Vault-13

ISHARES TR SOXX

ISHARES SEMICDTR · ETP · CUSIP 464287523 · ISIN US4642875235

630 institutional holders +105 vs Q3 2023
8,625,6618.6m shares reported held*
$5.0bnreported value*
113 new 210 added 172 reduced 42 sold out net bought ≈ $801.6m (+1.4m 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 ($3.4m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $575.54. Options: 11 managers hold calls ($425.6m notional), 19 hold puts ($850.4m).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0250500750Q3 22: 416Q4 22: 461Q1 23: 506Q2 23: 524Q3 23: 525Q4 23: 630630Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022416
Q4 2022461
Q1 2023506
Q2 2023524
Q3 2023525
Q4 2023630

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 23Q4 23: 323 bought or addedQ4 23: 214 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022225195
Q1 2023243215
Q2 2023241233
Q3 2023241219
Q4 2023323214

Calls vs puts

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

CallsPuts
$0$250m$500m$750m$1bnQ1 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 2.16Q4 23 calls: $425.6mQ4 23 puts: $850.4mQ4 23P/C 2.00
Numbers
QuarterCallsPutsP/C
Q1 2023$415.7m$577.8m1.39
Q2 2023$524.9m$569.1m1.08
Q3 2023$306.9m$663.8m2.16
Q4 2023$425.6m$850.4m2.00

Biggest buyers

JPMORGAN CHASE & CO Added +754,080+754.1k
MORGAN STANLEY Added +473,072+473.1k
MERCER GLOBAL ADVISORS INC /ADV Added +466,661+466.7k
JANE STREET GROUP, LLC Added +107,275+107.3k
Squarepoint Ops LLC New +105,027+105.0k
BNP PARIBAS FINANCIAL MARKETS Added +101,165+101.2k
CITADEL ADVISORS LLC Added +91,250+91.2k
CITIGROUP INC Added +59,771+59.8k
IMC-Chicago, LLC New +56,378+56.4k
EDMOND DE ROTHSCHILD HOLDING S.A. Added +22,504+22.5k

Biggest sellers

GOLDMAN SACHS GROUP INC Reduced -153,026-153.0k
UBS Group AG Reduced -145,470-145.5k
BANK OF AMERICA CORP /DE/ Reduced -127,340-127.3k
BANK OF NOVA SCOTIA Reduced -124,210-124.2k
Jump Financial, LLC Reduced -98,864-98.9k
GMT Capital Corp Sold out -78,310-78.3k
WELLINGTON MANAGEMENT GROUP LLP Sold out -55,626-55.6k
TWO SIGMA ADVISERS, LP Sold out -46,300-46.3k
UNITED CAPITAL FINANCIAL ADVISORS, LLC Reduced -38,381-38.4k
BARCLAYS PLC Reduced -31,628-31.6k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $242.7m421.3k shares
CITADEL ADVISORS LLC Added $111.4m193.4k shares
WOLVERINE TRADING, LLC Reduced $34.1m59.2k shares
MARSHALL WACE, LLP Reduced $17.5m30.3k shares
GTS SECURITIES LLC Added $12.6m21.9k shares
UBS Group AG New $3.3m5.8k shares
PEAK6 Investments LLC Added $2.8m4.9k shares
Parallax Volatility Advisers, L.P. Reduced $518.5k900 shares
MILLENNIUM MANAGEMENT LLC New $345.7k600 shares
Walleye Trading LLC New $172.8k300 shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $468.8m813.8k shares
CITADEL ADVISORS LLC Added $156.3m271.3k shares
Polar Asset Management Partners Inc. Added $54.2m94.0k shares
WOLVERINE TRADING, LLC Added $42.4m73.6k shares
GTS SECURITIES LLC Added $31.5m54.7k shares
MARSHALL WACE, LLP Reduced $30.4m52.8k shares
Walleye Capital LLC Added $14.1m24.5k shares
Walleye Trading LLC Added $9.7m16.9k shares
CloudAlpha Capital Management Limited/Hong Kong Added $9.2m16.0k shares
Parallax Volatility Advisers, L.P. Reduced $8.9m15.5k 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 JPMORGAN CHASE & CO 0.04% of their portfolio NEW YORK, NY 1,296,8761.3m $747.1m $747.1m 0.04% Added +754.1k +754,080
2 MORGAN STANLEY 0.03% of their portfolio NEW YORK, NY 1,044,5781.0m $601.8m $601.8m 0.03% Added +473.1k +473,072
3 BANK OF AMERICA CORP /DE/ 0.05% of their portfolio CHARLOTTE, NC 750,242750.2k $432.2m $432.2m 0.05% Reduced -127.3k -127,340
4 MERCER GLOBAL ADVISORS INC /ADV 0.81% of their portfolio DENVER, CO 469,705469.7k $270.6m $270.6m 0.81% Added +466.7k +466,661
5 BNP PARIBAS FINANCIAL MARKETS 0.33% of their portfolio PARIS, I0 314,289314.3k $181.1m $181.1m 0.33% Added +101.2k +101,165
6 UBS Group AG 0.06% of their portfolio ZURICH, V8 252,940252.9k $145.7m $145.7m 0.06% Reduced -145.5k -145,470
7 WELLS FARGO & COMPANY/MN 0.04% of their portfolio SAN FRANCISCO, CA 238,970239.0k $137.7m $137.7m 0.04% Added +2.1k +2,104
8 JANE STREET GROUP, LLC 0.16% of their portfolio NEW YORK, NY 223,199223.2k $128.6m $128.6m 0.16% Added +107.3k +107,275
9 LPL Financial LLC 0.07% of their portfolio FORT MILL, SC 203,172203.2k $117.0m $117.0m 0.07% Added +12.7k +12,713
10 GOLDMAN SACHS GROUP INC 0.02% of their portfolio NEW YORK, NY 197,762197.8k $113.9m $113.9m 0.02% Reduced -153.0k -153,026
11 SUMITOMO MITSUI FINANCIAL GROUP, INC. 2.47% of their portfolio TOKYO, M0 135,334135.3k $78.0m $78.0m 2.47% Added +335 +335
12 ROYAL BANK OF CANADA 0.02% of their portfolio TORONTO, A6 117,365117.4k $67.6m $67.6m 0.02% Reduced -26.8k -26,773
13 ASSETMARK, INC 0.22% of their portfolio CONCORD, CA 106,701106.7k $61.5m $61.5m 0.22% Reduced -20.3k -20,339
14 Squarepoint Ops LLC 0.25% of their portfolio NEW YORK, NY 105,027105.0k $60.5m $60.5m 0.25% New
15 OSAIC HOLDINGS, INC. 0.11% of their portfolio SCOTTSDALE, AZ 104,525104.5k $60.3m $60.3m 0.11% Reduced -28.9k -28,932
16 CITADEL ADVISORS LLC 0.05% of their portfolio MIAMI, FL 92,34192.3k $53.2m $53.2m 0.05% Added +91.2k +91,250
17 CITIGROUP INC 0.07% of their portfolio NEW YORK, NY 89,60289.6k $51.6m $51.6m 0.07% Added +59.8k +59,771
18 AMERIPRISE FINANCIAL INC 0.01% of their portfolio MINNEAPOLIS, MN 83,14983.1k $47.9m $47.9m 0.01% Added +2.8k +2,846
19 HEALTHCARE OF ONTARIO PENSION PLAN TRUST FUND 0.16% of their portfolio TORONTO, A6 80,00080.0k $46.1m $46.1m 0.16% Unchanged
20 COMMONWEALTH EQUITY SERVICES, LLC 0.08% of their portfolio WALTHAM, MA 71,56871.6k $41.2m $41.2m 0.08% Added +11.5k +11,498
21 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 60,72860.7k $35.0m $35.0m 0.01% Added +2.5k +2,514
22 MML INVESTORS SERVICES, LLC 0.16% of their portfolio SPRINGFIELD, MA 60,00260.0k $34.6m $34.6m 0.16% Added +5.0k +4,959
23 HighTower Advisors, LLC 0.06% of their portfolio CHICAGO, IL 57,56157.6k $33.2m $33.2m 0.06% Added +2.3k +2,318
24 Cambridge Investment Research Advisors, Inc. 0.14% of their portfolio FAIRFIELD, IA 57,49857.5k $33.1m $33.1m 0.14% Added +1.3k +1,326
25 IMC-Chicago, LLC 1.04% of their portfolio CHICAGO, IL 56,37856.4k $32.5m $32.5m 1.04% New
26 Rockefeller Capital Management L.P. 0.10% of their portfolio NEW YORK, NY 54,25854.3k $31.3m $31.3m 0.10% Added +1.5k +1,498
27 Avalon Trust Co 2.65% of their portfolio SANTA FE, NM 50,32550.3k $29.0m $29.0m 2.65% Reduced -415 -415
28 EDMOND DE ROTHSCHILD HOLDING S.A. 0.51% of their portfolio CHAMBESY, V8 49,00149.0k $28.2m $28.2m 0.51% Added +22.5k +22,504
29 Mirae Asset Global Investments Co., Ltd. 0.05% of their portfolio SEOUL, M5 45,91445.9k $26.5m $26.5m 0.05% Reduced -7.2k -7,184
30 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.03% of their portfolio MILWAUKEE, WI 43,46343.5k $25.1m $25.1m 0.03% Added +2.3k +2,314
31 STIFEL FINANCIAL CORP 0.03% of their portfolio ST. LOUIS, MO 43,14543.1k $24.9m $24.9m 0.03% Added +3.3k +3,309
32 AFFINITY WEALTH MANAGEMENT LLC 5.10% of their portfolio WILMINGTON, DE 43,11243.1k $24.8m $24.8m 5.10% Added +3.0k +3,039
33 Integrated Wealth Concepts LLC 0.39% of their portfolio WALTHAM, MA 41,15541.2k $23.7m $23.7m 0.39% Reduced -135 -135
34 SPC Financial, Inc. 2.31% of their portfolio ROCKVILLE, MD 39,36839.4k $22.7m $22.7m 2.31% Reduced -275 -275
35 Turim 21 Investimentos Ltda. 7.21% of their portfolio RIO DE JANEIRO, D5 39,15939.2k $22.6m $22.6m 7.21% Reduced -68 -68
36 Corient Private Wealth LP 0.04% of their portfolio MIAMI, FL 36,49136.5k $21.0m $21.0m 0.04% Reduced -412 -412
37 Bulltick Wealth Management, LLC 4.47% of their portfolio Miami, FL 33,88633.9k $19.5m $19.5m 4.47% Reduced -1.4k -1,400
38 FIL Ltd 0.02% of their portfolio HAMILTON, D0 31,85131.9k $18.3m $18.3m 0.02% Added +9.0k +8,982
39 Advisory Services Network, LLC 0.45% of their portfolio ATLANTA, GA 31,84231.8k $18.3m $18.3m 0.45% Added +2.3k +2,321
40 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 31,26431.3k $18.0m $18.0m 0.01% Added +2.8k +2,756
41 Raymond James Financial Services Advisors, Inc. 0.03% of their portfolio ST. PETERSBURG, FL 29,62329.6k $17.1m $17.1m 0.03% Reduced -13.8k -13,785
42 GREENWOOD GEARHART LLC 1.79% of their portfolio FAYETTEVILLE, AR 29,10429.1k $16.8m $16.8m 1.79% Added +442 +442
43 Harel Insurance Investments & Financial Services Ltd. 0.28% of their portfolio Ramat Gan, L3 27,95328.0k $16.1m $16.1m 0.28% Reduced -18 -18
44 Yarbrough Capital, LLC 0.83% of their portfolio FRANKLIN, TN 27,46127.5k $15.8m $15.8m 0.83% Unchanged
45 TRUIST FINANCIAL CORP 0.02% of their portfolio CHARLOTTE, NC 25,72425.7k $14.8m $14.8m 0.02% Added +837 +837
46 Atria Wealth Solutions, Inc. 0.19% of their portfolio NEW YORK, NY 25,59025.6k $14.7m $14.7m 0.19% Added +2.1k +2,120
47 Cetera Advisor Networks LLC 0.08% of their portfolio EL SEGUNDO, CA 25,19025.2k $14.5m $14.5m 0.08% Reduced -3.7k -3,744
48 OPPENHEIMER & CO INC 0.26% of their portfolio NEW YORK, NY 24,75724.8k $14.3m $14.3m 0.26% Reduced -49 -49
49 Troluce Capital Advisors LLC 5.32% of their portfolio DORADO, PR 22,20022.2k $12.8m $12.8m 5.32% New
50 SG Americas Securities, LLC 0.14% of their portfolio NEW YORK, NY 21,29821.3k $12.3m $12.3m 0.14% Added +20.1k +20,136
51 GM Advisory Group, LLC 0.91% of their portfolio MELVILLE, NY 20,82720.8k $12.0m $12.0m 0.91% Reduced -57 -57
52 Kestra Advisory Services, LLC 0.09% of their portfolio AUSTIN, TX 20,20620.2k $11.6m $11.6m 0.09% Added +387 +387
53 BANCO BILBAO VIZCAYA ARGENTARIA, S.A. 0.13% of their portfolio Madrid, U3 19,63019.6k $11.3m $11.3m 0.13% Reduced -4.1k -4,052
54 Analyst IMS Investment Management Services Ltd. 0.59% of their portfolio Tel-aviv, L3 19,58319.6k $11.3m $11.3m 0.59% New
55 BANK HAPOALIM BM 1.54% of their portfolio TEL AVIV, L3 19,51319.5k $11.2m $11.2m 1.54% Added +915 +915
56 Gray Foundation 3.82% of their portfolio Cohoes, NY 18,76718.8k $10.8m $10.8m 3.82% First filing
57 TD Waterhouse Canada Inc. 0.10% of their portfolio TORONTO, A6 18,60318.6k $11.0m $11.0m 0.10% Reduced -1.2k -1,220
58 360 Financial, Inc. 4.70% of their portfolio WAYZATA, MN 18,49418.5k $10.7m $10.7m 4.70% Added +791 +791
59 Legend Financial Advisors, Inc. 8.41% of their portfolio PITTSBURGH, PA 18,16218.2k $10.5m $10.5m 8.41% Reduced -342 -342
60 Mariner, LLC 0.02% of their portfolio Overland Park, KS 18,12218.1k $10.4m $10.4m 0.02% Added +7.3k +7,257
61 VALLEY WEALTH MANAGERS, INC. 0.78% of their portfolio PARAMUS, NJ 17,43217.4k $10.0m $10.0m 0.78% Reduced -367 -367
62 Portfolio Strategies, Inc. 1.62% of their portfolio MONTVALE, NJ 16,96717.0k $9.8m $9.8m 1.62% Added +1.5k +1,521
63 CMH Wealth Management LLC 2.28% of their portfolio PORTSMOUTH, NH 16,30216.3k $9.4m $9.4m 2.28% Reduced -203 -203
64 Chicago Wealth Management, Inc. 6.30% of their portfolio CHICAGO, IL 16,00316.0k $9.2m $9.2m 6.30% New
65 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.07% of their portfolio IRVING, TX 15,65015.7k $9.0m $9.0m 0.07% Reduced -38.4k -38,381
66 FIRST NATIONAL CORP /MA/ /ADV 2.19% of their portfolio ROCKLAND, MA 15,51815.5k $8.9m $8.9m 2.19% Added +1.2k +1,212
67 COMMERCE BANK 0.06% of their portfolio KANSAS CITY, MO 15,41915.4k $8.9m $8.9m 0.06% Reduced -1.2k -1,231
68 TOTH FINANCIAL ADVISORY CORP 1.19% of their portfolio LEESBURG, VA 15,25115.3k $8.8m $8.8m 1.19% Added +656 +656
69 GREENUP STREET WEALTH MANAGEMENT LLC 2.44% of their portfolio OVERLAND PARK, KS 15,22315.2k $8.8m $8.8m 2.44% Added +511 +511
70 MONTAG A & ASSOCIATES INC 0.49% of their portfolio ATLANTA, GA 15,19715.2k $8.8m $8.8m 0.49% Added +1.1k +1,144
71 MinichMacGregor Wealth Management, LLC 2.28% of their portfolio Saratoga Springs, NY 13,70613.7k $7.9m $7.9m 2.28% Reduced -877 -877
72 Financial Partners Group, Inc 1.35% of their portfolio Overland Park, KS 13,06913.1k $7.5m $7.5m 1.35% Reduced -93 -93
73 Fulton Bank, N.A. 0.34% of their portfolio Lancaster, PA 13,06313.1k $7.5m $7.5m 0.34% Added +253 +253
74 KESTRA PRIVATE WEALTH SERVICES, LLC 0.19% of their portfolio AUSTIN, TX 12,58712.6k $7.3m $7.3m 0.19% Added +1.7k +1,694
75 WOODMONT INVESTMENT COUNSEL LLC 0.64% of their portfolio NASHVILLE, TN 11,95612.0k $6.9m $6.9m 0.64% Added +199 +199
76 Traynor Capital Management, Inc. 0.79% of their portfolio MALVERN, PA 11,89611.9k $6.9m $6.9m 0.79% Reduced -2.1k -2,144
77 Financial Advocates Investment Management 0.02% of their portfolio OLYMPIA, WA 11,68611.7k $370.4k $370.4k 0.02% New
78 Fisher Asset Management, LLC 0.00% of their portfolio PLANO, TX 11,65511.7k $6.7m $6.7m 0.00% Reduced -1.4k -1,444
79 Sterling Manor Financial, LLC 5.68% of their portfolio Saratoga Springs, NY 11,64711.6k $6.7m $6.7m 5.68% Added +95 +95
80 Cetera Investment Advisers 0.05% of their portfolio SCHAUMBURG, IL 11,64111.6k $6.7m $6.7m 0.05% Added +3.9k +3,901
81 NOVARE CAPITAL MANAGEMENT LLC 0.68% of their portfolio CHARLOTTE, NC 11,55711.6k $6.7m $6.7m 0.68% Added +180 +180
82 Legacy Edge Advisors, LLC 1.52% of their portfolio SYOSSET, NY 11,52211.5k $6.6m $6.6m 1.52% First filing
83 Lindbrook Capital, LLC 0.66% of their portfolio CALABASAS, CA 11,44411.4k $6.6m $6.6m 0.66% Reduced -60 -60
84 Meridian Wealth Management, LLC 0.42% of their portfolio LEXINGTON, KY 11,39511.4k $6.6m $6.6m 0.42% Added +1.0k +1,033
85 DONALDSON CAPITAL MANAGEMENT, LLC 0.29% of their portfolio EVANSVILLE, IN 11,17511.2k $6.4m $6.4m 0.29% Added +77 +77
86 AE Wealth Management LLC 0.03% of their portfolio TOPEKA, KS 11,14711.1k $6.7m $6.7m 0.03% Reduced -2.9k -2,874
87 Royal Fund Management, LLC 0.80% of their portfolio Lady Lake, FL 10,92410.9k $6.3m $6.3m 0.80% New
88 OVERSEA-CHINESE BANKING Corp Ltd 0.22% of their portfolio SINGAPORE, U0 10,75010.8k $6.2m $6.2m 0.22% Added +6.1k +6,130
89 Wellington Shields Capital Management, LLC 0.74% of their portfolio NEW YORK, NY 10,28710.3k $5.9m $5.9m 0.74% Added +1.1k +1,050
90 Strategic Blueprint, LLC 0.48% of their portfolio ATLANTA, GA 10,06110.1k $5.8m $5.8m 0.48% Added +2.2k +2,218
91 Spectrum Wealth Counsel, LLC 0.79% of their portfolio INDIANAPOLIS, IN 9,8699.9k $5.7m $5.7m 0.79% First filing
92 LOWE BROCKENBROUGH & CO INC 0.44% of their portfolio RICHMOND, VA 9,8149.8k $5.7m $5.7m 0.44% Added +1.7k +1,710
93 Adams Wealth Management 1.67% of their portfolio LOGAN, UT 9,7799.8k $5.6m $5.6m 1.67% Reduced -852 -852
94 Gerber Kawasaki Wealth & Investment Management 0.33% of their portfolio SANTA MONICA, CA 9,5719.6k $5.5m $5.5m 0.33% Added +530 +530
95 NewEdge Advisors, LLC 0.05% of their portfolio NEW ORLEANS, LA 9,4119.4k $5.5m $5.5m 0.05% Reduced -10.3k -10,316
96 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.02% of their portfolio PLYMOUTH, MN 9,1839.2k $5.3m $5.3m 0.02% Added +2.0k +2,002
97 Florin Court Capital LLP 5.42% of their portfolio London, X0 8,9008.9k $5.1m $5.1m 5.42% New
98 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 8,8608.9k $5.1m $5.1m 0.00% Reduced -31.6k -31,628
99 Private Advisor Group, LLC 0.04% of their portfolio MORRISTOWN, NJ 8,7298.7k $5.0m $5.0m 0.04% Added +158 +158
100 Kingsview Wealth Management, LLC 0.15% of their portfolio GRANTS PASS, OR 8,7098.7k $5.0m $5.0m 0.15% Added +995 +995