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Livermore
Livermore
ZHEN

D.A. Davidson & Co.

SEC CIK
0001080107
Latest filing
Jul 24, 2026

Holdings in Q3 2023

Holdings as of Sep 30, 2023, filed Nov 8, 2023. Long positions only; changes compare share counts with Q2 2023.

Institution overview
Positions
1,314
−10 vs. Q2 2023
Portfolio value
$9.21B
−$258.1M (−2.7%) vs. Q2 2023
Filed
Nov 8, 2023
SEC
Holdings of D.A. Davidson & Co. in Q3 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
CSSEChicken Soup for the Soul Entertainment, Inc.CL A17,042$5.88K<0.1%−6,477−27.5%ReducedHistory
OTLKOutlook Therapeutics, Inc.COM NEW28,000$6.19K<0.1%+28,000NewHistory
Western Digital Corp958102AP0NOTE 1.500% 2/0–$14.7K<0.1%–––
CKPTCheckpoint Therapeutics, Inc.COM NEW10,000$17.0K<0.1%00.0%UnchangedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$19.8K<0.1%–––
FAXAbrdn Asia-Pacific Income Fund, Inc.COM10,234$25.1K<0.1%−1,439−12.3%ReducedHistory
SLDPSolid Power, Inc.CLASS A COM14,300$28.9K<0.1%00.0%UnchangedHistory
RGTIWRigetti Computing, Inc.*W EXP 99/99/999125,000$31.1K<0.1%00.0%UnchangedHistory
FEAM5E Advanced Materials, Inc.COMMON STOCK14,292$32.3K<0.1%00.0%UnchangedHistory
LYGLloyds Banking Group plcSPONSORED ADR15,501$33.0K<0.1%+15,501NewHistory
RYAMRayonier Advanced Materials Inc.COM10,067$35.6K<0.1%−3,840−27.6%ReducedHistory
SACHSachem Capital Corp.COM10,130$35.8K<0.1%00.0%UnchangedHistory
ATYRaTYR PHARMA INCCOM NEW22,750$35.9K<0.1%00.0%UnchangedHistory
HRTXHeron Therapeutics, Inc.COM40,600$41.8K<0.1%−215,807−84.2%ReducedHistory
HUTHut 8 Corp.Common Stock22,950$44.8K<0.1%00.0%UnchangedHistory
HIOWestern Asset High Income Opportunity Fund Inc.COM12,994$47.3K<0.1%−5,000−27.8%ReducedHistory
NATNordic American Tankers LtdCOM11,500$47.4K<0.1%+11,500NewHistory
OPENOpendoor Technologies Inc.COM18,000$47.5K<0.1%00.0%UnchangedHistory
UAMYUnited States Antimony CorpCOM135,343$49.9K<0.1%00.0%UnchangedHistory
PCKPIMCO California Municipal Income Fund IICOM10,315$51.8K<0.1%−1,707−14.2%ReducedHistory
CVMCel Sci CorpCOM PAR NEW43,800$54.8K<0.1%−485,389−91.7%ReducedHistory
JRSHJerash Holdings (US), Inc.COM18,167$55.1K<0.1%−2,833−13.5%ReducedHistory
NOKNokia CorpSPONSORED ADR15,282$57.2K<0.1%+30.0%AddedHistory
GUTGabelli Utility TrustCOM11,953$63.4K<0.1%+325+2.8%AddedHistory
SIRISirius XM Holdings Inc.COM14,766$66.7K<0.1%+288+2.0%AddedHistory
GALTGalectin Therapeutics IncCOM NEW37,825$72.6K<0.1%+5,000+15.2%AddedHistory
NMRNomura Holdings IncSPONSORED ADR19,108$76.8K<0.1%+1,000+5.5%AddedHistory
Atech (Parent) Resolution Corp.00973N102COM103,500$77.9K<0.1%−60,000−36.7%Reduced–
FTFFranklin Ltd Duration Income TrustCOM12,855$78.3K<0.1%00.0%UnchangedHistory
CCIFCarlyle Credit Income FundSHS BEN INT10,022$82.0K<0.1%−1,777−15.1%ReducedHistory
Cheesecake Factory Inc163072AA9NOTE 0.375% 6/1–$82.6K<0.1%–––
Spirit Airls Inc848577AB8NOTE 1.000% 5/1–$82.8K<0.1%–––
BTEBaytex Energy Corp.COM19,195$84.7K<0.1%00.0%UnchangedHistory
SNAPSnap IncStock10,091$89.9K<0.1%−6,000−37.3%ReducedHistory
EMDWestern Asset Emerging Markets Debt Fund Inc.COM11,300$93.8K<0.1%−5,250−31.7%ReducedHistory
SDIGStronghold Digital Mining, Inc.CLASS A COM21,950$95.5K<0.1%+9,200+72.2%AddedHistory
RIOTRiot Platforms, Inc.COM10,400$97.0K<0.1%−250−2.3%ReducedHistory
VOXXVOXX International CorpCL A12,900$102.9K<0.1%00.0%UnchangedHistory
FPIFarmland Partners Inc.COM10,176$104.4K<0.1%+38+0.4%AddedHistory
PetIQ, Inc.71639TAB2NOTE 4.000% 6/0–$105.5K<0.1%–––
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT29,258$107.1K<0.1%00.0%UnchangedHistory
Biomarin Pharmaceutical Inc09061GAK7NOTE 1.250% 5/1–$109.2K<0.1%–New–
NIMNuveen Select Maturities Municipal FundSH BEN INT13,104$111.0K<0.1%−1,856−12.4%ReducedHistory
BKNBlackRock Investment Quality Municipal Trust, Inc.COM11,100$112.3K<0.1%−900−7.5%ReducedHistory
KAMAN Corp483548AF0NOTE 3.250% 5/0–$114.3K<0.1%–––
CHPTChargePoint Holdings, Inc.COM CL A23,535$117.0K<0.1%+1,435+6.5%AddedHistory
NGLNGL Energy Partners LPCOM UNIT REPST30,621$118.5K<0.1%+1,878+6.5%AddedHistory
OXLCOxford Lane Capital Corp.COM24,018$119.9K<0.1%+4,227+21.4%AddedHistory
Lumentum Hldgs Inc55024UAD1NOTE 0.500%12/1–$125.5K<0.1%–New–
Pacira BioSciences, Inc.695127AF7NOTE 0.750% 8/0–$126.0K<0.1%–––
Itron, Inc.465741AN6NOTE 3/1–$127.8K<0.1%–New–
CHYCalamos Convertible & High Income FundCOM SHS11,465$127.9K<0.1%−685−5.6%ReducedHistory
NMZNuveen Municipal High Income Opportunity FundCOM13,832$128.4K<0.1%−1,161−7.7%ReducedHistory
JetBlue Airways Corp477143AP6NOTE 0.500% 4/0–$131.4K<0.1%–––
Enphase Energy, Inc.29355AAH0NOTE 3/0–$131.6K<0.1%–––
Ironwood Pharmaceuticals Inc46333XAF5NOTE 0.750% 6/1–$132.4K<0.1%–––
BWBBridgewater Bancshares IncCOM14,220$134.8K<0.1%−3,080−17.8%ReducedHistory
Uber Technologies, Inc90353TAJ9NOTE 12/1–$135.3K<0.1%–New–
BKCCBlackRock Capital Investment CorpCOM36,640$135.9K<0.1%+279+0.8%AddedHistory
Guess Inc401617AD7NOTE 2.000% 4/1–$136.3K<0.1%–––
Solaredge Technologies, Inc.83417MAD6NOTE 9/1–$137.1K<0.1%–New–
COOKTraeger, Inc.COMMON STOCK50,300$137.3K<0.1%−1,700−3.3%ReducedHistory
Imax Corp45245EAJ8NOTE 0.500% 4/0–$138.2K<0.1%–––
Lci Inds501812AB7NOTE 1.125% 5/1–$140.5K<0.1%–––
Greenbrier Cos Inc393657AM3NOTE 2.875% 4/1–$143.1K<0.1%–––
NEANuveen AMT-Free Quality Municipal Income FundCOM14,832$143.6K<0.1%+1,078+7.8%AddedHistory
SWNSouthwestern Energy CoCOM22,323$144.0K<0.1%00.0%UnchangedHistory
WUWestern Union COStock11,019$145.2K<0.1%−27−0.2%ReducedHistory
Halozyme Therapeutics, Inc.40637HAD1NOTE 0.250% 3/0–$152.7K<0.1%–––
Akamai Technologies Inc00971TAL5NOTE 0.375% 9/0–$156.7K<0.1%–––
BCATBlackRock Capital Allocation Term TrustCOM10,825$156.9K<0.1%−5,500−33.7%ReducedHistory
Ford MTR Co Del345370CZ1NOTE 3/1–$158.1K<0.1%–––
FINSAngel Oak Financial Strategies Income Term TrustCOM BEN INT13,141$158.2K<0.1%+8+0.1%AddedHistory
ERICEricsson LM Telephone CoADR B SEK 1033,000$160.4K<0.1%+19,000+135.7%AddedHistory
AGNCAGNC Investment Corp.REIT17,747$167.5K<0.1%+3,414+23.8%AddedHistory
INTTIntest CorpCOM11,050$167.6K<0.1%+11,050NewHistory
PSTLPostal Realty Trust, Inc.CL A12,559$169.5K<0.1%00.0%UnchangedHistory
Nuveen Calif Select Tax Free67063R103SH BEN INT14,299$174.0K<0.1%+14,299New–
Nuveen High Income 2023 Targ67079F101COM18,500$176.5K<0.1%−15,000−44.8%Reduced–
QSQuantumScape CorpCOM CL A26,446$176.9K<0.1%−2,556−8.8%ReducedHistory
PNTGPennant Group, Inc.COM15,981$177.9K<0.1%−300−1.8%ReducedHistory
PBRPetrobras - Petroleo Brasileiro SASPONSORED ADR12,090$181.2K<0.1%−141−1.2%ReducedHistory
EVNEaton Vance Municipal Income TrustSH BEN INT20,472$182.4K<0.1%00.0%UnchangedHistory
KYNKayne Anderson Energy Infrastructure Fund, Inc.COM22,377$188.2K<0.1%−2,600−10.4%ReducedHistory
Invesco Exch TRD SLF Idx FD46138J791BULSHS 2026 CB10,536$197.9K<0.1%−1,606−13.2%Reduced–
RCLRoyal Caribbean Cruises LtdCOM2,180$200.9K<0.1%−116−5.1%ReducedHistory
Pacer FDS Tr69374H741DATA AND INFRAST7,761$200.9K<0.1%−476−5.8%Reduced–
WDIWestern Asset Diversified Income Fund (WDI)COM SHS BEN INT15,250$201.9K<0.1%00.0%UnchangedHistory
NWENorthWestern Energy Group, Inc.COM NEW4,225$203.1K<0.1%+125+3.0%AddedHistory
OMOutset Medical, Inc.COM18,745$203.9K<0.1%+18+0.1%AddedHistory
J P Morgan Exchange Traded F46641Q159INCOME ETF4,594$204.0K<0.1%+88+2.0%Added–
ANSSAnsys IncCOM690$205.3K<0.1%+690NewHistory
WYNNWynn Resorts LtdCOM2,230$206.1K<0.1%−5−0.2%ReducedHistory
CIIBlackRock Enhanced Large Cap Core Fund, Inc.COM11,074$206.5K<0.1%00.0%UnchangedHistory
NSITInsight Enterprises IncCOM1,424$207.2K<0.1%00.0%UnchangedHistory
Invesco Exch Traded FD Tr II46138G102S&P SMLCP LOW5,259$207.4K<0.1%−163−3.0%Reduced–
EVRGEvergy, Inc.Stock4,091$207.4K<0.1%+3+0.1%AddedHistory
iShares Tr464288158SHRT NAT MUN ETF2,020$207.8K<0.1%+12+0.6%Added–
RNGRingCentral, Inc.CL A7,034$208.4K<0.1%+12+0.2%AddedHistory
TOSTToast, Inc.Stock11,133$208.5K<0.1%+11,133NewHistory

Options (17)

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 2023
SecurityClassPutsCalls
BMOBank of MontrealCOM$34.9K–
RYRoyal Bank of CanadaStock$33.5K–
DEDeere & CoStock$27.5K–
ZSZscaler, Inc.Stock$27.3K–
COFCapital One Financial CorpStock$18.3K–
GOLFAcushnet Holdings Corp.COM$14.8K–
NUENucor CorpCOM$11.8K–
LOWLowes Companies IncStock$10.8K–
MCHPMicrochip Technology IncStock$8.26K–
AAPLApple Inc.Stock$7.72K–
WSMWilliams Sonoma IncCOM$6.97K–
BSMBlack Stone Minerals, L.P.COM UNIT–$6.90K
MAMastercard IncStock$5.00K–
PLTRPalantir Technologies Inc.Stock$3.20K–
STLDSteel Dynamics IncCOM$2.80K–
ODFLOld Dominion Freight Line, Inc.COM$2.28K–
CHPTChargePoint Holdings, Inc.COM CL A–$63

Sold out since Q2 2023 (76)

Positions held at the end of Q2 2023 that are gone from this filing.

Positions of D.A. Davidson & Co. sold out since Q2 2023
SecurityClassShares in Q2 2023Value in Q2 2023% of portfolio in Q2 2023History
WisdomTree Tr97717W380INTRST RATE HDGE217,695$9.63M0.1%–
iShares Tr46434VBG4IBONDS DEC24 ETF168,569$4.15M<0.1%–
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP61,313$3.82M<0.1%History
iShares Ibonds Dec 2026 Term Corporate ETF46435GAA0ETF156,000$3.66M<0.1%–
NUVANuvasive IncCOM64,220$2.67M<0.1%History
TDCTeradata CorpStock41,299$2.21M<0.1%History
CNHCNH Industrial N.V.SHS119,707$1.72M<0.1%History
Global X FDS37954Y830GLOBAL X COPPER43,610$1.64M<0.1%–
CFGCitizens Financial Group IncCOM57,623$1.50M<0.1%History
VRRMVerra Mobility CorpCL A COM STK65,120$1.28M<0.1%History
CRCrane CoCOMMON STOCK13,980$1.25M<0.1%History
TRMBTrimble Inc.COM22,937$1.21M<0.1%History
Global X Uranium ETF37954Y871ETF55,208$1.20M<0.1%–
LNTHLantheus Holdings, Inc.Stock14,219$1.19M<0.1%History
ETF Managers Tr26924G102PRIME JUNIR SLVR115,939$1.09M<0.1%–
Invesco Exch TRD SLF Idx FD46138J858BULSHS 2023 HY41,061$965.3K<0.1%–
State Street SPDR S&P Regional Banking ETF78464A698ETF20,177$823.8K<0.1%–
SKINSkinHealth Systems Inc.COM CL A90,670$758.9K<0.1%History
AJRDAerojet Rocketdyne Holdings, Inc.COM13,150$721.5K<0.1%History
State Street SPDR Portfolio S&P 500 Growth ETF78464A409ETF10,489$640.0K<0.1%–
SQMChemical & Mining Co of Chile IncSPON ADR SER B8,482$616.0K<0.1%History
GTMZoomInfo Technologies Inc.Stock23,767$603.4K<0.1%History
AMNAmn Healthcare Services IncCOM4,068$443.9K<0.1%History
NRGNRG Energy, Inc.Stock10,678$399.3K<0.1%History
State Street SPDR Portfolio Developed World Ex-US ETF78463X889ETF10,532$342.7K<0.1%–
CYRXCryoport, Inc.COM PAR $0.00119,200$331.2K<0.1%History
VTRVentas, Inc.REIT6,914$326.8K<0.1%History
SPDR Series Trust78468R101ST SHO TREAS ETF11,193$322.2K<0.1%–
UHSUniversal Health Services IncCL B1,928$304.2K<0.1%History
HIHillenbrand, Inc.COM5,900$302.6K<0.1%History
SUMSummit Materials, Inc.CL A7,424$281.0K<0.1%History
HEHawaiian Electric Industries IncCOM7,609$275.4K<0.1%History
Tidal Trust I886364645SONICSHARES GBL10,408$271.6K<0.1%–
JRONuveen Floating Rate Income Opportunity FundCOM SHS34,572$269.7K<0.1%History
Schwab US Tips ETF808524870ETF4,811$252.2K<0.1%–
UFPTUfp Technologies IncCOM1,300$252.0K<0.1%History
DGIIDigi International IncCOM6,370$250.9K<0.1%History
LUVSouthwest Airlines CoCOM6,910$250.2K<0.1%History
NVCRNovoCure LtdORD SHS5,940$246.5K<0.1%History
LITELumentum Holdings Inc.COM4,323$245.2K<0.1%History
GLDMWorld Gold TrustSPDR GLD MINIS6,419$244.5K<0.1%History
APTVAptiv PLCSHS2,310$235.8K<0.1%History
OSPNOneSpan Inc.COM15,723$233.3K<0.1%History
EGLEEagle Bulk Shipping Inc.COM4,800$230.6K<0.1%History
iShares Inc464286293ASIA/PAC DIV ETF6,975$229.1K<0.1%–
iShares Inc464286285JP MRGN EM HI BD6,521$229.1K<0.1%–
iShares Tr4642886613 7 YR TREAS BD1,970$227.1K<0.1%–
NRTNorth European Oil Royalty TrustSH BEN INT17,450$226.5K<0.1%History
QSIQuantum-Si IncCOM CL A125,000$223.8K<0.1%History
FRGFranchise Group, Inc.COM7,800$223.4K<0.1%History
Invesco Exch TRD SLF Idx FD46138J783BULSHS 2027 CB11,689$222.4K<0.1%–
SWKStanley Black & Decker, Inc.COM2,351$220.4K<0.1%History
UALUnited Airlines Holdings, Inc.COM3,999$219.4K<0.1%History
HOLXHologic IncCOM2,707$219.2K<0.1%History
MPWRMonolithic Power Systems, Inc.COM403$217.9K<0.1%History
OLNOLIN CorpStock4,105$211.0K<0.1%History
SHLSShoals Technologies Group, Inc.CL A8,250$210.9K<0.1%History
iShares S&P Small-Cap 600 Growth ETF464287887ETF1,823$209.5K<0.1%–
INCYIncyte CorpCOM3,362$209.3K<0.1%History
PACWPacwest BancorpCOM25,596$208.6K<0.1%History
BANFBancfirst CorpCOM2,224$204.6K<0.1%History
BYNDBeyond Meat, Inc.COM14,637$190.0K<0.1%History
iShares Global Clean Energy ETF464288224ETF10,301$189.6K<0.1%–
HQHabrdn Healthcare InvestorsSH BEN INT10,940$186.5K<0.1%History
Vishay Intertechnology Inc928298AP3NOTE 2.250% 6/1–$152.7K<0.1%–
Euronet Worldwide, Inc.298736AL3NOTE 0.750% 3/1–$145.5K<0.1%–
Air Transport Services Grp I00922RAB1NOTE 1.125%10/1–$141.6K<0.1%–
Macom Tech Solutions Hldgs I55405YAB6NOTE 0.250% 3/1–$140.0K<0.1%–
PCQPIMCO California Municipal Income FundCOM13,615$133.4K<0.1%History
Invesco High Income 2023 Tar46135X108COM16,000$118.7K<0.1%–
NVTAInvitae CorpCOM91,403$103.3K<0.1%History
NSLNuveen Senior Income FundCOM19,864$91.0K<0.1%History
IGRCbre Global Real Estate Income FundCOM15,550$81.3K<0.1%History
AMRSAmyris, Inc.COM NEW68,038$70.1K<0.1%History
EXKEndeavour Silver CorpCOM17,481$50.5K<0.1%History
IMBILegacy IMBDS, Inc.COM CL A152,329$20.1K<0.1%History