Skip to main content
Livermore
Livermore
ZHEN

Captrust Financial Advisors

SEC CIK
0001512024
Latest filing
Aug 13, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 16, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
4,828
+60 vs. Q2 2021
Portfolio value
$12.0B
+$1.30B (+12.1%) vs. Q2 2021
Filed
Nov 16, 2021
SEC
Holdings of Captrust Financial Advisors in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
HCMCHealthier Choices Management Corp.COM503,571$00.0%+275,000+120.3%AddedHistory
Healthcare Services Acqu Cor42227K112*W EXP 99/99/999500$00.0%00.0%Unchanged–
Hitachi Constr Machy C ADR43358L101ADR6$00.0%00.0%Unchanged–
HBMDHoward Bancorp IncCOM6$00.0%+6NewHistory
Hycroft Mining Holding Corp44862P125*W EXP 10/12/202359$00.0%00.0%Unchanged–
IMBILegacy IMBDS, Inc.COM CL A10$00.0%+10NewHistory
ICPTIntercept Pharmaceuticals, Inc.COM13$00.0%−152−92.1%ReducedHistory
Invesco Exch Traded FD Tr II46138E651GLOBAL WATER11$00.0%00.0%Unchanged–
Isodiol Intl Inc Com New46500L200Common Stock200$00.0%00.0%Unchanged–
Jushi Hldgs Inc CL B Sub VTG48213Y107FGC10$00.0%+10New–
KANPKaanapali Land LLCCOM6$00.0%+6NewHistory
Finmeccanica SpA ADR52660W101ADR66$00.0%00.0%Unchanged–
Liberated Syndication Inc.53013F100COM84$00.0%00.0%Unchanged–
LGNZZLigand Pharmaceuticals IncCommon Stock500$00.0%00.0%UnchangedHistory
LQMTLiquidmetal Technologies IncCommon Stock200$00.0%00.0%UnchangedHistory
Listed FD Tr53656F706ROUNDHILL BITK10$00.0%00.0%Unchanged–
Lizhi Inc53933L104ADS100$00.0%00.0%Unchanged–
LKNCYLuckin Coffee Inc.ADR31$00.0%−44−58.7%ReducedHistory
MLVFMalvern Bancorp, Inc.COM14$00.0%00.0%UnchangedHistory
Marubeni Corp ADR573810207ADR4$00.0%00.0%Unchanged–
MDVLMedAvail Holdings, Inc.COM46$00.0%+46NewHistory
MMNFFMedMen Enterprises, Inc.Common Stock733$00.0%+500+214.6%AddedHistory
MILEMetromile, LLCCOM52$00.0%+52NewHistory
MSONMisonix IncCOM12$00.0%00.0%UnchangedHistory
Monitronics Intl Inc Com609453105Common Stock2$00.0%00.0%Unchanged–
PRSOPeraso Inc.COM5$00.0%00.0%UnchangedHistory
Mudrick Capital Acqu Corp II62477L107COM CL A30$00.0%00.0%Unchanged–
Multichoice Group Ltd Sponsored ADS62548D100ADR55$00.0%00.0%Unchanged–
NWLINational Western Life Group, Inc.CL A2$00.0%00.0%UnchangedHistory
NAVBNavidea Biopharmaceuticals, Inc.COM NEW154$00.0%+150+3,750.0%AddedHistory
NPTNNeophotonics CorpCOM41$00.0%00.0%UnchangedHistory
NGTFNightFood Holdings, Inc.COM2,000$00.0%+1,000+100.0%AddedHistory
Nokian Tyres Oyj ADR65528V107ADR16$00.0%00.0%Unchanged–
Northisle Copper & Gold Inc Com66644R103Common Stock75$00.0%00.0%Unchanged–
PCSBPCSB Financial CorpCOM9$00.0%00.0%UnchangedHistory
PPDPPD, Inc.COM6$00.0%−3,195−99.8%ReducedHistory
Patient Access Solutions Inc Com New70324A208Common Stock100,000$00.0%00.0%Unchanged–
PXLWPixelworks, IncCOM NEW102$00.0%00.0%UnchangedHistory
AGSPlayAGS, Inc.COM38$00.0%00.0%UnchangedHistory
Polaris Infrastructure Inc Com73106R100Common Stock4$00.0%00.0%Unchanged–
Predictive Technology Group Com74039H102Common Stock2,500$00.0%−81,000−97.0%Reduced–
ProShares Tr74347B276PSHS ULDOW30 NEW31$00.0%00.0%Unchanged–
ProShares Tr74347X864ULTRPRO S&P5002$00.0%+2New–
Puration Inc Com74609P104COM1,000$00.0%00.0%Unchanged–
FRBKRepublic First Bancorp IncCOM54$00.0%00.0%UnchangedHistory
SPDR Ser Tr78468R689S&P KENSHO SMART6$00.0%00.0%Unchanged–
TLMDSOC Telemed, Inc.COM CL A74$00.0%+74NewHistory
Sears Holdings Corporation Com812350106COM140$00.0%00.0%Unchanged–
SMSISmith Micro Software, Inc.COM NEW33$00.0%+33NewHistory
SLDBSolid Biosciences Inc.COM144$00.0%00.0%UnchangedHistory
South Beach Spirits Inc Com83645W106Common Stock251,000$00.0%00.0%Unchanged–
SPAUFSpanish Mountain Gold Ltd.Common Stock100$00.0%00.0%UnchangedHistory
Spinnaker ETF Series84858T400CANNABIS ETF20$00.0%−50−71.4%Reduced–
Sproutly Canada Inc.85209J108COM1,600$00.0%00.0%Unchanged–
SCXStarrett L S CoCL A1$00.0%00.0%UnchangedHistory
TMM Inc New87258Q108COM2,500$00.0%+2,500New–
GRAMGold Flora Corp.COM100$00.0%00.0%UnchangedHistory
Telecom Italia S P A New Spon ADS SVGS87927Y201ADR45$00.0%00.0%Unchanged–
TELLTellurian Inc.COM50$00.0%+50NewHistory
Tidal ETF Tr886364504SOFI GIG ETF12$00.0%00.0%Unchanged–
Tidewater Inc88642R117*W EXP 07/31/20262$00.0%+51+463.6%Added–
Tidewater Inc88642R125*W EXP 07/31/20267$00.0%+55+458.3%Added–
Toto Limited ADR891515207ADR9$00.0%00.0%Unchanged–
CLUBQTown Sports International Holdings IncCommon Stock170,989$00.0%+170,989NewHistory
TATravelCenters of America Inc.COM NEW9$00.0%+9NewHistory
Truett-Hurst Inc CL A897871109Common Stock300$00.0%00.0%Unchanged–
VEONVEON Ltd.SPONSORED ADR100$00.0%00.0%UnchangedHistory
VXRTVaxart, Inc.COM NEW18$00.0%00.0%UnchangedHistory
VRNOVerano Holdings Corp.COM SUB VTG SHS1$00.0%+1NewHistory
VTNRVertex Energy Inc.COM3$00.0%00.0%UnchangedHistory
VICPVicapsys Life Sciences, Inc.Common Stock10$00.0%00.0%UnchangedHistory
VRAYViewRay, Inc.COM46$00.0%00.0%UnchangedHistory
Viper Networks Inc92762R105Common Stock1,000$00.0%+1,000New–
VISLVislink Technologies, Inc.COM70$00.0%+70NewHistory
VYNTVyant Bio, Inc.COM50$00.0%00.0%UnchangedHistory
ASAPWaitr Holdings Inc.COM250$00.0%+250NewHistory
ZYNEZynerba Pharmaceuticals, Inc.COM100$00.0%00.0%UnchangedHistory
Faurecia SE ActF3445A108Common Stock4$00.0%00.0%Unchanged–
Pathfinder Acquisition CorpG04119114UNIT 02/17/20264$00.0%−43,110−100.0%Reduced–
MNKTQKeenova Therapeutics plcStock561$00.0%+4+0.7%AddedHistory
SVF Investment Corp.G8601L128*W EXP 12/20/202200$00.0%00.0%Unchanged–
Novo-Nordisk A-S OrdK72807132COM5$00.0%00.0%Unchanged–
Tikcro Technologies Ltd Reg ShsM8790M112Common Stock66$00.0%00.0%Unchanged–
XPROExpro Group Holdings N.V.COM110$00.0%+110NewHistory
Creative Technology Ltd OrdY1775U107Common Stock300$00.0%00.0%Unchanged–
DSXDiana Shipping Inc.COM59$00.0%+59NewHistory
Maxeon Solar Technologies LTY58473102SHS17$00.0%−26−60.5%Reduced–
PCCW Limited NPV Isin #HK0008011667 Sedol #6574071Y6802P120Common Stock600$00.0%00.0%Unchanged–
BRCNFBurcon NutraScience CorpCOM300$00.0%00.0%UnchangedHistory
CM Life Sciences III Inc125841114*W EXP 04/30/202100$00.0%00.0%Unchanged–
Clickstream Corp Com18683A103Common Stock1,500$00.0%00.0%Unchanged–
Colicity Inc194170114*W EXP 02/24/202100$00.0%00.0%Unchanged–
IMUNBiostax Corp.Common Stock40$00.0%00.0%UnchangedHistory
Nightdragon Acquisition Corp65413D113*W EXP 02/26/202100$00.0%00.0%Unchanged–
OCLNOriginclear, Inc.Common Stock5,002$00.0%00.0%UnchangedHistory
Silverbox Engaged Merger Co82836L119*W EXP 06/02/20233$00.0%00.0%Unchanged–
Skye Pete Inc Com83084C108Common Stock7,600$00.0%00.0%Unchanged–
UNRVUnrivaled Brands, Inc.COM834$00.0%+834NewHistory
VanEck Vectors ETF Tr92189H821DIGI TRANS ETF15$00.0%+2+15.4%Added–
CTRMCastor Maritime Inc.SHS NEW200$00.0%00.0%UnchangedHistory

Sold out since Q2 2021 (323)

Positions held at the end of Q2 2021 that are gone from this filing.

The largest 100 of 323 by value last quarter.

Positions of Captrust Financial Advisors sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
PRAHPRA Health Sciences, Inc.COM10,491$1.73M<0.1%History
Watford Hldgs LtdG94787101SHS49,468$1.73M<0.1%–
IDNIntellicheck, Inc.COM NEW187,969$1.57M<0.1%History
MXIMMaxim Integrated Products IncCOM14,577$1.54M<0.1%History
ALXNAlexion Pharmaceuticals, Inc.COM4,025$739.0K<0.1%History
Pernod Ricard SA ADR714264207ADR15,495$690.0K<0.1%–
PWP Forward Acquisition Corp74709Q200UNIT 03/10/202669,350$690.0K<0.1%–
Soaring Eagle Acquisition CoG8354H126CL A SHS59,659$594.0K<0.1%–
Churchill Capital Corp IV171439102CL A17,784$513.0K<0.1%–
Proptech Investment Corp II743497208UNIT 99/99/999950,803$510.0K<0.1%–
BACKIMAC Holdings, Inc.COM249,200$493.0K<0.1%History
WOLFWolfspeed, Inc.COM3,912$383.0K<0.1%History
GRAW R Grace & CoCOM5,464$378.0K<0.1%History
IG Acquisition Corp.449534106COM CL A34,293$334.0K<0.1%–
PROSProSight Global, Inc.COM26,085$333.0K<0.1%History
E Merge Technology Acquisiti26873Y104COM CL A33,537$327.0K<0.1%–
CADECadence BancorporationCL A15,114$316.0K<0.1%History
MNDTMandiant, Inc.COM12,671$256.0K<0.1%History
Global Gas Corp265334102COM CL A22,789$223.0K<0.1%–
Amplitude Hlthcre Aqustin Co03212A105COM CL A22,253$221.0K<0.1%–
USCRU.S. Concrete, Inc.COM2,889$213.0K<0.1%History
ACHRArcher Aviation Inc.COM21,317$212.0K<0.1%History
Invesco Actively Managed Exc46090A887ULTRA SHRT DUR4,135$209.0K<0.1%–
Spartan Acquisition Corp. III84677R205UNIT 99/99/999920,088$202.0K<0.1%–
GIGCAPITAL4 Inc37518G200UNIT 99/99/999919,612$200.0K<0.1%–
ALTIAlTi Global, Inc.CL A SHS20,316$196.0K<0.1%History
TSEOQTrinseo PLCSHS3,219$193.0K<0.1%History
American Bank Inc Pa Com024343105Common Stock12,078$187.0K<0.1%–
Empower LtdG3R39W102CL A COM17,968$180.0K<0.1%–
Landcadia Holdings III Inc51476H100COM CL A12,819$159.0K<0.1%–
COVA Acquisition Corp.G2554Y112UNIT 04/01/202115,056$152.0K<0.1%–
Locust Walk Acquisition Corp54015L103COM CL A13,953$138.0K<0.1%–
Powerverde Inc Com73937M106Common Stock55,528$136.0K<0.1%–
Austerlitz Acquisition CorpG0633U119UNIT 99/99/999913,024$131.0K<0.1%–
CORECore-Mark Holding Company, LLCCOM2,789$126.0K<0.1%History
SYKESykes Enterprises IncCOM2,323$125.0K<0.1%History
CHP Merger Corp.12558Y106COM CL A12,000$119.0K<0.1%–
AMRBAmerican River BanksharesCOM6,364$115.0K<0.1%History
Cambria ETF Tr132061862TAIL RISK5,663$106.0K<0.1%–
WORKSlack Technologies, Inc.COM CL A2,266$100.0K<0.1%History
Cascade Acquisition Corp147151104COM CL A9,019$89.0K<0.1%–
STXSStereotaxis, Inc.COM NEW8,528$82.0K<0.1%History
Bancorpsouth BK Tupelo Miss05971J102COM2,838$81.0K<0.1%–
Direxion Daily S&P Biotech Bear 3X Shares25460E539ETF4,200$81.0K<0.1%–
iShares Tr46429B333GNMA BOND ETF1,525$76.0K<0.1%–
SCSantander Consumer USA Holdings Inc.COM2,066$75.0K<0.1%History
Siren ETF Tr NSD NXGN Eco ETF75605A702ETF1,445$69.0K<0.1%–
BolloreF10659260COM12,132$65.0K<0.1%–
HCATHealth Catalyst, Inc.COM1,010$56.0K<0.1%History
Leo Holdings III CorpG5463T116UNIT 99/99/99995,168$52.0K<0.1%–
CBBCincinnati Bell IncCOM NEW3,296$51.0K<0.1%History
Svenska Handelsbanken AB Shs AW9112U104Common Stock4,510$51.0K<0.1%–
HOMEAt Home Group Inc.COM1,248$46.0K<0.1%History
NAVNavistar International CorpCOM1,003$45.0K<0.1%History
Dassault Aviation SA OrdF24539102Common Stock38$45.0K<0.1%–
PFPTProofpoint IncCOM249$43.0K<0.1%History
Boston Private Finl Hldgs IN101119105COM2,661$39.0K<0.1%–
SPDR Series Trust78464A755ST STR SP METAL834$36.0K<0.1%–
Thales OrdF9156M108Common Stock345$35.0K<0.1%–
Melrose Indust PLC ShsG5973J178COM16,416$35.0K<0.1%–
GX Acquisition Corp36251A107COM CL A3,000$31.0K<0.1%–
EDUNew Oriental Education & Technology Group Inc.SPON ADR3,494$29.0K<0.1%History
Immunitybio Inc Com63016Q102Stock1,920$27.0K<0.1%–
BARKBark, Inc.COM2,432$27.0K<0.1%History
Amplitude Hlthcre Aqustin Co03212A113*W EXP 12/01/20222,253$26.0K<0.1%–
Hertz Global Holdings, Inc42806J106Common Stock2,900$25.0K<0.1%–
Climate Change Crisis Real I18716C100CL A COM1,500$23.0K<0.1%–
Redball Acquisition CorpG7417R105COM CL A2,326$23.0K<0.1%–
BP Midstream Partners LP0556EL109UNIT LTD PTNR1,430$21.0K<0.1%–
Falcon Capital Acquisitn Cor30606L108COM CL A2,252$21.0K<0.1%–
Home Finl Bancorp Com43708T101Common Stock2,000$21.0K<0.1%–
MSG Network Inc553573106CL A1,416$21.0K<0.1%–
BCKIFBabcock International Group PLCCommon Stock5,348$21.0K<0.1%History
Atlas Crest Invt Corp049284110*W EXP 01/30/20213,013$20.0K<0.1%–
Galileo Acquisition CorpG3770A110*W EXP 10/31/20217,047$20.0K<0.1%–
Kraneshares Tr500767835MSCI ALL CHINA415$19.0K<0.1%–
iShares Tr46429B366CMBS ETF335$18.0K<0.1%–
DNB ASA Sponsored ADR23328E106ADR831$18.0K<0.1%–
ORBCOMM Inc.68555P100COM1,625$18.0K<0.1%–
TLNDTalend S.A.ADS275$18.0K<0.1%History
Aena SA Un00774W103ADR1,105$18.0K<0.1%–
Pennon Group PLC-Unsp ADR708326103ADR521$17.0K<0.1%–
ABCLAbCellera Biologics Inc.COM750$16.0K<0.1%History
WisdomTree Tr97717Y691CLOUD COMPUTNG278$16.0K<0.1%–
Good Works Acquisition Corp38216X107COM1,295$13.0K<0.1%–
INSGInseego Corp.COM1,324$13.0K<0.1%History
Altimeter Growth CorpG0370L108CL A1,083$13.0K<0.1%–
Altimeter Growth Corp 2G0371B109COM CL A1,302$13.0K<0.1%–
TLSTelos CorpCOM355$12.0K<0.1%History
CM Life Sciences Inc18978W208UNIT 09/01/2025775$12.0K<0.1%–
Invesco Exch Traded FD Tr II46138E578KBW REGL BKG200$12.0K<0.1%–
iShares Tr464288703MRNING SM CP ETF182$11.0K<0.1%–
Global X FDS37954Y830GLOBAL X COPPER270$10.0K<0.1%–
OTRKOntrak, Inc.COM297$10.0K<0.1%History
PFBIPremier Financial Bancorp IncCOM595$10.0K<0.1%History
SWTXSpringWorks Therapeutics, Inc.COM126$10.0K<0.1%History
Ajax IG0190X100COM1,000$10.0K<0.1%–
Bridgetown 2 Holdings LtdG1355V103CL A1,000$10.0K<0.1%–
Ion Acquisition Corp 1 LtdG49392106SHS CL A1,003$10.0K<0.1%–
SVF Investment Corp.G8601L102CL A SHS1,000$10.0K<0.1%–