital Management, LLC 0.58% of their portfolio NEW YORK, NY 9,2379.2k $4.4m $4.4m 0.58% Added +137 +137
91 CREDIT AGRICOLE S A 0.13% of their portfolio Montrouge Cedex, I0 9,2019.2k $4.4m $4.4m 0.13% Added +2.2k +2,181
92 Gerber Kawasaki Wealth & Investment Management 0.29% of their portfolio SANTA MONICA, CA 9,0419.0k $4.3m $4.3m 0.29% Reduced -140 -140
93 Well Done, LLC 0.92% of their portfolio HOLLAND, MI 8,7288.7k $4.1m $4.1m 0.92% Reduced -298 -298
94 David J Yvars Group 3.44% of their portfolio UNIVERSITY PARK, FL 8,7118.7k $4.1m $4.1m 3.44% Added +7.4k +7,389
95 MARTIN & CO INC /TN/ 1.07% of their portfolio Knoxville, TN 8,6428.6k $4.1m $4.1m 1.07% Reduced -3.7k -3,723
96 Private Advisor Group, LLC 0.04% of their portfolio MORRISTOWN, NJ 8,5718.6k $4.1m $4.1m 0.04% Added +7 +7
97 Thrivent Financial for Lutherans 0.01% of their portfolio Minneapolis, MN 8,2678.3k $3.9m $3.9m 0.01% Reduced -10.0k -10,041
98 LOWE BROCKENBROUGH & CO INC 0.30% of their portfolio RICHMOND, VA 8,1048.1k $3.9m $3.9m 0.30% Added +181 +181
99 Strategic Blueprint, LLC 0.34% of their portfolio ATLANTA, GA 7,8437.8k $3.7m $3.7m 0.34% Reduced -27 -27
100 Kelly Financial Services LLC 1.69% of their portfolio BRAINTREE, MA 7,7907.8k $3.7m $3.7m 1.69% Added +323 +323