Skip to main content
Livermore
Livermore
ZHEN

Kovack Advisors, Inc.

SEC CIK
0001728321
Latest filing
Jul 28, 2026

Holdings in Q4 2021

Holdings as of Dec 31, 2021, filed Jan 18, 2022. Long positions only; changes compare share counts with Q3 2021.

Institution overview
Positions
693
+11 vs. Q3 2021
Portfolio value
$1.03B
+$113.8M (+12.4%) vs. Q3 2021
Filed
Jan 18, 2022
SEC
Holdings of Kovack Advisors, Inc. in Q4 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
CLFCleveland-Cliffs Inc.COM22,043$480.0K<0.1%+22,028+146,853.3%AddedHistory
WMBWilliams Companies, Inc.COM18,438$480.0K<0.1%+18,438NewHistory
APDAir Products & Chemicals, Inc.Stock1,604$488.0K<0.1%−104−6.1%ReducedHistory
AONAon plcCL A1,622$488.0K<0.1%00.0%UnchangedHistory
YUMYum Brands IncStock3,524$489.0K<0.1%+74+2.1%AddedHistory
DOVDOVER CorpCOM2,700$490.0K<0.1%−1,199−30.8%ReducedHistory
IRMIron Mountain IncCOM9,406$492.0K<0.1%+3,188+51.3%AddedHistory
PWRQuanta Services, Inc.COM4,320$495.0K<0.1%+620+16.8%AddedHistory
OKEONEOK IncCOM8,475$498.0K<0.1%+235+2.9%AddedHistory
Global X FDS37954Y483NASDAQ 100 COVER22,493$499.0K<0.1%+5,576+33.0%Added–
iShares Tr464289180MSCI EURO FL ETF25,000$501.0K<0.1%+25,000New–
ONOn Semiconductor CorpStock7,400$503.0K<0.1%+223+3.1%AddedHistory
ATKRAtkore Inc.COM4,584$510.0K<0.1%−47−1.0%ReducedHistory
BWABorgwarner IncCOM11,341$511.0K<0.1%+4,247+59.9%AddedHistory
iShares Tr464287515EXPANDED TECH1,296$515.0K<0.1%−32−2.4%Reduced–
NEMNEWMONT CorpStock8,384$520.0K0.1%+204+2.5%AddedHistory
WSTWest Pharmaceutical Services IncCOM1,109$520.0K0.1%−370−25.0%ReducedHistory
WDAYWorkday, Inc.CL A1,906$521.0K0.1%−32−1.7%ReducedHistory
iShares Russell 2000 Growth ETF464287648ETF1,788$524.0K0.1%+310+21.0%Added–
BABAAlibaba Group Holding LtdADR4,410$524.0K0.1%−1,176−21.1%ReducedHistory
iShares Tr46432F875MRNGSTR INC ETF21,865$525.0K0.1%−1,880−7.9%Reduced–
Royal Dutch Shell PLC780259206SPONS ADR A12,105$525.0K0.1%−840−6.5%Reduced–
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF6,916$531.0K0.1%+3,560+106.1%Added–
iShares Tr46434V613CORE UNIVRSL USD10,059$532.0K0.1%−593−5.6%Reduced–
ZSZscaler, Inc.Stock1,658$533.0K0.1%+290+21.2%AddedHistory
American Centy ETF Tr025072810FOCUSED DYNAMIC6,615$534.0K0.1%−863−11.5%Reduced–
CARRCarrier Global CorpStock9,873$536.0K0.1%+2,631+36.3%AddedHistory
RIORio Tinto PLCADR8,115$543.0K0.1%+100+1.2%AddedHistory
iShares Tr464288638ISHS 5-10YR INVT9,338$553.0K0.1%−5,425−36.7%Reduced–
First Tr Exchange-Traded FD33734X846NASDAQ CYB ETF10,526$556.0K0.1%−2,681−20.3%Reduced–
RIVNRivian Automotive, Inc.Stock5,367$557.0K0.1%+5,367NewHistory
MATMattel IncCOM25,834$557.0K0.1%−738−2.8%ReducedHistory
CDWCDW CorpCOM2,740$561.0K0.1%−8−0.3%ReducedHistory
First Tr Exchange-Traded FD33734X200DJ GLBL DIVID22,335$561.0K0.1%+58+0.3%Added–
MSMorgan StanleyStock5,780$567.0K0.1%+1,703+41.8%AddedHistory
ENBEnbridge IncStock14,530$568.0K0.1%−132−0.9%ReducedHistory
Invesco Exch Traded FD Tr II46138E511PFD ETF37,919$569.0K0.1%−46,063−54.8%Reduced–
GNRCGenerac Holdings Inc.Stock1,622$571.0K0.1%−461−22.1%ReducedHistory
Invesco Exchange Traded FD T46137V332S&P500 EQL HLT1,787$573.0K0.1%−39−2.1%Reduced–
CRFCornerstone Total Return Fund IncCOM41,971$577.0K0.1%+2,738+7.0%AddedHistory
iShares Tr46432F388MSCI USA VALUE5,267$577.0K0.1%+134+2.6%Added–
AEPAmerican Electric Power Co IncStock6,518$580.0K0.1%+30.0%AddedHistory
AXONAxon Enterprise, Inc.COM3,745$588.0K0.1%+39+1.1%AddedHistory
WPCW. P. Carey Inc.COM7,182$589.0K0.1%−1,181−14.1%ReducedHistory
First Tr Exchange-Traded FD336917109SHS16,611$591.0K0.1%+53+0.3%Added–
AMGNAmgen IncStock2,632$592.0K0.1%−113−4.1%ReducedHistory
First Tr Exch TRD Alphdx FD33737J117EUROPE ALPHADEX13,799$595.0K0.1%+7,799+130.0%Added–
CIMChimera Investment CorpCOM NEW39,517$596.0K0.1%+978+2.5%AddedHistory
UBERUber Technologies, IncStock14,267$598.0K0.1%+4,999+53.9%AddedHistory
KKellanovaStock9,323$601.0K0.1%+671+7.8%AddedHistory
SBGISinclair, Inc.CL A22,923$606.0K0.1%+303+1.3%AddedHistory
TERTeradyne, IncStock3,822$625.0K0.1%+3,822NewHistory
First Tr Exchng Traded FD VI33740U802FT VEST U.S.19,850$628.0K0.1%00.0%Unchanged–
TSMTaiwan Semiconductor Manufacturing Co LtdADR5,232$629.0K0.1%+107+2.1%AddedHistory
AMPAmeriprise Financial IncCOM2,086$629.0K0.1%+18+0.9%AddedHistory
MDTMedtronic plcStock6,086$630.0K0.1%−959−13.6%ReducedHistory
GMGeneral Motors CoCOM10,751$630.0K0.1%+2,178+25.4%AddedHistory
GNLGlobal Net Lease, Inc.COM NEW41,328$631.0K0.1%+6,263+17.9%AddedHistory
ODFLOld Dominion Freight Line, Inc.COM1,761$631.0K0.1%+165+10.3%AddedHistory
ORealty Income CorpREIT8,847$633.0K0.1%+1,667+23.2%AddedHistory
COINCoinbase Global, Inc.COM CL A2,507$633.0K0.1%+1,306+108.7%AddedHistory
DEDeere & CoStock1,862$638.0K0.1%−75−3.9%ReducedHistory
Vanguard Morningstar Small-Cap ETF922908751ETF2,825$638.0K0.1%+317+12.6%Added–
BTIBritish American Tobacco p.l.c.SPONSORED ADR17,068$639.0K0.1%+1,273+8.1%AddedHistory
IIMInvesco Value Municipal Income TrustCOM37,487$639.0K0.1%−15,341−29.0%ReducedHistory
AGNCAGNC Investment Corp.REIT42,530$640.0K0.1%+18,993+80.7%AddedHistory
ORCLOracle CorpStock7,367$642.0K0.1%+386+5.5%AddedHistory
CCICrown Castle Inc.REIT3,097$646.0K0.1%+3+0.1%AddedHistory
UTGReaves Utility Income FundCOM SH BEN INT18,510$650.0K0.1%+205+1.1%AddedHistory
PDIPIMCO Dynamic Income FundSHS25,185$653.0K0.1%+25,185NewHistory
Vanguard BD Index FDS921937793LONG TERM BOND6,352$654.0K0.1%+129+2.1%Added–
XIFRXPLR Infrastructure, LPCOM UNIT PART IN7,744$654.0K0.1%+119+1.6%AddedHistory
ABRArbor Realty Trust IncCOM35,738$655.0K0.1%+561+1.6%AddedHistory
iShares Tr464288877EAFE VALUE ETF13,050$658.0K0.1%−1,688−11.5%Reduced–
First Tr Ftse Epra / Nareit33736N101COM12,130$659.0K0.1%+1,075+9.7%Added–
First Trust Nasdaq Clean Edge Green Energy Index Fund33733E500ETF9,784$665.0K0.1%+1,244+14.6%Added–
iShares Tr464287556ISHARES BIOTECH4,366$666.0K0.1%+1,114+34.3%Added–
Schwab U.S. Large-Cap Value ETF808524409ETF9,118$668.0K0.1%+1,516+19.9%Added–
Flexshares Tr33939L506IBOXX 3R TARGT25,500$671.0K0.1%00.0%Unchanged–
First Tr Exch Traded FD III33739P855INSTL PFD SECS32,953$672.0K0.1%+4,182+14.5%Added–
iShares Tr46435G532MSCI GBL SUS DEV7,406$672.0K0.1%+477+6.9%Added–
NVRNVR IncCOM114$674.0K0.1%+4+3.6%AddedHistory
DUKDuke Energy CORPStock6,453$677.0K0.1%−30−0.5%ReducedHistory
SOSouthern CoStock9,921$680.0K0.1%−2,332−19.0%ReducedHistory
AXPAmerican Express CoStock4,174$683.0K0.1%+350+9.2%AddedHistory
QMCOQuantum CorpCOM NEW125,100$691.0K0.1%+17,900+16.7%AddedHistory
CMPCompass Minerals International IncStock13,546$692.0K0.1%−10−0.1%ReducedHistory
SPDR Series Trust78464A763ST STR SP DIV5,412$699.0K0.1%+49+0.9%Added–
Sprott ETF Trust85210B102GOLD MINERS ETF25,620$701.0K0.1%+20+0.1%Added–
Invesco S&P 500 Equal Weight Technology ETF46137V282ETF2,192$710.0K0.1%+70+3.3%Added–
VRSKVerisk Analytics, Inc.COM3,112$712.0K0.1%+3,112NewHistory
iShares Tr464288885EAFE GRWTH ETF6,457$712.0K0.1%−896−12.2%Reduced–
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP15,401$715.0K0.1%+70.0%AddedHistory
Dimensional U.S. Core Equity 2 ETF25434V708ETF24,905$721.0K0.1%−2,897−10.4%Reduced–
iShares Tr464287721U.S. TECH ETF6,330$727.0K0.1%+1,464+30.1%Added–
ITWIllinois Tool Works IncStock2,979$735.0K0.1%−295−9.0%ReducedHistory
First Tr Exchange-Traded FD33737K205INDXX NEXTG ETF8,937$738.0K0.1%+623+7.5%Added–
UNPUnion Pacific CorpStock2,933$739.0K0.1%+458+18.5%AddedHistory
iShares IV PLC Edge MSCI ETFG4955M762ETF71,200$739.0K0.1%00.0%Unchanged–
SNPSSynopsys IncCOM2,008$740.0K0.1%00.0%UnchangedHistory

Options (14)

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 Q4 2021
SecurityClassPutsCalls
First Trust Cloud Computing ETF33734X192ETF$1.42M–
CSCOCisco Systems, Inc.Stock$14.0K$98.0K
ANFAbercrombie & Fitch CoCL A$18.0K$62.0K
AMZNAmazon Com IncStock$77.0K–
TSLATesla, Inc.Stock$32.0K–
PFEPfizer IncStock–$30.0K
FFord Motor CoStock–$29.0K
AAPLApple Inc.Stock$0$13.0K
DOCUDocuSign, Inc.Stock$5.00K–
DBDDiebold Nixdorf, IncCOM–$4.00K
DOWDow Inc.Stock–$2.00K
MATMattel IncCOM–$2.00K
BPBP PLCADR$1.00K$0
TGTTarget CorpStock$1.00K–

Sold out since Q3 2021 (75)

Positions held at the end of Q3 2021 that are gone from this filing.

Positions of Kovack Advisors, Inc. sold out since Q3 2021
SecurityClassShares in Q3 2021Value in Q3 2021% of portfolio in Q3 2021History
Global X FDS37954Y228CLEANTECH ETF192,556$3.59M0.4%–
SPDR Ser Tr78468R655S&P KENSHO CLEAN38,187$3.59M0.4%–
Zix Corp98974P100COM357,950$2.53M0.3%–
First Trust Cloud Computing ETF33734X192ETF14,340$1.51M0.2%–
SPDR Series Trust78468R408ST TERM HIGH ETF41,661$1.14M0.1%–
UPSTUpstart Holdings, Inc.COM3,155$998.0K0.1%History
PCIPIMCO Dynamic Credit & Mortgage Income FundCOM SHS32,059$677.0K0.1%History
Invesco BulletShares 2021 HY Corp (BSJL)46138J809Exchange Traded Fund27,975$643.0K0.1%–
SGENSeagen Inc.COM3,724$632.0K0.1%History
Invesco Bulletshares 2022 HY Bd (BSJM)46138J874BULSHS 2022 HY26,191$609.0K0.1%–
SPLKSplunk IncCOM3,855$558.0K0.1%History
NVRONevro CorpCOM4,700$547.0K0.1%History
BSCLBILI Social International, Inc.BULSHS 2021 CB23,430$494.0K0.1%History
Invesco Exch TRD SLF Idx FD46138J882BULSHS 2022 CB22,895$493.0K0.1%–
PKGPackaging Corp of AmericaStock3,030$416.0K<0.1%History
iShares Tr464288588MBS ETF3,600$389.0K<0.1%–
iShares Tr464289883CORE 30 70 ETF9,617$380.0K<0.1%–
EMREmerson Electric CoStock3,984$375.0K<0.1%History
CCLCarnival Corp Ltd.UNIT 99/99/999914,739$369.0K<0.1%History
MKTXMarketaxess Holdings IncCOM872$367.0K<0.1%History
ACVVirtus Diversified Income & Convertible FundCOM10,500$356.0K<0.1%History
Legg Mason ETF Invt Tr52468L810WESTN ASET TTL13,000$350.0K<0.1%–
Invesco Exch Traded FD Tr II46138G631NASDAQNXTGEN10010,223$338.0K<0.1%–
iShares Tr464287580US CONSUM DISCRE4,335$335.0K<0.1%–
FUBOFuboTV Inc.COM13,800$331.0K<0.1%History
iShares Tr464288851US OIL GS EX ETF5,703$331.0K<0.1%–
Invesco Exch Traded FD Tr II46138E107EQUAL WEGT 0-309,000$327.0K<0.1%–
JDJD.com, Inc.SPON ADS CL A4,522$327.0K<0.1%History
Invesco Exchange Traded FD T46137V621FINL PFD ETF17,188$326.0K<0.1%–
iShares Tr46435G672CORE INTL AGGR5,906$325.0K<0.1%–
CMICummins IncStock1,418$318.0K<0.1%History
NPTNNeophotonics CorpCOM36,500$318.0K<0.1%History
First Tr Exchange-Traded FD33734X150INDLS PROD DUR5,522$317.0K<0.1%–
DALDelta Air Lines, Inc.COM NEW7,280$310.0K<0.1%History
iShares U.S. Regional Banks ETF464288778ETF5,066$307.0K<0.1%–
TMDXTransMedics Group, Inc.COM9,200$304.0K<0.1%History
ZMZoom Communications, Inc.Stock1,127$295.0K<0.1%History
DKNGDraftKings Inc.COM CL A6,077$293.0K<0.1%History
TBBAT&T Inc.5.35% GBL NTS DUE 01/11/6610,900$286.0K<0.1%History
MDYSPDR S&P Midcap 400 ETF TrustETF591$284.0K<0.1%History
Fidelity Merrimack STR Tr316188309TOTAL BD ETF5,341$284.0K<0.1%–
CGNXCognex CorpCOM3,516$282.0K<0.1%History
AALAmerican Airlines Group Inc.Stock13,477$277.0K<0.1%History
Invesco Exch Traded FD Tr II46138G805TAXABLE MUN BD8,351$275.0K<0.1%–
Innovator U.S. Equity Ultra Buffer ETF - October45782C821ETF9,712$270.0K<0.1%–
HPHelmerich & Payne, Inc.COM9,776$268.0K<0.1%History
RHRHCOM400$267.0K<0.1%History
KDMNKadmon Holdings, Inc.COM30,000$261.0K<0.1%History
EXASExact Sciences CorpCOM2,635$252.0K<0.1%History
SYYSysco CorpStock3,150$247.0K<0.1%History
Steadfast Apartment REIT, Inc.85780P101COMMON STOCK15,664$244.0K<0.1%–
LYBLyondellBasell Industries N.V.SHS - A -2,582$242.0K<0.1%History
LUVSouthwest Airlines CoCOM4,704$242.0K<0.1%History
HBANHuntington Bancshares IncCOM15,236$236.0K<0.1%History
YUMCYum China Holdings, Inc.COM4,045$235.0K<0.1%History
DMTKDermTech, Inc.COM7,300$234.0K<0.1%History
VTAInvesco Dynamic Credit Opportunities FundCOM19,938$233.0K<0.1%History
CHTRCharter Communications, Inc.CL A316$230.0K<0.1%History
RCLRoyal Caribbean Cruises LtdCOM2,505$223.0K<0.1%History
Invesco Exch Traded FD Tr II46138E370S&P 500 HB ETF3,035$222.0K<0.1%–
CTVACorteva, Inc.Stock5,238$220.0K<0.1%History
VTRVentas, Inc.REIT3,876$214.0K<0.1%History
MDLZMondelez International, Inc.Stock3,621$211.0K<0.1%History
iShares Tr4642874407-10 YR TRSY BD1,802$208.0K<0.1%–
KMIKinder Morgan, Inc.Stock12,358$207.0K<0.1%History
LBRDKLiberty Broadband CorpCOM SER C1,200$207.0K<0.1%History
JGHNuveen Global High Income FundSHS12,700$204.0K<0.1%History
CSGPCostar Group, Inc.COM2,348$202.0K<0.1%History
Griffin American Healthcare398183103COM32,842$184.0K<0.1%–
ZNGAZynga IncCL A23,420$176.0K<0.1%History
PBIPitney Bowes IncCOM21,272$153.0K<0.1%History
SANBanco Santander, S.A.ADR20,478$74.0K<0.1%History
ATP Oil & Gas Corp00208J108COM71,860$00.0%–
Advanced Viral Resh Corp Com007928104COM20,000$00.0%–
Anr - Contingent Rev Pymt Thru03634H118RT25,269$00.0%–