Vault-13

SIMPLIFY EXCHANGE TRADED FUN TUA

SHORT TERM TREA · ETP · CUSIP 82889N657

71 institutional holders -7 vs Q2 2024
13,096,05313.1m shares reported held*
$300.9mreported value*
15 new 30 added 16 reduced 24 sold out net sold ≈ $70.4m (-3.1m 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 ($6.4k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $22.98. Options: 1 managers hold calls ($687.4k notional), 1 hold puts ($786.3k).

Trends to Q3 2024

Institutional holders

Managers reporting a position, each quarter

050100Q4 22: 15Q1 23: 20Q2 23: 34Q3 23: 37Q4 23: 79Q1 24: 80Q2 24: 78Q3 24: 7171Q4 22Q2 23Q4 23Q2 24Q3 24
Numbers
QuarterHolders
Q4 202215
Q1 202320
Q2 202334
Q3 202337
Q4 202379
Q1 202480
Q2 202478
Q3 202471

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 outQ3 23: 23 bought or addedQ3 23: 17 cut or sold outQ3 23Q4 23: 60 bought or addedQ4 23: 19 cut or sold outQ1 24: 46 bought or addedQ1 24: 51 cut or sold outQ1 24Q2 24: 49 bought or addedQ2 24: 37 cut or sold outQ3 24: 45 bought or addedQ3 24: 40 cut or sold outQ3 24
Numbers
QuarterBought or addedCut or sold out
Q1 2023176
Q2 20232211
Q3 20232317
Q4 20236019
Q1 20244651
Q2 20244937
Q3 20244540

Calls vs puts

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

CallsPuts
$0$2m$4m$6mQ4 23 calls: $215.3kQ4 23 puts: $2.6mQ4 23P/C 12.23Q1 24 calls: $1.3mQ1 24 puts: $5.4mQ1 24P/C 4.05Q2 24 calls: $189.7kQ2 24 puts: $2.6mQ2 24P/C 13.92Q3 24 calls: $687.4kQ3 24 puts: $786.3kQ3 24P/C 1.14
Numbers
QuarterCallsPutsP/C
Q4 2023$215.3k$2.6m12.23
Q1 2024$1.3m$5.4m4.05
Q2 2024$189.7k$2.6m13.92
Q3 2024$687.4k$786.3k1.14

Biggest buyers

Private Advisor Group, LLC New +414,635+414.6k
AE Wealth Management LLC Added +372,893+372.9k
LPL Financial LLC Added +209,344+209.3k
Gladstone Institutional Advisory LLC Added +198,029+198.0k
PRIVATE CLIENT SERVICES, LLC New +174,271+174.3k
Mid-American Wealth Advisory Group, Inc. Added +164,330+164.3k
CITADEL ADVISORS LLC Added +120,756+120.8k
Mariner, LLC New +75,178+75.2k
Aprio Wealth Management, LLC Added +68,746+68.7k
Simplify Asset Management Inc. Added +64,042+64.0k

Biggest sellers

Financial Enhancement Group LLC Sold out -1,348,110-1.3m
SOUTHERN FARM BUREAU LIFE INSURANCE Sold out -437,050-437.1k
JANE STREET GROUP, LLC Reduced -387,205-387.2k
Rockefeller Capital Management L.P. Sold out -377,762-377.8k
SCHRODER INVESTMENT MANAGEMENT GROUP Sold out -367,081-367.1k
NEW YORK STATE COMMON RETIREMENT FUND Sold out -367,081-367.1k
Andina Capital Management, LLC Reduced -339,276-339.3k
Bank of New York Mellon Corp Sold out -287,577-287.6k
HighTower Advisors, LLC Reduced -280,051-280.1k
Dakota Wealth Management Reduced -205,099-205.1k

Biggest calls

CITADEL ADVISORS LLC Added $687.4k29.9k shares

Biggest puts

CITADEL ADVISORS LLC Reduced $786.3k34.2k 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 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 HOLLENCREST CAPITAL MANAGEMENT 2.25% of their portfolio NEWPORT BEACH, CA 2,368,9322.4m $54.5m $54.5m 2.25% Added +40.5k +40,493
2 Ferguson Shapiro LLC 12.42% of their portfolio DECATUR, GA 1,448,4371.4m $33.3m $33.3m 12.42% Reduced -15.9k -15,949
3 AE Wealth Management LLC 0.29% of their portfolio TOPEKA, KS 1,384,7821.4m $31.8m $31.8m 0.29% Added +372.9k +372,893
4 Aprio Wealth Management, LLC 3.88% of their portfolio ATLANTA, GA 1,055,1421.1m $24.3m $24.3m 3.88% Added +68.7k +68,746
5 Ancora Advisors LLC 0.35% of their portfolio Cleveland, OH 666,290666.3k $15.3m $15.3m 0.35% Reduced -30.0k -30,000
6 Gladstone Institutional Advisory LLC 0.51% of their portfolio Bedminster, NJ 456,837456.8k $10.5m $10.5m 0.51% Added +198.0k +198,029
7 Private Advisor Group, LLC 0.06% of their portfolio MORRISTOWN, NJ 414,635414.6k $9.5m $9.5m 0.06% New
8 Mid-American Wealth Advisory Group, Inc. 5.92% of their portfolio KANSAS CITY, MO 409,820409.8k $9.4m $9.4m 5.92% Added +164.3k +164,330
9 Lloyd Advisory Services, LLC. 4.45% of their portfolio SUWANEE, GA 400,843400.8k $9.2m $9.2m 4.45% Added +55.1k +55,092
10 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 390,118390.1k $9.0m $9.0m 0.00% Added +209.3k +209,344
11 Longview Financial Advisors, Inc. 6.57% of their portfolio HUNTSVILLE, AL 390,073390.1k $9.0m $9.0m 6.57% Reduced -8.8k -8,779
12 EVERGREEN CAPITAL MANAGEMENT LLC 0.28% of their portfolio Bellevue, WA 359,262359.3k $8.3m $8.3m 0.28% Reduced -151.8k -151,803
13 WJ Interests, LLC 3.18% of their portfolio SUGAR LAND, TX 313,386313.4k $7.2m $7.2m 3.18% Added +11.9k +11,874
14 ALTFEST L J & CO INC 0.71% of their portfolio NEW YORK, NY 233,211233.2k $5.4m $5.4m 0.71% Reduced -50.5k -50,512
15 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 196,398196.4k $4.5m $4.5m 0.01% Added +4.3k +4,285
16 Cumberland Partners Ltd 0.29% of their portfolio TORONTO, A6 184,105184.1k $4.2m $4.2m 0.29% Added +60.2k +60,169
17 PRIVATE CLIENT SERVICES, LLC 2.15% of their portfolio LOUISVILLE, KY 174,271174.3k $4.0m $4.0m 2.15% New
18 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 168,531168.5k $3.9m $3.9m 0.00% Added +120.8k +120,756
19 Simplify Asset Management Inc. 0.26% of their portfolio Las Vegas, NV 165,526165.5k $3.8m $3.8m 0.26% Added +64.0k +64,042
20 Almanack Investment Partners, LLC. 0.58% of their portfolio WAYNE, PA 160,107160.1k $3.7m $3.7m 0.58% Added +9.0k +9,023
21 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 136,003136.0k $3.1m $3.1m 0.00% Reduced -280.1k -280,051
22 Pekin Hardy Strauss, Inc. 0.39% of their portfolio CHICAGO, IL 133,608133.6k $3.1m $3.1m 0.39% Reduced -35.7k -35,691
23 Belpointe Asset Management LLC 0.17% of their portfolio RENO, NV 124,689124.7k $2.9m $2.9m 0.17% Added +713 +713
24 Hilltop Holdings Inc. 0.16% of their portfolio DALLAS, TX 109,764109.8k $2.5m $2.5m 0.16% Added +891 +891
25 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 104,363104.4k $2.4m $2.4m 0.00% Reduced -193.1k -193,076
26 HOWARD BAILEY SECURITIES, LLC 0.86% of their portfolio FORT WAYNE, IN 98,98399.0k $2.3m $2.3m 0.86% First filing
27 Elevated Capital Advisors, LLC 0.57% of their portfolio SANDY, UT 93,21893.2k $2.1m $2.1m 0.57% Added +49.3k +49,289
28 Great Lakes Retirement, Inc. 0.26% of their portfolio SANDUSKY, OH 88,12288.1k $2.0m $2.0m 0.26% Added +6.2k +6,236
29 PRINCIPAL SECURITIES, INC. 0.04% of their portfolio DES MOINES, IA 78,48078.5k $1.8m $1.8m 0.04% Added +5.6k +5,628
30 Mariner, LLC 0.00% of their portfolio Overland Park, KS 75,17875.2k $1.7m $1.7m 0.00% New
31 Authentikos Wealth Advisory, LLC 1.33% of their portfolio MORGAN HILL, CA 60,20160.2k $1.4m $1.4m 1.33% New
32 BlackDiamond Wealth Management, LLC 0.71% of their portfolio NEW YORK, NY 55,21655.2k $1.2m $1.2m 0.71% New
33 Trek Financial, LLC 0.09% of their portfolio Scottsdale, AZ 52,71852.7k $1.2m $1.2m 0.09% Added +25.5k +25,460
34 Andina Capital Management, LLC 0.88% of their portfolio LOGAN, UT 50,21850.2k $1.2m $1.2m 0.88% Reduced -339.3k -339,276
35 Cambridge Advisors Inc. 0.17% of their portfolio OMAHA, NE 33,68433.7k $774.4k $774.4k 0.17% Added +3.5k +3,492
36 MGO ONE SEVEN LLC 0.03% of their portfolio Beachwood, OH 33,65333.7k $773.7k $773.7k 0.03% New
37 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 33,45833.5k $769.0k $769.0k 0.00% New
38 PFG Advisors 0.05% of their portfolio Phoenix, AZ 32,71832.7k $752.2k $752.2k 0.05% New
39 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 32,63632.6k $750.3k $750.3k 0.00% Reduced -387.2k -387,205
40 FDx Advisors, Inc. 0.19% of their portfolio BERWYN, PA 30,16430.2k $693.0k $693.0k 0.19% Reduced -10.5k -10,497
41 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 26,16626.2k $602.0k $602.0k 0.00% New
42 B.O.S.S. Retirement Advisors, LLC 0.10% of their portfolio Lehi, UT 22,58522.6k $519.2k $519.2k 0.10% Added +11.4k +11,445
43 Sage Advisory Services, Ltd.Co. 0.13% of their portfolio AUSTIN, TX 22,12122.1k $472.0k $472.0k 0.13% Unchanged
44 Anchor Investment Management, LLC 0.04% of their portfolio COLUMBIA, SC 19,61319.6k $450.9k $450.9k 0.04% Added +2.3k +2,305
45 KESTRA PRIVATE WEALTH SERVICES, LLC 0.01% of their portfolio AUSTIN, TX 19,33319.3k $444.5k $444.5k 0.01% New
46 Csenge Advisory Group 0.02% of their portfolio CLEARWATER, FL 17,94217.9k $400.1k $400.1k 0.02% Added +4.6k +4,628
47 Straight Path Wealth Management 0.18% of their portfolio Jenison, MI 17,72517.7k $407.5k $407.5k 0.18% Unchanged
48 GeoWealth Management, LLC 0.01% of their portfolio CHICAGO, IL 17,57017.6k $403.9k $403.9k 0.01% Added +2.5k +2,530
49 Professional Financial Advisors, LLC 0.10% of their portfolio NORTH PLATTE, NE 16,59516.6k $381.5k $381.5k 0.10% Added +1.0k +1,038
50 SMART Wealth LLC 0.14% of their portfolio Omaha, NE 15,69315.7k $360.8k $360.8k 0.14% New
51 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 15,68915.7k $360.7k $360.7k 0.00% Added +5.7k +5,707
52 Carlton Hofferkamp & Jenks Wealth Management, LLC 0.12% of their portfolio THE WOODLANDS, TX 14,10014.1k $305.7k $305.7k 0.12% Added +238 +238
53 CWC Advisors, LLC. 0.30% of their portfolio LAKE OSWEGO, OR 13,30513.3k $305.9k $305.9k 0.30% First filing
54 Brookstone Capital Management 0.00% of their portfolio WHEATON, IL 12,11812.1k $278.6k $278.6k 0.00% New
55 Kingdom Financial Group LLC. 0.19% of their portfolio PEORIA, AZ 11,26211.3k $258.9k $258.9k 0.19% Added +1.3k +1,255
56 Dakota Wealth Management 0.00% of their portfolio PALM BEACH GARDENS, FL 9,1699.2k $210.8k $210.8k 0.00% Reduced -205.1k -205,099
57 UBS Group AG 0.00% of their portfolio ZURICH, V8 8,2068.2k $188.7k $188.7k 0.00% New
58 SIMPLEX TRADING, LLC 0.01% of their portfolio CHICAGO, IL 6,7026.7k $154.0k $154.0k 0.01% Reduced -21.1k -21,083
59 PRIVATE TRUST CO NA 0.01% of their portfolio CLEVELAND, OH 4,0454.0k $93.0k $93.0k 0.01% New
60 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 2,5062.5k $57.6k $57.6k 0.00% Unchanged
61 Colonial Trust Co / SC 0.01% of their portfolio SPARTANBURG, SC 2,0002.0k $46.0k $46.0k 0.01% Unchanged
62 Pineridge Advisors LLC 0.01% of their portfolio ST. CHARLES, MO 1,2591.3k $28.9k $28.9k 0.01% Reduced -55 -55
63 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 1,1601.2k $26.7k $26.7k 0.00% Unchanged
64 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,0891.1k $25.0k $25.0k 0.00% Reduced -564 -564
65 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 239239 $5.5k $5.5k 0.00% New
66 Richard W. Paul & Associates, LLC 0.00% of their portfolio NOVI, MI 159159 $3.7k $3.7k 0.00% Added +2 +2
67 Painted Porch Advisors LLC 0.00% of their portfolio SANTA BARBARA, CA 150150 $3.4k $3.4k 0.00% Unchanged
68 CWM, LLC 0.00% of their portfolio OMAHA, NE 4848 $1.0k $1.0k 0.00% Unchanged
69 FMR LLC 0.00% of their portfolio BOSTON, MA 22 $46 $46 0.00% Added +1 +1
70 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 11 $17 $17 0.00% Reduced -49.3k -49,344
71 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged