Skip to main content
Livermore
Livermore
ZHEN

D.A. Davidson & Co.

SEC CIK
0001080107
Latest filing
Jul 24, 2026

Holdings in Q2 2021

Holdings as of Jun 30, 2021, filed Aug 10, 2021. Long positions only; changes compare share counts with Q1 2021.

Institution overview
Positions
1,186
+36 vs. Q1 2021
Portfolio value
$8.53B
+$710.9M (+9.1%) vs. Q1 2021
Filed
Aug 10, 2021
SEC
Holdings of D.A. Davidson & Co. in Q2 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
BlackRock Cap Invt Corp092533AC2NOTE 5.000% 6/1–$10.0K<0.1%–––
New York Mtg Tr Inc649604AD7NOTE 6.250% 1/1–$13.0K<0.1%–––
Atlas Air Worldwide Hldgs IN049164BH8NOTE 2.250% 6/0–$17.0K<0.1%–––
TLPHTalphera, Inc.COM13,500$19.0K<0.1%00.0%UnchangedHistory
CYPHCypherpunk Technologies Inc.COM13,500$22.0K<0.1%00.0%UnchangedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$22.0K<0.1%–New–
VVRInvesco Senior Income TrustCOM10,000$45.0K<0.1%+10,000NewHistory
DHCDiversified Healthcare TrustCOM SH BEN INT10,725$45.0K<0.1%−500−4.5%ReducedHistory
SANWS&W Seed CoCOM12,500$46.0K<0.1%00.0%UnchangedHistory
TOONKartoon Studios, Inc.COM26,398$49.0K<0.1%00.0%UnchangedHistory
Meritor, Inc.59001KAF7NOTE 3.250%10/1–$54.0K<0.1%–––
Hope Bancorp Inc43940TAB5NOTE 2.000% 5/1–$59.0K<0.1%–––
FAXAbrdn Asia-Pacific Income Fund, Inc.COM14,818$66.0K<0.1%+577+4.1%AddedHistory
Knowles Corp49926DAB5NOTE 3.250%11/0–$67.0K<0.1%–––
ARTWArts Way Manufacturing Co IncCOM20,000$68.0K<0.1%00.0%UnchangedHistory
QTNTQuotient LtdSHS20,000$73.0K<0.1%00.0%UnchangedHistory
VKTXViking Therapeutics, Inc.COM12,500$75.0K<0.1%+1,000+8.7%AddedHistory
GEVOGevo, Inc.COM PAR10,551$77.0K<0.1%+169+1.6%AddedHistory
TEITempleton Emerging Markets Income FundCOM10,708$85.0K<0.1%+10,708NewHistory
MUFGMitsubishi Ufj Financial Group IncSPONSORED ADS16,450$89.0K<0.1%+2,150+15.0%AddedHistory
Nuveen CR Opportunities 202267075U102COM11,550$96.0K<0.1%00.0%Unchanged–
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT25,588$102.0K<0.1%−1,000−3.8%ReducedHistory
MTRXMatrix Service CoCOM10,121$106.0K<0.1%−147−1.4%ReducedHistory
Osi Systems Inc671044AD7NOTE 1.250% 9/0–$107.0K<0.1%–––
NRG Energy, Inc.629377CG5DBCV 2.750% 6/0–$116.0K<0.1%–––
CWCOConsolidated Water Co. Ltd.ORD10,060$118.0K<0.1%+53+0.5%AddedHistory
Guess Inc401617AD7NOTE 2.000% 4/1–$124.0K<0.1%–––
Euronet Worldwide, Inc.298736AL3NOTE 0.750% 3/1–$125.0K<0.1%–––
SPRUSpruce Power Holding CorpCOM CL A15,100$126.0K<0.1%00.0%UnchangedHistory
Atlas Air Worldwide Hldgs IN049164BJ4NOTE 1.875% 6/0–$128.0K<0.1%–––
SWNSouthwestern Energy CoCOM23,047$131.0K<0.1%00.0%UnchangedHistory
PCKPIMCO California Municipal Income Fund IICOM13,831$133.0K<0.1%00.0%UnchangedHistory
OROR Royalties Inc.COM10,000$137.0K<0.1%00.0%UnchangedHistory
Pacira BioSciences, Inc.695127AD2NOTE 2.375% 4/0–$138.0K<0.1%–––
JRONuveen Floating Rate Income Opportunity FundCOM SHS14,286$139.0K<0.1%−264−1.8%ReducedHistory
SIRISirius XM Holdings Inc.COM21,191$139.0K<0.1%−21,500−50.4%ReducedHistory
VOXXVOXX International CorpCL A10,000$140.0K<0.1%+10,000NewHistory
APTSPreferred Apartment Communities IncCOM14,687$143.0K<0.1%+4,279+41.1%AddedHistory
SVCService Properties TrustCOM SH BEN INT11,856$149.0K<0.1%+11,856NewHistory
Greenbrier Cos Inc393657AK7NOTE 2.875% 2/0–$150.0K<0.1%–––
Insight Enterprises Inc45765UAB9NOTE 0.750% 2/1–$153.0K<0.1%–––
Fidelity MSCI Energy Index ETF316092402ETF10,702$158.0K<0.1%+579+5.7%Added–
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT15,500$158.0K<0.1%+5,500+55.0%AddedHistory
Vishay Intertechnology Inc928298AP3NOTE 2.250% 6/1–$158.0K<0.1%–––
First BK Williamstown New Je31931U102COM12,168$165.0K<0.1%−422−3.4%Reduced–
ADTADT Inc.COM15,400$166.0K<0.1%−1,000−6.1%ReducedHistory
Nuveen Calif Select Tax Free67063R103SH BEN INT10,070$170.0K<0.1%+10,070New–
TAKTakeda Pharmaceutical Co LtdADR10,721$180.0K<0.1%−3,490−24.6%ReducedHistory
BWMNBowman Consulting Group Ltd.COM13,000$180.0K<0.1%+13,000NewHistory
VKQInvesco Municipal TrustCOM13,995$192.0K<0.1%+13,995NewHistory
BFZBlackRock California Municipal Income TrustSH BEN INT12,837$192.0K<0.1%−4,826−27.3%ReducedHistory
GALTGalectin Therapeutics IncCOM NEW61,310$196.0K<0.1%−4,000−6.1%ReducedHistory
HCI Group, Inc.40416EAD5NOTE 4.250% 3/0–$196.0K<0.1%–––
RVTYRevvity, Inc.COM1,302$201.0K<0.1%+1,302NewHistory
CHRWC. H. Robinson Worldwide, Inc.COM NEW2,150$201.0K<0.1%−57−2.6%ReducedHistory
ARK ETF Tr00214Q302GENOMIC REV ETF2,190$203.0K<0.1%−978−30.9%Reduced–
SITMSITIME CorpCOM1,600$203.0K<0.1%+1,600NewHistory
CPBCAMPBELL'S CoCOM4,475$204.0K<0.1%−1,474−24.8%ReducedHistory
IGRCbre Global Real Estate Income FundCOM23,176$204.0K<0.1%+3,154+15.8%AddedHistory
LBRDKLiberty Broadband CorpCOM SER C1,172$204.0K<0.1%+1,172NewHistory
ULTAUlta Beauty, Inc.Stock592$205.0K<0.1%−81−12.0%ReducedHistory
J P Morgan Exchange Traded F46641Q761US QUALTY FCTR5,000$205.0K<0.1%+5,000New–
RDHLRedHill Biopharma Ltd.SPONSORED ADS29,800$205.0K<0.1%00.0%UnchangedHistory
NICENICE Ltd.SPONSORED ADR837$207.0K<0.1%+837NewHistory
SYNASYNAPTICS IncStock1,340$208.0K<0.1%+1,340NewHistory
Managed Portfolio Series56167N720TORTOISE NRAM PI9,250$208.0K<0.1%+9,250New–
BIDUBaidu, Inc.ADR1,023$209.0K<0.1%+25+2.5%AddedHistory
WSMWilliams Sonoma IncCOM1,310$209.0K<0.1%−100−7.1%ReducedHistory
BANRBanner CorpCOM NEW3,858$209.0K<0.1%+3,858NewHistory
iShares U.S. Treasury Bond ETF46429B267ETF7,905$210.0K<0.1%+7,905New–
First Tr Exchange-Traded FD33739G103MNGD FUTRS STRGY4,315$210.0K<0.1%00.0%Unchanged–
PLABPhotronics IncCOM15,950$211.0K<0.1%−1,550−8.9%ReducedHistory
RBCRBC Bearings INCCOM1,060$211.0K<0.1%00.0%UnchangedHistory
Franklin Templeton ETF Tr35473P801US LRG CP MLTFCT4,920$211.0K<0.1%+4,920New–
AGNCAGNC Investment Corp.REIT12,545$212.0K<0.1%+12,545NewHistory
DGXQuest Diagnostics IncCOM1,607$212.0K<0.1%−100−5.9%ReducedHistory
Vanguard Mortgage-Backed Securities ETF92206C771ETF3,994$213.0K<0.1%−121−2.9%Reduced–
FTFFranklin Ltd Duration Income TrustCOM23,155$213.0K<0.1%−2,400−9.4%ReducedHistory
NSLNuveen Senior Income FundCOM35,988$213.0K<0.1%−2,256−5.9%ReducedHistory
AMCXAMC Global Media Inc.CL A3,203$214.0K<0.1%+3,203NewHistory
DDOGDatadog, Inc.CL A COM2,055$214.0K<0.1%−2,915−58.7%ReducedHistory
ICLRIcon PLCCOM1,038$215.0K<0.1%00.0%UnchangedHistory
DELLDell Technologies Inc.Stock2,165$216.0K<0.1%+2,165NewHistory
PAAPlains All American Pipeline LPUNIT LTD PARTN18,994$216.0K<0.1%+8,208+76.1%AddedHistory
ARNCArconic CorpCOM6,065$216.0K<0.1%+6,065NewHistory
Invesco Exch Traded FD Tr II46138E875DORSEY WRGT DVLP5,770$218.0K<0.1%+5,770New–
NVTAInvitae CorpCOM6,450$218.0K<0.1%+100+1.6%AddedHistory
NVMINova Ltd.COM2,125$219.0K<0.1%+2,125NewHistory
Global X FDS37954Y673US INFR DEV ETF8,517$219.0K<0.1%+8,517New–
EPREpr PropertiesCOM SH BEN INT4,180$220.0K<0.1%+4,180NewHistory
LUMNLumen Technologies, Inc.Stock16,249$221.0K<0.1%+2,341+16.8%AddedHistory
AIOVirtus Artificial Intelligence & Technology Opportunities FundCOM8,000$222.0K<0.1%+8,000NewHistory
TWTradeweb Markets Inc.Stock2,639$223.0K<0.1%+2,639NewHistory
Schwab U.S. Small-Cap ETF808524607ETF2,159$225.0K<0.1%00.0%Unchanged–
LMNRLimoneira COCOM12,955$227.0K<0.1%−1,700−11.6%ReducedHistory
DAVAEndava plcADS2,004$227.0K<0.1%+2,004NewHistory
CIIBlackRock Enhanced Large Cap Core Fund, Inc.COM11,074$228.0K<0.1%00.0%UnchangedHistory
ZZillow Group, Inc.CL C CAP STK1,871$229.0K<0.1%+223+13.5%AddedHistory
Vanguard Intl Equity Index F922042874FTSE EUROPE ETF3,417$230.0K<0.1%−1,772−34.1%Reduced–
FORMFormfactor IncCOM6,330$231.0K<0.1%+6,330NewHistory

Sold out since Q1 2021 (43)

Positions held at the end of Q1 2021 that are gone from this filing.

Positions of D.A. Davidson & Co. sold out since Q1 2021
SecurityClassShares in Q1 2021Value in Q1 2021% of portfolio in Q1 2021History
iShares Tr464288604MRGSTR SM CP GR8,206$2.46M<0.1%–
iShares Tr464288307MRGSTR MD CP GRW6,155$2.33M<0.1%–
AHCOAdaptHealth Corp.COMMON STOCK40,293$1.48M<0.1%History
Macquarie Infrastructure Cor55608B105COM42,812$1.36M<0.1%–
DLYDoubleLine Yield Opportunities FundCOM55,000$1.05M<0.1%History
FFCFlaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INCCOM41,000$961.0K<0.1%History
Invesco BulletShares 2021 HY Corp (BSJL)46138J809Exchange Traded Fund38,643$891.0K<0.1%–
Eaton Vance 2021 Target TRM27829W101COM SHS BEN INT76,035$747.0K<0.1%–
CMPCompass Minerals International IncStock10,471$657.0K<0.1%History
International FLAVORS&FRAGRA459506309UNIT 09/15/202112,750$625.0K<0.1%–
PLXProtalix BioTherapeutics, Inc.COM130,700$583.0K<0.1%History
OMEROmeros CorpCOM29,750$530.0K<0.1%History
TCF Finl Corp872307103COM10,358$481.0K<0.1%–
PETSPetmed Express IncCOM13,480$474.0K<0.1%History
U.S. Global Jets ETF26922A842ETF17,288$465.0K<0.1%–
HRLHormel Foods CorpCOM9,678$462.0K<0.1%History
KDPKeurig Dr Pepper Inc.COM13,143$452.0K<0.1%History
KPTIKaryopharm Therapeutics Inc.COM41,000$431.0K<0.1%History
DRIDarden Restaurants IncCOM2,800$398.0K<0.1%History
iShares Tr46435G755IBONDS DEC202214,879$392.0K<0.1%–
iShares Tr46435U697IBONDS DEC10,763$291.0K<0.1%–
CHYCalamos Convertible & High Income FundCOM SHS17,250$257.0K<0.1%History
Navios Maritime Containers LY62151108COM UNIT RP LP27,000$249.0K<0.1%–
JJacobs Solutions Inc.COM1,752$227.0K<0.1%History
SONYSony Group CorpSPONSORED ADR2,109$224.0K<0.1%History
AVNWAviat Networks, Inc.COM NEW3,137$223.0K<0.1%History
Flir Sys Inc302445101COM3,914$221.0K<0.1%–
iShares Tr46435G268RUSEL 2500 ETF3,485$219.0K<0.1%–
COLMColumbia Sportswear CoCOM2,061$218.0K<0.1%History
CPZCalamos Long/Short Equity & Dynamic Income TrustCOM10,600$214.0K<0.1%History
LADLithia Motors IncCOM540$211.0K<0.1%History
FTVFortive CorpStock2,950$208.0K<0.1%History
GPNGlobal Payments IncStock1,012$204.0K<0.1%History
NEUNewmarket CorpCOM534$203.0K<0.1%History
VRTXVertex Pharmaceuticals IncStock932$200.0K<0.1%History
Cantel Med Corp138098108COM2,507$200.0K<0.1%–
HPEHewlett Packard Enterprise CoCOM10,290$162.0K<0.1%History
ACBAurora Cannabis IncCOM12,636$118.0K<0.1%History
NCANuveen California Municipal Value FundCOM STK11,502$118.0K<0.1%History
DSMBNY Mellon Strategic Municipal Bond Fund, Inc.COM13,211$103.0K<0.1%History
GOROGoldgroup Mining Inc.COM31,003$82.0K<0.1%History
CORRCorEnergy Infrastructure Trust, Inc.COM NEW10,518$74.0K<0.1%History
Aethlon Med Inc00808Y307COM10,846$22.0K<0.1%–