Kovack Advisors, Inc.
- SEC CIK
- 0001728321
- Latest filing
- Jul 28, 2026
Holdings in Q3 2021
Holdings as of Sep 30, 2021, filed Nov 3, 2021. Long positions only; changes compare share counts with Q2 2021.
- Positions
- 682
- +9 vs. Q2 2021
- Portfolio value
- $919.5M
- +$41.6M (+4.7%) vs. Q2 2021
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| SPYSPDR S&P 500 ETF Trust | ETF | 103,765 | $44.5M | 4.8% | +18,274+21.4% | Added | History |
| AAPLApple Inc. | Stock | 262,378 | $37.1M | 4.0% | +10,486+4.2% | Added | History |
| AMZNAmazon Com Inc | Stock | 10,166 | $33.4M | 3.6% | +576+6.0% | Added | History |
| MSFTMicrosoft Corp | Stock | 69,342 | $19.5M | 2.1% | +3,967+6.1% | Added | History |
| iShares Core Dividend Growth ETF46434V621 | ETF | 291,892 | $14.7M | 1.6% | +6,976+2.4% | Added | – |
| SHOPShopify Inc. | Stock | 8,176 | $11.1M | 1.2% | −23−0.3% | Reduced | History |
| NVDANVIDIA Corp | Stock | 49,520 | $10.3M | 1.1% | +6,872+16.1% | AddedConverted for a 4-for-1 split | History |
| iShares Core S&P 500 ETF464287200 | ETF | 21,042 | $9.06M | 1.0% | +120+0.6% | Added | – |
| Invesco QQQ Trust Series I46090E103 | ETF | 22,235 | $7.96M | 0.9% | +1,446+7.0% | Added | – |
| METAMeta Platforms, Inc. | Stock | 22,852 | $7.76M | 0.8% | +3,151+16.0% | Added | History |
| Vanguard Morningstar Total Stock Market ETF922908769 | ETF | 34,675 | $7.70M | 0.8% | +36+0.1% | Added | – |
| IBOCInternational Bancshares Corp | COM | 184,334 | $7.68M | 0.8% | +125+0.1% | Added | History |
| TSLATesla, Inc. | Stock | 9,890 | $7.67M | 0.8% | +1,237+14.3% | Added | History |
| GOOGLAlphabet Inc. | Stock | 2,612 | $6.98M | 0.8% | +303+13.1% | Added | History |
| GOOGAlphabet Inc. | Stock | 2,590 | $6.90M | 0.8% | +213+9.0% | Added | History |
| Vanguard Morningstar Value ETF922908744 | ETF | 48,716 | $6.59M | 0.7% | −7,411−13.2% | Reduced | – |
| Vanguard S&P 500 ETF922908363 | ETF | 15,911 | $6.28M | 0.7% | +204+1.3% | Added | – |
| Schwab US Dividend Equity ETF808524797 | ETF | 84,191 | $6.25M | 0.7% | +7,510+9.8% | Added | – |
| State Street Technology Select Sector SPDR ETF81369Y803 | ETF | 41,626 | $6.22M | 0.7% | −1,482−3.4% | Reduced | – |
| Vanguard Dividend Appreciation ETF921908844 | ETF | 37,387 | $5.74M | 0.6% | −561−1.5% | Reduced | – |
| PFEPfizer Inc | Stock | 128,315 | $5.52M | 0.6% | +13,182+11.4% | Added | History |
| Vanguard Total World Stock ETF922042742 | ETF | 51,709 | $5.26M | 0.6% | +2,051+4.1% | Added | – |
| BRK.BBerkshire Hathaway Inc | Stock | 18,652 | $5.09M | 0.6% | +1,494+8.7% | Added | History |
| HDHome Depot, Inc. | Stock | 14,346 | $4.71M | 0.5% | −388−2.6% | Reduced | History |
| Vanguard Scottsdale FDS92206C102 | SHORT TERM TREAS | 75,882 | $4.66M | 0.5% | −4,772−5.9% | Reduced | – |
| AAOIApplied Optoelectronics, Inc. | COM | 643,306 | $4.62M | 0.5% | +57,000+9.7% | Added | History |
| iShares Core MSCI WorldG4954M409 | ETF | 55,185 | $4.61M | 0.5% | +3,190+6.1% | Added | – |
| NOWServiceNow, Inc. | Stock | 7,172 | $4.46M | 0.5% | +141+2.0% | Added | History |
| iShares Semiconductor ETF464287523 | ETF | 9,814 | $4.38M | 0.5% | +1,387+16.5% | Added | – |
| CRMSalesforce, Inc. | Stock | 16,057 | $4.36M | 0.5% | −1,068−6.2% | Reduced | History |
| TAT&T Inc. | Stock | 158,697 | $4.29M | 0.5% | +7,642+5.1% | Added | History |
| iShares Core U.S. Aggregate Bond ETF464287226 | ETF | 36,574 | $4.20M | 0.5% | −10,565−22.4% | Reduced | – |
| ADBEAdobe Inc. | Stock | 7,248 | $4.17M | 0.5% | −31−0.4% | Reduced | History |
| First Tr Exchange-Traded FD33738D309 | SENIOR LN FD | 83,924 | $4.02M | 0.4% | −4,517−5.1% | Reduced | – |
| Vanguard Morningstar Growth ETF922908736 | ETF | 13,678 | $3.97M | 0.4% | +466+3.5% | Added | – |
| DISWalt Disney Co | Stock | 23,462 | $3.97M | 0.4% | +2,518+12.0% | Added | History |
| JPMJPMorgan Chase & Co | Stock | 24,098 | $3.94M | 0.4% | +2,116+9.6% | Added | History |
| Invesco Exchange Traded FD T46137V373 | S&P500 EQL STP | 25,530 | $3.93M | 0.4% | +120+0.5% | Added | – |
| MRNAModerna, Inc. | Stock | 10,161 | $3.91M | 0.4% | +1,914+23.2% | Added | History |
| Invesco Actively Managed Exc46090A879 | VAR RATE INVT | 155,716 | $3.91M | 0.4% | −7,728−4.7% | Reduced | – |
| First Tr Exchng Traded FD VI33740F805 | SMITH OPPORT FXD | 72,842 | $3.90M | 0.4% | −870−1.2% | Reduced | – |
| COSTCostco Wholesale Corp | Stock | 8,558 | $3.85M | 0.4% | +1,751+25.7% | Added | History |
| First Trust Dow Jones Internet Index Fund33733E302 | ETF | 16,221 | $3.83M | 0.4% | −392−2.4% | Reduced | – |
| JNJJohnson & Johnson | Stock | 23,676 | $3.82M | 0.4% | −320−1.3% | Reduced | History |
| BXBlackstone Inc. | COM | 32,741 | $3.81M | 0.4% | +1,129+3.6% | Added | History |
| First Tr Exch Traded FD III33739E108 | PFD SECS INC ETF | 184,701 | $3.79M | 0.4% | +4,064+2.2% | Added | – |
| VZVerizon Communications Inc | Stock | 70,114 | $3.79M | 0.4% | +4,725+7.2% | Added | History |
| VanEck ETF Trust92189F486 | IG FLOA RATE ETF | 148,713 | $3.78M | 0.4% | −7,627−4.9% | Reduced | – |
| Vanguard Scottsdale FDS92206C706 | INTER TERM TREAS | 55,846 | $3.77M | 0.4% | −2,765−4.7% | Reduced | – |
| ProShares Tr74348A467 | S&P 500 DV ARIST | 42,453 | $3.76M | 0.4% | −1,138−2.6% | Reduced | – |
| VVisa Inc. | Stock | 16,776 | $3.74M | 0.4% | −84−0.5% | Reduced | History |
| ARK Innovation ETF00214Q104 | ETF | 33,614 | $3.71M | 0.4% | +1,166+3.6% | Added | – |
| ARAYAccuray Inc | COM | 935,850 | $3.70M | 0.4% | +136,000+17.0% | Added | History |
| CVXChevron Corp | Stock | 36,222 | $3.67M | 0.4% | +2,595+7.7% | Added | History |
| Global X FDS37954Y228 | CLEANTECH ETF | 192,556 | $3.59M | 0.4% | −38,537−16.7% | Reduced | – |
| SPDR Ser Tr78468R655 | S&P KENSHO CLEAN | 38,187 | $3.59M | 0.4% | −7,848−17.0% | Reduced | – |
| ADTNADTRAN Holdings, Inc. | COM | 188,454 | $3.54M | 0.4% | −65,825−25.9% | Reduced | History |
| DIASPDR Dow Jones Industrial Average ETF Trust | UT SER 1 | 10,415 | $3.52M | 0.4% | +819+8.5% | Added | History |
| CMGChipotle Mexican Grill Inc | COM | 1,936 | $3.52M | 0.4% | −28−1.4% | Reduced | History |
| XOMExxonMobil Holdings Corp | COM | 59,632 | $3.51M | 0.4% | +1,453+2.5% | Added | History |
| First Tr Exchange-Traded FD33734H106 | SHS | 88,827 | $3.48M | 0.4% | +3,419+4.0% | Added | – |
| First Tr Exchange-Traded FD33733B100 | WTR ETF | 40,882 | $3.48M | 0.4% | +6,011+17.2% | Added | – |
| WMTWalmart Inc. | Stock | 24,787 | $3.45M | 0.4% | −256−1.0% | Reduced | History |
| First Tr Exchange-Traded FD33738D408 | FIRST TR TA HIYL | 71,490 | $3.44M | 0.4% | +4,388+6.5% | Added | – |
| XYZBlock, Inc. | CL A | 14,221 | $3.41M | 0.4% | +339+2.4% | Added | History |
| NEENextera Energy Inc | Stock | 43,291 | $3.40M | 0.4% | +307+0.7% | Added | History |
| GLDSPDR Gold Trust | ETF | 19,853 | $3.26M | 0.4% | +1,469+8.0% | Added | History |
| ABBVAbbVie Inc. | Stock | 30,078 | $3.24M | 0.4% | +5,229+21.0% | Added | History |
| BlackRock Short Obligations CL Instl091936419 | SHORT OBLIGATIONS CL | 311,611 | $3.13M | 0.3% | −67,414−17.8% | Reduced | – |
| PLABPhotronics Inc | COM | 227,500 | $3.10M | 0.3% | −800−0.4% | Reduced | History |
| PYPLPayPal Holdings, Inc. | Stock | 11,769 | $3.06M | 0.3% | +722+6.5% | Added | History |
| iShares Select Dividend ETF464287168 | ETF | 26,533 | $3.04M | 0.3% | +8,821+49.8% | Added | – |
| Invesco S&P 500 Quality ETF46137V241 | ETF | 62,471 | $3.03M | 0.3% | −2,574−4.0% | Reduced | – |
| Vanguard Ftse Developed Markets ETF921943858 | ETF | 59,920 | $3.02M | 0.3% | +7,580+14.5% | Added | – |
| iShares Core S&P Small Cap ETF464287804 | ETF | 27,485 | $3.00M | 0.3% | +999+3.8% | Added | – |
| BALLBALL Corp | COM | 33,167 | $2.98M | 0.3% | −1,158−3.4% | Reduced | History |
| iShares Tips Bond ETF464287176 | ETF | 23,106 | $2.95M | 0.3% | −1,448−5.9% | Reduced | – |
| CSCOCisco Systems, Inc. | Stock | 54,070 | $2.94M | 0.3% | +130+0.2% | Added | History |
| UNHUnitedHealth Group Inc | Stock | 7,425 | $2.90M | 0.3% | +1,796+31.9% | Added | History |
| MELIMercadolibre Inc | COM | 1,727 | $2.90M | 0.3% | +276+19.0% | Added | History |
| CRWDCrowdStrike Holdings, Inc. | Stock | 11,781 | $2.90M | 0.3% | +913+8.4% | Added | History |
| iShares Tr464287119 | MORNINGSTAR GRWT | 43,518 | $2.85M | 0.3% | −813−1.8% | Reduced | – |
| Vanguard Scottsdale FDS92206C409 | SHRT TRM CORP BD | 34,543 | $2.85M | 0.3% | −4,590−11.7% | Reduced | – |
| iShares MSCI USA Min Vol Factor ETF46429B697 | ETF | 38,709 | $2.85M | 0.3% | +2,251+6.2% | Added | – |
| PANWPalo Alto Networks Inc | Stock | 5,854 | $2.80M | 0.3% | +29+0.5% | Added | History |
| First Tr Exchange-Traded FD336920103 | US EQTY OPPT ETF | 22,255 | $2.75M | 0.3% | +80.0% | Added | – |
| PGProcter & Gamble Co | Stock | 19,032 | $2.66M | 0.3% | +1,252+7.0% | Added | History |
| Zix Corp98974P100 | COM | 357,950 | $2.53M | 0.3% | +72,250+25.3% | Added | – |
| iShares Tr464288646 | ISHS 1-5YR INVS | 46,309 | $2.53M | 0.3% | −4,025−8.0% | Reduced | – |
| TTDTrade Desk, Inc. | Stock | 35,836 | $2.52M | 0.3% | −880−2.4% | Reduced | History |
| Invesco Actively Managed Exc46090A705 | S&P500 DOWNSID | 70,088 | $2.50M | 0.3% | +20,622+41.7% | Added | – |
| U.S. Global Jets ETF26922A842 | ETF | 104,167 | $2.46M | 0.3% | −3,682−3.4% | Reduced | – |
| iShares Tr464287788 | U.S. FINLS ETF | 29,714 | $2.45M | 0.3% | −11,563−28.0% | Reduced | – |
| Vanguard Communication Services ETF92204A884 | ETF | 17,281 | $2.43M | 0.3% | −4,072−19.1% | Reduced | – |
| MAMastercard Inc | Stock | 6,985 | $2.43M | 0.3% | +1,458+26.4% | Added | History |
| INTCIntel Corp | Stock | 45,177 | $2.41M | 0.3% | +2,105+4.9% | Added | History |
| Vanguard Malvern FDS922020805 | STRM INFPROIDX | 45,362 | $2.38M | 0.3% | +1,126+2.5% | Added | – |
| HONHoneywell International Inc | COM | 11,209 | $2.38M | 0.3% | +877+8.5% | Added | History |
| BABoeing Co | Stock | 10,758 | $2.37M | 0.3% | −787−6.8% | Reduced | History |
| OKTAOkta, Inc. | CL A | 9,889 | $2.35M | 0.3% | +1,340+15.7% | Added | History |
Options (22)
Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.
| Security | Class | Puts | Calls |
|---|---|---|---|
| CLFCleveland-Cliffs Inc. | COM | $321.0K | – |
| ANFAbercrombie & Fitch Co | CL A | $3.00K | $98.0K |
| CSCOCisco Systems, Inc. | Stock | $50.0K | $48.0K |
| AMZNAmazon Com Inc | Stock | $48.0K | – |
| FFord Motor Co | Stock | – | $19.0K |
| METAMeta Platforms, Inc. | Stock | $13.0K | – |
| PFEPfizer Inc | Stock | – | $7.00K |
| AAPLApple Inc. | Stock | $3.00K | $4.00K |
| CCLCarnival Corp Ltd. | UNIT 99/99/9999 | – | $6.00K |
| GESGuess Inc | COM | – | $6.00K |
| DOWDow Inc. | Stock | – | $4.00K |
| MCDMcDonalds Corp | Stock | – | $4.00K |
| AALAmerican Airlines Group Inc. | Stock | – | $3.00K |
| DOCUDocuSign, Inc. | Stock | $3.00K | – |
| CRWDCrowdStrike Holdings, Inc. | Stock | $2.00K | – |
| PBIPitney Bowes Inc | COM | – | $2.00K |
| MATMattel Inc | COM | – | $2.00K |
| DBDDiebold Nixdorf, Inc | COM | – | $2.00K |
| KOCoca Cola Co | Stock | $1.00K | – |
| BPBP PLC | ADR | – | $1.00K |
| BABoeing Co | Stock | $1.00K | $0 |
| AZNAstraZeneca PLC | SPONSORED ADR | – | $1.00K |
Sold out since Q2 2021 (66)
Positions held at the end of Q2 2021 that are gone from this filing.
| Security | Class | Shares in Q2 2021 | Value in Q2 2021 | % of portfolio in Q2 2021 | History |
|---|---|---|---|---|---|
| DLWR Ivy SC an TCH CL I466001807 | CL INSTL | 11,320 | $1.29M | 0.1% | – |
| GLTRabrdn Precious Metals Basket ETF Trust | PHYSCL PRECS MET | 8,694 | $839.0K | 0.1% | History |
| UNMUnum Group | Stock | 26,086 | $741.0K | 0.1% | History |
| DBXDropbox, Inc. | CL A | 23,513 | $713.0K | 0.1% | History |
| Ivy FDS Inc Hi Inc FD CL I466000122 | MUTUAL | 84,380 | $605.0K | 0.1% | – |
| GLWCorning Inc | COM | 13,014 | $532.0K | 0.1% | History |
| NVCRNovoCure Ltd | ORD SHS | 2,308 | $512.0K | 0.1% | History |
| Invesco Exchange Traded FD T46137V258 | S&P500 PUR VAL | 6,368 | $491.0K | 0.1% | – |
| ADXAdams Diversified Equity Fund, Inc. | COM | 24,000 | $474.0K | 0.1% | History |
| Telephone & Data System 5.875879433795 | NTS | 15,050 | $396.0K | <0.1% | – |
| USBUS Bancorp DE | COM NEW | 6,592 | $376.0K | <0.1% | History |
| Qwest 6 75 NTS74913G873 | NTS | 14,000 | $375.0K | <0.1% | – |
| PBCTPeople's United Financial, Inc. | COM | 20,269 | $347.0K | <0.1% | History |
| PDACPeridot Acquisition Corp. | SHS CL A | 27,811 | $339.0K | <0.1% | History |
| VanEck ETF Trust92189H607 | OIL SERVICES ETF | 1,277 | $333.0K | <0.1% | – |
| FIGSFIGS, Inc. | CL A | 6,524 | $327.0K | <0.1% | History |
| LMNDLemonade, Inc. | Stock | 2,930 | $321.0K | <0.1% | History |
| NIONIO Inc. | ADR | 5,974 | $318.0K | <0.1% | History |
| KLICKulicke & Soffa Industries Inc | COM | 5,137 | $314.0K | <0.1% | History |
| ZZillow Group, Inc. | CL C CAP STK | 2,547 | $311.0K | <0.1% | History |
| STNEStoneCo Ltd. | COM | 4,635 | $311.0K | <0.1% | History |
| iShares Inc464286426 | MSCI EM ASIA ETF | 3,356 | $310.0K | <0.1% | – |
| ESIElement Solutions Inc | COM | 13,200 | $309.0K | <0.1% | History |
| MER.PKBank of America Corp | Equities | 11,425 | $309.0K | <0.1% | History |
| First Trust Financials Alphadex Fund33734X135 | ETF | 6,877 | $300.0K | <0.1% | – |
| Assured Guaranty Mun Hldgs 5 60 NTS04623A403 | NTS | 11,590 | $297.0K | <0.1% | – |
| SPDR Series Trust78468R556 | SP O&G EXPL PRO | 3,053 | $295.0K | <0.1% | – |
| HAYWHayward Holdings, Inc. | COM | 11,176 | $291.0K | <0.1% | History |
| KRKroger Co | Stock | 6,912 | $265.0K | <0.1% | History |
| VIAVViavi Solutions Inc. | COM | 14,925 | $264.0K | <0.1% | History |
| WEXWEX Inc. | COM | 1,358 | $263.0K | <0.1% | History |
| WYWeyerhaeuser Co | COM NEW | 7,329 | $252.0K | <0.1% | History |
| CHDChurch & Dwight Co Inc | COM | 2,866 | $244.0K | <0.1% | History |
| First Tr Exchange Traded FD33738R837 | NASDQ PHRMTCLS | 9,380 | $243.0K | <0.1% | – |
| QVC 6 250 SNR Secd NTS747262400 | NTS | 9,102 | $241.0K | <0.1% | – |
| ETF Managers Tr26924G508 | ETFMG ALTR HRVST | 11,458 | $236.0K | <0.1% | – |
| CRSPCRISPR Therapeutics AG | NAMEN AKT | 1,434 | $232.0K | <0.1% | History |
| First Tr Exchange-Traded Alp33737M201 | MID CAP VAL FD | 5,230 | $232.0K | <0.1% | – |
| BYNDBeyond Meat, Inc. | COM | 1,473 | $232.0K | <0.1% | History |
| First Tr Exchange-Traded Alp33733C108 | SHS ISSUED FRST | 3,225 | $229.0K | <0.1% | – |
| First Tr Exchange-Traded Alp33737M409 | SML CAP VAL ALPH | 4,496 | $229.0K | <0.1% | – |
| HNWPioneer Diversified High Income Fund, Inc. | COM | 14,921 | $227.0K | <0.1% | History |
| Delaware Ivy MD CP GR CL I466001609 | CL INSTL | 4,845 | $220.0K | <0.1% | – |
| RBLXRoblox Corp | Stock | 2,436 | $219.0K | <0.1% | History |
| APPSDigital Turbine, Inc. | COM NEW | 2,850 | $217.0K | <0.1% | History |
| EAElectronic Arts Inc. | COM | 1,510 | $217.0K | <0.1% | History |
| ETF Managers Tr26924G102 | PRIME JUNIR SLVR | 14,125 | $215.0K | <0.1% | – |
| ILMNIllumina, Inc. | COM | 452 | $214.0K | <0.1% | History |
| ATVIActivision Blizzard, Inc. | COM | 2,241 | $214.0K | <0.1% | History |
| RNPCohen & Steers REIT & Preferred & Income Fund Inc | COM | 7,765 | $211.0K | <0.1% | History |
| SVCService Properties Trust | COM SH BEN INT | 16,728 | $211.0K | <0.1% | History |
| Credit Suisse Group225401108 | SPONSORED ADR | 20,098 | $211.0K | <0.1% | – |
| FCXFreeport-McMoran Inc | Stock | 5,664 | $210.0K | <0.1% | History |
| XYLXylem Inc. | COM | 1,750 | $210.0K | <0.1% | History |
| SFIXStitch Fix, Inc. | Stock | 3,431 | $207.0K | <0.1% | History |
| SCCOSouthern Copper Corp | Stock | 3,201 | $206.0K | <0.1% | History |
| Barrick Gold Corp067901108 | COM | 9,977 | $206.0K | <0.1% | – |
| RPMRPM International Inc | COM | 2,324 | $206.0K | <0.1% | History |
| State Street SPDR Portfolio S&P 500 Value ETF78464A508 | ETF | 5,186 | $205.0K | <0.1% | – |
| PAIWestern Asset Investment Grade Income Fund Inc. | COM | 13,000 | $203.0K | <0.1% | History |
| TDToronto Dominion Bank | Stock | 2,873 | $201.0K | <0.1% | History |
| BKTBlackRock Income Trust, Inc. | COM | 21,238 | $135.0K | <0.1% | History |
| Inventrust Pptys Corp46124J102 | COM | 65,349 | $85.0K | <0.1% | – |
| NWBONorthwest Biotherapeutics Inc | COM | 25,000 | $37.0K | <0.1% | History |
| Hospitality Invs Ord44107J108 | COM | 43,544 | $22.0K | <0.1% | – |
| Dean Foods Co New Com New242370203 | Common Stock | 33,000 | $1.00K | <0.1% | – |