Vault-13

NORTHERN LIGHTS FD TR DUKZ

OCEAN PARK DIVER · ETP · CUSIP 66538J282

17 institutional holders +3 vs Q1 2026
1,622,2471.6m shares reported held*
$41.6mreported value*
5 new 10 added 2 reduced 2 sold out net bought ≈ $13.8m (+538.4k 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 ≈ $25.62.

Trends to Q2 2026

Institutional holders

Managers reporting a position, each quarter

01020Q3 24: 5Q4 24: 4Q1 25: 7Q2 25: 6Q3 25: 6Q4 25: 10Q1 26: 14Q2 26: 1717Q3 24Q1 25Q3 25Q1 26Q2 26
Numbers
QuarterHolders
Q3 20245
Q4 20244
Q1 20257
Q2 20256
Q3 20256
Q4 202510
Q1 202614
Q2 202617

Buyers vs sellers

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

Bought or addedCut or sold out
20020Q4 24: 3 bought or addedQ4 24: 1 cut or sold outQ4 24Q1 25: 5 bought or addedQ1 25: 1 cut or sold outQ2 25: 1 bought or addedQ2 25: 3 cut or sold outQ2 25Q3 25: 1 bought or addedQ3 25: 3 cut or sold outQ4 25: 8 bought or addedQ4 25: 2 cut or sold outQ4 25Q1 26: 11 bought or addedQ1 26: 3 cut or sold outQ2 26: 15 bought or addedQ2 26: 4 cut or sold outQ2 26
Numbers
QuarterBought or addedCut or sold out
Q4 202431
Q1 202551
Q2 202513
Q3 202513
Q4 202582
Q1 2026113
Q2 2026154

Biggest buyers

Cambridge Investment Research Advisors, Inc. Added +232,207+232.2k
COMMONWEALTH EQUITY SERVICES, LLC Added +80,429+80.4k
Independent Wealth Network Inc. New +79,950+80.0k
ENVESTNET ASSET MANAGEMENT INC Added +42,278+42.3k
BUILDER INVESTMENT GROUP INC /ADV New +40,254+40.3k
INDEPENDENT FINANCIAL GROUP, LLC Added +15,363+15.4k
VestGen Advisors, LLC Added +15,011+15.0k
SUSQUEHANNA INTERNATIONAL GROUP, LLP New +13,668+13.7k
OSAIC HOLDINGS, INC. New +10,000+10.0k
Mutual Advisors, LLC Added +8,690+8.7k

Biggest sellers

SIGNATURE ESTATE & INVESTMENT ADVISORS LLC Reduced -6,744-6.7k
Farther Finance Advisors, LLC Sold out -4,201-4.2k
HARBOUR INVESTMENTS, INC. Reduced -500-500
UBS Group AG Sold out -210-210

Holders, Q2 2026

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Spartan Wealth Advisory Services LLC 0.86% of their portfolio BINGHAM FARMS, MI 407,807407.8k $10.4m $10.4m 0.86% Added +3.3k +3,286
2 VestGen Advisors, LLC 0.25% of their portfolio CHICAGO, IL 332,545332.5k $8.5m $8.5m 0.25% Added +15.0k +15,011
3 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 262,632262.6k $6.7m $6.7m 0.01% Added +232.2k +232,207
4 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 235,918235.9k $6.0m $6.0m 0.00% Added +42.3k +42,278
5 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 97,56397.6k $2.5m $2.5m 0.00% Added +80.4k +80,429
6 Independent Wealth Network Inc. 0.52% of their portfolio URBANDALE, IA 79,95080.0k $2.0m $2.0m 0.52% New
7 INDEPENDENT FINANCIAL GROUP, LLC 0.03% of their portfolio SAN DIEGO, CA 64,72664.7k $1.7m $1.7m 0.03% Added +15.4k +15,363
8 BUILDER INVESTMENT GROUP INC /ADV 0.20% of their portfolio ATLANTA, GA 40,25440.3k $1.0m $1.0m 0.20% New
9 Mutual Advisors, LLC 0.01% of their portfolio OMAHA, NE 30,95131.0k $793.0k $793.0k 0.01% Added +8.7k +8,690
10 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 13,66813.7k $350.2k $350.2k 0.00% New
11 PARK AVENUE SECURITIES LLC 0.00% of their portfolio NEW YORK, NY 10,40310.4k $267.0k $267.0k 0.00% Added +756 +756
12 Envestnet Portfolio Solutions, Inc. 0.00% of their portfolio BERWYN, PA 10,10110.1k $258.8k $258.8k 0.00% Added +23 +23
13 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 10,00010.0k $256.2k $256.2k 0.00% New
14 Ocean Park Asset Management, LLC 0.01% of their portfolio SANTA MONICA, CA 8,9118.9k $228.3k $228.3k 0.01% Added +280 +280
15 SIGNATURE ESTATE & INVESTMENT ADVISORS LLC 0.00% of their portfolio LOS ANGELES, CA 8,8248.8k $226.1k $226.1k 0.00% Reduced -6.7k -6,744
16 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 7,8977.9k $202.3k $202.3k 0.00% New
17 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 9797 $2.5k $2.5k 0.00% Reduced -500 -500