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Livermore
Livermore
ZHEN

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.

Institution overview
Positions
682
+9 vs. Q2 2021
Portfolio value
$919.5M
+$41.6M (+4.7%) vs. Q2 2021
Filed
Nov 3, 2021
SEC
Holdings of Kovack Advisors, Inc. in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
Ssga Active ETF Tr78467V848ST STR TOTAL ETF5,271$255.0K<0.1%−776−12.8%Reduced–
KKRKKR & Co. Inc.COM4,209$256.0K<0.1%+7+0.2%AddedHistory
LKQLKQ CorpCOM5,082$256.0K<0.1%+5,082NewHistory
KBSRKBS Real Estate Investment Trust III, Inc.COM36,120$257.0K<0.1%+135+0.4%AddedHistory
ETREntergy CorpCOM2,608$259.0K<0.1%+14+0.5%AddedHistory
GESGuess IncCOM12,330$259.0K<0.1%00.0%UnchangedHistory
GBTCGrayscale Bitcoin Trust ETFETF7,682$260.0K<0.1%−4,015−34.3%ReducedHistory
RFICohen & Steers Total Return Realty Fund IncCOM16,000$260.0K<0.1%00.0%UnchangedHistory
BBBLACKBERRY LtdCOM26,720$260.0K<0.1%+10,250+62.2%AddedHistory
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242ETF1,959$261.0K<0.1%−390−16.6%Reduced–
KDMNKadmon Holdings, Inc.COM30,000$261.0K<0.1%+3,000+11.1%AddedHistory
CECelanese CorpStock1,749$263.0K<0.1%+1,749NewHistory
WESWestern Midstream Partners, LPCOM UNIT LP INT12,650$265.0K<0.1%00.0%UnchangedHistory
iShares Tr464287234MSCI EMG MKT ETF5,274$266.0K<0.1%−58−1.1%Reduced–
iShares Inc46434G855MSCI GBL GOLD MN10,842$267.0K<0.1%−4,640−30.0%Reduced–
DNPDNP Select Income Fund IncCOM25,010$267.0K<0.1%+2,238+9.8%AddedHistory
RHRHCOM400$267.0K<0.1%−5−1.2%ReducedHistory
TPVGTriplePoint Venture Growth BDC Corp.COM16,950$268.0K<0.1%+1,250+8.0%AddedHistory
HPHelmerich & Payne, Inc.COM9,776$268.0K<0.1%−122−1.2%ReducedHistory
Innovator U.S. Equity Ultra Buffer ETF - October45782C821ETF9,712$270.0K<0.1%00.0%Unchanged–
IRMIron Mountain IncCOM6,218$270.0K<0.1%−4,222−40.4%ReducedHistory
COINCoinbase Global, Inc.COM CL A1,201$273.0K<0.1%−93−7.2%ReducedHistory
Griffin Cap Essent Asset CL E Opf39818P880COM42,248$274.0K<0.1%+56+0.1%Added–
Invesco Exch Traded FD Tr II46138G805TAXABLE MUN BD8,351$275.0K<0.1%+122+1.5%Added–
PSXPhillips 66Stock3,956$277.0K<0.1%−98−2.4%ReducedHistory
AALAmerican Airlines Group Inc.Stock13,477$277.0K<0.1%+1,720+14.6%AddedHistory
WBAWalgreens Boots Alliance, Inc.COM5,877$277.0K<0.1%+1,677+39.9%AddedHistory
iShares Russell Mid-Cap Growth ETF464287481ETF2,479$278.0K<0.1%+3+0.1%Added–
ASMLASML Holding NVADR376$280.0K<0.1%+22+6.2%AddedHistory
iShares Tr464287796U.S. ENERGY ETF9,916$280.0K<0.1%−1,167−10.5%Reduced–
NYCAmerican Strategic Investment Co.COM34,768$281.0K<0.1%−26,891−43.6%ReducedHistory
CGNXCognex CorpCOM3,516$282.0K<0.1%−50−1.4%ReducedHistory
BIDUBaidu, Inc.ADR1,845$284.0K<0.1%−160−8.0%ReducedHistory
MDYSPDR S&P Midcap 400 ETF TrustETF591$284.0K<0.1%+73+14.1%AddedHistory
Fidelity Merrimack STR Tr316188309TOTAL BD ETF5,341$284.0K<0.1%00.0%Unchanged–
TBBAT&T Inc.5.35% GBL NTS DUE 01/11/6610,900$286.0K<0.1%+250+2.3%AddedHistory
LITELumentum Holdings Inc.COM3,442$288.0K<0.1%−278−7.5%ReducedHistory
AZNAstraZeneca PLCSPONSORED ADR4,790$288.0K<0.1%+397+9.0%AddedHistory
DHIHorton D R IncCOM3,439$289.0K<0.1%+3,439NewHistory
Vanguard Consumer Discretionary ETF92204A108ETF938$291.0K<0.1%+77+8.9%Added–
iShares Tr46434VBA7IBONDS DEC22 ETF11,500$291.0K<0.1%00.0%Unchanged–
BHKBlackRock Core Bond TrustSHS BEN INT17,704$293.0K<0.1%+374+2.2%AddedHistory
DKNGDraftKings Inc.COM CL A6,077$293.0K<0.1%−1,228−16.8%ReducedHistory
BAMBrookfield Asset Management Ltd.CL A LTD VT SH5,497$294.0K<0.1%+62+1.1%AddedHistory
ZMZoom Communications, Inc.Stock1,127$295.0K<0.1%−115−9.3%ReducedHistory
AFLAflac IncStock5,687$296.0K<0.1%+511+9.9%AddedHistory
EXPEExpedia Group, Inc.Stock1,805$296.0K<0.1%+1,805NewHistory
BEPBrookfield Renewable Partners L.P.PARTNERSHIP UNIT8,020$296.0K<0.1%00.0%UnchangedHistory
First Tr Exchange-Traded FD33733E203NY ARCA BIOTECH1,780$296.0K<0.1%+50+2.9%Added–
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM29,720$297.0K<0.1%+109+0.4%AddedHistory
TWTRTwitter, Inc.COM4,915$297.0K<0.1%+75+1.5%AddedHistory
PGRProgressive CorpStock3,297$298.0K<0.1%00.0%UnchangedHistory
URIUnited Rentals, Inc.COM848$298.0K<0.1%−426−33.4%ReducedHistory
AFRMAffirm Holdings, Inc.COM CL A2,511$299.0K<0.1%+2,511NewHistory
SOFISoFi Technologies, Inc.Stock18,882$300.0K<0.1%+2,951+18.5%AddedHistory
KMBKimberly Clark CorpStock2,279$302.0K<0.1%−342−13.0%ReducedHistory
iShares S&P Small-Cap 600 Growth ETF464287887ETF2,322$302.0K<0.1%+16+0.7%Added–
SPDR Ser Tr78464A813S&P 600 SML CAP3,200$303.0K<0.1%−800−20.0%Reduced–
CHWYChewy, Inc.CL A4,458$304.0K<0.1%+1,432+47.3%AddedHistory
TMDXTransMedics Group, Inc.COM9,200$304.0K<0.1%+1,900+26.0%AddedHistory
First Tr Exchange Traded FD33738R795NASDAQ TRANSN9,866$304.0K<0.1%+10.0%Added–
SWAVShockwave Medical, Inc.COM1,475$304.0K<0.1%+75+5.4%AddedHistory
MPCMarathon Petroleum CorpStock4,932$305.0K<0.1%+505+11.4%AddedHistory
Invesco Exch Traded FD Tr II46138E362S&P500 HDL VOL7,201$305.0K<0.1%−2,300−24.2%Reduced–
ZBRAZebra Technologies CorpCL A591$305.0K<0.1%+104+21.4%AddedHistory
Invesco Exchange Traded FD T46137V506DIVID ACHIEVEV8,494$305.0K<0.1%−89−1.0%Reduced–
iShares U.S. Regional Banks ETF464288778ETF5,066$307.0K<0.1%00.0%Unchanged–
BWABorgwarner IncCOM7,094$307.0K<0.1%+449+6.8%AddedHistory
DALDelta Air Lines, Inc.COM NEW7,280$310.0K<0.1%−50−0.7%ReducedHistory
Sila Realty Trust Inc Class A146280102COM53,301$310.0K<0.1%+110+0.2%Added–
Dimensional World Ex U.S. Core Equity 2 ETF25434V880ETF12,020$311.0K<0.1%+12,020New–
Invesco Exchange Traded FD T46137V779BLDG CONSTR ETF6,575$311.0K<0.1%+200+3.1%Added–
Amplify ETF Tr032108102ONLIN RETL ETF2,879$315.0K<0.1%−852−22.8%Reduced–
First Tr Exchange-Traded FD33734X150INDLS PROD DUR5,522$317.0K<0.1%+100+1.8%Added–
iShares IV PLC Usd Ultrash BD ETFG4955M341ETF3,150$317.0K<0.1%00.0%Unchanged–
CMICummins IncStock1,418$318.0K<0.1%−26−1.8%ReducedHistory
NPTNNeophotonics CorpCOM36,500$318.0K<0.1%+36,500NewHistory
TJXTJX Companies IncStock4,839$319.0K<0.1%−175−3.5%ReducedHistory
Schwab U.S. Large-Cap ETF808524201ETF3,076$320.0K<0.1%+7+0.2%Added–
INMDInMode Ltd.SHS2,010$320.0K<0.1%+2,010NewHistory
PRUPrudential Financial IncStock3,094$325.0K<0.1%−7,010−69.4%ReducedHistory
iShares Tr46435G672CORE INTL AGGR5,906$325.0K<0.1%+394+7.1%Added–
EQIXEquinix IncCOM411$325.0K<0.1%+45+12.3%AddedHistory
Invesco Exchange Traded FD T46137V621FINL PFD ETF17,188$326.0K<0.1%+2,518+17.2%Added–
Invesco Exch Traded FD Tr II46138E107EQUAL WEGT 0-309,000$327.0K<0.1%00.0%Unchanged–
JDJD.com, Inc.SPON ADS CL A4,522$327.0K<0.1%+4,522NewHistory
ONOn Semiconductor CorpStock7,177$328.0K<0.1%+7,177NewHistory
OBDCBlue Owl Capital CorpCOM23,253$328.0K<0.1%−458−1.9%ReducedHistory
OXYOccidental Petroleum CorpStock11,160$330.0K<0.1%−115−1.0%ReducedHistory
State Street Materials Select Sector SPDR ETF81369Y100ETF4,182$331.0K<0.1%+179+4.5%Added–
iShares Tr46435U713US INFRASTRUC9,702$331.0K<0.1%+9,702New–
FUBOFuboTV Inc.COM13,800$331.0K<0.1%+4,450+47.6%AddedHistory
iShares Tr464288851US OIL GS EX ETF5,703$331.0K<0.1%00.0%Unchanged–
First Tr Exchange-Traded FD33738R886DORSEY WRIGHT14,650$333.0K<0.1%+3,483+31.2%Added–
iShares Tr464287580US CONSUM DISCRE4,335$335.0K<0.1%+190+4.6%Added–
Invesco Exch Traded FD Tr II46138G631NASDAQNXTGEN10010,223$338.0K<0.1%−78−0.8%Reduced–
iShares Core MSCI EM IMI UCITS ETF (Acc)G49507836ETF9,415$338.0K<0.1%00.0%Unchanged–
SPDR Series Trust78468R622ST BLOO HIGH ETF3,125$342.0K<0.1%+211+7.2%Added–
Invesco Exchange Traded FD T46137V100AEROSPACE DEFN4,752$342.0K<0.1%−1,425−23.1%Reduced–
PEOAdams Natural Resources Fund, Inc.COM21,998$345.0K<0.1%−2,036−8.5%ReducedHistory

Options (22)

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

Option positions of Kovack Advisors, Inc. in Q3 2021
SecurityClassPutsCalls
CLFCleveland-Cliffs Inc.COM$321.0K–
ANFAbercrombie & Fitch CoCL A$3.00K$98.0K
CSCOCisco Systems, Inc.Stock$50.0K$48.0K
AMZNAmazon Com IncStock$48.0K–
FFord Motor CoStock–$19.0K
METAMeta Platforms, Inc.Stock$13.0K–
PFEPfizer IncStock–$7.00K
AAPLApple Inc.Stock$3.00K$4.00K
CCLCarnival Corp Ltd.UNIT 99/99/9999–$6.00K
GESGuess IncCOM–$6.00K
DOWDow Inc.Stock–$4.00K
MCDMcDonalds CorpStock–$4.00K
AALAmerican Airlines Group Inc.Stock–$3.00K
DOCUDocuSign, Inc.Stock$3.00K–
CRWDCrowdStrike Holdings, Inc.Stock$2.00K–
PBIPitney Bowes IncCOM–$2.00K
MATMattel IncCOM–$2.00K
DBDDiebold Nixdorf, IncCOM–$2.00K
KOCoca Cola CoStock$1.00K–
BPBP PLCADR–$1.00K
BABoeing CoStock$1.00K$0
AZNAstraZeneca PLCSPONSORED ADR–$1.00K

Sold out since Q2 2021 (66)

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

Positions of Kovack Advisors, Inc. sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
DLWR Ivy SC an TCH CL I466001807CL INSTL11,320$1.29M0.1%–
GLTRabrdn Precious Metals Basket ETF TrustPHYSCL PRECS MET8,694$839.0K0.1%History
UNMUnum GroupStock26,086$741.0K0.1%History
DBXDropbox, Inc.CL A23,513$713.0K0.1%History
Ivy FDS Inc Hi Inc FD CL I466000122MUTUAL84,380$605.0K0.1%–
GLWCorning IncCOM13,014$532.0K0.1%History
NVCRNovoCure LtdORD SHS2,308$512.0K0.1%History
Invesco Exchange Traded FD T46137V258S&P500 PUR VAL6,368$491.0K0.1%–
ADXAdams Diversified Equity Fund, Inc.COM24,000$474.0K0.1%History
Telephone & Data System 5.875879433795NTS15,050$396.0K<0.1%–
USBUS Bancorp DECOM NEW6,592$376.0K<0.1%History
Qwest 6 75 NTS74913G873NTS14,000$375.0K<0.1%–
PBCTPeople's United Financial, Inc.COM20,269$347.0K<0.1%History
PDACPeridot Acquisition Corp.SHS CL A27,811$339.0K<0.1%History
VanEck ETF Trust92189H607OIL SERVICES ETF1,277$333.0K<0.1%–
FIGSFIGS, Inc.CL A6,524$327.0K<0.1%History
LMNDLemonade, Inc.Stock2,930$321.0K<0.1%History
NIONIO Inc.ADR5,974$318.0K<0.1%History
KLICKulicke & Soffa Industries IncCOM5,137$314.0K<0.1%History
ZZillow Group, Inc.CL C CAP STK2,547$311.0K<0.1%History
STNEStoneCo Ltd.COM4,635$311.0K<0.1%History
iShares Inc464286426MSCI EM ASIA ETF3,356$310.0K<0.1%–
ESIElement Solutions IncCOM13,200$309.0K<0.1%History
MER.PKBank of America CorpEquities11,425$309.0K<0.1%History
First Trust Financials Alphadex Fund33734X135ETF6,877$300.0K<0.1%–
Assured Guaranty Mun Hldgs 5 60 NTS04623A403NTS11,590$297.0K<0.1%–
SPDR Series Trust78468R556SP O&G EXPL PRO3,053$295.0K<0.1%–
HAYWHayward Holdings, Inc.COM11,176$291.0K<0.1%History
KRKroger CoStock6,912$265.0K<0.1%History
VIAVViavi Solutions Inc.COM14,925$264.0K<0.1%History
WEXWEX Inc.COM1,358$263.0K<0.1%History
WYWeyerhaeuser CoCOM NEW7,329$252.0K<0.1%History
CHDChurch & Dwight Co IncCOM2,866$244.0K<0.1%History
First Tr Exchange Traded FD33738R837NASDQ PHRMTCLS9,380$243.0K<0.1%–
QVC 6 250 SNR Secd NTS747262400NTS9,102$241.0K<0.1%–
ETF Managers Tr26924G508ETFMG ALTR HRVST11,458$236.0K<0.1%–
CRSPCRISPR Therapeutics AGNAMEN AKT1,434$232.0K<0.1%History
First Tr Exchange-Traded Alp33737M201MID CAP VAL FD5,230$232.0K<0.1%–
BYNDBeyond Meat, Inc.COM1,473$232.0K<0.1%History
First Tr Exchange-Traded Alp33733C108SHS ISSUED FRST3,225$229.0K<0.1%–
First Tr Exchange-Traded Alp33737M409SML CAP VAL ALPH4,496$229.0K<0.1%–
HNWPioneer Diversified High Income Fund, Inc.COM14,921$227.0K<0.1%History
Delaware Ivy MD CP GR CL I466001609CL INSTL4,845$220.0K<0.1%–
RBLXRoblox CorpStock2,436$219.0K<0.1%History
APPSDigital Turbine, Inc.COM NEW2,850$217.0K<0.1%History
EAElectronic Arts Inc.COM1,510$217.0K<0.1%History
ETF Managers Tr26924G102PRIME JUNIR SLVR14,125$215.0K<0.1%–
ILMNIllumina, Inc.COM452$214.0K<0.1%History
ATVIActivision Blizzard, Inc.COM2,241$214.0K<0.1%History
RNPCohen & Steers REIT & Preferred & Income Fund IncCOM7,765$211.0K<0.1%History
SVCService Properties TrustCOM SH BEN INT16,728$211.0K<0.1%History
Credit Suisse Group225401108SPONSORED ADR20,098$211.0K<0.1%–
FCXFreeport-McMoran IncStock5,664$210.0K<0.1%History
XYLXylem Inc.COM1,750$210.0K<0.1%History
SFIXStitch Fix, Inc.Stock3,431$207.0K<0.1%History
SCCOSouthern Copper CorpStock3,201$206.0K<0.1%History
Barrick Gold Corp067901108COM9,977$206.0K<0.1%–
RPMRPM International IncCOM2,324$206.0K<0.1%History
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF5,186$205.0K<0.1%–
PAIWestern Asset Investment Grade Income Fund Inc.COM13,000$203.0K<0.1%History
TDToronto Dominion BankStock2,873$201.0K<0.1%History
BKTBlackRock Income Trust, Inc.COM21,238$135.0K<0.1%History
Inventrust Pptys Corp46124J102COM65,349$85.0K<0.1%–
NWBONorthwest Biotherapeutics IncCOM25,000$37.0K<0.1%History
Hospitality Invs Ord44107J108COM43,544$22.0K<0.1%–
Dean Foods Co New Com New242370203Common Stock33,000$1.00K<0.1%–