Vault-13

SIMPLIFY EXCHANGE TRADED FUN TUA

SHORT TERM TREA · ETP · CUSIP 82889N657

80 institutional holders +1 vs Q4 2023
14,997,74215.0m shares reported held*
$327.1mreported value*
23 new 23 added 29 reduced 22 sold out net sold ≈ $295.9m (-13.5m 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 ≈ $21.81. Options: 1 managers hold calls ($1.3m notional), 1 hold puts ($5.4m).

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

050100Q4 22: 15Q1 23: 20Q2 23: 34Q3 23: 37Q4 23: 79Q1 24: 8080Q4 22Q1 23Q2 23Q3 23Q4 23Q1 24
Numbers
QuarterHolders
Q4 202215
Q1 202320
Q2 202334
Q3 202337
Q4 202379
Q1 202480

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q1 23: 17 bought or addedQ1 23: 6 cut or sold outQ1 23Q2 23: 22 bought or addedQ2 23: 11 cut or sold outQ2 23Q3 23: 23 bought or addedQ3 23: 17 cut or sold outQ3 23Q4 23: 60 bought or addedQ4 23: 19 cut or sold outQ4 23Q1 24: 46 bought or addedQ1 24: 51 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q1 2023176
Q2 20232211
Q3 20232317
Q4 20236019
Q1 20244651

Calls vs puts

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

CallsPuts
$0$2m$4m$6mQ2 23 calls: $206.8kQ2 23 puts: $0Q2 23P/C 0.00Q3 23 calls: $0Q3 23 puts: $0Q3 23P/C —Q4 23 calls: $215.3kQ4 23 puts: $2.6mQ4 23P/C 12.23Q1 24 calls: $1.3mQ1 24 puts: $5.4mQ1 24P/C 4.05
Numbers
QuarterCallsPutsP/C
Q2 2023$206.8k$00.00
Q3 2023$0$0—
Q4 2023$215.3k$2.6m12.23
Q1 2024$1.3m$5.4m4.05

Biggest buyers

Financial Enhancement Group LLC New +1,332,545+1.3m
Aprio Wealth Management, LLC New +856,987+857.0k
GOLDMAN SACHS GROUP INC New +634,568+634.6k
CITADEL ADVISORS LLC Added +591,955+592.0k
Proficio Capital Partners LLC New +524,024+524.0k
SOUTHERN FARM BUREAU LIFE INSURANCE New +437,050+437.1k
WJ Interests, LLC Added +237,712+237.7k
Ferguson Shapiro LLC New +199,419+199.4k
JANE STREET GROUP, LLC Added +184,895+184.9k
Mid-American Wealth Advisory Group, Inc. New +154,912+154.9k

Biggest sellers

Municipal Employees' Retirement System of Michigan Reduced -15,900,379-15.9m
Trek Financial, LLC Reduced -1,631,496-1.6m
STEPHENS INC /AR/ Reduced -296,898-296.9k
Herr Investment Group LLC Reduced -208,840-208.8k
Dakota Wealth Management Reduced -166,355-166.4k
Simplify Asset Management Inc. Reduced -158,009-158.0k
PEAK FINANCIAL ADVISORS LLC Reduced -149,572-149.6k
Lloyd Advisory Services, LLC. Sold out -91,543-91.5k
HAP Trading, LLC Sold out -84,343-84.3k
NEW YORK STATE COMMON RETIREMENT FUND Reduced -76,413-76.4k

Biggest calls

CITADEL ADVISORS LLC Added $1.3m61.2k shares

Biggest puts

CITADEL ADVISORS LLC Added $5.4m247.6k 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 Financial Enhancement Group LLC 4.66% of their portfolio ANDERSON, IN 1,332,5451.3m $28.4m $28.4m 4.66% New
2 HOLLENCREST CAPITAL MANAGEMENT 1.26% of their portfolio NEWPORT BEACH, CA 1,253,4141.3m $27.4m $27.4m 1.26% Added +54.8k +54,830
3 Aprio Wealth Management, LLC 3.67% of their portfolio ATLANTA, GA 856,987857.0k $18.7m $18.7m 3.67% New
4 AE Wealth Management LLC 0.18% of their portfolio TOPEKA, KS 715,097715.1k $15.6m $15.6m 0.18% Added +51.2k +51,199
5 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 634,568634.6k $13.9m $13.9m 0.00% New
6 Municipal Employees' Retirement System of Michigan 0.18% of their portfolio LANSING, MI 634,568634.6k $13.9m $13.9m 0.18% Reduced -15.9m -15,900,379
7 CITADEL ADVISORS LLC 0.01% of their portfolio MIAMI, FL 626,584626.6k $13.7m $13.7m 0.01% Added +592.0k +591,955
8 Herr Investment Group LLC 3.64% of their portfolio AUSTIN, TX 535,395535.4k $11.7m $11.7m 3.64% Reduced -208.8k -208,840
9 Proficio Capital Partners LLC 1.26% of their portfolio NEWTON, MA 524,024524.0k $11.5m $11.5m 1.26% New
10 Ancora Advisors LLC 0.24% of their portfolio Cleveland, OH 483,500483.5k $10.6m $10.6m 0.24% Added +100.0k +100,000
11 SOUTHERN FARM BUREAU LIFE INSURANCE 1.58% of their portfolio JACKSON, MS 437,050437.1k $9.6m $9.6m 1.58% New
12 Longview Financial Advisors, Inc. 6.85% of their portfolio HUNTSVILLE, AL 417,020417.0k $9.1m $9.1m 6.85% Reduced -23.6k -23,595
13 Rockefeller Capital Management L.P. 0.02% of their portfolio NEW YORK, NY 377,762377.8k $8.3m $8.3m 0.02% Reduced -67.7k -67,720
14 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 375,024375.0k $8.2m $8.2m 0.01% Added +37.0k +37,049
15 NEW YORK STATE COMMON RETIREMENT FUND 0.01% of their portfolio ALBANY, NY 367,081367.1k $8.0m $8.0m 0.01% Reduced -76.4k -76,413
16 SCHRODER INVESTMENT MANAGEMENT GROUP 0.01% of their portfolio London, X0 367,081367.1k $8.0m $8.0m 0.01% Reduced -76.4k -76,413
17 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 308,200308.2k $6.7m $6.7m 0.00% Reduced -13.0k -12,996
18 Dakota Wealth Management 0.16% of their portfolio PALM BEACH GARDENS, FL 298,643298.6k $6.5m $6.5m 0.16% Reduced -166.4k -166,355
19 PEAK FINANCIAL ADVISORS LLC 3.94% of their portfolio DENVER, CO 296,043296.0k $6.5m $6.5m 3.94% Reduced -149.6k -149,572
20 WJ Interests, LLC 3.35% of their portfolio SUGAR LAND, TX 290,578290.6k $6.4m $6.4m 3.35% Added +237.7k +237,712
21 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 289,962290.0k $6.3m $6.3m 0.00% Reduced -12.3k -12,260
22 Gladstone Institutional Advisory LLC 0.33% of their portfolio Bedminster, NJ 271,600271.6k $5.9m $5.9m 0.33% Added +148.0k +147,985
23 JANE STREET GROUP, LLC 0.01% of their portfolio NEW YORK, NY 249,514249.5k $5.5m $5.5m 0.01% Added +184.9k +184,895
24 Almanack Investment Partners, LLC. 0.86% of their portfolio WAYNE, PA 232,156232.2k $5.1m $5.1m 0.86% Added +57.5k +57,473
25 Ferguson Shapiro LLC 2.01% of their portfolio DECATUR, GA 199,419199.4k $4.4m $4.4m 2.01% New
26 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 192,675192.7k $4.2m $4.2m 0.00% Reduced -338 -338
27 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 187,677187.7k $4.1m $4.1m 0.01% Reduced -1.3k -1,276
28 Simplify Asset Management Inc. 0.39% of their portfolio Las Vegas, NV 186,315186.3k $4.1m $4.1m 0.39% Reduced -158.0k -158,009
29 Pekin Hardy Strauss, Inc. 0.54% of their portfolio CHICAGO, IL 181,249181.2k $4.0m $4.0m 0.54% Added +19.6k +19,650
30 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 180,721180.7k $4.0m $4.0m 0.00% Reduced -65.6k -65,571
31 Mid-American Wealth Advisory Group, Inc. 2.29% of their portfolio KANSAS CITY, MO 154,912154.9k $3.4m $3.4m 2.29% New
32 ALTFEST L J & CO INC 0.41% of their portfolio NEW YORK, NY 132,259132.3k $2.9m $2.9m 0.41% Added +1.9k +1,895
33 Cumberland Partners Ltd 0.20% of their portfolio TORONTO, A6 124,037124.0k $2.7m $2.7m 0.20% Added +54.0k +54,037
34 Belpointe Asset Management LLC 0.20% of their portfolio RENO, NV 119,638119.6k $2.6m $2.6m 0.20% Added +1.9k +1,925
35 Trek Financial, LLC 0.19% of their portfolio Scottsdale, AZ 110,650110.7k $2.4m $2.4m 0.19% Reduced -1.6m -1,631,496
36 PRINCIPAL SECURITIES, INC. 0.05% of their portfolio DES MOINES, IA 70,51770.5k $1.5m $1.5m 0.05% Added +2.0k +1,962
37 STEPHENS INC /AR/ 0.02% of their portfolio LITTLE ROCK, AR 70,41070.4k $1.5m $1.5m 0.02% Reduced -296.9k -296,898
38 Great Lakes Retirement, Inc. 0.22% of their portfolio SANDUSKY, OH 69,46169.5k $1.5m $1.5m 0.22% Added +40.5k +40,505
39 NWAM LLC 0.12% of their portfolio MERCER ISLAND, WA 69,40069.4k $1.5m $1.5m 0.12% New
40 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 69,31969.3k $1.5m $1.5m 0.00% Added +1.1k +1,086
41 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 63,68863.7k $1.4m $1.4m 0.00% Reduced -738 -738
42 BLUEFIN CAPITAL MANAGEMENT, LLC 0.18% of their portfolio NEW YORK, NY 50,00050.0k $1.1m $1.1m 0.18% Unchanged
43 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 44,61244.6k $975.7k $975.7k 0.00% Reduced -1.4k -1,423
44 Authentikos Wealth Advisory, LLC 0.97% of their portfolio MORGAN HILL, CA 44,25544.3k $967.9k $967.9k 0.97% Added +32.1k +32,101
45 FDx Advisors, Inc. 0.14% of their portfolio BERWYN, PA 41,50841.5k $908.0k $908.0k 0.14% Reduced -1.4k -1,417
46 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 38,55538.6k $843.2k $843.2k 0.00% Added +4.0k +4,047
47 OLD MISSION CAPITAL LLC 0.02% of their portfolio CHICAGO, IL 32,97933.0k $721.2k $721.2k 0.02% New
48 Regal Investment Advisors LLC 0.04% of their portfolio KENTWOOD, MI 29,27629.3k $640.3k $640.3k 0.04% Reduced -5.2k -5,246
49 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 29,24229.2k $639.5k $639.5k 0.01% Reduced -31.5k -31,456
50 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 27,83927.8k $608.8k $608.8k 0.00% New
51 Stratos Wealth Advisors, LLC 0.03% of their portfolio BEACHWOOD, OH 26,38026.4k $576.9k $576.9k 0.03% New
52 Cambridge Advisors Inc. 0.13% of their portfolio OMAHA, NE 25,75525.8k $563.3k $563.3k 0.13% Added +5.3k +5,253
53 TWO SIGMA SECURITIES, LLC 0.03% of their portfolio NEW YORK, NY 25,56825.6k $559.2k $559.2k 0.03% New
54 Hilltop Holdings Inc. 0.06% of their portfolio DALLAS, TX 24,86524.9k $543.8k $543.8k 0.06% New
55 Envestnet Portfolio Solutions, Inc. 0.00% of their portfolio BERWYN, PA 23,21523.2k $507.7k $507.7k 0.00% Reduced -339 -339
56 Sage Advisory Services, Ltd.Co. 0.12% of their portfolio AUSTIN, TX 20,37520.4k $446.0k $446.0k 0.12% Reduced -879 -879
57 Beacon Harbor Wealth Advisors, Inc. 0.10% of their portfolio VIRGINIA BEACH, VA 16,50016.5k $361.0k $361.0k 0.10% New
58 Anchor Investment Management, LLC 0.04% of their portfolio COLUMBIA, SC 15,70215.7k $343.4k $343.4k 0.04% New
59 Professional Financial Advisors, LLC 0.09% of their portfolio NORTH PLATTE, NE 14,58514.6k $319.0k $319.0k 0.09% New
60 BlackDiamond Wealth Management, LLC 0.21% of their portfolio NEW YORK, NY 13,70713.7k $299.8k $299.8k 0.21% Reduced -19 -19
61 HRT FINANCIAL LP 0.00% of their portfolio NEW YORK, NY 13,67013.7k $298.0k $298.0k 0.00% New
62 Carlton Hofferkamp & Jenks Wealth Management, LLC 0.12% of their portfolio THE WOODLANDS, TX 13,66713.7k $286.6k $286.6k 0.12% Added +133 +133
63 AlphaQ Advisors LLC 0.17% of their portfolio Winter Park, FL 13,13513.1k $287.3k $287.3k 0.17% New
64 Straight Path Wealth Management 0.16% of their portfolio Jenison, MI 12,87512.9k $281.6k $281.6k 0.16% New
65 GFS Advisors, LLC 0.04% of their portfolio HOUSTON, TX 9,7009.7k $212.0k $212.0k 0.04% Reduced -1.2k -1,200
66 SIMPLEX TRADING, LLC 0.01% of their portfolio CHICAGO, IL 9,5979.6k $209.0k $209.0k 0.01% Reduced -40.9k -40,904
67 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 8,6678.7k $189.5k $189.5k 0.00% Reduced -86 -86
68 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 5,5595.6k $121.6k $121.6k 0.00% Reduced -5.3k -5,299
69 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 2,5062.5k $53.2k $53.2k 0.00% Unchanged
70 Colonial Trust Co / SC 0.01% of their portfolio SPARTANBURG, SC 2,0002.0k $43.7k $43.7k 0.01% New
71 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 1,1601.2k $25.4k $25.4k 0.00% Reduced -63.9k -63,884
72 Pineridge Advisors LLC 0.01% of their portfolio ST. CHARLES, MO 1,0131.0k $22.2k $22.2k 0.01% Added +583 +583
73 COMERICA BANK 0.00% of their portfolio DALLAS, TX 960960 $21.0k $21.0k 0.00% Added +271 +271
74 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 559559 $12.2k $12.2k 0.00% Unchanged
75 UBS Group AG 0.00% of their portfolio ZURICH, V8 394394 $8.6k $8.6k 0.00% New
76 LANARK FINANCIAL, INC. 0.00% of their portfolio BIRMINGHAM, AL 341341 $7.0k $7.0k 0.00% Unchanged
77 Sound Income Strategies, LLC 0.00% of their portfolio FT LAUDERDALE, FL 130130 $2.8k $2.8k 0.00% New
78 Richard W. Paul & Associates, LLC 0.00% of their portfolio NOVI, MI 113113 $2.5k $2.5k 0.00% Added +67 +67
79 FMR LLC 0.00% of their portfolio BOSTON, MA 3535 $765 $765 0.00% New
80 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged