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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
ALSNAllison Transmission Holdings IncStock3,551$209.7K<0.1%+3,551NewHistory
UGIUgi CorpStock9,121$209.8K<0.1%−1,570−14.7%ReducedHistory
First Tr Exchange-Traded FD33739G103MNGD FUTRS STRGY4,300$210.6K<0.1%00.0%Unchanged–
MATWMatthews International CorpCL A5,420$210.9K<0.1%+5,420NewHistory
ETREntergy CorpCOM2,285$211.4K<0.1%−553−19.5%ReducedHistory
BSTBlackRock Science & Technology TrustSHS6,774$212.8K<0.1%+500+8.0%AddedHistory
NUVNuveen Municipal Value Fund IncCOM25,832$213.4K<0.1%+15+0.1%AddedHistory
GWRSGlobal Water Resources, Inc.COM21,898$213.5K<0.1%+60.0%AddedHistory
WWWW International, Inc.COM19,345$214.1K<0.1%−910−4.5%ReducedHistory
CFCF Industries Holdings, Inc.COM2,501$214.4K<0.1%−1,013−28.8%ReducedHistory
Alps Clean Energy ETF00162Q460ETF5,870$214.7K<0.1%−400−6.4%Reduced–
BF.BBrown Forman CorpStock3,726$215.0K<0.1%−4−0.1%ReducedHistory
iShares Tr464289529INDIA 50 ETF4,784$216.2K<0.1%+4,784New–
HLHecla Mining CoCOM55,324$216.3K<0.1%00.0%UnchangedHistory
J P Morgan Exchange Traded F46641Q761US QUALTY FCTR5,000$216.3K<0.1%00.0%Unchanged–
RYNRayonier IncCOM7,631$217.2K<0.1%+22+0.3%AddedHistory
AZPNAspen Technology, Inc.COM1,064$217.3K<0.1%−324−23.3%ReducedHistory
iShares Tr464288281JPMORGAN USD EMG2,640$217.9K<0.1%+2,640New–
AGCOAGCO CorpCOM1,844$218.1K<0.1%+1,844NewHistory
CPZCalamos Long/Short Equity & Dynamic Income TrustCOM14,796$218.8K<0.1%−2,500−14.5%ReducedHistory
SKMSK Telecom Co LtdSPONSORED ADR10,286$220.7K<0.1%−171−1.6%ReducedHistory
PFCPremier Financial CorpCOM12,970$221.3K<0.1%−855−6.2%ReducedHistory
UNMUnum GroupStock4,504$221.6K<0.1%−485−9.7%ReducedHistory
ESTEEarthstone Energy IncCL A10,985$222.3K<0.1%−173−1.6%ReducedHistory
DINDine Brands Global, Inc.COM4,500$222.5K<0.1%+4,500NewHistory
NZFNuveen Municipal Credit Income FundCOM SH BEN INT21,354$222.7K<0.1%+200+0.9%AddedHistory
First Tr Exchange-Traded Alp33737M409SML CAP VAL ALPH4,747$223.0K<0.1%−1,008−17.5%Reduced–
NWNNorthwest Natural Holding CoCOM5,867$223.9K<0.1%−40−0.7%ReducedHistory
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS21,964$224.0K<0.1%00.0%UnchangedHistory
Vanguard Scottsdale FDS92206C565TOTAL WLD BD ETF3,380$224.2K<0.1%00.0%Unchanged–
Vanguard Scottsdale FDS92206C813LG-TERM COR BD3,140$224.9K<0.1%−86−2.7%Reduced–
DOCSDoximity, Inc.CL A10,618$225.3K<0.1%−116−1.1%ReducedHistory
JWNNordstrom IncStock15,112$225.8K<0.1%−35−0.2%ReducedHistory
RNPCohen & Steers REIT & Preferred & Income Fund IncCOM13,193$226.4K<0.1%+27+0.2%AddedHistory
COCOVita Coco Company, Inc.COM8,735$227.5K<0.1%+8,735NewHistory
RLIRli CorpCOM1,680$228.3K<0.1%+4+0.2%AddedHistory
AEHRAehr Test SystemsCOM5,000$228.5K<0.1%00.0%UnchangedHistory
Occidental Pete Corp WT Exp 080327674599162Stock5,284$228.5K<0.1%+5,284New–
Schwab U.S. Large-Cap ETF808524201ETF4,519$228.7K<0.1%−609−11.9%Reduced–
BIDUBaidu, Inc.ADR1,704$228.9K<0.1%00.0%UnchangedHistory
First Tr Exchange-Traded FD33734X168MATERIALS ALPH3,636$229.2K<0.1%−26,662−88.0%Reduced–
IBNIcici Bank LtdADR9,920$229.3K<0.1%+55+0.6%AddedHistory
iShares Tr464287739U.S. REAL ES ETF2,940$229.7K<0.1%−36−1.2%Reduced–
PFLPIMCO Income Strategy FundCOM30,054$230.5K<0.1%+1,608+5.7%AddedHistory
Invesco Actvely MNGD Etc FD46090F100OPTIMUM YIELD15,423$230.6K<0.1%−1,690−9.9%Reduced–
SEATVivid Seats Inc.COM CL A35,975$231.0K<0.1%+1,475+4.3%AddedHistory
PEverpure, Inc.CL A6,500$231.5K<0.1%00.0%UnchangedHistory
EXASExact Sciences CorpCOM3,405$232.3K<0.1%00.0%UnchangedHistory
ALGMAllegro Microsystems, Inc.COM7,300$233.2K<0.1%−770−9.5%ReducedHistory
KAIKadant IncCOM1,048$236.4K<0.1%+1,048NewHistory
GNLXGENELUX CorpCOM9,666$236.7K<0.1%+9,666NewHistory
VTRSViatris IncStock24,273$239.3K<0.1%+4,835+24.9%AddedHistory
JPMorgan Nasdaq Equity Premium Income ETF46654Q203ETF5,100$239.3K<0.1%+5,100New–
RGTRoyce Global Trust, Inc.COM27,578$240.2K<0.1%−406−1.5%ReducedHistory
TPCTutor Perini CorpCOM30,731$240.6K<0.1%−10,297−25.1%ReducedHistory
CNICanadian National Railway CoStock2,229$241.5K<0.1%+88+4.1%AddedHistory
ETVEaton Vance Tax-Managed Buy-Write Opportunities FundCOM20,340$243.5K<0.1%+76+0.4%AddedHistory
GENGen Digital Inc.Stock13,800$244.0K<0.1%+1,187+9.4%AddedHistory
iShares U S ETF Tr46431W838SHOR MAT MUN ETF4,899$244.0K<0.1%+4,899New–
MTZMastec IncCOM3,394$244.3K<0.1%+336+11.0%AddedHistory
WALWestern Alliance BancorporationCOM5,322$244.7K<0.1%+5,322NewHistory
LCIILci IndustriesCOM2,088$245.2K<0.1%+2+0.1%AddedHistory
FHBFirst Hawaiian, Inc.COM13,585$245.2K<0.1%00.0%UnchangedHistory
Goldman Sachs ETF Tr381430503ACTIVEBETA US LG2,912$245.3K<0.1%+26+0.9%Added–
ROKURoku, IncCOM CL A3,488$246.2K<0.1%+3,488NewHistory
STESTERIS plcSHS USD1,126$247.1K<0.1%−89−7.3%ReducedHistory
TSCOTractor Supply CoCOM1,227$249.2K<0.1%+32+2.7%AddedHistory
PAAPlains All American Pipeline LPUNIT LTD PARTN16,285$249.5K<0.1%+58+0.4%AddedHistory
OPRAOpera LtdSPONSORED ADS22,150$249.6K<0.1%+22,150NewHistory
FLEXFlex Ltd.Stock9,295$250.8K<0.1%−314−3.3%ReducedHistory
FLOFlowers Foods IncCOM11,319$251.1K<0.1%−275−2.4%ReducedHistory
NMAINuveen Multi-Asset Income FundCOM22,690$252.3K<0.1%−1,159−4.9%ReducedHistory
iShares Tr464289867CORE 60 BALA ETF5,121$253.0K<0.1%+5,121New–
ETF Managers Tr26924G888ETHO CLIMATE LEA5,059$253.2K<0.1%+5,059New–
PLUGPlug Power IncStock33,332$253.3K<0.1%−1,475−4.2%ReducedHistory
RYRoyal Bank of CanadaStock2,917$255.1K<0.1%+206+7.6%AddedHistory
BAMBrookfield Asset Management Ltd.CL A LMT VTG SHS7,652$255.1K<0.1%00.0%UnchangedHistory
Innovator ETFs Tr45782C102IBD 50 ETF11,455$256.3K<0.1%−1,280−10.1%Reduced–
APAMArtisan Partners Asset Management Inc.CL A6,860$256.7K<0.1%00.0%UnchangedHistory
iShares Tr464287788U.S. FINLS ETF3,445$257.5K<0.1%−103−2.9%Reduced–
WDAYWorkday, Inc.CL A1,199$257.6K<0.1%−4−0.3%ReducedHistory
iShares Tr46435G318IBONDS DEC202310,141$258.8K<0.1%00.0%Unchanged–
SPLKSplunk IncCOM1,784$260.9K<0.1%+1,784NewHistory
SLABSilicon Laboratories Inc.Stock2,252$261.0K<0.1%+89+4.1%AddedHistory
CASSCass Information Systems IncCOM7,008$261.0K<0.1%−625−8.2%ReducedHistory
SCCOSouthern Copper CorpStock3,469$261.2K<0.1%+453+15.0%AddedHistory
NRIMNorthrim Bancorp IncCOM6,600$261.5K<0.1%00.0%UnchangedHistory
LBAILakeland Bancorp IncCOM20,757$262.0K<0.1%+13+0.1%AddedHistory
Nushares ETF Tr67092P805NUVEEN ESG INTL9,608$262.5K<0.1%00.0%Unchanged–
FCFFirst Commonwealth Financial CorpCOM21,530$262.9K<0.1%−536−2.4%ReducedHistory
WSMWilliams Sonoma IncCOM1,692$262.9K<0.1%+228+15.6%AddedHistory
NAVINavient CorpCOM15,415$265.4K<0.1%00.0%UnchangedHistory
BNYBank of New York Mellon CorpStock6,235$265.9K<0.1%−887−12.5%ReducedHistory
DRIDarden Restaurants IncCOM1,866$267.4K<0.1%−2,374−56.0%ReducedHistory
LVSLas Vegas Sands CorpCOM5,942$272.4K<0.1%−488−7.6%ReducedHistory
Global X FDS37950E291GLOBX SUPDV US16,900$273.7K<0.1%−1,250−6.9%Reduced–
First Tr Exchange-Traded FD33738R886DORSEY WRIGHT15,500$275.0K<0.1%+8+0.1%Added–
BBNBlackRock Taxable Municipal Bond TrustSHS18,146$275.1K<0.1%00.0%UnchangedHistory
CCChemours CoStock9,813$275.3K<0.1%+1,106+12.7%AddedHistory
iShares Tr464288521CRE U S REIT ETF5,928$279.7K<0.1%−550−8.5%Reduced–

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