D.A. Davidson & Co.
- SEC CIK
- 0001080107
- Latest filing
- Jul 24, 2026
Holdings in Q3 2021
Holdings as of Sep 30, 2021, filed Nov 15, 2021. Long positions only; changes compare share counts with Q2 2021.
- Positions
- 1,209
- +23 vs. Q2 2021
- Portfolio value
- $8.62B
- +$90.5M (+1.1%) vs. Q2 2021
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| UAMYUnited States Antimony Corp | COM | 10,320 | $9.00K | <0.1% | +10,320 | New | History |
| BlackRock Cap Invt Corp092533AC2 | NOTE 5.000% 6/1 | – | $10.0K | <0.1% | – | – | – |
| New York Mtg Tr Inc649604AD7 | NOTE 6.250% 1/1 | – | $13.0K | <0.1% | – | – | – |
| TLPHTalphera, Inc. | COM | 13,500 | $14.0K | <0.1% | 00.0% | Unchanged | History |
| Angel Oak Finl Strategies IN03464A118 | RIGHT 10/14/2021 | 82,083 | $18.0K | <0.1% | +82,083 | New | – |
| Atlas Air Worldwide Hldgs IN049164BH8 | NOTE 2.250% 6/0 | – | $19.0K | <0.1% | – | – | – |
| Prospect Cap Corp74348TAT9 | NOTE 6.375% 3/0 | – | $22.0K | <0.1% | – | – | – |
| DHCDiversified Healthcare Trust | COM SH BEN INT | 10,725 | $36.0K | <0.1% | 00.0% | Unchanged | History |
| TOONKartoon Studios, Inc. | COM | 26,398 | $36.0K | <0.1% | 00.0% | Unchanged | History |
| NGLNGL Energy Partners LP | COM UNIT REPST | 16,930 | $40.0K | <0.1% | +16,930 | New | History |
| VVRInvesco Senior Income Trust | COM | 10,000 | $45.0K | <0.1% | 00.0% | Unchanged | History |
| TELLTellurian Inc. | COM | 12,000 | $47.0K | <0.1% | +12,000 | New | History |
| QTNTQuotient Ltd | SHS | 20,000 | $47.0K | <0.1% | 00.0% | Unchanged | History |
| Meritor, Inc.59001KAF7 | NOTE 3.250%10/1 | – | $53.0K | <0.1% | – | – | – |
| FAXAbrdn Asia-Pacific Income Fund, Inc. | COM | 12,898 | $54.0K | <0.1% | −1,920−13.0% | Reduced | History |
| CYPHCypherpunk Technologies Inc. | COM | 13,500 | $54.0K | <0.1% | 00.0% | Unchanged | History |
| Akamai Technologies Inc00971TAL5 | NOTE 0.375% 9/0 | – | $66.0K | <0.1% | – | New | – |
| ARTWArts Way Manufacturing Co Inc | COM | 19,527 | $70.0K | <0.1% | −473−2.4% | Reduced | History |
| GGNGAMCO Global Gold, Natural Resources & Income Trust | COM SH BEN INT | 19,563 | $73.0K | <0.1% | −6,025−23.5% | Reduced | History |
| RDHLRedHill Biopharma Ltd. | SPONSORED ADS | 16,800 | $77.0K | <0.1% | −13,000−43.6% | Reduced | History |
| VKTXViking Therapeutics, Inc. | COM | 12,500 | $79.0K | <0.1% | 00.0% | Unchanged | History |
| Hope Bancorp Inc43940TAB5 | NOTE 2.000% 5/1 | – | $79.0K | <0.1% | – | – | – |
| SPRUSpruce Power Holding Corp | COM CL A | 15,100 | $93.0K | <0.1% | 00.0% | Unchanged | History |
| MUFGMitsubishi Ufj Financial Group Inc | SPONSORED ADS | 16,450 | $98.0K | <0.1% | 00.0% | Unchanged | History |
| Osi Systems Inc671044AD7 | NOTE 1.250% 9/0 | – | $104.0K | <0.1% | – | – | – |
| MTRXMatrix Service Co | COM | 10,121 | $106.0K | <0.1% | 00.0% | Unchanged | History |
| Insight Enterprises Inc45765UAB9 | NOTE 0.750% 2/1 | – | $106.0K | <0.1% | – | – | – |
| Guess Inc401617AD7 | NOTE 2.000% 4/1 | – | $110.0K | <0.1% | – | – | – |
| Coherus Biosciences Inc19249HAB9 | NOTE 1.500% 4/1 | – | $110.0K | <0.1% | – | New | – |
| OROR Royalties Inc. | COM | 10,000 | $112.0K | <0.1% | 00.0% | Unchanged | History |
| Euronet Worldwide, Inc.298736AL3 | NOTE 0.750% 3/1 | – | $122.0K | <0.1% | – | – | – |
| SVCService Properties Trust | COM SH BEN INT | 11,086 | $124.0K | <0.1% | −770−6.5% | Reduced | History |
| Pacira BioSciences, Inc.695127AD2 | NOTE 2.375% 4/0 | – | $126.0K | <0.1% | – | – | – |
| VOXXVOXX International Corp | CL A | 11,000 | $126.0K | <0.1% | +1,000+10.0% | Added | History |
| SWNSouthwestern Energy Co | COM | 23,047 | $128.0K | <0.1% | 00.0% | Unchanged | History |
| SIRISirius XM Holdings Inc. | COM | 21,191 | $129.0K | <0.1% | 00.0% | Unchanged | History |
| PCKPIMCO California Municipal Income Fund II | COM | 13,779 | $133.0K | <0.1% | −52−0.4% | Reduced | History |
| BCXBlackRock Resources & Commodities Strategy Trust | SHS | 15,413 | $138.0K | <0.1% | +15,413 | New | History |
| NAGENiagen Bioscience, Inc. | COM NEW | 23,000 | $144.0K | <0.1% | −1,000−4.2% | Reduced | History |
| Atlas Air Worldwide Hldgs IN049164BJ4 | NOTE 1.875% 6/0 | – | $145.0K | <0.1% | – | – | – |
| Nuvasive Inc670704AJ4 | NOTE 0.375% 3/1 | – | $145.0K | <0.1% | – | New | – |
| AODabrdn Total Dynamic Dividend Fund | COM SH BEN INT | 15,500 | $151.0K | <0.1% | 00.0% | Unchanged | History |
| Vishay Intertechnology Inc928298AP3 | NOTE 2.250% 6/1 | – | $155.0K | <0.1% | – | – | – |
| Nuveen Calif Select Tax Free67063R103 | SH BEN INT | 10,070 | $159.0K | <0.1% | 00.0% | Unchanged | – |
| Fidelity MSCI Energy Index ETF316092402 | ETF | 11,206 | $161.0K | <0.1% | +504+4.7% | Added | – |
| HPEHewlett Packard Enterprise Co | COM | 11,515 | $164.0K | <0.1% | +11,515 | New | History |
| First BK Williamstown New Je31931U102 | COM | 11,894 | $168.0K | <0.1% | −274−2.3% | Reduced | – |
| AGNCAGNC Investment Corp. | REIT | 10,745 | $169.0K | <0.1% | −1,800−14.3% | Reduced | History |
| LMNRLimoneira CO | COM | 10,455 | $169.0K | <0.1% | −2,500−19.3% | Reduced | History |
| CWCOConsolidated Water Co. Ltd. | ORD | 14,900 | $170.0K | <0.1% | +4,840+48.1% | Added | History |
| UNITUniti Group Inc. | COM | 13,795 | $171.0K | <0.1% | +13,795 | New | History |
| FTFFranklin Ltd Duration Income Trust | COM | 19,655 | $179.0K | <0.1% | −3,500−15.1% | Reduced | History |
| BWMNBowman Consulting Group Ltd. | COM | 13,000 | $179.0K | <0.1% | 00.0% | Unchanged | History |
| PAAPlains All American Pipeline LP | UNIT LTD PARTN | 17,792 | $181.0K | <0.1% | −1,202−6.3% | Reduced | History |
| LFGArchaea Energy Inc. | COM CL A | 10,000 | $189.0K | <0.1% | +10,000 | New | History |
| GELGenesis Energy LP | UNIT LTD PARTN | 19,053 | $190.0K | <0.1% | +19,053 | New | History |
| PLABPhotronics Inc | COM | 14,250 | $194.0K | <0.1% | −1,700−10.7% | Reduced | History |
| NSLNuveen Senior Income Fund | COM | 33,571 | $196.0K | <0.1% | −2,417−6.7% | Reduced | History |
| WCNWaste Connections, Inc. | COM | 1,590 | $200.0K | <0.1% | +1,590 | New | History |
| Schwab U.S. Small-Cap ETF808524607 | ETF | 2,016 | $202.0K | <0.1% | −143−6.6% | Reduced | – |
| LUMNLumen Technologies, Inc. | Stock | 16,298 | $202.0K | <0.1% | +49+0.3% | Added | History |
| Managed Portfolio Series56167N720 | TORTOISE NRAM PI | 9,250 | $202.0K | <0.1% | 00.0% | Unchanged | – |
| RYRoyal Bank of Canada | Stock | 2,048 | $204.0K | <0.1% | +2,048 | New | History |
| J P Morgan Exchange Traded F46641Q761 | US QUALTY FCTR | 5,000 | $205.0K | <0.1% | 00.0% | Unchanged | – |
| First Tr Exchange-Traded FD33739G103 | MNGD FUTRS STRGY | 4,315 | $205.0K | <0.1% | 00.0% | Unchanged | – |
| VKQInvesco Municipal Trust | COM | 15,396 | $206.0K | <0.1% | +1,401+10.0% | Added | History |
| iShares Tr464288158 | SHRT NAT MUN ETF | 1,924 | $207.0K | <0.1% | −622−24.4% | Reduced | – |
| PTONPeloton Interactive, Inc. | CL A COM | 2,384 | $208.0K | <0.1% | +2,384 | New | History |
| JPCNuveen Preferred & Income Opportunities Fund | COM | 20,992 | $208.0K | <0.1% | +20,992 | New | History |
| APTSPreferred Apartment Communities Inc | COM | 17,022 | $208.0K | <0.1% | +2,335+15.9% | Added | History |
| EMNEastman Chemical Co | Stock | 2,070 | $209.0K | <0.1% | −65−3.0% | Reduced | History |
| Cyberark Software LtdM2682V108 | SHS | 1,345 | $212.0K | <0.1% | +1,345 | New | – |
| ULTAUlta Beauty, Inc. | Stock | 589 | $213.0K | <0.1% | −3−0.5% | Reduced | History |
| TWTradeweb Markets Inc. | Stock | 2,639 | $213.0K | <0.1% | 00.0% | Unchanged | History |
| AIOVirtus Artificial Intelligence & Technology Opportunities Fund | COM | 8,000 | $213.0K | <0.1% | 00.0% | Unchanged | History |
| BF.BBrown Forman Corp | Stock | 3,192 | $214.0K | <0.1% | +67+2.1% | Added | History |
| WPMWheaton Precious Metals Corp. | COM | 5,718 | $215.0K | <0.1% | +6+0.1% | Added | History |
| ATHMAutohome Inc. | SP ADS RP CL A | 4,582 | $215.0K | <0.1% | +970+26.9% | Added | History |
| Exchange Traded Concepts Tru301505707 | ROBO GLB ETF | 3,374 | $217.0K | <0.1% | −588−14.8% | Reduced | – |
| NVMINova Ltd. | COM | 2,125 | $217.0K | <0.1% | 00.0% | Unchanged | History |
| EDITEditas Medicine, Inc. | COM | 5,315 | $218.0K | <0.1% | −80−1.5% | Reduced | History |
| Invesco Exch Traded FD Tr II46138E875 | DORSEY WRGT DVLP | 5,770 | $219.0K | <0.1% | 00.0% | Unchanged | – |
| ZZillow Group, Inc. | CL C CAP STK | 2,488 | $219.0K | <0.1% | +617+33.0% | Added | History |
| VRNAVerona Pharma plc | SPONSORED ADS | 40,000 | $219.0K | <0.1% | −1,900−4.5% | Reduced | History |
| First Tr Exchange-Traded FD33734X127 | ENERGY ALPHADX | 19,151 | $220.0K | <0.1% | +19,151 | New | – |
| Ssga Active ETF Tr78467V848 | ST STR TOTAL ETF | 4,543 | $220.0K | <0.1% | +4,543 | New | – |
| PAGPenske Automotive Group, Inc. | COM | 2,200 | $221.0K | <0.1% | +2,200 | New | History |
| HCI Group, Inc.40416EAD5 | NOTE 4.250% 3/0 | – | $221.0K | <0.1% | – | – | – |
| iShares Tr46435U432 | IBONDS DEC 25 | 7,900 | $221.0K | <0.1% | +7,900 | New | – |
| SONYSony Group Corp | SPONSORED ADR | 2,009 | $222.0K | <0.1% | +2,009 | New | History |
| HIIHuntington Ingalls Industries, Inc. | COM | 1,150 | $222.0K | <0.1% | +1+0.1% | Added | History |
| GALTGalectin Therapeutics Inc | COM NEW | 57,310 | $222.0K | <0.1% | −4,000−6.5% | Reduced | History |
| VRTXVertex Pharmaceuticals Inc | Stock | 1,236 | $224.0K | <0.1% | +1,236 | New | History |
| CIIBlackRock Enhanced Large Cap Core Fund, Inc. | COM | 11,074 | $224.0K | <0.1% | 00.0% | Unchanged | History |
| IGRCbre Global Real Estate Income Fund | COM | 26,809 | $224.0K | <0.1% | +3,633+15.7% | Added | History |
| RBCRBC Bearings INC | COM | 1,060 | $225.0K | <0.1% | 00.0% | Unchanged | History |
| BANRBanner Corp | COM NEW | 4,078 | $225.0K | <0.1% | +220+5.7% | Added | History |
| LBRDKLiberty Broadband Corp | COM SER C | 1,305 | $225.0K | <0.1% | +133+11.3% | Added | History |
| RVTYRevvity, Inc. | COM | 1,302 | $226.0K | <0.1% | 00.0% | Unchanged | History |
| PDXPIMCO Dynamic Income Strategy Fund | COM SHS BEN INT | 18,500 | $226.0K | <0.1% | 00.0% | Unchanged | History |
Sold out since Q2 2021 (46)
Positions held at the end of Q2 2021 that are gone from this filing.
| Security | Class | Shares in Q2 2021 | Value in Q2 2021 | % of portfolio in Q2 2021 | History |
|---|---|---|---|---|---|
| First Tr Exchange Traded FD33738R795 | NASDAQ TRANSN | 328,201 | $11.2M | 0.1% | – |
| NTESNetEase, Inc. | SPONSORED ADS | 42,030 | $4.84M | 0.1% | History |
| Tortoise Essential Assets IN89148A103 | COM SH BEN INT | 172,226 | $2.55M | <0.1% | – |
| Invesco Exchange Traded FD T46137V258 | S&P500 PUR VAL | 31,770 | $2.45M | <0.1% | – |
| FIVNFive9, Inc. | COM | 11,526 | $2.11M | <0.1% | History |
| CDLXCardlytics, Inc. | COM | 15,327 | $1.95M | <0.1% | History |
| FHIFederated Hermes, Inc. | CL B | 45,361 | $1.54M | <0.1% | History |
| CCChemours Co | Stock | 41,664 | $1.45M | <0.1% | History |
| PFPTProofpoint Inc | COM | 4,779 | $830.0K | <0.1% | History |
| CLWClearwater Paper Corp | COM | 26,500 | $768.0K | <0.1% | History |
| USCRU.S. Concrete, Inc. | COM | 10,175 | $751.0K | <0.1% | History |
| TMETencent Music Entertainment Group | SPON ADS | 42,407 | $656.0K | <0.1% | History |
| GBXGreenbrier Companies Inc | Stock | 10,129 | $441.0K | <0.1% | History |
| Bellus Health Inc New07987C204 | COM NEW | 125,170 | $389.0K | <0.1% | – |
| BGYBlackRock Enhanced International Dividend Trust | COM BENE INTER | 54,726 | $358.0K | <0.1% | History |
| NMMNavios Maritime Partners L.P. | COM UNIT LPI | 11,468 | $339.0K | <0.1% | History |
| UWMCUWM Holdings Corp | COM CL A | 39,900 | $337.0K | <0.1% | History |
| WIXWix.com Ltd. | SHS | 1,119 | $325.0K | <0.1% | History |
| DFSDiscover Financial Services | COM | 2,746 | $325.0K | <0.1% | History |
| STBAS&T Bancorp Inc | COM | 10,312 | $323.0K | <0.1% | History |
| VIRTVirtu Financial, Inc. | CL A | 11,700 | $323.0K | <0.1% | History |
| PNWPinnacle West Capital Corp | COM | 3,900 | $320.0K | <0.1% | History |
| PRIMPrimoris Services Corp | Stock | 10,600 | $312.0K | <0.1% | History |
| CVGWCalavo Growers Inc | COM | 4,232 | $268.0K | <0.1% | History |
| Barrick Gold Corp067901108 | COM | 12,789 | $264.0K | <0.1% | – |
| SRCLStericycle Inc | COM | 3,693 | $264.0K | <0.1% | History |
| LVSLas Vegas Sands Corp | COM | 4,451 | $235.0K | <0.1% | History |
| ARNCArconic Corp | COM | 6,065 | $216.0K | <0.1% | History |
| AMCXAMC Global Media Inc. | CL A | 3,203 | $214.0K | <0.1% | History |
| DDOGDatadog, Inc. | CL A COM | 2,055 | $214.0K | <0.1% | History |
| Vanguard Mortgage-Backed Securities ETF92206C771 | ETF | 3,994 | $213.0K | <0.1% | – |
| DGXQuest Diagnostics Inc | COM | 1,607 | $212.0K | <0.1% | History |
| iShares U.S. Treasury Bond ETF46429B267 | ETF | 7,905 | $210.0K | <0.1% | – |
| BIDUBaidu, Inc. | ADR | 1,023 | $209.0K | <0.1% | History |
| SYNASYNAPTICS Inc | Stock | 1,340 | $208.0K | <0.1% | History |
| CPBCAMPBELL'S Co | COM | 4,475 | $204.0K | <0.1% | History |
| CHRWC. H. Robinson Worldwide, Inc. | COM NEW | 2,150 | $201.0K | <0.1% | History |
| TAKTakeda Pharmaceutical Co Ltd | ADR | 10,721 | $180.0K | <0.1% | History |
| ADTADT Inc. | COM | 15,400 | $166.0K | <0.1% | History |
| Greenbrier Cos Inc393657AK7 | NOTE 2.875% 2/0 | – | $150.0K | <0.1% | – |
| NRG Energy, Inc.629377CG5 | DBCV 2.750% 6/0 | – | $116.0K | <0.1% | – |
| Nuveen CR Opportunities 202267075U102 | COM | 11,550 | $96.0K | <0.1% | – |
| TEITempleton Emerging Markets Income Fund | COM | 10,708 | $85.0K | <0.1% | History |
| GEVOGevo, Inc. | COM PAR | 10,551 | $77.0K | <0.1% | History |
| Knowles Corp49926DAB5 | NOTE 3.250%11/0 | – | $67.0K | <0.1% | – |
| SANWS&W Seed Co | COM | 12,500 | $46.0K | <0.1% | History |