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Livermore
Livermore
ZHEN

Advisory Services Network, LLC

SEC CIK
0001573876
Latest filing
Aug 12, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 5, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
1,381
−2,301 vs. Q2 2021
Portfolio value
$3.14B
−$25.4M (−0.8%) vs. Q2 2021
Filed
Nov 5, 2021
SEC
Holdings of Advisory Services Network, LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
BXRXBaudax Bio, Inc.COM15,222$9.00K<0.1%−6,000−28.3%ReducedHistory
CLRBCellectar Biosciences, Inc.COM PAR10,000$9.00K<0.1%+10,000NewHistory
ZOMDFZomedica Corp.COM17,620$9.00K<0.1%00.0%UnchangedHistory
SRTAStrata Critical Medical, Inc.CL A COM1,000$10.0K<0.1%+1,000NewHistory
Redwood Tr Inc758075AC9NOTE 4.750% 8/110,000$10.0K<0.1%00.0%Unchanged–
Western Asset Mtg Cap Corp95790DAA3NOTE 6.750%10/010,000$10.0K<0.1%00.0%Unchanged–
JOANJOANN Inc.COM1,310$15.0K<0.1%+1,310NewHistory
FSD Pharma Inc35954B206CL B SUB VTG10,073$16.0K<0.1%00.0%Unchanged–
Sonnet Biotherapeutc HLDNG I83548R105COM32,667$20.0K<0.1%−844−2.5%Reduced–
Blackstone Mtg Tr Inc09257WAB6NOTE 4.375% 5/025,000$25.0K<0.1%00.0%Unchanged–
Goldman Sachs BDC, Inc.38147UAB3NOTE 4.500% 4/025,000$25.0K<0.1%00.0%Unchanged–
LODEComstock Inc.COM NEW10,000$27.0K<0.1%+10,000NewHistory
PTNPalatin Technologies IncCOM PAR $ .0162,700$28.0K<0.1%+62,700NewHistory
NUWENuwellis, Inc.COM15,700$35.0K<0.1%+1,200+8.3%AddedHistory
FIVEFive Below, IncCOM214$37.0K<0.1%+110+105.8%AddedHistory
VERUVeru Inc.COM4,398$38.0K<0.1%−16,102−78.5%ReducedHistory
RNACCartesian Therapeutics, Inc.COM10,000$42.0K<0.1%00.0%UnchangedHistory
CNCEConcert Pharmaceuticals, Inc.COM13,300$43.0K<0.1%−1,500−10.1%ReducedHistory
Jupai Hldgs Ltd48205B107ADS40,638$43.0K<0.1%00.0%Unchanged–
EDUNew Oriental Education & Technology Group Inc.SPON ADR20,797$43.0K<0.1%+2,966+16.6%AddedHistory
HIVEHIVE Digital Technologies Ltd.COM17,966$48.0K<0.1%+17,966NewHistory
ELVNEnliven Therapeutics, Inc.COM11,680$48.0K<0.1%−1,000−7.9%ReducedHistory
AMRNAmarin Corp PLCSPONS ADR NEW10,840$55.0K<0.1%00.0%UnchangedHistory
WTTRSelect Water Solutions, Inc.CL A COM11,425$59.0K<0.1%+2,300+25.2%AddedHistory
KOSKosmos Energy Ltd.COM23,625$70.0K<0.1%00.0%UnchangedHistory
CBIOCrescent Biopharma, Inc.COM31,800$70.0K<0.1%−4,000−11.2%ReducedHistory
HOOKHOOKIPA Pharma Inc.COM11,800$70.0K<0.1%+11,800NewHistory
MCSMarcus CorpCOM4,340$76.0K<0.1%+3,340+334.0%AddedHistory
RCSPIMCO Strategic Income Fund, Inc.CEF11,180$79.0K<0.1%+2,752+32.7%AddedHistory
CRMDCorMedix Inc.COM17,000$79.0K<0.1%+17,000NewHistory
Sandstorm Gold Ltd Com New80013R206Stock13,911$80.0K<0.1%00.0%Unchanged–
FGBFirst Trust Specialty Finance & Financial Opportunities FundCOM BEN INTR20,792$83.0K<0.1%−17,242−45.3%ReducedHistory
VSTMVerastem, Inc.COM27,075$83.0K<0.1%00.0%UnchangedHistory
Invesco Exch Traded FD Tr II46138E164S&P SMLCP ENGY11,328$86.0K<0.1%00.0%Unchanged–
ORCOrchid Island Capital, Inc.COM17,648$86.0K<0.1%+15,923+923.1%AddedHistory
FLNAFilana Therapeutics, Inc.COM1,413$88.0K<0.1%+1,413NewHistory
IMVTImmunovant, Inc.COM10,300$90.0K<0.1%+1,300+14.4%AddedHistory
MTAMetalla Royalty & Streaming Ltd.COM NEW13,315$91.0K<0.1%−125−0.9%ReducedHistory
GCVGabelli Convertible & Income Securities Fund IncCOM15,267$93.0K<0.1%+271+1.8%AddedHistory
SIRISirius XM Holdings Inc.COM15,834$97.0K<0.1%+2,436+18.2%AddedHistory
IAEVoya Asia Pacific High Dividend Equity Income FundCOM11,250$97.0K<0.1%+6,643+144.2%AddedHistory
ZTRVirtus Total Return Fund Inc.COM10,526$98.0K<0.1%+7,160+212.7%AddedHistory
Kaleyra, Inc.483379111*W EXP 11/25/20235,600$98.0K<0.1%+24,800+229.6%Added–
GGBGerdau S.A.SPON ADR REP PFD20,232$100.0K<0.1%+3,736+22.6%AddedHistory
PHKPIMCO High Income FundCOM SHS16,006$101.0K<0.1%+10,994+219.4%AddedHistory
APPHAppHarvest, Inc.COM15,998$104.0K<0.1%+12,678+381.9%AddedHistory
Nuveen Diversified Divid & I6706EP105COM10,228$106.0K<0.1%−4,023−28.2%Reduced–
SGUStar Group, L.P.UNIT LTD PARTNR10,389$106.0K<0.1%+21+0.2%AddedHistory
HGLBHighland Global Allocation FundCOM11,848$108.0K<0.1%−1,269−9.7%ReducedHistory
BRSPBrightSpire Capital, Inc.COM CL A11,689$110.0K<0.1%−1,256−9.7%ReducedHistory
ACHVAchieve Life Sciences, Inc.COM13,000$111.0K<0.1%+13,000NewHistory
KGCKinross Gold CorpCOM20,878$112.0K<0.1%−5,466−20.7%ReducedHistory
AKBAAkebia Therapeutics, Inc.COM39,315$113.0K<0.1%00.0%UnchangedHistory
LYGLloyds Banking Group plcSPONSORED ADR47,365$116.0K<0.1%+4,151+9.6%AddedHistory
DHTDHT Holdings, Inc.SHS NEW18,328$120.0K<0.1%−1,806−9.0%ReducedHistory
DMDesktop Metal, Inc.COM CL A16,895$121.0K<0.1%+659+4.1%AddedHistory
ARAYAccuray IncCOM30,800$122.0K<0.1%−2,650−7.9%ReducedHistory
ARRArmour Residential REIT, Inc.COM NEW11,393$123.0K<0.1%+383+3.5%AddedHistory
EADAllspring Income Opportunities FundINC OPPTY FD14,150$125.0K<0.1%+9,650+214.4%AddedHistory
ETRNMidstream Co LLCCOM12,331$125.0K<0.1%−4,343−26.0%ReducedHistory
ACPabrdn Income Credit Strategies FundCOM11,447$126.0K<0.1%+1,125+10.9%AddedHistory
AIVApartment Investment & Management CoCL A18,421$126.0K<0.1%+61+0.3%AddedHistory
HNSTHonest Company, Inc.COM12,120$126.0K<0.1%+7,820+181.9%AddedHistory
Silvercrest Metals Inc828363101COM18,550$129.0K<0.1%+18,000+3,272.7%Added–
WKHSWorkhorse Group Inc.COM NEW16,887$129.0K<0.1%+7,756+84.9%AddedHistory
GLBSGlobus Maritime LtdCOM NEW45,650$133.0K<0.1%00.0%UnchangedHistory
HFROHighland Opportunities & Income FundHIGHLAND INCOME13,247$143.0K<0.1%00.0%UnchangedHistory
FAMFirst Trust/Abrdn Global Opportunity Income FundCOM SHS14,316$145.0K<0.1%00.0%UnchangedHistory
DPGDuff & Phelps Utility & Infrastructure Fund Inc.COM10,850$146.0K<0.1%+546+5.3%AddedHistory
VPVInvesco Pennsylvania Value Municipal Income TrustCOM11,052$147.0K<0.1%+7+0.1%AddedHistory
CYHCommunity Health Systems IncCOM12,790$150.0K<0.1%−9,200−41.8%ReducedHistory
HRTGHeritage Insurance Holdings, Inc.COM22,679$154.0K<0.1%+1,722+8.2%AddedHistory
URGUr-Energy IncCOM90,161$155.0K<0.1%+8,829+10.9%AddedHistory
MFICMidCap Financial Investment CorpCOM NEW12,099$157.0K<0.1%+244+2.1%AddedHistory
DMOWestern Asset Mortgage Opportunity Fund Inc.COM10,320$160.0K<0.1%−5,563−35.0%ReducedHistory
EARNEllington Credit CoCOM SHS BEN INT14,319$160.0K<0.1%+14,319NewHistory
ALLTAllot Ltd.SHS10,762$160.0K<0.1%−250−2.3%ReducedHistory
EDFVirtus Stone Harbor Emerging Markets Income FundCOM21,517$160.0K<0.1%+941+4.6%AddedHistory
UPWheels Up Experience Inc.COMMON STOCK24,490$161.0K<0.1%+20,850+572.8%AddedHistory
GLDICredit Suisse AGX LINK GOLD SHS19,461$162.0K<0.1%00.0%UnchangedHistory
BCSFBain Capital Specialty Finance, Inc.COM STK11,071$164.0K<0.1%+8,107+273.5%AddedHistory
CHRSCoherus Oncology, Inc.COM10,350$166.0K<0.1%−3,550−25.5%ReducedHistory
UROYUranium Royalty Corp.COM46,086$166.0K<0.1%+38,742+527.5%AddedHistory
HUMHumana IncStock431$168.0K<0.1%+11+2.6%AddedHistory
RTLRRattler Midstream LPCOM UNITS14,408$169.0K<0.1%00.0%UnchangedHistory
HLHecla Mining CoCOM31,204$172.0K<0.1%+2,567+9.0%AddedHistory
RCReady Capital CorpCOM12,024$173.0K<0.1%+872+7.8%AddedHistory
SSRMSSR Mining Inc.Stock12,044$175.0K<0.1%−996−7.6%ReducedHistory
Kraneshares Trust500767306CSI CHI INTERNET3,701$175.0K<0.1%+2,144+137.7%Added–
FDUSFidus Investment CorpCOM10,007$175.0K<0.1%+20+0.2%AddedHistory
GPMTGranite Point Mortgage Trust Inc.COM STK13,266$175.0K<0.1%+6,603+99.1%AddedHistory
ETF Managers Tr26924G508ETFMG ALTR HRVST12,307$177.0K<0.1%+8,931+264.5%Added–
BlackRock TCP Capital Corp.87238QAD5NOTE 4.625% 3/0175,000$177.0K<0.1%00.0%Unchanged–
IHDVoya Emerging Markets High Dividend Equity FundCOM24,006$177.0K<0.1%+18,220+314.9%AddedHistory
TEITempleton Emerging Markets Income FundCOM23,144$179.0K<0.1%00.0%UnchangedHistory
First Tr Exchange-Traded FD33735T109COMMON SHS13,033$181.0K<0.1%+541+4.3%Added–
ABEVAmbev S.A.SPONSORED ADR66,519$184.0K<0.1%−10,337−13.4%ReducedHistory
DNMRDanimer Scientific, Inc.COM CL A11,260$184.0K<0.1%−1,050−8.5%ReducedHistory
ZNGAZynga IncCL A24,534$185.0K<0.1%−547−2.2%ReducedHistory
HPEHewlett Packard Enterprise CoCOM13,169$187.0K<0.1%+1,758+15.4%AddedHistory

Sold out since Q2 2021 (2,337)

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

The largest 100 of 2,337 by value last quarter.

Positions of Advisory Services Network, LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
iShares Tr464288851US OIL GS EX ETF184,041$10.5M0.3%–
AHTAshford Hospitality Trust IncCOM SHS879,023$4.01M0.1%History
SFMSprouts Farmers Market, Inc.COM64,127$1.59M0.1%History
iShares Inc464286665MSCI PAC JP ETF28,835$1.49M<0.1%–
Vanguard Consumer Discretionary ETF92204A108ETF4,740$1.49M<0.1%–
VanEck Morningstar Wide Moat ETF92189F643ETF18,268$1.35M<0.1%–
BBNBlackRock Taxable Municipal Bond TrustSHS42,264$1.09M<0.1%History
Schwab U.S. REIT ETF808524847ETF21,917$1.00M<0.1%–
Schwab US Aggregate Bond ETF808524839ETF18,177$992.0K<0.1%–
Innovator ETFs Trust45782C508US EQTY PWR BUF29,106$944.0K<0.1%–
WORKSlack Technologies, Inc.COM CL A21,198$939.0K<0.1%History
iShares Tr46435G334MSCI UK ETF NEW26,505$867.0K<0.1%–
iShares Inc46434G830MSCI ITALY ETF25,809$836.0K<0.1%–
IVZInvesco Ltd.Stock31,065$830.0K<0.1%History
COWNCowen Inc.CL A NEW20,179$828.0K<0.1%History
Barclays Bank PLC06746P555ETN LKD 4836,072$776.0K<0.1%–
RRRRed Rock Resorts, Inc.CL A17,565$747.0K<0.1%History
OZKBank OZKCOM17,264$728.0K<0.1%History
Fidelity Covington Trust316092782VLU FACTOR ETF14,888$715.0K<0.1%–
EVREvercore Inc.CLASS A5,025$708.0K<0.1%History
WisdomTree Tr97717Y683ENHNCD CMMDTY ST31,879$706.0K<0.1%–
KBHKB HomeCOM17,356$706.0K<0.1%History
iShares Inc464286392MSCI WORLD ETF5,443$689.0K<0.1%–
Janus Detroit STR Tr47103U209HENDERSN SML ETF10,161$687.0K<0.1%–
iShares Tr464287184CHINA LG-CAP ETF14,298$662.0K<0.1%–
ESEEsco Technologies IncCOM6,925$650.0K<0.1%History
ASBAssociated Banc-CorpCOM31,349$642.0K<0.1%History
UHTUniversal Health Realty Income TrustSH BEN INT9,932$611.0K<0.1%History
CASYCaseys General Stores IncCOM3,118$607.0K<0.1%History
AUDCAudiocodes LtdORD18,247$604.0K<0.1%History
MTHMeritage Homes CORPCOM6,400$602.0K<0.1%History
AMWDAmerican Woodmark CorpCOM7,303$597.0K<0.1%History
PCHPotlatchdeltic CorpCOM11,130$591.0K<0.1%History
QDELQuidelOrtho CorpCOM4,606$590.0K<0.1%History
AVIDAvid Technology, Inc.COM15,046$589.0K<0.1%History
WisdomTree Tr97717W505US MIDCAP DIVID13,901$583.0K<0.1%–
WBDWarner Bros. Discovery, Inc.COM SER A18,688$573.0K<0.1%History
State Street SPDR NYSE Technology ETF78464A102ETF3,400$541.0K<0.1%–
WSMWilliams Sonoma IncCOM3,341$533.0K<0.1%History
MXIMMaxim Integrated Products IncCOM4,981$525.0K<0.1%History
CSWCCapital Southwest CorpCOM22,465$522.0K<0.1%History
ATRCAtriCure, Inc.COM6,575$522.0K<0.1%History
ETF Ser Solutions26922A701ROUNDHILL ACQUI14,626$509.0K<0.1%–
Barclays Bank PLC06742A669IPATH SHILR CAPE23,930$502.0K<0.1%–
TXTTextron IncCOM7,182$494.0K<0.1%History
CNHCNH Industrial N.V.SHS29,173$488.0K<0.1%History
BRSLBrightstar Lottery PLCSHS USD19,603$470.0K<0.1%History
State Street SPDR S&P Biotech ETF78464A870ETF3,450$467.0K<0.1%–
Exchange Traded Concepts Tru301505889EMQQ EME MAR ETF7,059$447.0K<0.1%–
ZGZillow Group, Inc.CL A3,277$402.0K<0.1%History
OXYOccidental Petroleum CorpStock12,691$397.0K<0.1%History
GDVGabelli Dividend & Income TrustCOM15,058$396.0K<0.1%History
ProShares Tr74347X831ULTRAPRO QQQ3,024$370.0K<0.1%–
RNLXYRenalytix plcADS11,936$368.0K<0.1%History
HOGHarley-Davidson, Inc.COM8,020$367.0K<0.1%History
PCARPaccar IncCOM4,011$358.0K<0.1%History
EFXEquifax IncCOM1,455$349.0K<0.1%History
MKTXMarketaxess Holdings IncCOM754$349.0K<0.1%History
DBBInvesco DB Base Metals FundBASE METALS FD17,045$345.0K<0.1%History
AMEDAmedisys IncCOM1,323$324.0K<0.1%History
RETAReata Pharmaceuticals IncCL A2,188$310.0K<0.1%History
CERECerevel Therapeutics Holdings, Inc.COM12,058$309.0K<0.1%History
iShares Tr464288703MRNING SM CP ETF5,239$308.0K<0.1%–
Direxion Shs ETF Tr25459W102DLY TECH BULL 3X5,302$295.0K<0.1%–
First Tr Exchange-Traded Alp33737M409SML CAP VAL ALPH5,688$290.0K<0.1%–
SSYSStratasys Ltd.SHS10,955$283.0K<0.1%History
First Trust Financials Alphadex Fund33734X135ETF6,425$281.0K<0.1%–
EXPEExpedia Group, Inc.Stock1,709$280.0K<0.1%History
Invesco Exchange Traded FD T46137V258S&P500 PUR VAL3,530$272.0K<0.1%–
MNDTMandiant, Inc.COM13,390$271.0K<0.1%History
Vanguard Materials ETF92204A801ETF1,465$265.0K<0.1%–
WEXWEX Inc.COM1,362$264.0K<0.1%History
FMCFMC CorpCOM NEW2,432$264.0K<0.1%History
VanEck ETF Trust92189F502LOW CARBN ENERGY1,550$250.0K<0.1%–
LSTRLandstar System IncCOM1,541$245.0K<0.1%History
LOGILogitech International S.A.SHS2,019$244.0K<0.1%History
UALUnited Airlines Holdings, Inc.COM4,674$244.0K<0.1%History
BIDUBaidu, Inc.ADR1,185$242.0K<0.1%History
HHyatt Hotels CorpCOM CL A3,123$242.0K<0.1%History
EVRIEveri Holdings Inc.COM9,666$241.0K<0.1%History
HCSGHealthcare Services Group IncCOM7,584$239.0K<0.1%History
CRTOCriteo S.A.SPONS ADS5,265$238.0K<0.1%History
AALAmerican Airlines Group Inc.Stock11,031$234.0K<0.1%History
HQYHealthequity, Inc.COM2,901$233.0K<0.1%History
CPNGCoupang, Inc.CL A5,522$231.0K<0.1%History
KTOSKratos Defense & Security Solutions, Inc.COM NEW8,088$230.0K<0.1%History
Invesco Exch TRD SLF Idx FD46138J866BULSHS 2023 CB10,549$229.0K<0.1%–
Safehold Inc.45031U101COM11,000$228.0K<0.1%–
SGRYSurgery Partners, Inc.Stock3,407$227.0K<0.1%History
Innovator ETFs Trust45782C573US EQTY PWR BUF7,429$225.0K<0.1%–
Schwab International Equity ETF808524805ETF5,684$224.0K<0.1%–
CRNCCerence Inc.COM2,076$221.0K<0.1%History
iShares Tr464288562RESIDENTIAL MULT2,632$219.0K<0.1%–
AUAngloGold Ashanti PLCSPONSORED ADR11,778$219.0K<0.1%History
FLSFlowserve CorpCOM5,400$218.0K<0.1%History
CNPCenterpoint Energy IncCOM8,770$215.0K<0.1%History
NWSANews CorpCL A8,282$214.0K<0.1%History
REALTheRealReal, Inc.COM10,835$214.0K<0.1%History
HCCIHeritage-Crystal Clean, Inc.COM7,138$212.0K<0.1%History
STRLSterling Infrastructure, Inc.COM8,700$210.0K<0.1%History