Skip to main content
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
STXSeagate Technology Holdings plcORD SHS3,362$222.3K<0.1%−20−0.6%ReducedHistory
First Tr Exchng Traded FD VI33740F839FT VEST US EQT6,500$222.8K<0.1%00.0%Unchanged–
USOUnited States Oil Fund, LPUNITS3,353$222.8K<0.1%+3,353NewHistory
ADIAnalog Devices IncStock1,136$224.0K<0.1%+1,136NewHistory
TSCOTractor Supply CoCOM955$224.4K<0.1%−38−3.8%ReducedHistory
JFRNuveen Floating Rate Income FundCOM27,400$224.7K<0.1%−1,000−3.5%ReducedHistory
GOFGuggenheim Strategic Opportunities FundCOM SBI13,903$224.8K<0.1%−9,229−39.9%ReducedHistory
Invesco Exchange Traded FD T46137V506DIVID ACHIEVEV6,175$226.0K<0.1%00.0%Unchanged–
SCWXSecureWorks CorpCL A26,400$226.2K<0.1%−1,600−5.7%ReducedHistory
iShares Russell 1000 Value ETF464287598ETF1,497$227.9K<0.1%+1,497New–
TYTRI-CONTINENTAL CorpCOM8,589$228.0K<0.1%−2,642−23.5%ReducedHistory
CPBCAMPBELL'S CoCOM4,184$230.0K<0.1%−36−0.9%ReducedHistory
Paramount Global92556H206CL B10,379$231.6K<0.1%+10,379New–
OHIOmega Healthcare Investors IncCOM8,475$232.3K<0.1%+1,068+14.4%AddedHistory
First Tr Exchng Traded FD VI33740F847FT VEST US EQT6,274$235.9K<0.1%−4,008−39.0%Reduced–
AEEAmeren CorpCOM2,732$236.0K<0.1%−175−6.0%ReducedHistory
iShares Select Dividend ETF464287168ETF2,020$236.7K<0.1%−283−12.3%Reduced–
RVTRoyce Small-Cap Trust, Inc.COM17,549$238.1K<0.1%−462−2.6%ReducedHistory
First Tr Exchange Traded FD33734X143HLTH CARE ALPH2,216$238.3K<0.1%−66−2.9%Reduced–
ELVElevance Health, Inc.Stock521$239.4K<0.1%+4+0.8%AddedHistory
EDConsolidated Edison IncStock2,502$239.4K<0.1%−489−16.3%ReducedHistory
First Tr Exchng Traded FD VI33740F649FT VEST NAS11,552$239.6K<0.1%+11,552New–
JRONuveen Floating Rate Income Opportunity FundCOM SHS30,009$240.7K<0.1%−2,595−8.0%ReducedHistory
DDDuPont de Nemours, Inc.COM3,362$241.3K<0.1%−285−7.8%ReducedHistory
First Tr Ftse Epra / Nareit33736N101COM6,021$241.9K<0.1%−120−2.0%Reduced–
OKTAOkta, Inc.CL A2,839$244.8K<0.1%−122−4.1%ReducedHistory
VLOValero Energy CorpStock1,760$245.6K<0.1%+111+6.7%AddedHistory
KHCKraft Heinz CoStock6,355$245.7K<0.1%+6,355NewHistory
Vanguard Total Bond Market ETF921937835ETF3,331$245.9K<0.1%+3,331New–
DBXDropbox, Inc.CL A11,400$246.5K<0.1%+997+9.6%AddedHistory
BSMBlack Stone Minerals, L.P.COM UNIT15,720$246.6K<0.1%+15,720NewHistory
BLDRBuilders FirstSource, Inc.Stock2,796$248.2K<0.1%−348−11.1%ReducedHistory
RACEFerrari N.V.COM917$248.3K<0.1%+917NewHistory
VanEck Morningstar Wide Moat ETF92189F643ETF3,377$249.3K<0.1%−534−13.7%Reduced–
SMCISuper Micro Computer, Inc.COM2,348$250.2K<0.1%+2,348NewHistory
iShares Tr464287796U.S. ENERGY ETF5,744$251.3K<0.1%−1,175−17.0%Reduced–
UUPInvesco DB US Dollar Index Bullish FundBULLISH FD9,038$252.0K<0.1%−805−8.2%ReducedHistory
MTNVail Resorts IncCOM1,083$253.0K<0.1%−7−0.6%ReducedHistory
ISRGIntuitive Surgical IncCOM NEW994$253.9K<0.1%+27+2.8%AddedHistory
GDGeneral Dynamics CorpStock1,123$256.3K<0.1%+82+7.9%AddedHistory
Vanguard Morningstar Small-Cap Growth ETF922908595ETF1,187$257.0K<0.1%+15+1.3%Added–
WDAYWorkday, Inc.CL A1,248$257.8K<0.1%−135−9.8%ReducedHistory
RGRSturm Ruger & Co IncStock4,504$258.7K<0.1%+4,504NewHistory
Flagstar Bank, National Association649445103COM28,682$259.3K<0.1%+28,682New–
State Street SPDR S&P Biotech ETF78464A870ETF3,418$260.5K<0.1%+3,418New–
GEHCGE HealthCare Technologies Inc.Stock3,197$262.3K<0.1%+3,197NewHistory
KMBKimberly Clark CorpStock1,957$262.6K<0.1%+18+0.9%AddedHistory
iShares Tr464288513IBOXX HI YD ETF3,478$262.8K<0.1%+121+3.6%Added–
AWKAmerican Water Works Company, Inc.Stock1,798$263.5K<0.1%−5−0.3%ReducedHistory
MATMattel IncCOM14,358$264.3K<0.1%−2,340−14.0%ReducedHistory
BTIBritish American Tobacco p.l.c.SPONSORED ADR7,573$266.0K<0.1%−2,988−28.3%ReducedHistory
CARRCarrier Global CorpStock5,870$268.6K<0.1%−139−2.3%ReducedHistory
SPDR Ser Tr78464A813S&P 600 SML CAP3,200$268.9K<0.1%00.0%Unchanged–
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM34,466$269.2K<0.1%+224+0.7%AddedHistory
AIC3.ai, Inc.Stock8,050$270.2K<0.1%+8,050NewHistory
First Tr Exchange-Traded FD33733B100WTR ETF3,233$270.4K<0.1%00.0%Unchanged–
Invesco Exch Traded FD Tr II46138G870VAR RATE PFD12,210$270.5K<0.1%−4,000−24.7%Reduced–
LICYLi-Cycle Holdings Corp.COMMON SHARES48,118$270.9K<0.1%+5,606+13.2%AddedHistory
TFCTruist Financial CorpCOM8,023$273.6K<0.1%−919−10.3%ReducedHistory
ALLYAlly Financial Inc.Stock10,846$276.5K<0.1%+10,846NewHistory
Vanguard Intermediate-Term Corporate Bond ETF92206C870ETF3,461$277.6K<0.1%+2+0.1%Added–
ORealty Income CorpREIT4,390$278.0K<0.1%−1,429−24.6%ReducedHistory
SNPSSynopsys IncCOM721$278.5K<0.1%−29−3.9%ReducedHistory
ProShares Tr74348A608SHT 7-10 YR TR10,000$278.6K<0.1%−500−4.8%Reduced–
WMSAdvanced Drainage Systems, Inc.COM3,328$280.2K<0.1%−47−1.4%ReducedHistory
FTHYFirst Trust High Yield Opportunities 2027 Term FundCOM20,200$282.0K<0.1%+500+2.5%AddedHistory
URIUnited Rentals, Inc.COM719$284.6K<0.1%+88+13.9%AddedHistory
AIOVirtus Artificial Intelligence & Technology Opportunities FundCOM16,501$287.1K<0.1%+16,501NewHistory
TSMTaiwan Semiconductor Manufacturing Co LtdADR3,092$287.7K<0.1%+3,092NewHistory
CLFCleveland-Cliffs Inc.COM15,733$288.4K<0.1%−2,410−13.3%ReducedHistory
SYKStryker CorpStock1,020$291.2K<0.1%−24−2.3%ReducedHistory
AEMAgnico Eagle Mines LtdStock5,746$292.9K<0.1%+20.0%AddedHistory
COINCoinbase Global, Inc.COM CL A4,335$292.9K<0.1%+4,335NewHistory
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF7,241$294.8K<0.1%−97−1.3%Reduced–
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF4,379$296.2K<0.1%−427−8.9%Reduced–
CGCarlyle Group Inc.COM9,541$296.4K<0.1%+22+0.2%AddedHistory
iShares Tr464288307MRGSTR MD CP GRW5,165$297.3K<0.1%−780−13.1%Reduced–
iShares Future AI & Tech ETF46435U556ETF9,491$297.8K<0.1%−200−2.1%Reduced–
NUENucor CorpCOM1,932$298.5K<0.1%−80−4.0%ReducedHistory
Ssga Active ETF Tr78467V608ST STR BL LN ETF7,302$302.7K<0.1%00.0%Unchanged–
PXDPioneer Natural Resources CoCOM1,483$302.9K<0.1%+241+19.4%AddedHistory
PDIPIMCO Dynamic Income FundSHS17,062$307.5K<0.1%+1,879+12.4%AddedHistory
ITWIllinois Tool Works IncStock1,265$307.9K<0.1%−177−12.3%ReducedHistory
First Tr Exchange-Traded FD33734X101CONSUMR DISCRE5,948$308.9K<0.1%+5,948New–
LADRLadder Capital CorpCL A32,739$309.4K<0.1%+32,739NewHistory
REGNRegeneron Pharmaceuticals, Inc.COM380$312.2K<0.1%+55+16.9%AddedHistory
Global X FDS37954Y475S&P 500 COVERED7,712$312.3K<0.1%+7,712New–
TJXTJX Companies IncStock3,991$312.8K<0.1%−64−1.6%ReducedHistory
GSKGSK plcADR8,790$312.8K<0.1%+871+11.0%AddedHistory
STAGSTAG Industrial, Inc.COM9,365$316.7K<0.1%+9,365NewHistory
BNYBank of New York Mellon CorpStock6,973$316.9K<0.1%+217+3.2%AddedHistory
ASMLASML Holding NVADR469$319.1K<0.1%+90+23.7%AddedHistory
VRTXVertex Pharmaceuticals IncStock1,016$320.0K<0.1%+71+7.5%AddedHistory
TWLOTwilio IncCL A4,803$320.0K<0.1%+347+7.8%AddedHistory
UNPUnion Pacific CorpStock1,599$321.9K<0.1%+190+13.5%AddedHistory
First Tr Exchange-Traded FD33738R852NASDQ FOD BVRG12,050$323.9K<0.1%+2,963+32.6%Added–
PIMCO ETF Tr72201R7830-5 HIGH YIELD3,554$324.6K<0.1%−49−1.4%Reduced–
iShares Russell 1000 Growth ETF464287614ETF1,329$324.6K<0.1%+268+25.3%Added–
WBAWalgreens Boots Alliance, Inc.COM9,388$324.6K<0.1%+75+0.8%AddedHistory
AMTAmerican Tower CorpREIT1,608$328.7K<0.1%−18−1.1%ReducedHistory

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%–