13F-HR filed by D.A. DAVIDSON & CO.
D.A. DAVIDSON & CO. filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-07, with 1,150 holding rows worth $7,816,757,000.
- Accession
- 0001080107-21-000003
- Filer
- CIK 1080107
- Filed
- 2021-05-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A holdings report, 1,150 entries on the cover page, a total value of $7,816,757,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $7,816,757,000 with VALUE read as thousands by filing date, 13F file number 028-07602. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 5,914 | $263,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 1,989 | $262,000 | thousands by filing date | |
| MID AMERICA APARTMENT COMMUNITIES INC. | 59522J103 | Common Stock, par value $0.01 per share | 1,800 | $260,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 42,691 | $260,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 14,211 | $259,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 5,228 | $259,000 | thousands by filing date | |
| TC ENERGY CORP | 87807B107 | COM | 5,656 | $259,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 5,641 | $259,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 3,104 | $258,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 17,250 | $257,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 5,800 | $256,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 14,655 | $256,000 | thousands by filing date | |
| SHOCKWAVE MED INC | 82489T104 | COM | 1,965 | $256,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 17,663 | $254,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 1,410 | $253,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 2,840 | $253,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 2,250 | $252,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 300 | $251,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 4,582 | $251,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 1,533 | $249,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V639 | AI AND NEXT GEN | 1,600 | $249,000 | thousands by filing date | |
| NAVIOS MARITIME CHG CONTAINERS LP UNIT REPSTG LP INT | Y62151108 | COM UNIT RP LP | 27,000 | $249,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 4,082 | $248,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 8,604 | $248,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 10,175 | $248,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 10,090 | $247,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 4,871 | $245,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 637 | $245,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 19,166 | $245,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 3,476 | $244,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 2,518 | $244,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 17,000 | $243,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 6,350 | $243,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 1,154 | $242,000 | thousands by filing date | |
| INVESCO NASDAQ NEXT GEN 100 ETF | 46138G631 | ETF | 7,600 | $242,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 6,025 | $242,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 2,235 | $241,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 21,207 | $239,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 4,282 | $239,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 15,845 | $236,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 2,135 | $235,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 3,483 | $235,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 25,555 | $235,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 5,020 | $233,000 | thousands by filing date | |
| BANK OZK LITTLE ROCK ARK COM | 06417N103 | Stock | 5,715 | $233,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 4,415 | $233,000 | thousands by filing date | |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 9,940 | $232,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 9,034 | $232,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 4,699 | $231,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 1,181 | $230,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 4,725 | $228,000 | thousands by filing date | |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 1,752 | $227,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,099 | $226,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 17,500 | $225,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 2,109 | $224,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 24,000 | $224,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 15,122 | $223,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 3,137 | $223,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 3,050 | $221,000 | thousands by filing date | |
| FLIR SYS INC | 302445101 | COM | 3,914 | $221,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 4,115 | $220,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 1,707 | $219,000 | thousands by filing date | |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 3,485 | $219,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 461 | $218,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 2,061 | $218,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 29,800 | $218,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 998 | $217,000 | thousands by filing date | |
| BLACKLINE, INC. | 09239B109 | COM | 2,000 | $217,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 2,159 | $215,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 38,244 | $215,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 1,648 | $214,000 | thousands by filing date | |
| CALAMOS LNG SHR EQT DYNAMIC | 12812C106 | COM | 10,600 | $214,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 11,074 | $214,000 | thousands by filing date | |
| THOMPSON REUTERS CORP | 884903709 | COM NEW | 2,447 | $214,000 | thousands by filing date | |
| FIRST TRUST ALTERNATIVE ABSOLUTE RETURN STRATEGYETF | 33740Y101 | UIT EXCHANGE TRADED | 7,419 | $214,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 620 | $212,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 13,691 | $212,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 2,207 | $211,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 540 | $211,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 3,070 | $210,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 1,060 | $209,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 8,092 | $209,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 5,430 | $208,000 | thousands by filing date | |
| SNOWFLAKE INC COM SHS | 833445109 | Stock | 909 | $208,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 673 | $208,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 2,950 | $208,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 2,021 | $207,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 3,000 | $207,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,091 | $207,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 1,012 | $204,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 912 | $204,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 1,038 | $204,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 4,315 | $204,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 534 | $203,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 932 | $200,000 | thousands by filing date | |
| CANTEL MEDICAL CORP | 138098108 | COM | 2,507 | $200,000 | thousands by filing date | |
| LUMEN TECHNOLOGIES INC | 550241103 | COM | 13,908 | $186,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 12,151 | $184,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 150,000 | $164,000 | thousands by filing date | principal |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 10,290 | $162,000 | thousands by filing date | |
| PIMCO ENRGY TACTICAL CR OPP FD | 69346N107 | COM SHS BEN INT | 15,500 | $160,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 120,000 | $158,000 | thousands by filing date | principal |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 20,022 | $156,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 12,590 | $153,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 140,000 | $152,000 | thousands by filing date | principal |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 125,000 | $152,000 | thousands by filing date | principal |
| INSIGHT ENTERPRISES INC | 45765UAB9 | NOTE 0.750% 2/1 | 100,000 | $148,000 | thousands by filing date | principal |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 65,310 | $142,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 14,550 | $139,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 16,400 | $138,000 | thousands by filing date | |
| SPRUCE POWER HOLDING CORP | 9837FR100 | COMMON STOCK | 15,100 | $136,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 10,268 | $135,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 10,007 | $135,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 10,123 | $134,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 13,831 | $125,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 110,000 | $125,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 100,000 | $119,000 | thousands by filing date | principal |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 11,502 | $118,000 | thousands by filing date | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 12,636 | $118,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 100,000 | $117,000 | thousands by filing date | principal |
| GUESS INC | 401617AD7 | BOND | 100,000 | $115,000 | thousands by filing date | principal |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 10,000 | $110,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 23,047 | $107,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 100,000 | $107,000 | thousands by filing date | principal |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 13,211 | $103,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 10,408 | $103,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 10,382 | $102,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 10,786 | $98,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 11,550 | $97,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 10,000 | $95,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 26,588 | $92,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 31,003 | $82,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 14,300 | $77,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 10,518 | $74,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 20,000 | $74,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 11,500 | $73,000 | thousands by filing date | |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 60,000 | $71,000 | thousands by filing date | principal |
| ARTS WAY MFG INC | 043168103 | COM | 20,000 | $62,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 14,241 | $58,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 60,000 | $57,000 | thousands by filing date | principal |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 50,000 | $57,000 | thousands by filing date | principal |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 11,225 | $54,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 26,398 | $51,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 12,500 | $46,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 13,500 | $26,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 13,500 | $23,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y307 | COM | 10,846 | $22,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 16,000 | $17,000 | thousands by filing date | principal |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 13,000 | $13,000 | thousands by filing date | principal |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001080107-21-000003 | this filing | 2021-05-07 | acceptance time not in the bulk data set |