DaveManuel.com · Institutional Ownership · Who Owns It
NORTHERN LIGHTS FD TR (DUKZ)
Institutional ownership reported to the SEC as of Q2 2026, across 9 quarters.
17
Reporting holders
$41.6M
Reported value
0.0%
Calls
0.0%
Puts
+3
Holder change
Calls and puts are the parts of reported value carried in derivative lines rather than shares, and they point in opposite directions: a manager holding calls is positioned for the security, one holding puts against it - or hedging shares they already own, which is why index funds carry so many. Most sites add the two together and report one figure, which averages away the only interesting part.
Holders
| Filer | Value | Shares | Their book | Held | Change |
|---|---|---|---|---|---|
| Spartan Wealth Advisory Services LLC | $10.4M | 407,807 | 0.86% | 2q | +0.8%+$84.2K |
| VestGen Advisors, LLC | $8.5M | 332,545 | 0.25% | 2q | +4.7%+$384.6K |
| Cambridge Investment Research Advisors, Inc. | $6.7M | 262,632 | 0.01% | 8q | +763.2%+$5.9M |
| ENVESTNET ASSET MANAGEMENT INC | $6.0M | 235,918 | 0.00% | 3q | +21.8%+$1.1M |
| COMMONWEALTH EQUITY SERVICES, LLC | $2.5M | 97,563 | 0.00% | 6q | +469.4%+$2.1M |
| Independent Wealth Network Inc. | $2.0M | 79,950 | 0.52% | new | NEW |
| INDEPENDENT FINANCIAL GROUP, LLC | $1.7M | 64,726 | 0.03% | 3q | +31.1%+$393.6K |
| BUILDER INVESTMENT GROUP INC /ADV | $1.0M | 40,254 | 0.20% | new | NEW |
| Mutual Advisors, LLC | $793.0K | 30,951 | 0.01% | 4q | +39.0%+$222.6K |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | $350.2K | 13,668 | 0.00% | new | NEW |
| PARK AVENUE SECURITIES LLC | $267.0K | 10,403 | 0.00% | 2q | +7.8%+$19.4K |
| Envestnet Portfolio Solutions, Inc. | $258.8K | 10,101 | 0.00% | 3q | HELD |
| OSAIC HOLDINGS, INC. | $256.2K | 10,000 | 0.00% | new | NEW |
| Ocean Park Asset Management, LLC | $228.3K | 8,911 | 0.01% | 3q | +3.2%+$7.2K |
| SIGNATURE ESTATE & INVESTMENT ADVISORS LLC | $226.1K | 8,824 | 0.00% | 2q | -43.3%-$172.8K |
| JANE STREET GROUP, LLC | $202.3K | 7,897 | 0.00% | new | NEW |
| HARBOUR INVESTMENTS, INC. | $2.5K | 97 | 0.00% | 8q | -83.8%-$12.8K |
Quarter by quarter
Coverage begins with the quarter ending 2018-12-31. Earlier filings exist only as occasional late amendments, too sparse to describe a market, so they are not shown.
| Quarter | Holders | Value | Shares | New | Added | Trimmed | Options |
|---|---|---|---|---|---|---|---|
| Q3 2026 | 9 | $15.0M | 609,127 | 2 | 6 | 1 | 0.0% |
| Q2 2026 | 17 | $41.6M | 1,622,247 | 5 | 9 | 2 | 0.0% |
| Q1 2026 | 14 | $27.2M | 1,083,810 | 5 | 5 | 1 | 0.0% |
| Q4 2025 | 10 | $7.2M | 286,456 | 5 | 3 | 1 | 0.0% |
| Q3 2025 | 6 | $1.5M | 58,474 | 1 | 0 | 3 | 0.0% |
| Q2 2025 | 5 | $1.3M | 54,023 | 0 | 1 | 2 | 0.0% |
| Q1 2025 | 6 | $1.4M | 57,446 | 4 | 1 | 0 | 0.0% |
| Q4 2024 | 3 | $1.3M | 53,113 | 0 | 3 | 0 | 0.0% |
| Q3 2024 | 4 | $945.8K | 36,330 | 4 | 0 | 0 | 0.0% |