ARK ETF Trust - ARKX
Detailed investor-level table based on 13F positions.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| LPL Financial LLC | History | Added to | 735,564 | 21,588 | 0.01% | 0.0% | 1 | +276,847 | 60.35% | Q1 2026 | May 06, 2026 |
| CITADEL ADVISORS LLC | History | Added to | 313,659 | 9,205 | 0.0% | 0.0% | 2 | +189,337 | 152.3% | Q1 2026 | May 15, 2026 |
| FLOW TRADERS U.S. LLC | History | New | 298,445 | 8,759 | 0.28% | — | 3 | +298,445 | New | Q1 2026 | May 15, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Added to | 152,727 | 4,483 | 0.01% | 0.0% | 4 | +137,397 | 896.26% | Q1 2026 | Apr 30, 2026 |
| ROYAL BANK OF CANADA | History | Added to | 152,539 | 4,477 | 0.0% | 0.0% | 5 | +117,797 | 339.06% | Q1 2026 | May 15, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Added to | 140,611 | 4,126 | 0.0% | 0.0% | 6 | +119,019 | 551.22% | Q1 2026 | May 14, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Added to | 130,933 | 3,842 | 0.0% | 0.0% | 7 | +77,333 | 144.28% | Q1 2026 | May 15, 2026 |
| Quadrature Capital Ltd | History | Added to | 107,342 | 3,150 | 0.04% | 0.03% | 8 | +17,362 | 19.3% | Q1 2026 | May 15, 2026 |
| UBS Group AG | History | Added to | 96,271 | 2,825 | 0.0% | 0.0% | 9 | +23,435 | 32.18% | Q1 2026 | May 05, 2026 |
| GTS SECURITIES LLC | History | Added to | 82,066 | 2,408 | 0.09% | 0.03% | 10 | +52,615 | 178.65% | Q1 2026 | May 14, 2026 |
| OSAIC HOLDINGS, INC. | History | Added to | 75,424 | 2,213 | 0.0% | 0.0% | 11 | +17,245 | 29.64% | Q1 2026 | May 15, 2026 |
| Braeburn Wealth Management LLC | History | New | 57,081 | 1,675 | 0.96% | — | 12 | +57,081 | New | Q1 2026 | Apr 17, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Added to | 54,231 | 1,591 | 0.0% | 0.0% | 13 | +20,222 | 59.46% | Q1 2026 | May 04, 2026 |
| WJ Wealth Management, LLC | History | Added to | 53,688 | 1,575 | 0.74% | 0.6% | 14 | +6,248 | 13.17% | Q1 2026 | Apr 28, 2026 |
| JANE STREET GROUP, LLC | History | Reduced | 47,600 | 1,397 | 0.0% | 0.0% | 15 | -900 | -1.86% | Q1 2026 | May 12, 2026 |
| Brookstone Capital Management | History | Added to | 44,728 | 1,312 | 0.01% | 0.01% | 16 | +5,586 | 14.27% | Q1 2026 | Apr 16, 2026 |
| Canal Insurance CO | History | No change | 40,000 | 1,170 | 0.25% | 0.28% | 17 | 0 | 0.0% | Q1 2026 | May 04, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Added to | 38,723 | 1,136 | 0.0% | 0.0% | 18 | +14,042 | 56.89% | Q1 2026 | Apr 27, 2026 |
| JPMORGAN CHASE & CO | History | Added to | 39,917 | 1,117 | 0.0% | 0.0% | 19 | +7,459 | 22.98% | Q1 2026 | May 13, 2026 |
| MARSHALL INVESTMENT MANAGEMENT, LLC | History | Added to | 37,816 | 1,109 | 0.53% | 0.5% | 20 | +3,145 | 9.07% | Q1 2026 | May 08, 2026 |
| Grandview Asset Management LLC | History | Added to | 33,704 | 1,003 | 0.29% | 0.08% | 21 | +23,051 | 216.38% | Q1 2026 | May 07, 2026 |
| Kingsview Wealth Management, LLC | History | New | 33,859 | 993 | 0.01% | — | 22 | +33,859 | New | Q1 2026 | May 12, 2026 |
| CoreCap Advisors, LLC | History | Added to | 26,452 | 776 | 0.03% | 0.0% | 23 | +24,855 | 1556.36% | Q1 2026 | Apr 07, 2026 |
| SCS Capital Management LLC | History | No change | 26,081 | 765 | 0.01% | 0.01% | 24 | 0 | 0.0% | Q1 2026 | May 11, 2026 |
| WEDBUSH SECURITIES INC | History | Added to | 26,040 | 764 | 0.02% | 0.02% | 25 | +2,130 | 8.91% | Q1 2026 | Apr 21, 2026 |
| Rockefeller Capital Management L.P. | History | Added to | 25,122 | 737 | 0.0% | 0.0% | 26 | +24,797 | 7629.85% | Q1 2026 | May 14, 2026 |
| NewEdge Advisors, LLC | History | Added to | 22,429 | 658 | 0.0% | 0.0% | 27 | +17,896 | 394.79% | Q1 2026 | Jun 02, 2026 |
| PFG Investments, LLC | History | Reduced | 22,442 | 658 | 0.03% | 0.04% | 28 | -9,139 | -28.94% | Q1 2026 | Apr 27, 2026 |
| CWM, LLC | History | Added to | 18,908 | 554 | 0.0% | 0.0% | 29 | +1,628 | 9.42% | Q1 2026 | May 14, 2026 |
| Private Advisor Group, LLC | History | Added to | 18,585 | 545 | 0.0% | 0.0% | 30 | +5,239 | 39.26% | Q1 2026 | Apr 24, 2026 |
| Creative Planning | History | Added to | 17,949 | 526 | 0.0% | 0.0% | 31 | +222 | 1.25% | Q1 2026 | May 12, 2026 |
| Cetera Investment Advisers | History | Added to | 15,913 | 467 | 0.0% | 0.0% | 32 | +1,154 | 7.82% | Q1 2026 | May 13, 2026 |
| OPPENHEIMER & CO INC | History | Added to | 15,785 | 463 | 0.01% | 0.01% | 33 | +1,083 | 7.37% | Q1 2026 | Apr 23, 2026 |
| KESTRA PRIVATE WEALTH SERVICES, LLC | History | Reduced | 15,199 | 446 | 0.01% | 0.01% | 34 | -1,225 | -7.46% | Q1 2026 | Apr 20, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | Added to | 14,829 | 435 | 0.0% | 0.0% | 35 | +13,092 | 753.71% | Q1 2026 | May 07, 2026 |
| Prospera Financial Services Inc | History | New | 14,387 | 422 | 0.01% | — | 36 | +14,387 | New | Q1 2026 | Apr 14, 2026 |
| SFG Wealth Management, LLC. | History | New | 13,401 | 393 | 0.16% | — | 37 | +13,401 | New | Q1 2026 | Apr 22, 2026 |
| Stirlingshire Investments, Inc. | History | Added to | 12,923 | 379 | 0.33% | 0.2% | 38 | +4,974 | 62.57% | Q1 2026 | May 04, 2026 |
| Sanctuary Advisors, LLC | History | Added to | 11,126 | 326 | 0.0% | 0.0% | 39 | +3,460 | 45.13% | Q1 2026 | May 05, 2026 |
| HRT FINANCIAL LP | History | New | 10,997 | 322 | 0.0% | — | 40 | +10,997 | New | Q1 2026 | May 14, 2026 |
| Kestra Advisory Services, LLC | History | Added to | 10,483 | 307 | 0.0% | 0.0% | 41 | +5,651 | 116.95% | Q1 2026 | Apr 30, 2026 |
| CFO CAPITAL MANAGEMENT LLC | History | New | 10,379 | 304 | 0.25% | — | 42 | +10,379 | New | Q1 2026 | May 04, 2026 |
| Gradient Investments LLC | History | No change | 10,172 | 298 | 0.0% | 0.0% | 43 | 0 | 0.0% | Q1 2026 | Apr 13, 2026 |
| Advyzon Investment Management, LLC | History | New | 9,869 | 289 | 0.03% | — | 44 | +9,869 | New | Q1 2026 | May 12, 2026 |
| Janney Montgomery Scott LLC | History | Reduced | 9,734 | 286 | 0.0% | 0.0% | 45 | -208 | -2.09% | Q1 2026 | Apr 22, 2026 |
| World Investment Advisors | History | Added to | 9,506 | 279 | 0.0% | 0.0% | 46 | +318 | 3.46% | Q1 2026 | Apr 27, 2026 |
| Capital Advisors, Ltd. LLC | History | Added to | 9,481 | 278 | 0.03% | 0.0% | 47 | +8,881 | 1480.17% | Q1 2026 | Apr 16, 2026 |
| FIFTH THIRD SECURITIES, INC. | History | Added to | 8,948 | 262 | 0.02% | 0.02% | 48 | +98 | 1.11% | Q1 2026 | Apr 15, 2026 |
| STIFEL FINANCIAL CORP | History | Added to | 8,830 | 259 | 0.0% | 0.0% | 50 | +1,673 | 23.38% | Q1 2026 | May 12, 2026 |
| BROWN, LISLE/CUMMINGS, INC. | History | Reduced | 8,850 | 259 | 0.06% | 0.06% | 49 | -50 | -0.56% | Q1 2026 | Apr 17, 2026 |
| CAPTRUST FINANCIAL ADVISORS | History | New | 8,402 | 246 | 0.0% | — | 51 | +8,402 | New | Q1 2026 | May 14, 2026 |
| Harvest Fund Management Co., Ltd | History | New | 8,000 | 234 | 0.01% | — | 52 | +8,000 | New | Q1 2026 | May 13, 2026 |
| Apollon Wealth Management, LLC | History | New | 7,711 | 226 | 0.0% | — | 53 | +7,711 | New | Q1 2026 | Apr 22, 2026 |
| MML INVESTORS SERVICES, LLC | History | New | 7,046 | 206 | 0.0% | — | 54 | +7,046 | New | Q1 2026 | May 04, 2026 |
| MORGAN STANLEY | History | Reduced | 6,871 | 201 | 0.0% | 0.0% | 55 | -1,437 | -17.3% | Q1 2026 | May 15, 2026 |
| Wiser Advisor Group LLC | History | Reduced | 6,691 | 196 | 0.24% | 0.22% | 56 | -68 | -1.01% | Q1 2026 | Apr 22, 2026 |
| TD Waterhouse Canada Inc. | History | Added to | 5,207 | 154 | 0.0% | 0.0% | 57 | +330 | 6.77% | Q1 2026 | May 12, 2026 |
| Family Manage LLC | History | New | 5,000 | 146 | 0.02% | — | 58 | +5,000 | New | Q1 2026 | May 15, 2026 |
| Steward Partners Investment Advisory, LLC | History | Added to | 4,707 | 138 | 0.0% | 0.0% | 59 | +1,042 | 28.43% | Q1 2026 | May 08, 2026 |
| Financial Management Professionals, Inc. | History | No change | 2,500 | 73 | 0.01% | 0.01% | 60 | 0 | 0.0% | Q1 2026 | Apr 15, 2026 |
| Quent Capital, LLC | History | No change | 2,475 | 72 | 0.01% | 0.01% | 61 | 0 | 0.0% | Q1 2026 | Apr 28, 2026 |
| NATIONAL BANK OF CANADA /FI/ | History | Added to | 2,196 | 63 | 0.0% | 0.0% | 62 | +1,756 | 399.09% | Q1 2026 | May 14, 2026 |
| Global Retirement Partners, LLC | History | No change | 2,145 | 62 | 0.0% | 0.0% | 63 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| Qube Research & Technologies Ltd | History | Added to | 1,824 | 53 | 0.0% | 0.0% | 64 | +100 | 5.8% | Q1 2026 | May 15, 2026 |
| Ashton Thomas Private Wealth, LLC | History | New | 1,516 | 44 | 0.0% | — | 68 | +1,516 | New | Q1 2026 | May 11, 2026 |
| NFSG Corp | History | New | 1,500 | 44 | 0.01% | — | 66 | +1,500 | New | Q1 2026 | May 05, 2026 |
| BlackRock, Inc. | History | New | 1,500 | 44 | 0.0% | — | 67 | +1,500 | New | Q1 2026 | May 13, 2026 |
| CONSULTIVA WEALTH MANAGEMENT, CORP. | History | No change | 1,500 | 44 | 0.13% | 0.12% | 65 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| MCGUIRE CAPITAL ADVISORS INC | History | Added to | 1,468 | 43 | 0.03% | 0.03% | 69 | +10 | 0.69% | Q1 2026 | May 14, 2026 |
| Farther Finance Advisors, LLC | History | Added to | 1,430 | 42 | 0.0% | 0.0% | 71 | +225 | 18.67% | Q1 2026 | Apr 07, 2026 |
| TOTH FINANCIAL ADVISORY CORP | History | No change | 1,442 | 42 | 0.0% | 0.0% | 70 | 0 | 0.0% | Q1 2026 | Apr 16, 2026 |
| NBZ Investment Advisors LLC | History | No change | 1,416 | 41 | 0.02% | 0.02% | 72 | 0 | 0.0% | Q1 2026 | May 04, 2026 |
| AE Wealth Management LLC | History | Added to | 1,386 | 40 | 0.0% | 0.0% | 73 | +264 | 23.53% | Q1 2026 | May 13, 2026 |
| Western Wealth Management, LLC | History | New | 1,355 | 39 | 0.0% | — | 75 | +1,355 | New | Q1 2026 | May 19, 2026 |
| BANK OF MONTREAL /CAN/ | History | Added to | 1,355 | 39 | 0.0% | 0.0% | 74 | +930 | 218.82% | Q1 2026 | May 13, 2026 |
| Advisory Services Network, LLC | History | New | 1,234 | 36 | 0.0% | — | 76 | +1,234 | New | Q1 2026 | May 15, 2026 |
| SIGNATUREFD, LLC | History | Added to | 1,175 | 34 | 0.0% | 0.0% | 77 | +525 | 80.77% | Q1 2026 | Apr 07, 2026 |
| Allworth Financial LP | History | No change | 1,100 | 32 | 0.0% | 0.0% | 78 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| Costello Asset Management, INC | History | Added to | 1,050 | 30 | 0.01% | 0.0% | 79 | +600 | 133.33% | Q1 2026 | Apr 30, 2026 |
| Sunbelt Securities, Inc. | History | Added to | 1,005 | 29 | 0.0% | 0.0% | 80 | +130 | 14.86% | Q1 2026 | May 15, 2026 |
| SHP Wealth Management | History | No change | 1,000 | 29 | 0.0% | 0.0% | 81 | 0 | 0.0% | Q1 2026 | May 08, 2026 |
| Boreal Capital Management LLC | History | New | 913 | 26 | 0.02% | — | 84 | +913 | New | Q1 2026 | May 14, 2026 |
| MassMutual Private Wealth & Trust, FSB | History | No change | 900 | 26 | 0.0% | 0.0% | 82 | 0 | 0.0% | Q1 2026 | Apr 13, 2026 |
| Spire Wealth Management | History | No change | 917 | 26 | 0.0% | 0.0% | 83 | 0 | 0.0% | Q1 2026 | Apr 22, 2026 |
| HARBOUR INVESTMENTS, INC. | History | Reduced | 870 | 25 | 0.0% | 0.0% | 85 | -375 | -30.12% | Q1 2026 | May 15, 2026 |
| GROUP ONE TRADING LLC | History | New | 731 | 21 | 0.0% | — | 86 | +731 | New | Q1 2026 | May 13, 2026 |
| NBC SECURITIES, INC. | History | Added to | 712 | 20 | 0.0% | 0.0% | 87 | +117 | 19.66% | Q1 2026 | Apr 14, 2026 |
| Medallion Wealth Advisors, LLC | History | No change | 578 | 16 | 0.01% | 0.01% | 88 | 0 | 0.0% | Q1 2026 | Apr 24, 2026 |
| CIBC Private Wealth Group LLC | History | No change | 497 | 14 | 0.0% | 0.0% | 89 | 0 | 0.0% | Q4 2025 | Feb 12, 2026 |
| Geneos Wealth Management Inc. | History | No change | 511 | 14 | 0.0% | 0.0% | 90 | 0 | 0.0% | Q1 2026 | May 04, 2026 |
| Private Wealth Asset Management, LLC | History | No change | 480 | 14 | 0.0% | 0.0% | 91 | 0 | 0.0% | Q1 2026 | May 06, 2026 |
| Smallwood Wealth Investment Management, LLC | History | No change | 499 | 14 | 0.01% | 0.01% | 92 | 0 | 0.0% | Q1 2026 | Apr 22, 2026 |
| BARCLAYS PLC | History | New | 400 | 11 | 0.0% | — | 95 | +400 | New | Q1 2026 | May 14, 2026 |
| Colonial Trust Advisors | History | No change | 400 | 11 | 0.0% | 0.0% | 93 | 0 | 0.0% | Q1 2026 | May 12, 2026 |
| DHJJ Financial Advisors, Ltd. | History | No change | 380 | 11 | 0.0% | 0.0% | 94 | 0 | 0.0% | Q1 2026 | Apr 09, 2026 |
| Arax Advisory Partners | History | Added to | 356 | 10 | 0.0% | 0.0% | 96 | +59 | 19.87% | Q1 2026 | May 13, 2026 |
| Comprehensive Financial Planning, Inc./PA | History | New | 313 | 9 | 0.01% | — | 97 | +313 | New | Q1 2026 | Apr 07, 2026 |
| FIFTH THIRD BANCORP | History | No change | 304 | 8 | 0.0% | 0.0% | 98 | 0 | 0.0% | Q1 2026 | May 01, 2026 |
| TWIN PEAKS WEALTH ADVISORS, LLC | History | New | 250 | 7 | 0.0% | — | 100 | +250 | New | Q1 2026 | May 08, 2026 |
| Vision Retirement, LLC | History | Added to | 269 | 7 | 0.0% | — | 99 | +239 | 796.67% | Q1 2026 | May 07, 2026 |
| PITTENGER & ANDERSON INC | History | No change | 218 | 6 | 0.0% | 0.0% | 101 | 0 | 0.0% | Q1 2026 | May 01, 2026 |
| WELLS FARGO & COMPANY/MN | History | Reduced | 175 | 5 | 0.0% | 0.0% | 102 | -437 | -71.41% | Q1 2026 | May 11, 2026 |
| Glen Eagle Advisors, LLC | History | No change | 188 | 5 | 0.0% | 0.0% | 103 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| KERR FINANCIAL PLANNING Corp | History | No change | 175 | 5 | 0.01% | 0.01% | 104 | 0 | 0.0% | Q1 2026 | Apr 29, 2026 |
| Russell Investments Group, Ltd. | History | New | 168 | 4 | 0.0% | — | 106 | +168 | New | Q1 2026 | May 08, 2026 |
| 1 NORTH WEALTH SERVICES LLC | History | New | 142 | 4 | 0.0% | — | 105 | +142 | New | Q1 2026 | May 04, 2026 |
| ASSETMARK, INC | History | Added to | 105 | 3 | 0.0% | — | 107 | +100 | 2000.0% | Q1 2026 | May 06, 2026 |
| Cassaday & Co Wealth Management LLC | History | New | 100 | 2 | 0.0% | — | 116 | +100 | New | Q1 2026 | May 07, 2026 |
| Ancora Advisors LLC | History | New | 98 | 2 | 0.0% | — | 115 | +98 | New | Q1 2026 | May 15, 2026 |
| ST GERMAIN D J CO INC | History | New | 93 | 2 | 0.0% | — | 114 | +93 | New | Q1 2026 | Apr 13, 2026 |
| AdvisorNet Financial, Inc | History | No change | 100 | 2 | 0.0% | 0.0% | 108 | 0 | 0.0% | Q1 2026 | Apr 17, 2026 |
| Capital Investment Advisory Services, LLC | History | No change | 75 | 2 | 0.0% | 0.0% | 109 | 0 | 0.0% | Q1 2026 | May 05, 2026 |
| Stone House Investment Management, LLC | History | No change | 100 | 2 | 0.0% | 0.0% | 110 | 0 | 0.0% | Q1 2026 | Apr 22, 2026 |
| Archer Investment Corp | History | No change | 74 | 2 | 0.0% | 0.0% | 111 | 0 | 0.0% | Q1 2026 | May 04, 2026 |
| SageView Advisory Group, LLC | History | No change | 100 | 2 | 0.0% | 0.0% | 112 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| Strive Financial Group ,LLC | History | No change | 81 | 2 | 0.0% | 0.0% | 113 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | New | 59 | 1 | 0.0% | — | 124 | +59 | New | Q1 2026 | May 08, 2026 |
| Federation des caisses Desjardins du Quebec | History | New | 39 | 1 | 0.0% | — | 125 | +39 | New | Q1 2026 | May 13, 2026 |
| Horrell Capital Management, Inc. | History | Added to | 35 | 1 | 0.0% | 0.0% | 120 | +5 | 16.67% | Q1 2026 | Apr 30, 2026 |
| BESSEMER GROUP INC | History | No change | 49 | 1 | 0.0% | 0.0% | 117 | 0 | 0.0% | Q1 2026 | May 06, 2026 |
| ALBION FINANCIAL GROUP /UT | History | No change | 56 | 1 | 0.0% | 0.0% | 118 | 0 | 0.0% | Q1 2026 | Apr 27, 2026 |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | History | No change | 51 | 1 | 0.0% | 0.0% | 119 | 0 | 0.0% | Q1 2026 | May 11, 2026 |
| IFP Advisors, Inc | History | No change | 60 | 1 | 0.0% | 0.0% | 121 | 0 | 0.0% | Q1 2026 | Apr 13, 2026 |
| Activest Wealth Management | History | No change | 64 | 1 | 0.0% | 0.0% | 122 | 0 | 0.0% | Q1 2026 | Apr 15, 2026 |
| Fairscale Capital, LLC | History | No change | 50 | 1 | 0.0% | 0.0% | 123 | 0 | 0.0% | Q1 2026 | May 11, 2026 |
| Eschler Asset Management LLP | History | Closed out | 0 | 0 | — | 0.89% | — | -45,383 | -100.0% | Q1 2026 | May 15, 2026 |
| Mirae Asset Global Investments Co., Ltd. | History | Closed out | 0 | 0 | — | 0.0% | — | -28,798 | -100.0% | Q1 2026 | May 04, 2026 |
| Ferguson Shapiro LLC | History | Closed out | 0 | 0 | — | 0.21% | — | -24,093 | -100.0% | Q1 2026 | Apr 23, 2026 |
| Diversify Advisory Services, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -12,547 | -100.0% | Q1 2026 | May 01, 2026 |
| M & L Capital Management Ltd | History | Closed out | 0 | 0 | — | 0.06% | — | -10,200 | -100.0% | Q1 2026 | Apr 10, 2026 |
| WCG Wealth Advisors LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -10,070 | -100.0% | Q1 2026 | May 12, 2026 |
| FNY Investment Advisers, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -1,254 | -100.0% | Q1 2026 | Apr 15, 2026 |
| AlphaCore Capital LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -400 | -100.0% | Q1 2026 | May 15, 2026 |
| Tower Research Capital LLC (TRC) | History | Closed out | 0 | 0 | — | 0.0% | — | -259 | -100.0% | Q1 2026 | May 15, 2026 |
| Garton & Associates Financial Advisors LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -200 | -100.0% | Q1 2026 | May 11, 2026 |
| OPTIMA CAPITAL LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -192 | -100.0% | Q1 2026 | May 04, 2026 |
| Independence Bank of Kentucky | History | Closed out | 0 | 0 | — | 0.0% | — | -100 | -100.0% | Q1 2026 | Apr 30, 2026 |
| Blue Trust, Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -55 | -100.0% | Q1 2026 | Apr 20, 2026 |
| REXFORD CAPITAL INC | History | New | 25 | 0 | — | — | — | +25 | New | Q1 2026 | Apr 23, 2026 |
| Windsor Advisory Group, LLC | History | Closed out | 0 | 0 | — | — | — | -24 | -100.0% | Q1 2026 | May 15, 2026 |
| Concord Wealth Partners | History | Closed out | 0 | 0 | — | — | — | -17 | -100.0% | Q1 2026 | May 01, 2026 |
| Rossby Financial, LCC | History | New | 4 | 0 | — | — | — | +4 | New | Q1 2026 | May 11, 2026 |
| Acumen Wealth Advisors, LLC | History | Closed out | 0 | 0 | — | — | — | -4 | -100.0% | Q1 2026 | May 13, 2026 |
| EverSource Wealth Advisors, LLC | History | New | 3 | 0 | — | — | — | +3 | New | Q1 2026 | May 15, 2026 |
| BANK OF AMERICA CORP /DE/ | History | Closed out | 0 | 0 | — | — | — | -3 | -100.0% | Q1 2026 | May 15, 2026 |
| Root Financial Partners, LLC | History | Closed out | 0 | 0 | — | — | — | -2 | -100.0% | Q1 2026 | Apr 24, 2026 |
| Quattro Advisors LLC | History | Closed out | 0 | 0 | — | — | — | -1 | -100.0% | Q1 2026 | May 14, 2026 |
| New England Capital Financial Advisors LLC | History | No change | 10 | 0 | — | — | — | 0 | 0.0% | Q1 2026 | Apr 27, 2026 |
| Noble Wealth Management PBC | History | No change | 12 | 0 | — | — | — | 0 | 0.0% | Q1 2026 | Apr 02, 2026 |
| Copia Wealth Management | History | No change | 20 | 0 | — | — | — | 0 | 0.0% | Q1 2026 | May 04, 2026 |