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Livermore
Livermore
ZHEN

D.A. Davidson & Co.

SEC CIK
0001080107
Latest filing
Jul 24, 2026

Holdings in Q3 2022

Holdings as of Sep 30, 2022, filed Nov 7, 2022. Long positions only; changes compare share counts with Q2 2022.

Institution overview
Positions
1,269
+4 vs. Q2 2022
Portfolio value
$7.63B
−$326.8M (−4.1%) vs. Q2 2022
Filed
Nov 7, 2022
SEC
Holdings of D.A. Davidson & Co. in Q3 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
TWAVTaoWeave, Inc.COM10,000$1.00K<0.1%00.0%UnchangedHistory
Quanergy Systems, Inc.74764U112*W EXP 02/01/20240,000$1.00K<0.1%00.0%Unchanged–
QTNTQuotient LtdSHS20,000$3.00K<0.1%−20,000−50.0%ReducedHistory
LITSLite Strategy, Inc.COM NEW10,000$4.00K<0.1%+10,000NewHistory
RDHLRedHill Biopharma Ltd.SPONSORED ADS10,500$5.00K<0.1%−4,000−27.6%ReducedHistory
VTGNVistagen Therapeutics, Inc.COM NEW66,500$10.0K<0.1%−47,500−41.7%ReducedHistory
QNGYQuanergy Systems, Inc.COMMON STOCK60,000$12.0K<0.1%00.0%UnchangedHistory
TOONKartoon Studios, Inc.COM26,398$16.0K<0.1%00.0%UnchangedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$20.0K<0.1%–––
PBIPitney Bowes IncCOM11,707$27.0K<0.1%+11,707NewHistory
RGTIWRigetti Computing, Inc.*W EXP 99/99/999125,000$27.0K<0.1%00.0%UnchangedHistory
FAXAbrdn Asia-Pacific Income Fund, Inc.COM11,230$28.0K<0.1%+136+1.2%AddedHistory
HUTHut 8 Corp.Common Stock15,450$28.0K<0.1%−2,000−11.5%ReducedHistory
ATIPATI Physical Therapy, Inc.COM CL A33,714$34.0K<0.1%00.0%UnchangedHistory
ATYRaTYR PHARMA INCCOM NEW11,800$35.0K<0.1%+1,000+9.3%AddedHistory
NGLNGL Energy Partners LPCOM UNIT REPST28,651$37.0K<0.1%+811+2.9%AddedHistory
ELBMElectra Battery Materials CorpCOM NEW13,667$38.0K<0.1%00.0%UnchangedHistory
HIOWestern Asset High Income Opportunity Fund Inc.COM12,994$48.0K<0.1%00.0%UnchangedHistory
UAMYUnited States Antimony CorpCOM135,343$50.0K<0.1%00.0%UnchangedHistory
GALTGalectin Therapeutics IncCOM NEW32,810$53.0K<0.1%−12,525−27.6%ReducedHistory
OPENOpendoor Technologies Inc.COM18,000$56.0K<0.1%+3,000+20.0%AddedHistory
JMIAJumia Technologies AGSPONSORED ADS10,400$60.0K<0.1%+10,400NewHistory
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT20,319$67.0K<0.1%+20,319NewHistory
TUPTupperware Brands CorpCOM10,400$68.0K<0.1%+10,400NewHistory
GUTGabelli Utility TrustCOM10,344$71.0K<0.1%+40.0%AddedHistory
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT10,100$72.0K<0.1%00.0%UnchangedHistory
Air Transport Services Grp I00922RAB1NOTE 1.125%10/1–$75.0K<0.1%–––
HBIHanesbrands Inc.COM10,931$76.0K<0.1%−300−2.7%ReducedHistory
PCKPIMCO California Municipal Income Fund IICOM12,073$77.0K<0.1%00.0%UnchangedHistory
Cheesecake Factory Inc163072AA9NOTE 0.375% 6/1–$78.0K<0.1%–––
FLWS1 800 Flowers Com IncCL A12,151$79.0K<0.1%+80+0.7%AddedHistory
WWWW International, Inc.COM20,350$80.0K<0.1%+20,350NewHistory
Haemonetics Corp Mass405024AB6NOTE 3/0–$80.0K<0.1%–––
ERICEricsson LM Telephone CoADR B SEK 1014,159$81.0K<0.1%+14,159NewHistory
LPROOpen Lending CorpCOM10,020$81.0K<0.1%+10,020NewHistory
TripAdvisor, Inc.896945AD4NOTE 0.250% 4/0–$81.0K<0.1%–––
Imax Corp45245EAJ8NOTE 0.500% 4/0–$83.0K<0.1%–––
Spirit Airls Inc848577AB8NOTE 1.000% 5/1–$86.0K<0.1%–––
JetBlue Airways Corp477143AP6NOTE 0.500% 4/0–$86.0K<0.1%–––
NSLNuveen Senior Income FundCOM19,077$89.0K<0.1%−9,589−33.5%ReducedHistory
Euronet Worldwide, Inc.298736AL3NOTE 0.750% 3/1–$91.0K<0.1%–––
VOXXVOXX International CorpCL A11,900$91.0K<0.1%+11,900NewHistory
Vishay Intertechnology Inc928298AP3NOTE 2.250% 6/1–$93.0K<0.1%–––
PLTRPalantir Technologies Inc.Stock11,608$94.0K<0.1%−3,156−21.4%ReducedHistory
Macom Tech Solutions Hldgs I55405YAB6NOTE 0.250% 3/1–$95.0K<0.1%–––
RYAMRayonier Advanced Materials Inc.COM30,858$97.0K<0.1%+1,226+4.1%AddedHistory
SIRISirius XM Holdings Inc.COM17,235$98.0K<0.1%00.0%UnchangedHistory
IMBILegacy IMBDS, Inc.COM CL A157,699$101.0K<0.1%+48,588+44.5%AddedHistory
EVVEaton Vance Ltd Duration Income FundCOM11,049$102.0K<0.1%+11,049NewHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT11,812$105.0K<0.1%+46+0.4%AddedHistory
CCIFCarlyle Credit Income FundSHS BEN INT11,799$105.0K<0.1%00.0%UnchangedHistory
PetIQ, Inc.71639TAB2NOTE 4.000% 6/0–$106.0K<0.1%–––
Pacira BioSciences, Inc.695127AF7NOTE 0.750% 8/0–$109.0K<0.1%–––
WIWWestern Asset Inflation-Linked Opportunities & Income FundCEF12,100$110.0K<0.1%−11,400−48.5%ReducedHistory
Lci Inds501812AB7NOTE 1.125% 5/1–$111.0K<0.1%–––
KAMAN Corp483548AF0NOTE 3.250% 5/0–$113.0K<0.1%–––
CHYCalamos Convertible & High Income FundCOM SHS11,500$116.0K<0.1%−6,670−36.7%ReducedHistory
Chegg, Inc163092AD1NOTE 0.125% 3/1–$122.0K<0.1%–––
Akamai Technologies Inc00971TAL5NOTE 0.375% 9/0–$126.0K<0.1%–––
InterDigital, Inc.45867GAB7NOTE 2.000% 6/0–$126.0K<0.1%–New–
FTFFranklin Ltd Duration Income TrustCOM20,555$127.0K<0.1%+8,500+70.5%AddedHistory
Guess Inc401617AD7NOTE 2.000% 4/1–$128.0K<0.1%–––
VTRSViatris IncStock15,339$131.0K<0.1%−9,901−39.2%ReducedHistory
BKCCBlackRock Capital Investment CorpCOM38,753$131.0K<0.1%+271+0.7%AddedHistory
GELGenesis Energy LPUNIT LTD PARTN14,349$132.0K<0.1%+387+2.8%AddedHistory
RQICohen & Steers Quality Income Realty Fund IncCEF11,872$134.0K<0.1%+11,872NewHistory
Biomarin Pharmaceutical Inc09061GAK7NOTE 1.250% 5/1–$134.0K<0.1%–––
Greenbrier Cos Inc393657AM3NOTE 2.875% 4/1–$135.0K<0.1%–––
Ironwood Pharmaceuticals Inc46333XAF5NOTE 0.750% 6/1–$135.0K<0.1%–New–
JRINuveen Real Asset Income & Growth FundCOM12,080$135.0K<0.1%−250−2.0%ReducedHistory
ETBEaton Vance Tax-Managed Buy-Write Income FundCOM10,320$136.0K<0.1%00.0%UnchangedHistory
ALTGAlta Equipment Group Inc.COMMON STOCK12,405$137.0K<0.1%+98+0.8%AddedHistory
ESTEEarthstone Energy IncCL A11,158$137.0K<0.1%−737−6.2%ReducedHistory
WUWestern Union COStock10,502$142.0K<0.1%+10,502NewHistory
Nuveen Calif Select Tax Free67063R103SH BEN INT10,877$142.0K<0.1%00.0%Unchanged–
NZFNuveen Municipal Credit Income FundCOM SH BEN INT12,955$147.0K<0.1%+12,955NewHistory
COOKTraeger, Inc.COMMON STOCK52,000$147.0K<0.1%00.0%UnchangedHistory
OSPNOneSpan Inc.COM17,247$148.0K<0.1%−10,764−38.4%ReducedHistory
Ford MTR Co Del345370CZ1NOTE 3/1–$148.0K<0.1%–––
LUMNLumen Technologies, Inc.Stock20,716$151.0K<0.1%+488+2.4%AddedHistory
NIDNuveen Intermediate Duration Municipal Term FundCOM12,311$152.0K<0.1%+37+0.3%AddedHistory
Halozyme Therapeutics, Inc.40637HAD1NOTE 0.250% 3/0–$153.0K<0.1%–––
ECATBlackRock ESG Capital Allocation Term TrustSHS BEN INT12,200$156.0K<0.1%+12,200NewHistory
NVTAInvitae CorpCOM63,983$157.0K<0.1%+5,851+10.1%AddedHistory
ETVEaton Vance Tax-Managed Buy-Write Opportunities FundCOM12,059$159.0K<0.1%−491−3.9%ReducedHistory
PDXPIMCO Dynamic Income Strategy FundCOM SHS BEN INT11,775$159.0K<0.1%00.0%UnchangedHistory
HPEHewlett Packard Enterprise CoCOM13,396$160.0K<0.1%+533+4.1%AddedHistory
PSTLPostal Realty Trust, Inc.CL A11,159$164.0K<0.1%−780−6.5%ReducedHistory
Global X FDS37950E549GLB X SUPERDIV21,700$164.0K<0.1%+21,700New–
SOFISoFi Technologies, Inc.Stock34,112$166.0K<0.1%+34,112NewHistory
TLSTelos CorpCOM18,826$167.0K<0.1%−650−3.3%ReducedHistory
NEANuveen AMT-Free Quality Municipal Income FundCOM15,935$169.0K<0.1%−9,440−37.2%ReducedHistory
PAAPlains All American Pipeline LPUNIT LTD PARTN16,115$170.0K<0.1%+1,011+6.7%AddedHistory
BYNDBeyond Meat, Inc.COM11,978$170.0K<0.1%−130−1.1%ReducedHistory
SLDPSolid Power, Inc.CLASS A COM33,546$176.0K<0.1%+33,546NewHistory
HQHabrdn Healthcare InvestorsSH BEN INT10,403$180.0K<0.1%+10,403NewHistory
CIIBlackRock Enhanced Large Cap Core Fund, Inc.COM11,074$182.0K<0.1%00.0%UnchangedHistory
SNAPSnap IncStock18,748$184.0K<0.1%+2,025+12.1%AddedHistory
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS22,864$185.0K<0.1%+2,559+12.6%AddedHistory
First Tr Energy Income & Gro33738G104COM12,536$186.0K<0.1%+208+1.7%Added–

Options (15)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of D.A. Davidson & Co. in Q3 2022
SecurityClassPutsCalls
AMZNAmazon Com IncStock–$180.0K
HDHome Depot, Inc.Stock$72.0K–
SYYSysco CorpStock$55.0K–
ORLYO Reilly Automotive IncStock$45.0K–
COFCapital One Financial CorpStock$36.0K–
GLDSPDR Gold TrustETF–$25.0K
TSLATesla, Inc.Stock$24.0K–
WEATTeucrium Commodity TrustWHEAT FD–$19.0K
JWNNordstrom IncStock$18.0K–
IPInternational Paper CoCOM$17.0K–
TTDTrade Desk, Inc.Stock$15.0K–
BNOUnited States Brent Oil Fund, LPETF–$14.0K
SNASnap-on IncCOM$12.0K–
AAPLApple Inc.Stock$7.00K–
RTXRTX CorpStock–$1.00K

Sold out since Q2 2022 (76)

Positions held at the end of Q2 2022 that are gone from this filing.

Positions of D.A. Davidson & Co. sold out since Q2 2022
SecurityClassShares in Q2 2022Value in Q2 2022% of portfolio in Q2 2022History
GSKGSK plcSPONSORED ADR182,831$7.96M0.1%History
First Tr Exchange Traded FD33738R837NASDQ PHRMTCLS239,586$6.33M0.1%–
iShares U S ETF Tr46431W705INT RT HDG C B45,441$4.10M0.1%–
WisdomTree Tr97717Y527FLOATNG RAT TREA67,228$3.38M<0.1%–
Kraneshares Tr500767736QUADRTC INT RT104,587$2.65M<0.1%–
iShares U.S. ETF Trust iShares Gsci Commodity Dynamic Roll Strategy ETF46431W853ETF39,349$1.61M<0.1%–
PRGSProgress Software CorpCOM29,457$1.33M<0.1%History
SPDR Series Trust78468R739ST NUVE TERM ETF26,714$1.26M<0.1%–
EQHEquitable Holdings, Inc.COM44,272$1.15M<0.1%History
AROCArchrock, Inc.COM136,545$1.13M<0.1%History
INSWInternational Seaways, Inc.COM48,553$1.03M<0.1%History
PENGPenguin Solutions, Inc.SHS60,005$982.0K<0.1%History
DBDeutsche Bank AktiengesellschaftNAMEN AKT100,215$876.0K<0.1%History
iShares Inc464286392MSCI WORLD ETF7,240$774.0K<0.1%–
TSCOTractor Supply CoCOM3,972$770.0K<0.1%History
Healthcare Realty Trust Inc42225P501CL A NEW21,467$599.0K<0.1%–
iShares Tr464287796U.S. ENERGY ETF12,993$495.0K<0.1%–
RBB FD Inc74933W601MOTLEY FOL ETF15,386$490.0K<0.1%–
CBOECboe Global Markets, Inc.COM3,900$441.0K<0.1%History
MNDTMandiant, Inc.Stock18,662$407.0K<0.1%History
Atlantica Sustainable Infr PG0751N103SHS12,450$402.0K<0.1%–
LBRDKLiberty Broadband CorpCOM SER C3,459$400.0K<0.1%History
VanEck ETF Trust92189F486IG FLOA RATE ETF15,451$381.0K<0.1%–
iShares Tr46435G425ESG AWR MSCI USA4,322$363.0K<0.1%–
APPSDigital Turbine, Inc.COM NEW19,980$349.0K<0.1%History
BNTXBioNTech SESPONSORED ADS2,330$347.0K<0.1%History
RRyder System IncCOM4,560$324.0K<0.1%History
VICIVici Properties Inc.COM10,479$312.0K<0.1%History
BSTZBlackRock Science & Technology Term TrustSHS BEN INT15,497$304.0K<0.1%History
METCRamaco Resources, Inc.COM23,150$304.0K<0.1%History
iShares Tr4642874407-10 YR TRSY BD2,931$300.0K<0.1%–
First Tr Exch TRD Alphdx FD33737J158JAPAN ALPHADEX6,856$283.0K<0.1%–
UPSTUpstart Holdings, Inc.COM8,831$279.0K<0.1%History
DELLDell Technologies Inc.Stock5,904$273.0K<0.1%History
SITMSITIME CorpCOM1,628$265.0K<0.1%History
Invesco Exch Traded FD Tr II46138E263S&P GBL WATER5,821$257.0K<0.1%–
RNGRingCentral, Inc.CL A4,863$254.0K<0.1%History
CCChemours CoStock7,610$244.0K<0.1%History
OCFCOceanfirst Financial CorpCOM12,742$244.0K<0.1%History
APAMArtisan Partners Asset Management Inc.CL A6,860$244.0K<0.1%History
CHPTChargePoint Holdings, Inc.COM CL A17,474$239.0K<0.1%History
iShares Tr4642886613 7 YR TREAS BD1,955$233.0K<0.1%–
ETF Managers Tr26924G409PRIME MOBILE PAY5,860$229.0K<0.1%–
AERAerCap Holdings N.V.SHS5,543$227.0K<0.1%History
TERTeradyne, IncStock2,512$225.0K<0.1%History
HOLXHologic IncCOM3,225$223.0K<0.1%History
CNQCanadian Natural Resources LtdCOM4,136$222.0K<0.1%History
AVAAvista CorpCOM5,038$219.0K<0.1%History
iShares U S ETF Tr46431W606IT RT HDG HGYL2,756$219.0K<0.1%–
SDHYPGIM Short Duration High Yield Opportunities FundCOM14,600$218.0K<0.1%History
JHGJanus Henderson Group Ltd.ORD SHS9,155$215.0K<0.1%History
SNOWSnowflake Inc.Stock1,531$213.0K<0.1%History
First Tr Exchange-Traded FD33734X101CONSUMR DISCRE4,659$208.0K<0.1%–
RLIRli CorpCOM1,778$207.0K<0.1%History
NPCTNuveen Core Plus Impact FundCOM BEN INT17,650$207.0K<0.1%History
MTZMastec IncCOM2,865$205.0K<0.1%History
First Tr Exchng Traded FD VI33740F870LOW DUR STRTGC10,698$200.0K<0.1%–
TBCHTurtle Beach CorpCOM NEW16,270$199.0K<0.1%History
PTACohen & Steers Tax-Advantaged Preferred Securities & Income FundCOM10,000$191.0K<0.1%History
LYGLloyds Banking Group plcSPONSORED ADR86,000$175.0K<0.1%History
BWBBridgewater Bancshares IncCOM10,400$168.0K<0.1%History
DFSDiscover Financial ServicesCOM1,640$155.0K<0.1%History
ECEcopetrol S.A.SPONSORED ADS13,550$147.0K<0.1%History
WIAWestern Asset Inflation-Linked Income FundCOM SH BEN INT14,233$139.0K<0.1%History
Itron, Inc.465741AN6NOTE 3/1–$135.0K<0.1%–
Parsons Corp70202LAB8NOTE 0.250% 8/1–$126.0K<0.1%–
CEVEaton Vance California Municipal Income TrustSH BEN INT10,376$111.0K<0.1%History
MUFGMitsubishi Ufj Financial Group IncSPONSORED ADS17,553$94.0K<0.1%History
Tidal ETF Tr886364728SONICSHARES AIR25,596$89.0K<0.1%–
GGBGerdau S.A.SPON ADR REP PFD14,400$62.0K<0.1%History
RIGTransocean Ltd.REGISTERED SHS15,352$51.0K<0.1%History
LTCHLatch, Inc.COM37,191$42.0K<0.1%History
CYPHCypherpunk Technologies Inc.COM11,000$13.0K<0.1%History
ONCSOncosec Medical IncCOM16,000$12.0K<0.1%History
SPROSpero Therapeutics, Inc.COM10,800$8.00K<0.1%History
TLPHTalphera, Inc.COM13,500$3.00K<0.1%History