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Livermore
Livermore
ZHEN

Kovack Advisors, Inc.

SEC CIK
0001728321
Latest filing
Jul 28, 2026

Holdings in Q1 2023

Holdings as of Mar 31, 2023, filed Apr 21, 2023. Long positions only; changes compare share counts with Q4 2022.

Institution overview
Positions
588
+47 vs. Q4 2022
Portfolio value
$733.6M
+$49.8M (+7.3%) vs. Q4 2022
Filed
Apr 21, 2023
SEC
Holdings of Kovack Advisors, Inc. in Q1 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
MSP Recovery, Inc.553745126*W EXP 05/20/20294,400$1.88K<0.1%+94,400New–
WTERAlkaline Water Co IncCOM NEW12,000$1.92K<0.1%+12,000NewHistory
Liberty Media Corp530715AL5DEB 3.750% 2/130,000$4.30K<0.1%+30,000New–
SMSISmith Micro Software, Inc.COM NEW10,725$12.4K<0.1%+10,725NewHistory
OPKOpko Health, Inc.COM11,351$16.6K<0.1%+11,351NewHistory
TLRYTilray Brands, Inc.COM CL 211,274$28.5K<0.1%+11,274NewHistory
DBDDiebold Nixdorf, IncCOM24,086$28.9K<0.1%−1,500−5.9%ReducedHistory
LUMNLumen Technologies, Inc.Stock11,992$31.8K<0.1%+11,992NewHistory
NCMINational CineMedia, Inc.COM254,022$33.6K<0.1%+46,926+22.7%AddedHistory
AXTIAxt IncCOM10,000$39.8K<0.1%+10,000NewHistory
DMTKDermTech, Inc.COM11,600$42.7K<0.1%+11,600NewHistory
PLPlanet Labs PBCCOM CL A11,384$44.7K<0.1%+11,384NewHistory
EDFVirtus Stone Harbor Emerging Markets Income FundCOM10,300$47.1K<0.1%+10,300NewHistory
SANBanco Santander, S.A.ADR12,873$47.5K<0.1%+12,873NewHistory
SOUNSoundhound AI, Inc.CLASS A COM17,275$47.7K<0.1%+17,275NewHistory
HBIHanesbrands Inc.COM10,773$56.7K<0.1%+10,773NewHistory
NSLNuveen Senior Income FundCOM13,000$59.9K<0.1%+13,000NewHistory
Direxion Shs ETF Tr25490K323SP BIOTCH BL NEW13,000$63.8K<0.1%+13,000New–
PBIPitney Bowes IncCOM16,622$64.7K<0.1%+16,622NewHistory
HIXWestern Asset High Income Fund II Inc.COM13,389$65.1K<0.1%+13,389NewHistory
MQMarqeta, Inc.CLASS A COM15,300$69.9K<0.1%+15,300NewHistory
GGTGabelli Multimedia Trust Inc.COM12,889$72.7K<0.1%+12,889NewHistory
OXLCOxford Lane Capital Corp.COM14,938$78.1K<0.1%+14,938NewHistory
BRSPBrightSpire Capital, Inc.COM CL A13,381$78.9K<0.1%+13,381NewHistory
Crescent PT Energy Corp22576C101COM11,491$81.1K<0.1%+11,491New–
JQCNuveen Credit Strategies Income FundCOM SHS16,202$82.8K<0.1%−34,855−68.3%ReducedHistory
USALiberty All Star Equity FundSH BEN INT14,482$89.8K<0.1%+14,482NewHistory
IGDVoya GLOBAL EQUITY DIVIDEND & PREMIUM OPPORTUNITY FUNDCOM17,843$91.0K<0.1%+17,843NewHistory
ACPabrdn Income Credit Strategies FundCOM13,799$92.0K<0.1%+13,799NewHistory
BRMKBroadmark Realty Capital Inc.COM20,567$96.7K<0.1%+20,567NewHistory
ZTRVirtus Total Return Fund Inc.COM15,306$99.1K<0.1%+15,306NewHistory
PCFHigh Income Securities FundSHS BEN INT15,661$101.8K<0.1%+15,661NewHistory
OCCIOFS Credit Company, Inc.COM11,254$103.5K<0.1%+11,254NewHistory
IAEVoya Asia Pacific High Dividend Equity Income FundCOM16,401$105.1K<0.1%+16,401NewHistory
RFILR F Industries LtdCOM PAR $0.0124,194$106.5K<0.1%+24,194NewHistory
HUMAHumacyte, Inc.COM35,000$108.2K<0.1%+10,000+40.0%AddedHistory
HNWPioneer Diversified High Income Fund, Inc.COM10,821$109.5K<0.1%+10,821NewHistory
First Tr MLP & Energy Incom33739B104COM14,750$112.7K<0.1%+14,750New–
IHDVoya Emerging Markets High Dividend Equity FundCOM21,101$113.3K<0.1%+21,101NewHistory
HLNHaleon plcADR14,422$117.4K<0.1%+14,422NewHistory
ARRArmour Residential REIT, Inc.COM NEW24,298$127.6K<0.1%+879+3.8%AddedHistory
KIOKKR Income Opportunities FundCOM11,951$131.2K<0.1%+11,951NewHistory
PAIWestern Asset Investment Grade Income Fund Inc.COM11,000$131.3K<0.1%+11,000NewHistory
ProShares Tr74347B714SHORT QQQ NEW10,840$132.0K<0.1%+10,840New–
GSBDGoldman Sachs BDC, Inc.SHS10,000$136.5K<0.1%+10,000NewHistory
BXMXNuveen S&P 500 BuyWrite Income FundCOM10,534$137.9K<0.1%+10,534NewHistory
RCSPIMCO Strategic Income Fund, Inc.CEF26,120$139.0K<0.1%+100+0.4%AddedHistory
PRTHPriority Technology Holdings, Inc.COM39,800$142.9K<0.1%+1,400+3.6%AddedHistory
CSQCalamos Strategic Total Return FundCOM SH BEN INT10,591$148.3K<0.1%+10,591NewHistory
SNAPSnap IncStock13,425$150.5K<0.1%+13,425NewHistory
ECCEagle Point Credit CoCOM13,515$151.0K<0.1%+13,515NewHistory
Nuveen PFD & Incm Securties67072C105COM23,500$151.8K<0.1%+23,500New–
VanEck ETF Trust92189F411BDC INCOME ETF10,508$155.8K<0.1%+10,508New–
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT42,880$156.9K<0.1%+565+1.3%AddedHistory
SJTSan Juan Basin Royalty TrustUNIT BEN INT15,000$157.8K<0.1%+15,000NewHistory
DSLDoubleLine Income Solutions FundCOM14,075$160.0K<0.1%+14,075NewHistory
CTGComputer Task Group IncCOM22,600$163.8K<0.1%+22,600NewHistory
Invesco Exch Traded FD Tr II46138E511PFD ETF14,306$164.2K<0.1%+14,306New–
FSCOFS Credit Opportunities Corp.COMMON STOCK37,167$165.0K<0.1%+37,167NewHistory
GUTGabelli Utility TrustCOM23,443$167.6K<0.1%−7,244−23.6%ReducedHistory
DXDynex Capital IncCOM14,047$170.3K<0.1%+14,047NewHistory
HBANHuntington Bancshares IncCOM15,586$174.6K<0.1%+15,586NewHistory
PNNTPennantpark Investment CorpCOM34,150$180.3K<0.1%+5,900+20.9%AddedHistory
VTRSViatris IncStock18,970$182.5K<0.1%+18,970NewHistory
IFNAberdeen India Fund, Inc.COM12,147$183.8K<0.1%+12,147NewHistory
Invesco Exch Traded FD Tr II46138E610KBW HIG DV YLD12,480$184.1K<0.1%+12,480New–
DZSIDZS Inc.COM23,400$184.6K<0.1%+6,100+35.3%AddedHistory
BBDCBarings BDC, Inc.COM24,035$190.8K<0.1%+40+0.2%AddedHistory
TFSLTFS Financial CORPCOM15,359$194.0K<0.1%−1,830−10.6%ReducedHistory
iShares Tr464288638ISHS 5-10YR INVT3,904$200.2K<0.1%+3,904New–
Global X FDS37954Y673US INFR DEV ETF7,120$201.8K<0.1%+7,120New–
iShares Tr46435U366SELF DRIVNG EV5,268$202.1K<0.1%+5,268New–
HESMHess Midstream LPCL A SHS7,000$202.6K<0.1%−1,000−12.5%ReducedHistory
HYTBlackRock Corporate High Yield Fund, Inc.COM23,310$203.3K<0.1%+1,000+4.5%AddedHistory
TMToyota Motor CorpADS1,437$203.6K<0.1%+1,437NewHistory
SWKSSkyworks Solutions, Inc.Stock1,732$204.3K<0.1%+1,732NewHistory
AZNAstraZeneca PLCSPONSORED ADR2,953$205.0K<0.1%−43−1.4%ReducedHistory
CSXCSX CorpStock6,850$205.1K<0.1%−1,259−15.5%ReducedHistory
COFCapital One Financial CorpStock2,134$205.2K<0.1%+2,134NewHistory
Global X FDS37954Y806ALTERNATIVE INCM18,189$206.3K<0.1%−783−4.1%Reduced–
State Street SPDR S&P Aerospace & Defense ETF78464A631ETF1,785$208.7K<0.1%+1,785New–
GSLGlobal Ship Lease, Inc.COM CL A11,184$209.6K<0.1%+11,184NewHistory
ETREntergy CorpCOM1,950$210.1K<0.1%−408−17.3%ReducedHistory
ROKURoku, IncCOM CL A3,204$210.9K<0.1%+3,204NewHistory
MVTBlackRock Munivest Fund II, Inc.COM19,665$211.4K<0.1%+50+0.3%AddedHistory
KKRKKR & Co. Inc.COM4,028$211.5K<0.1%+4,028NewHistory
State Street Materials Select Sector SPDR ETF81369Y100ETF2,630$212.1K<0.1%00.0%Unchanged–
Etfis Ser Tr I26923G772INFRAC ACT MLP6,720$213.4K<0.1%00.0%Unchanged–
VEEVVeeva Systems IncStock1,161$213.4K<0.1%+1,161NewHistory
LANDGladstone Land CorpCOM12,825$213.5K<0.1%+989+8.4%AddedHistory
iShares Inc46434G855MSCI GBL GOLD MN8,500$213.9K<0.1%+8,500New–
BHKBlackRock Core Bond TrustSHS BEN INT19,989$216.7K<0.1%+95+0.5%AddedHistory
ACLSAxcelis Technologies IncStock1,630$217.2K<0.1%+1,630NewHistory
iShares Tr46435U713US INFRASTRUC5,824$217.4K<0.1%−354−5.7%Reduced–
UHSUniversal Health Services IncCL B1,711$217.5K<0.1%00.0%UnchangedHistory
State Street SPDR S&P Semiconductor ETF78464A862ETF1,043$217.5K<0.1%+1,043New–
First Tr Exchng Traded FD VI33740F862FT VEST US EQT5,983$218.2K<0.1%+5,983New–
MUMicron Technology IncStock3,633$219.2K<0.1%−1,900−34.3%ReducedHistory
Dimensional World Ex U.S. Core Equity 2 ETF25434V880ETF9,520$219.5K<0.1%00.0%Unchanged–
iShares Tr464288588MBS ETF2,336$221.3K<0.1%+2,336New–

Options (16)

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 Q1 2023
SecurityClassPutsCalls
DOWDow Inc.Stock$7.33K–
ANFAbercrombie & Fitch CoCL A$6.12K–
MMM3M CoStock$5.57K–
MATMattel IncCOM$4.00K–
JNJJohnson & JohnsonStock$3.60K–
PMPhilip Morris International Inc.Stock$900–
JPMJPMorgan Chase & CoStock$895–
INTCIntel CorpStock$840–
PGProcter & Gamble CoStock$720–
GISGeneral Mills IncStock$630–
Invesco QQQ Trust Series I46090E103ETF–$487
BABoeing CoStock$360–
MSFTMicrosoft CorpStock$235–
BPBP PLCADR$95–
iShares Russell 2000 ETF464287655ETF–$32
SPYSPDR S&P 500 ETF TrustETF–$6

Sold out since Q4 2022 (60)

Positions held at the end of Q4 2022 that are gone from this filing.

Positions of Kovack Advisors, Inc. sold out since Q4 2022
SecurityClassShares in Q4 2022Value in Q4 2022% of portfolio in Q4 2022History
iShares Core MSCI WorldG4954M409ETF57,760$4.22M0.6%–
Listed FD Tr53656F847CORE ALT FD70,455$2.22M0.3%–
ETF Managers Tr26924G201PRIME CYBR SCRTY20,841$918.0K0.1%–
Apollo Diversified Credit Cef39822Y307CEF41,913$872.6K0.1%–
Alternative Credit Income CL I Cef02156N404CEF87,815$870.2K0.1%–
iShares Edge MSCI USA Value Factor UCITS ETF (Acc)G4955M788ETF98,500$795.3K0.1%–
iShares IV PLC Edge MSCI ETFG4955M762ETF71,200$615.4K0.1%–
ULUnilever PLCSPON ADR NEW11,264$567.1K0.1%History
BlackRock Short Obligations CL Instl091936419SHORT OBLIGATIONS CL54,530$542.6K0.1%–
Agf Invts Tr00110G408US MARKET NETRL24,408$517.7K0.1%–
iShares Tr464287812US CONSM STAPLES2,529$512.9K0.1%–
WDCWestern Digital CorpCOM14,675$463.0K0.1%History
DLWR Ivy SC an TCH CL I466001807CL INSTL9,848$460.9K0.1%–
Invesco Exchange Traded FD T46137V761ENERG EXPL ETF14,524$429.6K0.1%–
CLXClorox CoStock3,002$421.3K0.1%History
Business Dev Corporation of Amer12325J101Closed End Funds72,279$412.0K0.1%–
Ivy FDS Inc Hi Inc FD CL I466000122MUTUAL68,375$397.9K0.1%–
Griffin Instl Access Real Esta TE I39822J300COM13,124$373.4K0.1%–
iShares Core S&P 500 UCITS ETF (Acc)G4955H110ETF926$364.2K0.1%–
TRINTrinity Capital Inc.COM32,520$355.4K0.1%History
Sila Realty Trust Inc Class A146280102COM52,852$344.1K0.1%–
WESWestern Midstream Partners, LPCOM UNIT LP INT12,600$338.3K<0.1%History
First Tr Exchange-Traded FD33734X127ENERGY ALPHADX18,820$321.6K<0.1%–
Roche Hldg Ltd ADR771195104COM7,707$301.7K<0.1%–
Griffin Cap Essent Asset CL E Opf39818P880COM42,248$294.0K<0.1%–
Litman Gregory FDS Tr53700T827IMGP DBI MAN ETF10,096$293.9K<0.1%–
iShares Core MSCI EM IMI UCITS ETF (Acc)G49507836ETF9,415$271.3K<0.1%–
First Tr Exchange Traded FD33738R845NASDQ OIL GAS9,355$261.6K<0.1%–
NSCNorfolk Southern CorpStock1,028$253.4K<0.1%History
SMASmartStop Self Storage REIT, Inc.COM19,224$246.8K<0.1%History
HPHelmerich & Payne, Inc.COM4,814$238.6K<0.1%History
Goldman Sachs ETF Tr381430602ACTIVEBETA US4,300$234.8K<0.1%–
KBSRKBS Real Estate Investment Trust III, Inc.COM34,771$234.7K<0.1%History
LHXL3HARRIS Technologies, Inc.Stock1,126$234.5K<0.1%History
EOGEOG Resources IncStock1,802$233.4K<0.1%History
ProShares Tr74347B250PSHS SH MDCAP4009,300$231.1K<0.1%–
ZTSZoetis Inc.Stock1,563$229.1K<0.1%History
iShares S&P 500 Financials Sector UCITS ETF (Acc)G4R54M656ETF23,600$228.5K<0.1%–
iShares Core S&P Mid-Cap ETF464287507ETF938$226.9K<0.1%–
WMBWilliams Companies, Inc.COM6,885$226.5K<0.1%History
CCAPCrescent Capital BDC, Inc.COM17,717$226.4K<0.1%History
iShares S&P Small-Cap 600 Growth ETF464287887ETF2,089$225.8K<0.1%–
AIRAar CorpStock5,000$224.5K<0.1%History
Invesco Dynamic CRDT Op CL Ax Nav CF46091B207CF19,951$223.3K<0.1%–
Direxion Shares ETF Trust25460E869DAILY 500 1X ETF13,389$221.0K<0.1%–
CCICrown Castle Inc.REIT1,610$218.3K<0.1%History
APOApollo Global Management, Inc.COM3,364$214.6K<0.1%History
HPQHP IncStock7,566$203.3K<0.1%History
Healthcare Trust Inc42226B105REIT28,135$180.9K<0.1%–
FS Energy and Power Fund30264D109COM50,223$136.6K<0.1%–
Credit Suisse Group225401108SPONSORED ADR21,802$66.3K<0.1%–
Grilled Cheese Truck Ord39850T105ORD40,000$16.8K<0.1%–
Highlands REIT, Inc.43110A104COM45,725$6.40K<0.1%–
ZEOXZeo ScientifiX, Inc.COM250,000$4.97K<0.1%History
Biotech Medics Ord090699307ORD80,000$656<0.1%–
HCMCHealthier Choices Management Corp.COM750,000$150<0.1%History
PPJ Healthcare Enterprises Ord69353D505ORD500,000$150<0.1%–
Fernhill Ord315219105ORD71,428$107<0.1%–
Max Sound Corp.57776X109COM300,000$75<0.1%–
Puresafe Water Systems Inc74624H103COM77,550$00.0%–