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Livermore
Livermore
ZHEN

D.A. Davidson & Co.

SEC CIK
0001080107
Latest filing
Jul 24, 2026

Holdings in Q2 2023

Holdings as of Jun 30, 2023, filed Aug 11, 2023. Long positions only; changes compare share counts with Q1 2023.

Institution overview
Positions
1,324
−3 vs. Q1 2023
Portfolio value
$9.47B
+$581.6M (+6.5%) vs. Q1 2023
Filed
Aug 11, 2023
SEC
Holdings of D.A. Davidson & Co. in Q2 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
Western Digital Corp958102AP0NOTE 1.500% 2/0–$14.5K<0.1%–New–
RGTIWRigetti Computing, Inc.*W EXP 99/99/999125,000$17.1K<0.1%00.0%UnchangedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$19.7K<0.1%–––
IMBILegacy IMBDS, Inc.COM CL A152,329$20.1K<0.1%−14,211−8.5%ReducedHistory
CKPTCheckpoint Therapeutics, Inc.COM NEW10,000$24.7K<0.1%+10,000NewHistory
CSSEChicken Soup for the Soul Entertainment, Inc.CL A23,519$27.9K<0.1%−11,617−33.1%ReducedHistory
FAXAbrdn Asia-Pacific Income Fund, Inc.COM11,673$31.5K<0.1%+150+1.3%AddedHistory
SACHSachem Capital Corp.COM10,130$35.4K<0.1%00.0%UnchangedHistory
SLDPSolid Power, Inc.CLASS A COM14,300$36.3K<0.1%−21,126−59.6%ReducedHistory
UAMYUnited States Antimony CorpCOM135,343$42.6K<0.1%00.0%UnchangedHistory
FEAM5E Advanced Materials, Inc.COMMON STOCK14,292$46.9K<0.1%+14,292NewHistory
GALTGalectin Therapeutics IncCOM NEW32,825$47.3K<0.1%00.0%UnchangedHistory
ATYRaTYR PHARMA INCCOM NEW22,750$49.1K<0.1%+10,750+89.6%AddedHistory
EXKEndeavour Silver CorpCOM17,481$50.5K<0.1%+17,481NewHistory
SDIGStronghold Digital Mining, Inc.CLASS A COM12,750$53.3K<0.1%+12,750NewHistory
RYAMRayonier Advanced Materials Inc.COM13,907$59.5K<0.1%00.0%UnchangedHistory
BTEBaytex Energy Corp.COM19,195$62.6K<0.1%00.0%UnchangedHistory
NOKNokia CorpSPONSORED ADR15,279$63.6K<0.1%+30.0%AddedHistory
SIRISirius XM Holdings Inc.COM14,478$65.6K<0.1%00.0%UnchangedHistory
HIOWestern Asset High Income Opportunity Fund Inc.COM17,994$68.0K<0.1%00.0%UnchangedHistory
NMRNomura Holdings IncSPONSORED ADR18,108$69.4K<0.1%+1,021+6.0%AddedHistory
AMRSAmyris, Inc.COM NEW68,038$70.1K<0.1%−1,295−1.9%ReducedHistory
PCKPIMCO California Municipal Income Fund IICOM12,022$71.5K<0.1%00.0%UnchangedHistory
OPENOpendoor Technologies Inc.COM18,000$72.4K<0.1%−100−0.6%ReducedHistory
HUTHut 8 Corp.Common Stock22,950$75.7K<0.1%00.0%UnchangedHistory
ERICEricsson LM Telephone CoADR B SEK 1014,000$76.3K<0.1%00.0%UnchangedHistory
JRSHJerash Holdings (US), Inc.COM21,000$78.1K<0.1%+2,000+10.5%AddedHistory
GUTGabelli Utility TrustCOM11,628$78.8K<0.1%+1,615+16.1%AddedHistory
FTFFranklin Ltd Duration Income TrustCOM12,855$79.4K<0.1%−5,700−30.7%ReducedHistory
Spirit Airls Inc848577AB8NOTE 1.000% 5/1–$80.3K<0.1%–––
IGRCbre Global Real Estate Income FundCOM15,550$81.3K<0.1%−6,321−28.9%ReducedHistory
Cheesecake Factory Inc163072AA9NOTE 0.375% 6/1–$83.8K<0.1%–––
NSLNuveen Senior Income FundCOM19,864$91.0K<0.1%+215+1.1%AddedHistory
OXLCOxford Lane Capital Corp.COM19,791$95.8K<0.1%−1,472−6.9%ReducedHistory
Pacira BioSciences, Inc.695127AF7NOTE 0.750% 8/0–$101.5K<0.1%–––
NVTAInvitae CorpCOM91,403$103.3K<0.1%+13,619+17.5%AddedHistory
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT29,258$109.4K<0.1%+856+3.0%AddedHistory
NGLNGL Energy Partners LPCOM UNIT REPST28,743$111.8K<0.1%00.0%UnchangedHistory
KAMAN Corp483548AF0NOTE 3.250% 5/0–$115.6K<0.1%–––
CCIFCarlyle Credit Income FundSHS BEN INT11,799$117.3K<0.1%00.0%UnchangedHistory
Invesco High Income 2023 Tar46135X108COM16,000$118.7K<0.1%+16,000New–
BKCCBlackRock Capital Investment CorpCOM36,361$119.3K<0.1%+2,732+8.1%AddedHistory
PetIQ, Inc.71639TAB2NOTE 4.000% 6/0–$119.6K<0.1%–––
FPIFarmland Partners Inc.COM10,138$123.8K<0.1%+43+0.4%AddedHistory
RIOTRiot Platforms, Inc.COM10,650$125.9K<0.1%−1,000−8.6%ReducedHistory
WUWestern Union COStock11,046$129.6K<0.1%+842+8.3%AddedHistory
PCQPIMCO California Municipal Income FundCOM13,615$133.4K<0.1%−713−5.0%ReducedHistory
SWNSouthwestern Energy CoCOM22,323$134.2K<0.1%−9,500−29.9%ReducedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT14,960$134.6K<0.1%+17+0.1%AddedHistory
Ironwood Pharmaceuticals Inc46333XAF5NOTE 0.750% 6/1–$135.1K<0.1%–––
Guess Inc401617AD7NOTE 2.000% 4/1–$135.5K<0.1%–––
WWWW International, Inc.COM20,255$136.1K<0.1%−1,000−4.7%ReducedHistory
CHYCalamos Convertible & High Income FundCOM SHS12,150$136.4K<0.1%00.0%UnchangedHistory
Imax Corp45245EAJ8NOTE 0.500% 4/0–$137.8K<0.1%–––
JetBlue Airways Corp477143AP6NOTE 0.500% 4/0–$138.0K<0.1%–––
Enphase Energy, Inc.29355AAH0NOTE 3/0–$138.7K<0.1%–New–
BKNBlackRock Investment Quality Municipal Trust, Inc.COM12,000$139.6K<0.1%+12,000NewHistory
Macom Tech Solutions Hldgs I55405YAB6NOTE 0.250% 3/1–$140.0K<0.1%–––
Air Transport Services Grp I00922RAB1NOTE 1.125%10/1–$141.6K<0.1%–––
EMDWestern Asset Emerging Markets Debt Fund Inc.COM16,550$142.7K<0.1%−7,850−32.2%ReducedHistory
Lci Inds501812AB7NOTE 1.125% 5/1–$144.1K<0.1%–––
Akamai Technologies Inc00971TAL5NOTE 0.375% 9/0–$144.4K<0.1%–––
AGNCAGNC Investment Corp.REIT14,333$145.2K<0.1%+14,333NewHistory
Euronet Worldwide, Inc.298736AL3NOTE 0.750% 3/1–$145.5K<0.1%–New–
Halozyme Therapeutics, Inc.40637HAD1NOTE 0.250% 3/0–$148.5K<0.1%–––
DHTDHT Holdings, Inc.SHS NEW17,600$150.1K<0.1%+17,600NewHistory
NEANuveen AMT-Free Quality Municipal Income FundCOM13,754$150.3K<0.1%−2,478−15.3%ReducedHistory
Vishay Intertechnology Inc928298AP3NOTE 2.250% 6/1–$152.7K<0.1%–––
FINSAngel Oak Financial Strategies Income Term TrustCOM BEN INT13,133$155.1K<0.1%−1,942−12.9%ReducedHistory
NMZNuveen Municipal High Income Opportunity FundCOM14,993$158.5K<0.1%−1,048−6.5%ReducedHistory
ESTEEarthstone Energy IncCL A11,158$159.4K<0.1%00.0%UnchangedHistory
VOXXVOXX International CorpCL A12,900$161.0K<0.1%−1,000−7.2%ReducedHistory
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS21,964$165.4K<0.1%00.0%UnchangedHistory
Greenbrier Cos Inc393657AM3NOTE 2.875% 4/1–$166.6K<0.1%–––
PBRPetrobras - Petroleo Brasileiro SASPONSORED ADR12,231$169.2K<0.1%−490−3.9%ReducedHistory
BWBBridgewater Bancshares IncCOM17,300$170.4K<0.1%+1,900+12.3%AddedHistory
Ford MTR Co Del345370CZ1NOTE 3/1–$173.8K<0.1%–––
WSMWilliams Sonoma IncCOM1,464$183.2K<0.1%+62+4.4%AddedHistory
PSTLPostal Realty Trust, Inc.CL A12,559$184.7K<0.1%00.0%UnchangedHistory
HQHabrdn Healthcare InvestorsSH BEN INT10,940$186.5K<0.1%00.0%UnchangedHistory
iShares Global Clean Energy ETF464288224ETF10,301$189.6K<0.1%−174−1.7%Reduced–
BYNDBeyond Meat, Inc.COM14,637$190.0K<0.1%+718+5.2%AddedHistory
SNAPSnap IncStock16,091$190.5K<0.1%−2,425−13.1%ReducedHistory
VTRSViatris IncStock19,438$194.0K<0.1%−773−3.8%ReducedHistory
CHPTChargePoint Holdings, Inc.COM CL A22,100$194.3K<0.1%+22,100NewHistory
TDSTelephone & Data Systems IncCOM NEW23,701$195.1K<0.1%+1,368+6.1%AddedHistory
PNTGPennant Group, Inc.COM16,281$199.9K<0.1%−1,214−6.9%ReducedHistory
NVRNVR IncCOM32$203.2K<0.1%+32NewHistory
KYNKayne Anderson Energy Infrastructure Fund, Inc.COM24,977$203.3K<0.1%00.0%UnchangedHistory
EVNEaton Vance Municipal Income TrustSH BEN INT20,472$203.7K<0.1%+20,472NewHistory
J P Morgan Exchange Traded F46641Q159INCOME ETF4,506$203.7K<0.1%−80−1.7%Reduced–
SKMSK Telecom Co LtdSPONSORED ADR10,457$204.0K<0.1%+10,457NewHistory
BANFBancfirst CorpCOM2,224$204.6K<0.1%+2,224NewHistory
CIIBlackRock Enhanced Large Cap Core Fund, Inc.COM11,074$205.0K<0.1%00.0%UnchangedHistory
WDIWestern Asset Diversified Income Fund (WDI)COM SHS BEN INT15,250$205.4K<0.1%+2,500+19.6%AddedHistory
First Tr Exchange-Traded FD33739G103MNGD FUTRS STRGY4,300$205.6K<0.1%00.0%Unchanged–
AEHRAehr Test SystemsCOM5,000$206.3K<0.1%+5,000NewHistory
NSITInsight Enterprises IncCOM1,424$208.4K<0.1%−15−1.0%ReducedHistory
PACWPacwest BancorpCOM25,596$208.6K<0.1%+728+2.9%AddedHistory
iShares Tr464288158SHRT NAT MUN ETF2,008$208.9K<0.1%+3+0.1%Added–

Options (22)

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 Q2 2023
SecurityClassPutsCalls
WSMWilliams Sonoma IncCOM$38.0K–
BMOBank of MontrealCOM$29.0K–
ODFLOld Dominion Freight Line, Inc.COM$21.9K–
RYRoyal Bank of CanadaStock$21.8K–
COFCapital One Financial CorpStock$20.8K–
LOWLowes Companies IncStock$6.13K–
GOLFAcushnet Holdings Corp.COM$5.54K–
TDToronto Dominion BankStock$5.32K–
MAMastercard IncStock$5.08K–
BSMBlack Stone Minerals, L.P.COM UNIT–$4.60K
DEDeere & CoStock$4.09K–
LUVSouthwest Airlines CoCOM$3.58K–
MCHPMicrochip Technology IncStock$3.10K–
MSFTMicrosoft CorpStock$1.68K–
DFSDiscover Financial ServicesCOM$1.54K–
NXHNeighborhood Intelligence, Inc.COM–$1.21K
LULUlululemon athletica inc.Stock$540–
TSLATesla, Inc.Stock$520–
CHPTChargePoint Holdings, Inc.COM CL A–$284
GOOGLAlphabet Inc.Stock$27–
ONOn Semiconductor CorpStock–$24
TTDTrade Desk, Inc.Stock$20–

Sold out since Q1 2023 (82)

Positions held at the end of Q1 2023 that are gone from this filing.

Positions of D.A. Davidson & Co. sold out since Q1 2023
SecurityClassShares in Q1 2023Value in Q1 2023% of portfolio in Q1 2023History
iShares Trust iShares 0-1 Year Treasury Bond ETF464288679ETF60,193$6.65M0.1%–
SPDR Ser Tr78464A813S&P 600 SML CAP56,852$4.78M0.1%–
CLVTClarivate PLCORD SHS481,038$4.51M0.1%History
BARGraniteShares Gold TrustSHS BEN INT118,715$2.32M<0.1%History
PIImpinj IncCOM14,486$1.96M<0.1%History
HRBH&R Block IncCOM51,715$1.82M<0.1%History
RGLDRoyal Gold IncStock9,595$1.24M<0.1%History
GSLGlobal Ship Lease, Inc.COM CL A56,596$1.06M<0.1%History
DBDeutsche Bank AktiengesellschaftNAMEN AKT88,598$904.6K<0.1%History
NWBINorthwest Bancshares, Inc.COM66,510$800.1K<0.1%History
SANMSanmina CorpCOM11,449$691.6K<0.1%History
First Tr Exchange Trad FD VI33740Y101ALT ABSLT STRG21,379$635.0K<0.1%–
AMPSAltus Power, Inc.COM CL A103,978$569.8K<0.1%History
CPBCAMPBELL'S CoCOM9,807$539.1K<0.1%History
TRIThomson Reuters CorpCOM NEW3,617$469.6K<0.1%History
BALLBALL CorpCOM8,033$442.7K<0.1%History
First Tr Exchange Traded FD33738R860NASDAQ BK ETF19,662$418.0K<0.1%–
ACLSAxcelis Technologies IncStock3,100$413.1K<0.1%History
HRHealthcare Realty Trust IncCL A COM20,301$391.8K<0.1%History
LOVELovesac CoCOM13,255$383.1K<0.1%History
First Tr Exch Traded FD III33740J104ULTRA SHT DUR MU18,300$365.4K<0.1%–
CROXCrocs, Inc.COM2,712$342.9K<0.1%History
TDYTeledyne Technologies IncCOM777$342.3K<0.1%History
iShares Tr464289867CORE 60 BALA ETF6,667$333.6K<0.1%–
PKGPackaging Corp of AmericaStock2,391$331.8K<0.1%History
First Rep BK San Francisco C33616C100COM23,095$323.1K<0.1%–
Crane Hldgs Co224441113COMMON STOCK8,304$323.0K<0.1%–
LENLennar CorpCL A3,076$323.0K<0.1%History
BCBrunswick CorpCOM3,885$318.6K<0.1%History
AAgilent Technologies, Inc.COM2,250$311.3K<0.1%History
DDSDillard's, Inc.CL A1,000$307.7K<0.1%History
PIMCO ETF Tr72201R874SHTRM MUN BD ACT6,017$299.5K<0.1%–
MOSMosaic CoCOM6,155$282.4K<0.1%History
AAAlcoa CorpStock6,624$281.9K<0.1%History
CVECenovus Energy Inc.COM16,105$281.2K<0.1%History
WDSWoodside Energy Group LtdADR12,059$270.5K<0.1%History
GMABGenmab A/SSPONSORED ADS6,710$253.4K<0.1%History
BNOUnited States Brent Oil Fund, LPETF9,500$252.5K<0.1%History
Invesco Exchange Traded FD T46137V464S&P MDCP MOMNTUM3,275$247.3K<0.1%–
TRPTC Energy CorpCOM6,099$237.3K<0.1%History
MKC.VMcCormick & Co IncCOM VTG2,840$234.6K<0.1%History
PIIPolaris Inc.Stock2,109$233.3K<0.1%History
DNBDun & Bradstreet Holdings, Inc.COM19,600$230.1K<0.1%History
DMDesktop Metal, Inc.COM CL A100,000$230.0K<0.1%History
HUNHuntsman CORPCOM8,390$229.6K<0.1%History
EPAMEPAM Systems, Inc.COM771$228.3K<0.1%History
CMCCommercial Metals CoStock4,655$227.6K<0.1%History
ROKURoku, IncCOM CL A3,445$225.9K<0.1%History
State Street Materials Select Sector SPDR ETF81369Y100ETF2,790$225.1K<0.1%–
LILi Auto Inc.SPONSORED ADS9,000$224.6K<0.1%History
NVMINova Ltd.COM2,125$222.0K<0.1%History
ILMNIllumina, Inc.COM950$220.9K<0.1%History
MDBMongoDB, Inc.CL A945$220.3K<0.1%History
TERTeradyne, IncStock2,043$219.7K<0.1%History
ANDEAndersons, Inc.COM5,300$219.0K<0.1%History
Occidental Pete Corp WT Exp 080327674599162Stock5,220$214.0K<0.1%–
AVAAvista CorpCOM5,038$213.9K<0.1%History
BDX 6 06/01/23 Pfd075887406CONVERTIBLE PREFERRED STOCK4,300$213.8K<0.1%–
ARK ETF Tr00214Q203AUTNMUS TECHNLGY4,220$211.6K<0.1%–
BIPBrookfield Infrastructure Partners L.P.LP INT UNIT6,189$209.0K<0.1%History
CHRWC. H. Robinson Worldwide, Inc.COM NEW2,050$203.7K<0.1%History
BKRBaker Hughes CoCL A7,038$203.1K<0.1%History
iShares Tr464288281JPMORGAN USD EMG2,340$201.9K<0.1%–
PLABPhotronics IncCOM10,250$169.9K<0.1%History
InterDigital, Inc.45867GAB7NOTE 2.000% 6/0–$139.1K<0.1%–
SRTSSensus Healthcare, Inc.COM24,250$126.3K<0.1%History
RESRPC IncCOM14,770$113.6K<0.1%History
ICLICL Group Ltd.SHS16,653$113.2K<0.1%History
Chegg, Inc163092AD1NOTE 0.125% 3/1–$104.9K<0.1%–
BP Prudhoe Bay Rty Tr055630107UNIT BEN INT13,600$103.9K<0.1%–
LUNALuna Innovations IncCOM14,092$101.3K<0.1%History
MBCMasterBrand, Inc.COMMON STOCK11,677$93.8K<0.1%History
EPMEvolution Petroleum CorpCOM13,500$85.2K<0.1%History
TripAdvisor, Inc.896945AD4NOTE 0.250% 4/0–$81.8K<0.1%–
BTGB2GOLD CorpCOM15,000$59.1K<0.1%History
HBIHanesbrands Inc.COM10,870$57.2K<0.1%History
Haemonetics Corp Mass405024AB6NOTE 3/0–$42.2K<0.1%–
ELBMElectra Battery Materials CorpCOM NEW13,667$28.0K<0.1%History
VTGNVistagen Therapeutics, Inc.COM NEW66,500$8.29K<0.1%History
CYPHCypherpunk Technologies Inc.COM11,000$3.74K<0.1%History
LITSLite Strategy, Inc.COM NEW10,000$2.29K<0.1%History
Cbre GBL Real Estate Inc FD12504G118RIGHT 04/06/202322,090$683<0.1%–