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Livermore
Livermore
ZHEN

D.A. Davidson & Co.

SEC CIK
0001080107
Latest filing
Jul 24, 2026

Holdings in Q1 2023

Holdings as of Mar 31, 2023, filed Apr 25, 2023. Long positions only; changes compare share counts with Q4 2022.

Institution overview
Positions
1,327
+26 vs. Q4 2022
Portfolio value
$8.89B
+$412.5M (+4.9%) vs. Q4 2022
Filed
Apr 25, 2023
SEC
Holdings of D.A. Davidson & Co. in Q1 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
Cbre GBL Real Estate Inc FD12504G118RIGHT 04/06/202322,090$683<0.1%+22,090New–
LITSLite Strategy, Inc.COM NEW10,000$2.29K<0.1%00.0%UnchangedHistory
CYPHCypherpunk Technologies Inc.COM11,000$3.74K<0.1%+11,000NewHistory
VTGNVistagen Therapeutics, Inc.COM NEW66,500$8.29K<0.1%00.0%UnchangedHistory
RGTIWRigetti Computing, Inc.*W EXP 99/99/999125,000$13.8K<0.1%00.0%UnchangedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$19.5K<0.1%–––
ATYRaTYR PHARMA INCCOM NEW12,000$25.2K<0.1%−800−6.3%ReducedHistory
ELBMElectra Battery Materials CorpCOM NEW13,667$28.0K<0.1%00.0%UnchangedHistory
FAXAbrdn Asia-Pacific Income Fund, Inc.COM11,523$30.7K<0.1%+189+1.7%AddedHistory
OPENOpendoor Technologies Inc.COM18,100$31.9K<0.1%+100+0.6%AddedHistory
SACHSachem Capital Corp.COM10,130$37.7K<0.1%00.0%UnchangedHistory
Haemonetics Corp Mass405024AB6NOTE 3/0–$42.2K<0.1%–––
HUTHut 8 Corp.Common Stock22,950$42.5K<0.1%+11,000+92.1%AddedHistory
UAMYUnited States Antimony CorpCOM135,343$51.1K<0.1%00.0%UnchangedHistory
HBIHanesbrands Inc.COM10,870$57.2K<0.1%+10,870NewHistory
SIRISirius XM Holdings Inc.COM14,478$57.5K<0.1%−2,857−16.5%ReducedHistory
BTGB2GOLD CorpCOM15,000$59.1K<0.1%+15,000NewHistory
NMRNomura Holdings IncSPONSORED ADR17,087$64.9K<0.1%+17,087NewHistory
HIOWestern Asset High Income Opportunity Fund Inc.COM17,994$68.6K<0.1%+5,000+38.5%AddedHistory
GALTGalectin Therapeutics IncCOM NEW32,825$68.9K<0.1%+150.0%AddedHistory
CSSEChicken Soup for the Soul Entertainment, Inc.CL A35,136$70.3K<0.1%+8,800+33.4%AddedHistory
Air Transport Services Grp I00922RAB1NOTE 1.125%10/1–$70.9K<0.1%–––
GUTGabelli Utility TrustCOM10,013$71.6K<0.1%−3,085−23.6%ReducedHistory
BTEBaytex Energy Corp.COM19,195$72.4K<0.1%+19,195NewHistory
PCKPIMCO California Municipal Income Fund IICOM12,022$74.5K<0.1%−51−0.4%ReducedHistory
NOKNokia CorpSPONSORED ADR15,276$75.0K<0.1%+15,276NewHistory
Spirit Airls Inc848577AB8NOTE 1.000% 5/1–$80.0K<0.1%–––
TripAdvisor, Inc.896945AD4NOTE 0.250% 4/0–$81.8K<0.1%–––
ERICEricsson LM Telephone CoADR B SEK 1014,000$81.9K<0.1%00.0%UnchangedHistory
Cheesecake Factory Inc163072AA9NOTE 0.375% 6/1–$82.8K<0.1%–––
NGLNGL Energy Partners LPCOM UNIT REPST28,743$83.4K<0.1%+218+0.8%AddedHistory
IMBILegacy IMBDS, Inc.COM CL A166,540$84.9K<0.1%+10,732+6.9%AddedHistory
EPMEvolution Petroleum CorpCOM13,500$85.2K<0.1%−500−3.6%ReducedHistory
RYAMRayonier Advanced Materials Inc.COM13,907$87.2K<0.1%−10,787−43.7%ReducedHistory
WWWW International, Inc.COM21,255$87.6K<0.1%+5,305+33.3%AddedHistory
JRSHJerash Holdings (US), Inc.COM19,000$89.3K<0.1%+19,000NewHistory
NSLNuveen Senior Income FundCOM19,649$90.6K<0.1%+1,127+6.1%AddedHistory
JetBlue Airways Corp477143AP6NOTE 0.500% 4/0–$91.8K<0.1%–––
Imax Corp45245EAJ8NOTE 0.500% 4/0–$92.3K<0.1%–––
MBCMasterBrand, Inc.COMMON STOCK11,677$93.8K<0.1%−34,672−74.8%ReducedHistory
AMRSAmyris, Inc.COM NEW69,333$94.3K<0.1%−500−0.7%ReducedHistory
Vishay Intertechnology Inc928298AP3NOTE 2.250% 6/1–$96.9K<0.1%–––
Pacira BioSciences, Inc.695127AF7NOTE 0.750% 8/0–$100.2K<0.1%–––
LUNALuna Innovations IncCOM14,092$101.3K<0.1%+14,092NewHistory
BP Prudhoe Bay Rty Tr055630107UNIT BEN INT13,600$103.9K<0.1%+13,600New–
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT28,402$104.0K<0.1%−228−0.8%ReducedHistory
Macom Tech Solutions Hldgs I55405YAB6NOTE 0.250% 3/1–$104.1K<0.1%–––
Chegg, Inc163092AD1NOTE 0.125% 3/1–$104.9K<0.1%–––
NVTAInvitae CorpCOM77,784$105.0K<0.1%+13,878+21.7%AddedHistory
SLDPSolid Power, Inc.CLASS A COM35,426$106.6K<0.1%−16,000−31.1%ReducedHistory
FPIFarmland Partners Inc.COM10,095$107.3K<0.1%+36+0.4%AddedHistory
OXLCOxford Lane Capital Corp.COM21,263$111.2K<0.1%+2,851+15.5%AddedHistory
PetIQ, Inc.71639TAB2NOTE 4.000% 6/0–$112.3K<0.1%–––
KAMAN Corp483548AF0NOTE 3.250% 5/0–$113.0K<0.1%–––
ICLICL Group Ltd.SHS16,653$113.2K<0.1%−10,214−38.0%ReducedHistory
RESRPC IncCOM14,770$113.6K<0.1%+14,770NewHistory
WUWestern Union COStock10,204$113.8K<0.1%−331−3.1%ReducedHistory
FTFFranklin Ltd Duration Income TrustCOM18,555$114.6K<0.1%−2,000−9.7%ReducedHistory
CCIFCarlyle Credit Income FundSHS BEN INT11,799$115.7K<0.1%00.0%UnchangedHistory
BKCCBlackRock Capital Investment CorpCOM33,629$116.0K<0.1%+288+0.9%AddedHistory
IGRCbre Global Real Estate Income FundCOM21,871$116.1K<0.1%−7,513−25.6%ReducedHistory
Lci Inds501812AB7NOTE 1.125% 5/1–$116.3K<0.1%–––
RIOTRiot Platforms, Inc.COM11,650$116.4K<0.1%+1,200+11.5%AddedHistory
Akamai Technologies Inc00971TAL5NOTE 0.375% 9/0–$122.8K<0.1%–––
SRTSSensus Healthcare, Inc.COM24,250$126.3K<0.1%−19,350−44.4%ReducedHistory
CHYCalamos Convertible & High Income FundCOM SHS12,150$132.7K<0.1%+12,150NewHistory
PBRPetrobras - Petroleo Brasileiro SASPONSORED ADR12,721$132.7K<0.1%+805+6.8%AddedHistory
Ironwood Pharmaceuticals Inc46333XAF5NOTE 0.750% 6/1–$134.9K<0.1%–––
NIMNuveen Select Maturities Municipal FundSH BEN INT14,943$137.9K<0.1%+3,065+25.8%AddedHistory
Guess Inc401617AD7NOTE 2.000% 4/1–$138.4K<0.1%–––
InterDigital, Inc.45867GAB7NOTE 2.000% 6/0–$139.1K<0.1%–––
PDOPIMCO Dynamic Income Opportunities FundCOM BEN SHS11,541$143.3K<0.1%+11,541NewHistory
Greenbrier Cos Inc393657AM3NOTE 2.875% 4/1–$143.8K<0.1%–––
PCQPIMCO California Municipal Income FundCOM14,328$143.9K<0.1%−923−6.1%ReducedHistory
ESTEEarthstone Energy IncCL A11,158$145.2K<0.1%00.0%UnchangedHistory
Halozyme Therapeutics, Inc.40637HAD1NOTE 0.250% 3/0–$151.9K<0.1%–––
Ford MTR Co Del345370CZ1NOTE 3/1–$158.1K<0.1%–––
SWNSouthwestern Energy CoCOM31,823$159.1K<0.1%−1,000−3.0%ReducedHistory
BWBBridgewater Bancshares IncCOM15,400$166.9K<0.1%+15,400NewHistory
BCATBlackRock Capital Allocation Term TrustCOM11,125$168.4K<0.1%00.0%UnchangedHistory
WDIWestern Asset Diversified Income Fund (WDI)COM SHS BEN INT12,750$169.6K<0.1%−5,112−28.6%ReducedHistory
PLABPhotronics IncCOM10,250$169.9K<0.1%−3,363−24.7%ReducedHistory
WSMWilliams Sonoma IncCOM1,402$170.6K<0.1%−3,000−68.2%ReducedHistory
VOXXVOXX International CorpCL A13,900$171.4K<0.1%00.0%UnchangedHistory
NMZNuveen Municipal High Income Opportunity FundCOM16,041$173.2K<0.1%−964−5.7%ReducedHistory
GENGen Digital Inc.Stock10,500$180.2K<0.1%+1,000+10.5%AddedHistory
NEANuveen AMT-Free Quality Municipal Income FundCOM16,232$180.5K<0.1%+648+4.2%AddedHistory
NZFNuveen Municipal Credit Income FundCOM SH BEN INT15,169$181.3K<0.1%+3,354+28.4%AddedHistory
Flagstar Bank, National Association649445103COM20,267$183.2K<0.1%+20,267New–
FINSAngel Oak Financial Strategies Income Term TrustCOM BEN INT15,075$185.9K<0.1%−7,593−33.5%ReducedHistory
PSTLPostal Realty Trust, Inc.CL A12,559$190.6K<0.1%+1,400+12.5%AddedHistory
HQHabrdn Healthcare InvestorsSH BEN INT10,940$193.1K<0.1%+794+7.8%AddedHistory
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS21,964$194.4K<0.1%−500−2.2%ReducedHistory
VTRSViatris IncStock20,211$194.4K<0.1%+7,431+58.1%AddedHistory
CIIBlackRock Enhanced Large Cap Core Fund, Inc.COM11,074$198.6K<0.1%00.0%UnchangedHistory
iShares Tr464288281JPMORGAN USD EMG2,340$201.9K<0.1%+2,340New–
First Tr Exchange-Traded FD33739G103MNGD FUTRS STRGY4,300$202.1K<0.1%−1,310−23.4%Reduced–
BKRBaker Hughes CoCL A7,038$203.1K<0.1%−2,486−26.1%ReducedHistory
CHRWC. H. Robinson Worldwide, Inc.COM NEW2,050$203.7K<0.1%−217−9.6%ReducedHistory
DGIIDigi International IncCOM6,105$205.6K<0.1%+6,105NewHistory

Options (20)

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 Q1 2023
SecurityClassPutsCalls
RYRoyal Bank of CanadaStock$44.5K–
WSMWilliams Sonoma IncCOM$44.1K–
BMOBank of MontrealCOM$30.6K–
ODFLOld Dominion Freight Line, Inc.COM$29.3K–
LENLennar CorpCL A$14.9K–
DDSDillard's, Inc.CL A$9.34K–
DKSDick's Sporting Goods, Inc.Stock$9.06K–
NVDANVIDIA CorpStock$7.10K–
TDToronto Dominion BankStock$6.12K–
BSMBlack Stone Minerals, L.P.COM UNIT–$5.30K
LSTRLandstar System IncCOM$5.16K–
CMGChipotle Mexican Grill IncCOM$3.66K–
CATCaterpillar IncStock$3.54K–
GOLFAcushnet Holdings Corp.COM$3.20K–
GLDSPDR Gold TrustETF–$3.14K
ETSYEtsy IncCOM$2.81K–
Ssga Active ETF Tr78467V608ST STR BL LN ETF$1.76K–
CROXCrocs, Inc.COM$1.41K–
AAPLApple Inc.Stock$840–
NXHNeighborhood Intelligence, Inc.COM–$465

Sold out since Q4 2022 (72)

Positions held at the end of Q4 2022 that are gone from this filing.

Positions of D.A. Davidson & Co. sold out since Q4 2022
SecurityClassShares in Q4 2022Value in Q4 2022% of portfolio in Q4 2022History
Atlas CorpY0436Q109SHARES356,343$5.47M0.1%–
UMPQUmpqua Holdings CorpCOM275,674$4.92M0.1%History
VanEck ETF Trust92189F791JUNIOR GOLD MINE95,641$3.41M<0.1%–
SPDR Series Trust78468R739ST NUVE TERM ETF61,218$2.88M<0.1%–
iShares Tr46435U135CYBERSECURITY52,503$1.73M<0.1%–
iShares Inc46434G822MSCI JAPAN ETF22,014$1.20M<0.1%–
iShares Inc464286806MSCI GERMANY ETF46,483$1.15M<0.1%–
LAZLazard, Inc.SHS A28,514$988.6K<0.1%History
SMGScotts Miracle-Gro CoStock19,608$952.8K<0.1%History
State Street SPDR Portfolio S&P 500 ETF78464A854ETF19,274$866.9K<0.1%–
SPDR Series Trust78464A672ST INTER ETF30,212$853.2K<0.1%–
State Street SPDR S&P Regional Banking ETF78464A698ETF14,213$834.9K<0.1%–
iShares Inc464286392MSCI WORLD ETF7,123$778.2K<0.1%–
Ssga Active ETF Tr78467V848ST STR TOTAL ETF18,206$729.0K<0.1%–
iShares Ibonds Dec 2026 Term Muni Bond ETF46435U259ETF27,298$688.2K<0.1%–
DYDycom Industries IncCOM6,305$590.1K<0.1%History
INVEINVE Technologies, Inc.COM NEW75,097$543.7K<0.1%History
UCTTUltra Clean Holdings, Inc.COM15,265$506.0K<0.1%History
COUPCoupa Software IncCOM5,979$473.4K<0.1%History
Motley Fool Small-Cap Growth ETF74933W874ETF16,887$412.9K<0.1%–
PAYAPaya Holdings Inc.COM CL A52,100$410.0K<0.1%History
State Street SPDR Bloomberg 1-3 Month T-Bill ETF78468R663ETF4,340$397.0K<0.1%–
iShares Tr464288257MSCI ACWI ETF4,464$379.0K<0.1%–
SWAVShockwave Medical, Inc.COM1,792$368.5K<0.1%History
SRCE1st Source CorpCOM6,917$367.2K<0.1%History
POSTPost Holdings, Inc.COM3,879$350.1K<0.1%History
Flexshares Tr33939L506IBOXX 3R TARGT14,166$333.2K<0.1%–
CLFDClearfield, Inc.COM3,459$325.6K<0.1%History
FRMEFirst Merchants CorpCOM7,825$321.7K<0.1%History
HALOHalozyme Therapeutics, Inc.COM4,944$281.3K<0.1%History
CALXCalix, IncCOM4,037$276.3K<0.1%History
CHGGChegg, IncCOM10,778$272.4K<0.1%History
FAFFirst American Financial CorpStock5,126$269.0K<0.1%History
J P Morgan Exchange Traded F46641Q324INTERNL GWT5,000$262.6K<0.1%–
DLTRDollar Tree, Inc.COM1,815$256.7K<0.1%History
LTHLife Time Group Holdings, Inc.COMMON STOCK20,000$239.2K<0.1%History
RVTYRevvity, Inc.COM1,662$233.2K<0.1%History
WOLFWolfspeed, Inc.Stock3,297$227.6K<0.1%History
TAGSTeucrium Commodity TrustAGRICULTURE FD7,258$227.3K<0.1%History
iShares Tr4642886613 7 YR TREAS BD1,949$224.1K<0.1%–
BNBROOKFIELD CorpCL A LTD VT SH6,982$219.8K<0.1%History
STBAS&T Bancorp IncCOM6,312$215.7K<0.1%History
BANRBanner CorpCOM NEW3,379$213.6K<0.1%History
DINOHF Sinclair CorpCOM4,100$212.7K<0.1%History
MDGLMadrigal Pharmaceuticals, Inc.COM720$209.0K<0.1%History
SWKStanley Black & Decker, Inc.COM2,764$207.9K<0.1%History
JKHYJack Henry & Associates IncStock1,172$207.5K<0.1%History
Pgim ETF Tr69344A107PGIM ULTRA SH BD4,135$203.0K<0.1%–
NIDNuveen Intermediate Duration Municipal Term FundCOM15,361$201.5K<0.1%History
NWLNewell Brands Inc.Stock14,875$194.6K<0.1%History
HPEHewlett Packard Enterprise CoCOM11,646$185.9K<0.1%History
CGCCanopy Growth CorpCOM80,345$185.6K<0.1%History
SKTTanger Inc.COM10,036$180.1K<0.1%History
PDXPIMCO Dynamic Income Strategy FundCOM SHS BEN INT11,775$175.9K<0.1%History
MUCBlackRock Muniholdings California Quality Fund, Inc.CEF16,088$172.8K<0.1%History
NPCTNuveen Core Plus Impact FundCOM BEN INT16,650$172.5K<0.1%History
IIMInvesco Value Municipal Income TrustCOM13,858$167.0K<0.1%History
Nuveen Calif Select Tax Free67063R103SH BEN INT10,877$156.1K<0.1%–
ALTGAlta Equipment Group Inc.COMMON STOCK11,040$145.6K<0.1%History
Biomarin Pharmaceutical Inc09061GAK7NOTE 1.250% 5/1–$144.7K<0.1%–
FLWS1 800 Flowers Com IncCL A14,728$140.8K<0.1%History
JRINuveen Real Asset Income & Growth FundCOM10,405$121.7K<0.1%History
AGNTAGNT, Inc.COM10,808$119.8K<0.1%History
WEATTeucrium Commodity TrustWHEAT FD14,628$116.7K<0.1%History
LUMNLumen Technologies, Inc.Stock17,294$90.3K<0.1%History
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT10,100$78.8K<0.1%History
TLSTelos CorpCOM12,011$61.1K<0.1%History
PBIPitney Bowes IncCOM11,707$44.5K<0.1%History
TOONKartoon Studios, Inc.COM26,398$12.3K<0.1%History
RDHLRedHill Biopharma Ltd.SPONSORED ADS10,500$1.47K<0.1%History
TWAVTaoWeave, Inc.COM10,000$1.18K<0.1%History
Quanergy Systems, Inc.74764U112*W EXP 02/01/20240,000$40<0.1%–