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Livermore
Livermore
ZHEN

CWM, LLC

SEC CIK
0001535847
Latest filing
May 14, 2026

Holdings in Q2 2023

Holdings as of Jun 30, 2023, filed Aug 3, 2023. Long positions only; changes compare share counts with Q1 2023.

Institution overview
Positions
4,401
+124 vs. Q1 2023
Portfolio value
$16.2B
+$1.38B (+9.3%) vs. Q1 2023
Filed
Aug 3, 2023
SEC
Holdings of CWM, LLC in Q2 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
Fidelity MSCI Energy Index ETF316092402ETF5$00.0%00.0%Unchanged–
FRSHFreshworks Inc.Stock7$00.0%00.0%UnchangedHistory
LINDLindblad Expeditions Holdings, Inc.Stock19$00.0%00.0%UnchangedHistory
Siren Nexgen Economy ETF829658202ETF10$00.0%+10New–
DAWNDay One Biopharmaceuticals, Inc.Stock3$00.0%00.0%UnchangedHistory
HNRGHallador Energy CoStock22$00.0%+22NewHistory
HUCKHuckleberry.ai, Inc.Stock20$00.0%+20NewHistory
AOUTAmerican Outdoor Brands, Inc.COM40$00.0%00.0%UnchangedHistory
BEEMBeam GlobalCOM18$00.0%00.0%UnchangedHistory
FUBOFuboTV Inc.COM60$00.0%−1,053−94.6%ReducedHistory
CANCanaan Inc.SPONSORED ADS120$00.0%00.0%UnchangedHistory
First Tr Exchng Traded FD VI33740F615FT VEST US EQT5$00.0%00.0%Unchanged–
FTFFranklin Ltd Duration Income TrustCOM59$00.0%+59NewHistory
TMQTrilogy Metals Inc.COM150$00.0%00.0%UnchangedHistory
PRCTPROCEPT BioRobotics CorpCOM12$00.0%+1+9.1%AddedHistory
PTGXProtagonist Therapeutics, IncCOM7$00.0%+7NewHistory
Northern LTS FD Tr IV66538H591MAIN SECTR ROTN10$00.0%−69−87.3%Reduced–
iShares Inc464286392MSCI WORLD ETF1$00.0%+1New–
INVZInnoviz Technologies Ltd.SHS12$00.0%00.0%UnchangedHistory
Fidelity Covington Trust316092188METAVERSE ETF10$00.0%00.0%Unchanged–
XPXP Inc.CL A10$00.0%00.0%UnchangedHistory
EWTXEdgewise Therapeutics, Inc.COM45$00.0%+45NewHistory
WLDNWilldan Group, Inc.COM9$00.0%00.0%UnchangedHistory
Northern LTS FD Tr IV66538H179MAIN BUYWRITE4$00.0%−46−92.0%Reduced–
CGNTCognyte Software Ltd.ORD SHS1$00.0%00.0%UnchangedHistory
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/2025,124$00.0%+5,124NewHistory
iShares Inc464286814MSCI NETHERL ETF9$00.0%00.0%Unchanged–
CXWCoreCivic, Inc.COM25$00.0%−66−72.5%ReducedHistory
DYNDyne Therapeutics, Inc.COM43$00.0%00.0%UnchangedHistory
Innovator ETFs Trust45782C425US EQT ULTRA BFR6$00.0%00.0%Unchanged–
RELYRemitly Global, Inc.COM16$00.0%00.0%UnchangedHistory
ONTOnterris, Inc.COM7$00.0%00.0%UnchangedHistory
MSGEMadison Square Garden Entertainment Corp.COM CL A6$00.0%+6NewHistory
LTRXLantronix IncCOM NEW2$00.0%+2NewHistory
NGVCNatural Grocers by Vitamin Cottage, Inc.COM25$00.0%+25NewHistory
KYMRKymera Therapeutics, Inc.COM12$00.0%00.0%UnchangedHistory
Aim ETF Products Trust00888H794ALLIANZIM US EQT11$00.0%00.0%Unchanged–
SPHRSphere Entertainment Co.CL A6$00.0%00.0%UnchangedHistory
ALHCAlignment Healthcare, Inc.COM82$00.0%−595−87.9%ReducedHistory
IBOCInternational Bancshares CorpCOM6$00.0%−87−93.5%ReducedHistory
LWLGLightwave Logic, Inc.COM41$00.0%+41NewHistory
GNKGenco Shipping & Trading LtdSHS22$00.0%−4,200−99.5%ReducedHistory
COURCoursera, Inc.COM13$00.0%−159−92.4%ReducedHistory
First Tr Exchng Traded FD VI33740F631FT VEST US5$00.0%00.0%Unchanged–
CHRSCoherus Oncology, Inc.COM31$00.0%−372−92.3%ReducedHistory
Fidelity Covington Trust316092360FUN LAR COR ETF10$00.0%00.0%Unchanged–
OCFCOceanfirst Financial CorpCOM19$00.0%−10−34.5%ReducedHistory
FDUSFidus Investment CorpCOM2$00.0%−611−99.7%ReducedHistory
PAGSPagSeguro Digital Ltd.COM CL A52$00.0%00.0%UnchangedHistory
MFMAberdeen Municipal Income FundSH BEN INT94$00.0%+94NewHistory
EHEHang Holdings LtdADS24$00.0%+12+100.0%AddedHistory
CRTOCriteo S.A.SPONS ADS5$00.0%00.0%UnchangedHistory
OUSTOuster, Inc.COM NEW18$00.0%+4+32.4%AddedConverted for a 1-for-10 splitHistory
OECOrion S.A.COM6$00.0%+6NewHistory
AGIOAgios Pharmaceuticals, Inc.COM8$00.0%−6−42.9%ReducedHistory
ERASErasca, Inc.COM36$00.0%+36NewHistory
Innovator ETFs Trust45782C672US EQT ULTRA BF16$00.0%00.0%Unchanged–
BLBDBlue Bird CorpCOM7$00.0%+7NewHistory
QUREuniQure N.V.SHS39$00.0%+33+550.0%AddedHistory
PRMEPrime Medicine, Inc.COM15$00.0%00.0%UnchangedHistory
IRMDIradimed CorpCOM5$00.0%+5NewHistory
EVEREverQuote, Inc.COM CL A25$00.0%00.0%UnchangedHistory
HAPNHappen, Inc.COM NEW29$00.0%+13+81.3%AddedHistory
Abrdn ETFs003261203BBRG ALL COMMDY1$00.0%00.0%Unchanged–
MCFTMasterCraft Boat Holdings, Inc.COM12$00.0%00.0%UnchangedHistory
First Tr Exchng Traded FD VI33740U802FT VEST U.S.5$00.0%00.0%Unchanged–
PALLabrdn Palladium ETF TrustPHYSICAL PALLADM4$00.0%+4NewHistory
CLOVClover Health Investments, Corp.COM CL A261$00.0%00.0%UnchangedHistory
RBBNRibbon Communications Inc.COM48$00.0%+48NewHistory
MIRMirion Technologies, Inc.COM CL A31$00.0%00.0%UnchangedHistory
Innovator ETFs Trust45782C375US EQT ULTRA BF5$00.0%00.0%Unchanged–
RGTIRigetti Computing, Inc.COMMON STOCK150$00.0%00.0%UnchangedHistory
LASRNlight, Inc.COM12$00.0%−36−75.0%ReducedHistory
AMRAlpha Metallurgical Resources, Inc.COM1$00.0%00.0%UnchangedHistory
VanEck ETF Trust92189F452MORTGAGE REIT13$00.0%00.0%Unchanged–
Fidelity Covington Trust316092329FIDELITY MAGELAN1$00.0%00.0%Unchanged–
CYRXCryoport, Inc.COM PAR $0.00122$00.0%00.0%UnchangedHistory
First Tr Exch Traded FD III33739P830SHRT DUR MNG MUN9$00.0%−45−83.3%Reduced–
ANIPAni Pharmaceuticals IncCOM3$00.0%00.0%UnchangedHistory
iShares U S ETF Tr46431W606IT RT HDG HGYL1$00.0%00.0%Unchanged–
Global X FDS37960A669SUPERDIVIDEND1$00.0%+1New–
LKFTLakefront Biotherapeutics NVSPON ADR8$00.0%00.0%UnchangedHistory
MTLSMaterialise NVSPONSORED ADS41$00.0%+41NewHistory
BWBabcock & Wilcox Enterprises, Inc.COM35$00.0%00.0%UnchangedHistory
IMVTImmunovant, Inc.COM3$00.0%+3NewHistory
MASS908 Devices Inc.COM68$00.0%00.0%UnchangedHistory
ALLOAllogene Therapeutics, Inc.COM27$00.0%+27NewHistory
APTAlpha Pro Tech LtdCOM100$00.0%00.0%UnchangedHistory
AMTBAmerant Bancorp Inc.CL A6$00.0%+6NewHistory
ASRVAmeriserv Financial IncCOM90$00.0%+1+1.1%AddedHistory
ABUSArbutus Biopharma CorpCOM10$00.0%00.0%UnchangedHistory
ARDXArdelyx, Inc.COM126$00.0%+126NewHistory
ARTNAArtesian Resources CorpCL A8$00.0%00.0%UnchangedHistory
ASURAsure Software IncCOM19$00.0%+19NewHistory
ATOMAtomera IncCOM17$00.0%+17NewHistory
AXTIAxt IncCOM34$00.0%−142−80.7%ReducedHistory
BDTXBlack Diamond Therapeutics, Inc.COM9$00.0%00.0%UnchangedHistory
BXCBlueLinx Holdings Inc.COM NEW2$00.0%00.0%UnchangedHistory
CCCCC4 Therapeutics, Inc.COM STK156$00.0%+110+239.1%AddedHistory
CGENCompugen LtdORD65$00.0%+65NewHistory

Options (12)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of CWM, LLC in Q2 2023
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$551.0K$10.5M
UNGUnited States Natural Gas Fund, LPUNIT PAR–$50.0K
KRKroger CoStock$8.00K–
GLBEGlobal-E Online Ltd.SHS–$4.00K
NCLHNorwegian Cruise Line Holdings Ltd.SHS–$4.00K
PEPPepsiCo IncStock–$3.00K
DOCNDigitalOcean Holdings, Inc.COM–$2.00K
MSFTMicrosoft CorpStock$1.00K–
WBDWarner Bros. Discovery, Inc.Stock–$1.00K
METAMeta Platforms, Inc.Stock–$1.00K
GOOGAlphabet Inc.Stock–$1.00K
CMRCCommerce.com, Inc.COM SER 1–$1.00K

Sold out since Q1 2023 (204)

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

The largest 100 of 204 by value last quarter.

Positions of CWM, LLC sold out since Q1 2023
SecurityClassShares in Q1 2023Value in Q1 2023% of portfolio in Q1 2023History
TRIThomson Reuters CorpCOM NEW78,355$10.2M0.1%History
MODModine Manufacturing CoCOM16,250$375.0K<0.1%History
GHIGreystone Housing Impact Investors LPBEN UNIT CTF18,634$322.0K<0.1%History
EOSEaton Vance Enhanced Equity Income Fund IICOM18,750$308.0K<0.1%History
SPDR Ser Tr78464A813S&P 600 SML CAP2,203$185.0K<0.1%–
PERIPerion Network Ltd.SHS NEW4,050$160.0K<0.1%History
ABBNYABB LtdSPONSORED ADR3,927$135.0K<0.1%History
Goldman Sachs ETF Tr38149W101ACCESS US AGRAT2,762$117.0K<0.1%–
OSHOak Street Health, Inc.COM2,835$110.0K<0.1%History
First Rep BK San Francisco C33616C100COM6,826$95.0K<0.1%–
SPDR Index Shs FDS78463X848ST STR ACWI ETF3,478$89.0K<0.1%–
Invesco Exch Traded FD Tr II46138E487PURBTA FTSE DV3,321$85.0K<0.1%–
Crane Hldgs Co224441113COMMON STOCK753$85.0K<0.1%–
MNTVMomentive Global Inc.COM8,735$81.0K<0.1%History
BDX 6 06/01/23 Pfd075887406CONVERTIBLE PREFERRED STOCK1,529$76.0K<0.1%–
Goldman Sachs ETF Tr381430123MARKETBETA US EQ1,251$70.0K<0.1%–
First Tr Exchange Traded FD33741X102SMID RISNG ETF2,536$68.0K<0.1%–
Acuityads Hldgs Inc Com00510L106Stock33,820$54.0K<0.1%–
Invesco Exchange Traded FD T46137V449S&P 100 EQL WIGH624$49.0K<0.1%–
Shaw Communications Inc82028K200CL B CONV1,518$45.0K<0.1%–
Nushares ETF Tr67092P862ESG LARGE CAP1,278$44.0K<0.1%–
DCPDCP Midstream, LPCOM UT LTD PTN1,013$42.0K<0.1%History
BTZBlackRock Credit Allocation Income TrustCOM4,000$41.0K<0.1%History
Fidelity Covington Trust316092303CONSMR STAPLES856$39.0K<0.1%–
MUCBlackRock Muniholdings California Quality Fund, Inc.CEF3,000$33.0K<0.1%History
Enerplus Corp292766102COM2,222$32.0K<0.1%–
GBDCGolub Capital BDC, Inc.COM2,050$28.0K<0.1%History
AGMFederal Agricultural Mortgage CorpCL C200$27.0K<0.1%History
Nushares ETF Tr67092P870NUVEEN ESG US1,151$26.0K<0.1%–
Boston Scientific Corp1011372065.50% CNV PFD A200$24.0K<0.1%–
NMCONuveen Municipal Credit Opportunities FundCOM2,000$23.0K<0.1%History
RUTHRuths Hospitality Group, Inc.COM1,409$23.0K<0.1%History
Ssga Active Tr78470P200ST STR TOTAL ETF450$21.0K<0.1%–
FVCBFVCBankcorp, Inc.COM1,832$20.0K<0.1%History
OLPXOlaplex Holdings, Inc.COM4,780$20.0K<0.1%History
ROCCBaytex Energy USA, Inc.COM478$20.0K<0.1%History
Goldman Sachs ETF Tr381430362ACCESS INFLATI357$18.0K<0.1%–
EQXEquinox Gold Corp.COM3,512$18.0K<0.1%History
Goldman Sachs ETF Tr381430479ACCESS INVT GR345$16.0K<0.1%–
GNTYGuaranty Bancshares IncCOM565$16.0K<0.1%History
HSKAHeska CorpCOM RESTRC NEW144$14.0K<0.1%History
First Tr Exchange-Traded FD33736Q104UT COM SHS ETF299$13.0K<0.1%–
RMMRiverNorth Managed Duration Municipal Income Fund, Inc.COM845$13.0K<0.1%History
Victory Portfolios II92647X806VS NASDQ NXT 50500$13.0K<0.1%–
Fidelity Covington Trust316092204MSCI CONSM DIS176$12.0K<0.1%–
DLTHDuluth Holdings Inc.COM CL B1,884$12.0K<0.1%History
PFNPIMCO Income Strategy Fund IICOM1,500$11.0K<0.1%History
BRMKBroadmark Realty Capital Inc.COM2,303$11.0K<0.1%History
KBALKimball International IncCL B891$11.0K<0.1%History
AMBPArdagh Metal Packaging S.A.SHS2,433$10.0K<0.1%History
FNWDFinward BancorpCOM339$10.0K<0.1%History
MVFBlackRock Munivest Fund, Inc.COM1,500$10.0K<0.1%History
SYBTStock Yards Bancorp, Inc.COM171$9.00K<0.1%History
Principal Exchange Traded FD74255Y870US MEGA CP ETF230$9.00K<0.1%–
BHMBluerock Homes Trust, Inc.COM CL A477$9.00K<0.1%History
AVOMission Produce, Inc.COM812$9.00K<0.1%History
NCNOnCino, Inc.COM329$8.00K<0.1%History
FMBHFirst Mid Bancshares, Inc.COM286$8.00K<0.1%History
Credit Suisse Group225401108SPONSORED ADR8,800$8.00K<0.1%–
MAXRMaxar Technologies Inc.COM160$8.00K<0.1%History
Global X FDS37954Y848GLOBAL X SILVER235$7.00K<0.1%–
Ssga Active Tr78470P507ST STR SECTO ETF271$7.00K<0.1%–
AVNWAviat Networks, Inc.COM NEW200$7.00K<0.1%History
PRTSCarParts.com, Inc.COM1,400$7.00K<0.1%History
SPDR Ser Tr78464A532S&P TRANSN ETF90$7.00K<0.1%–
Via Renewables, Inc.92556D304CL A COM NEW361$7.00K<0.1%–
SBGISinclair, Inc.CL A373$6.00K<0.1%History
Yamana Gold Inc98462Y100COM1,063$6.00K<0.1%–
John Hancock Exchange Traded47804J107MLTFCTR LRG CAP94$5.00K<0.1%–
PIMCO ETF Tr72201R88225YR+ ZERO U S53$5.00K<0.1%–
Fidelity Covington Trust316092782VLU FACTOR ETF106$5.00K<0.1%–
RLJRLJ Lodging TrustCOM515$5.00K<0.1%History
OPRTOportun Financial CorpCOM1,252$5.00K<0.1%History
FSMFortuna Mining Corp.COM1,308$5.00K<0.1%History
GCVGabelli Convertible & Income Securities Fund IncCOM1,200$5.00K<0.1%History
PCFHigh Income Securities FundSHS BEN INT839$5.00K<0.1%History
XMQualtrics International Inc.COM CL A290$5.00K<0.1%History
BFCBank First CorpCOM50$4.00K<0.1%History
CSIICardiovascular Systems IncCOM179$4.00K<0.1%History
EVBGEverbridge, Inc.COM118$4.00K<0.1%History
HPSJohn Hancock Preferred Income Fund IIICOM250$4.00K<0.1%History
iShares Tr464287374NORTH AMERN NAT84$3.00K<0.1%–
EFSCEnterprise Financial Services CorpCOM64$3.00K<0.1%History
MANUManchester United plcORD CL A150$3.00K<0.1%History
MGIMoneygram International IncCOM NEW305$3.00K<0.1%History
SUMOSumo Logic, Inc.COM229$3.00K<0.1%History
AHCOAdaptHealth Corp.COMMON STOCK167$2.00K<0.1%History
TXTernium S.A.SPONSORED ADS40$2.00K<0.1%History
GEOGeo Group IncCOM231$2.00K<0.1%History
iShares Tr464288851US OIL GS EX ETF25$2.00K<0.1%–
First Tr Exchange Traded FD33738R860NASDAQ BK ETF115$2.00K<0.1%–
HBNCHorizon Bancorp IncCOM217$2.00K<0.1%History
USLMUnited States Lime & Minerals IncCOM10$2.00K<0.1%History
Barclays BK PLC06745T368ETP213$2.00K<0.1%–
CSTRCapStar Financial Holdings, Inc.COM151$2.00K<0.1%History
CDLXCardlytics, Inc.COM532$2.00K<0.1%History
CFBCrossfirst Bankshares, Inc.COM230$2.00K<0.1%History
AQUAEvoqua Water Technologies Corp.COM48$2.00K<0.1%History
JHSJohn Hancock Income Securities TrustCOM166$2.00K<0.1%History
LBCLuther Burbank CorpCOM192$2.00K<0.1%History