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Livermore
Livermore
ZHEN

Kovack Advisors, Inc.

SEC CIK
0001728321
Latest filing
Jul 28, 2026

Holdings in Q3 2023

Holdings as of Sep 30, 2023, filed Oct 19, 2023. Long positions only; changes compare share counts with Q2 2023.

Institution overview
Positions
548
−29 vs. Q2 2023
Portfolio value
$715.7M
−$63.7M (−8.2%) vs. Q2 2023
Filed
Oct 19, 2023
SEC
Holdings of Kovack Advisors, Inc. in Q3 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
SWAVShockwave Medical, Inc.COM1,738$346.0K<0.1%−651−27.2%ReducedHistory
WMSAdvanced Drainage Systems, Inc.COM3,054$347.6K<0.1%+3+0.1%AddedHistory
FCXFreeport-McMoran IncStock9,329$347.9K<0.1%+377+4.2%AddedHistory
MRNAModerna, Inc.Stock3,370$348.1K<0.1%−27−0.8%ReducedHistory
NEMNEWMONT CorpStock9,446$349.0K<0.1%+1,732+22.5%AddedHistory
DHRDanaher CorpStock1,419$352.1K<0.1%−213−13.1%ReducedHistory
Graniteshares ETF Tr38747R306HIPS US HIGH INC29,261$353.0K<0.1%+2,019+7.4%Added–
First Tr Exch Traded FD III33739P889HORIZON DMST ETF11,350$353.6K<0.1%00.0%Unchanged–
Fidelity Merrimack STR Tr316188408LOW DURTIN ETF7,155$354.5K<0.1%−24−0.3%Reduced–
GNLGlobal Net Lease, Inc.COM NEW37,268$358.1K0.1%+10,668+40.1%AddedHistory
iShares Core MSCI Emerging Markets ETF46434G103ETF7,535$358.6K0.1%+299+4.1%Added–
SCCOSouthern Copper CorpStock4,794$360.9K0.1%00.0%UnchangedHistory
VRTXVertex Pharmaceuticals IncStock1,039$361.3K0.1%+76+7.9%AddedHistory
DDominion Energy, IncStock8,102$361.9K0.1%−311−3.7%ReducedHistory
DOCUDocuSign, Inc.Stock8,647$363.2K0.1%+71+0.8%AddedHistory
ASMLASML Holding NVADR621$365.6K0.1%+179+40.5%AddedHistory
OXYOccidental Petroleum CorpStock5,673$368.0K0.1%−224−3.8%ReducedHistory
TWLOTwilio IncCL A6,334$370.7K0.1%+1,446+29.6%AddedHistory
First Trust Nasdaq-100 Technology Sector Index Fund337345102ETF2,555$371.1K0.1%+2,555New–
TGTTarget CorpStock3,363$371.8K0.1%−865−20.5%ReducedHistory
iShares Inc464286400MSCI BRAZIL ETF12,178$373.5K0.1%−606−4.7%Reduced–
Invesco Exchange Traded FD T46137V464S&P MDCP MOMNTUM4,721$380.1K0.1%+4,721New–
CLMCornerstone Strategic Investment Fund, Inc.COM47,503$382.4K0.1%−2,138−4.3%ReducedHistory
JAKKJakks Pacific IncCOM NEW20,650$383.9K0.1%+9,390+83.4%AddedHistory
ASYSAmtech Systems IncCOM PAR $0.01N50,600$385.6K0.1%+50,600NewHistory
SCWXSecureWorks CorpCL A62,200$386.3K0.1%+23,200+59.5%AddedHistory
ARK ETF Tr00214Q302GENOMIC REV ETF13,873$386.5K0.1%+830+6.4%Added–
USBUS Bancorp DECOM NEW11,770$389.1K0.1%−647−5.2%ReducedHistory
DDOGDatadog, Inc.CL A COM4,280$389.9K0.1%+500+13.2%AddedHistory
Invesco Exchange Traded FD T46137V373S&P500 EQL STP13,011$390.8K0.1%00.0%UnchangedConverted for a 5-for-1 split–
KRKroger CoStock8,734$390.9K0.1%+44+0.5%AddedHistory
KMIKinder Morgan, Inc.Stock23,635$391.9K0.1%−172−0.7%ReducedHistory
iShares Tr464287119MORNINGSTAR GRWT6,620$394.9K0.1%−640−8.8%Reduced–
BDXBecton Dickinson & CoStock1,531$395.8K0.1%−7−0.5%ReducedHistory
BHPBHP Group LtdADR6,986$397.4K0.1%+83+1.2%AddedHistory
TRMDTORM plcSHS CL A14,471$398.2K0.1%+14,471NewHistory
ProShares Tr74347X849SHRT 20+YR TRE15,853$398.7K0.1%−44−0.3%Reduced–
SNPSSynopsys IncCOM869$398.8K0.1%+23+2.7%AddedHistory
GEHCGE HealthCare Technologies Inc.Stock5,871$399.4K0.1%+2,053+53.8%AddedHistory
MFCManulife Financial CorpCOM21,929$400.9K0.1%+21,929NewHistory
FDXFedEx CorpStock1,524$403.8K0.1%−1,409−48.0%ReducedHistory
DNPDNP Select Income Fund IncCOM42,657$406.1K0.1%+7,525+21.4%AddedHistory
PMPhilip Morris International Inc.Stock4,407$408.0K0.1%+222+5.3%AddedHistory
TENBTenable Holdings, Inc.COM9,135$409.2K0.1%+100+1.1%AddedHistory
WINGWingstop Inc.COM2,280$410.0K0.1%−125−5.2%ReducedHistory
AFLAflac IncStock5,370$412.1K0.1%−566−9.5%ReducedHistory
YUMYum Brands IncStock3,328$415.8K0.1%−70−2.1%ReducedHistory
VVRInvesco Senior Income TrustCOM106,600$417.9K0.1%−8,220−7.2%ReducedHistory
iShares Tr464288877EAFE VALUE ETF8,572$419.4K0.1%−222−2.5%Reduced–
WFCWells Fargo & CompanyStock10,280$420.0K0.1%−1,823−15.1%ReducedHistory
iShares Russell 1000 Growth ETF464287614ETF1,580$420.1K0.1%+12+0.8%Added–
Vanguard Malvern FDS922020805STRM INFPROIDX8,943$422.8K0.1%−37,503−80.7%Reduced–
Sprott ETF Trust85210B102GOLD MINERS ETF18,500$423.1K0.1%−1,600−8.0%Reduced–
State Street SPDR Bloomberg Convertible Securities ETF78464A359ETF6,241$423.1K0.1%+5+0.1%Added–
NLYAnnaly Capital Management IncREIT22,495$423.1K0.1%−3,368−13.0%ReducedHistory
Vanguard Ftse All-World Ex-US Index Fund922042775ETF8,309$431.0K0.1%00.0%Unchanged–
Vanguard Scottsdale FDS92206C573TOTAL CORP BND5,960$431.8K0.1%−840−12.4%Reduced–
MDTMedtronic plcStock5,520$432.5K0.1%−2,177−28.3%ReducedHistory
iShares Tr464288158SHRT NAT MUN ETF4,210$433.0K0.1%−1,442−25.5%Reduced–
APDAir Products & Chemicals, Inc.Stock1,529$433.3K0.1%−37−2.4%ReducedHistory
iShares Core MSCI Eafe ETF46432F842ETF6,762$435.1K0.1%+370+5.8%Added–
HTGCHercules Capital, Inc.COM26,544$435.8K0.1%+276+1.1%AddedHistory
Alps ETF Tr00162Q452ALERIAN MLP10,330$435.9K0.1%−436−4.0%Reduced–
First Tr Exch Traded FD III33739N108MANAGD MUN ETF9,000$439.9K0.1%+61+0.7%Added–
EMKREmcore CorpCOM NEW927,400$441.0K0.1%−20,700−2.2%ReducedHistory
KKellanovaStock7,417$441.4K0.1%−3,078−29.3%ReducedHistory
ARK Innovation ETF00214Q104ETF11,178$443.4K0.1%+1,390+14.2%Added–
MSMorgan StanleyStock5,450$445.1K0.1%+70+1.3%AddedHistory
DEDeere & CoStock1,192$449.7K0.1%+69+6.1%AddedHistory
Invesco Exchange Traded FD T46137V753FOOD & BEVERAGE10,677$452.3K0.1%−84−0.8%Reduced–
Vanguard BD Index FDS921937793LONG TERM BOND6,759$453.3K0.1%+98+1.5%Added–
AXPAmerican Express CoStock3,041$453.6K0.1%−423−12.2%ReducedHistory
ZBHZimmer Biomet Holdings, Inc.Stock4,091$459.0K0.1%−162−3.8%ReducedHistory
SNOWSnowflake Inc.Stock3,042$464.7K0.1%−143−4.5%ReducedHistory
PXDPioneer Natural Resources CoCOM2,031$466.3K0.1%−3,326−62.1%ReducedHistory
NTSTNETSTREIT Corp.COM29,962$466.8K0.1%+29,962NewHistory
STZConstellation Brands, Inc.Stock1,859$467.2K0.1%−36−1.9%ReducedHistory
IAUiShares Gold TrustETF13,383$468.3K0.1%−1,194−8.2%ReducedHistory
Invesco Exchange Traded FD T46137V332S&P500 EQL HLT17,333$474.9K0.1%00.0%UnchangedConverted for a 10-for-1 split–
CGBDCarlyle Secured Lending, Inc.COM32,938$477.6K0.1%−2,131−6.1%ReducedHistory
Vanguard Energy ETF92204A306ETF3,797$481.2K0.1%+1,963+107.0%Added–
ODFLOld Dominion Freight Line, Inc.COM1,192$487.6K0.1%−9−0.7%ReducedHistory
LRCXLam Research CorpCOM779$488.5K0.1%+28+3.7%AddedHistory
First Tr Exchange Traded FD33738R811NASDQ SEMCNDTR7,285$492.7K0.1%+351+5.1%Added–
EDConsolidated Edison IncStock5,776$494.0K0.1%+5,776NewHistory
iShares Russell 2000 ETF464287655ETF2,798$494.5K0.1%−9,586−77.4%Reduced–
FFord Motor CoStock40,284$500.3K0.1%−2,540−5.9%ReducedHistory
OBDCBlue Owl Capital CorpCOM36,273$502.4K0.1%−7,020−16.2%ReducedHistory
SRCSpirit Realty Capital, Inc.COM NEW14,999$502.9K0.1%−631−4.0%ReducedHistory
First Tr Exchange Trad FD VI33739H101FST TR GLB FD20,958$503.0K0.1%−31,327−59.9%Reduced–
ABRArbor Realty Trust IncCOM33,193$503.9K0.1%−2,375−6.7%ReducedHistory
STWDStarwood Property Trust, Inc.COM26,076$504.6K0.1%−10,548−28.8%ReducedHistory
Invesco Exchange Traded FD T46137V431S&P 500 GARP ETF5,555$506.8K0.1%+5,555New–
First Tr Exchange-Traded FD336920103US EQTY OPPT ETF6,069$509.6K0.1%−2,136−26.0%Reduced–
Flexshares Tr33939L506IBOXX 3R TARGT22,000$510.2K0.1%00.0%Unchanged–
RACEFerrari N.V.COM1,738$513.6K0.1%+15+0.9%AddedHistory
TTETotalEnergies SESPONSORED ADS7,831$515.0K0.1%−3,968−33.6%ReducedHistory
Invesco S&P 500 Equal Weight Technology ETF46137V282ETF18,370$517.1K0.1%−150−0.8%ReducedConverted for a 10-for-1 split–
JFRNuveen Floating Rate Income FundCOM63,682$522.8K0.1%+30,382+91.2%AddedHistory
KIOKKR Income Opportunities FundCOM43,835$524.3K0.1%+32,295+279.9%AddedHistory

Options (3)

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 2023
SecurityClassPutsCalls
Global X FDS37954Y459RUSSELL 2000–$848.6K
Global X FDS37954Y475S&P 500 COVERED–$418.1K
Global X FDS37954Y277S&P 500 COVERED–$2.66K

Sold out since Q2 2023 (73)

Positions held at the end of Q2 2023 that are gone from this filing.

Positions of Kovack Advisors, Inc. sold out since Q2 2023
SecurityClassShares in Q2 2023Value in Q2 2023% of portfolio in Q2 2023History
First Tr Exchng Traded FD VI33740F805SMITH OPPORT FXD58,855$2.60M0.3%–
CVRXCVRx, Inc.COM86,113$1.33M0.2%History
First Tr Exchng Traded FD VI33740F789MLT MNGD LRG GRW51,000$1.10M0.1%–
Northern LTS FD Tr III66538R722CP HI YLD TRND42,000$884.2K0.1%–
ProShares Tr74348A210SHRT RUSSELL200037,200$849.3K0.1%–
Pgim ETF Tr69344A107PGIM ULTRA SH BD17,170$848.3K0.1%–
iShares S&P 500 Growth ETF464287309ETF11,985$844.7K0.1%–
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF21,121$783.2K0.1%–
IDXXIDEXX Laboratories IncCOM1,484$745.1K0.1%History
iShares U.S. Treasury Bond ETF46429B267ETF30,424$696.7K0.1%–
First Tr Exchange-Traded FD337344105NASDAQ-100 SEL4,955$529.7K0.1%–
Innovator ETFs Tr45782C102IBD 50 ETF20,635$527.8K0.1%–
GMGeneral Motors CoCOM13,368$515.5K0.1%History
SHWSherwin Williams CoCOM1,818$482.6K0.1%History
iShares Tr464289180MSCI EURO FL ETF25,000$479.5K0.1%–
First Tr Exch TRD Alphdx FD33737J117EUROPE ALPHADEX13,799$475.0K0.1%–
First Tr Exchange Traded FD33738R605DORSEY WRT 5 ETF10,026$470.3K0.1%–
First Tr Exchange-Traded FD33734X200DJ GLBL DIVID21,833$468.1K0.1%–
PGRProgressive CorpStock3,257$431.1K0.1%History
First Trust Nasdaq Clean Edge Green Energy Index Fund33733E500ETF7,223$369.5K<0.1%–
IFFInternational Flavors & Fragrances IncCOM4,620$367.7K<0.1%History
VODVodafone Group Public Ltd CoADR38,003$359.1K<0.1%History
ELVElevance Health, Inc.Stock799$355.1K<0.1%History
CAGConagra Brands Inc.Stock10,056$339.1K<0.1%History
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853ETF7,597$295.1K<0.1%–
First Tr Exchange-Traded FD33737K205INDXX NEXTG ETF4,073$292.4K<0.1%–
RTLNecessity Retail REIT, Inc.COM CLASS A42,459$287.0K<0.1%History
IAUMiShares Gold Trust MicroSHS REPSTG UN TR14,642$280.8K<0.1%History
ULTAUlta Beauty, Inc.Stock588$276.7K<0.1%History
UHSUniversal Health Services IncCL B1,711$269.9K<0.1%History
XYZBlock, Inc.CL A4,030$268.3K<0.1%History
iShares Tr46435U713US INFRASTRUC6,865$268.3K<0.1%–
First Tr Exchange-Traded FD33738R852NASDQ FOD BVRG10,223$268.0K<0.1%–
Innovator ETFs Trust45782C672US EQT ULTRA BF9,299$268.0K<0.1%–
AEMAgnico Eagle Mines LtdStock5,271$263.5K<0.1%History
First Tr Exchng Traded FD VI33740F649FT VEST NAS11,231$251.5K<0.1%–
SCHWSchwab Charles CorpStock4,405$249.7K<0.1%History
First Tr Exchange-Traded FD33733B100WTR ETF2,819$249.7K<0.1%–
AMTAmerican Tower CorpREIT1,250$242.4K<0.1%History
First Tr Exchange Traded FD33734X143HLTH CARE ALPH2,216$240.1K<0.1%–
EXASExact Sciences CorpCOM2,434$228.6K<0.1%History
VECOVeeco Instruments IncCOM8,875$227.9K<0.1%History
First Tr Ftse Epra / Nareit33736N101COM5,592$225.3K<0.1%–
JRONuveen Floating Rate Income Opportunity FundCOM SHS28,718$224.0K<0.1%History
ORealty Income CorpREIT3,697$221.0K<0.1%History
Schwab U.S. Large-Cap ETF808524201ETF4,108$215.1K<0.1%–
AZNAstraZeneca PLCSPONSORED ADR2,994$214.3K<0.1%History
TSCOTractor Supply CoCOM964$213.2K<0.1%History
DFSDiscover Financial ServicesCOM1,822$212.9K<0.1%History
iShares Tr464287796U.S. ENERGY ETF4,967$212.8K<0.1%–
CPBCAMPBELL'S CoCOM4,614$210.9K<0.1%History
ANETArista Networks, Inc.COM1,293$209.5K<0.1%History
State Street SPDR S&P Aerospace & Defense ETF78464A631ETF1,722$209.3K<0.1%–
iShares S&P 500 Value ETF464287408ETF1,282$206.7K<0.1%–
iShares Tr464288638ISHS 5-10YR INVT4,069$205.8K<0.1%–
iShares Select Dividend ETF464287168ETF1,807$204.7K<0.1%–
DALDelta Air Lines, Inc.COM NEW4,306$204.7K<0.1%History
Invesco Exchange Traded FD T46137V100AEROSPACE DEFN2,417$204.1K<0.1%–
AIRAar CorpStock3,500$202.2K<0.1%History
iShares MSCI Eafe ETF464287465ETF2,787$202.1K<0.1%–
SYKStryker CorpStock662$202.0K<0.1%History
GOFGuggenheim Strategic Opportunities FundCOM SBI11,582$184.2K<0.1%History
CTGComputer Task Group IncCOM19,300$146.9K<0.1%History
GSBDGoldman Sachs BDC, Inc.SHS10,000$138.6K<0.1%History
NCMINational CineMedia, Inc.COM333,273$112.3K<0.1%History
PCFHigh Income Securities FundSHS BEN INT14,687$95.2K<0.1%History
Tricon Residential Inc Com NPV89612W102COM10,200$89.9K<0.1%–
ZTRVirtus Total Return Fund Inc.COM13,654$83.0K<0.1%History
JQCNuveen Credit Strategies Income FundCOM SHS15,202$76.8K<0.1%History
NSLNuveen Senior Income FundCOM10,000$45.8K<0.1%History
LUMNLumen Technologies, Inc.Stock10,722$24.2K<0.1%History
SMSISmith Micro Software, Inc.COM NEW10,725$11.9K<0.1%History
MSP Recovery, Inc.553745126*W EXP 05/20/20294,400$378<0.1%–