CHAT · Roundhill Generative AI & Technology ETF · Holdings ETF

$80.60 +0.83 (+1.04%)

Volume · Oct 20 685.45K Avg daily vol (3M) 379.06K

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP →

Institutional holdings are being reconciled with SEC filings. Holder totals and changes may be incomplete until reconciliation finishes.

Quarter:

Holders: 33

Total Value: $54,457,666

Total Shares: 592,060

Institutional Ownership Trend

14 quarters

Holder Concentration

Across 33 13F filers · Δ vs Jun 30, 2026

Top Holder

36.1%

−63.9 pts

Top 5

70.8%

−29.2 pts

Top 10

85.5%

−14.5 pts

HHI

1,736

Moderately concentrated−8,264

Who Holds CHAT

Last 8 quarters through Sep 30, 2026 (filing window open)

Each kind of 13F filer's share of the common shares 13F filers report. Holder type comes from regulatory records, never the filer's name; style, turnover and horizon are measured from each filer's own 13F book. The quarter selector does not change this card.

Jun 30, 2026, the newest closed quarter: 215 filers, like-for-like change +27.0%; actively managed books +26.8%; index-like books +195.7%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	50.5%	142	+25.5%	56	6
Adviser	1.9%	1	+13.9%	0	0
Bank	1.0%	9	+120.5%	1	0
Broker-dealer	15.4%	2	+24.6%	0	0
Holding company	2.2%	4	+16.7%	1	0
Exempt adviser	0.0%	0	—	0	0
Unknown	29.0%	57	+31.0%	21	7

Style	Share	Filers	Change	New	Exited
Index-like	0.3%	2	+195.7%	1	0
Systematic-like	0.2%	2	-89.0%	0	1
Concentrated	31.9%	50	+13.5%	22	5
Diversified active	67.6%	160	+39.1%	56	7
Unknown	0.0%	1	0.0%	0	0
Not measured	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	51.8%	139	+45.1%	43	6
Medium turnover	37.5%	51	+1.2%	22	2
High turnover	9.4%	11	+80.9%	7	4
Unknown	1.2%	14	+86.6%	7	1
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	6.8%	16	+370.2%	10	2
Medium horizon	11.6%	52	+19.9%	18	3
Long horizon	58.0%	141	+30.9%	49	7
Unknown	23.6%	6	+1.8%	2	1
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	13.5%	80	+35.3%	32	6
$1B to $10B	47.1%	74	+13.7%	24	5
$10B to $100B	18.5%	42	+93.8%	19	1
$100B or more	20.9%	19	+17.6%	4	1
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	47.7%	132	+27.6%	51	4
Pooled investment vehicles	0.6%	2	-67.5%	1	0
Registered funds and BDCs	0.0%	1	-50.0%	0	0
Pension and profit sharing plans	0.4%	2	+58.5%	1	0
Corporations	1.1%	2	+236785.7%	1	0
Other investment advisers	0.7%	3	+32.6%	2	0
Governments and sovereign funds	0.0%	0	-100.0%	0	1
Other	0.0%	0	-100.0%	0	1
Charitable organizations	0.0%	0	—	0	0
Diversified	0.0%	0	—	0	0
Unknown	49.5%	73	+28.6%	23	7

Private funds	Share	Filers	Change	New	Exited
Hedge funds	0.6%	2	-68.9%	1	1
Private equity funds	1.8%	8	+280.7%	3	0
Venture capital funds	0.3%	1	+7.0%	0	0
Real estate funds	0.2%	4	+34.3%	2	0
Securitized asset funds	0.1%	1	new	1	0
Other private funds	2.0%	10	+84.1%	5	0
Mixed private funds	0.0%	0	—	0	0
Private funds, type not stated	0.1%	1	-14.1%	0	0
No private funds	45.4%	115	+25.4%	44	5
Unknown	49.5%	73	+28.6%	23	7

Location	Share	Filers	Change	New	Exited
United States	95.0%	205	+24.7%	75	13
Outside the US	5.0%	10	+96.8%	4	0

The Sep 30, 2026 filing window is still open, so its bar shows only the filers that have filed so far.

How the mix is measured

Shares are 13F common shares restated to today's split basis; options and principal amounts are left out. The change compares only filers with a 13F in both quarters and keeps each filer in its bucket of the later quarter on both sides; a filer that continues under a new CIK is compared through its successor. Holder type comes from each filer's current regulatory profile; client base and private funds come from the Form ADV roster current at each quarter end (rosters from December 2019, so an earlier quarter reads Unknown). Style, turnover, horizon and book size are measured from each filer's 13F book in the newest measured quarter, and Not measured means none was. Actively managed books are those measured systematic-like, concentrated or diversified active.

Excluded 3 holders with no observed 2026-03-31 13F and 4 holders with no observed 2026-06-30 13F.

Conviction and Crowding

215 13F filers, quarter ended Jun 30, 2026

Measured across every 13F filer's common-share book once the quarter's filing window closed. Crowding counts filers with high turnover or that advise private funds on Form ADV.

Conviction holders

0.000% of filers hold it in their top 10

Mar 31, 2026: 0

Holders above 5%

median weight —

Mar 31, 2026: 0

Crowding

—

shares outstanding is an issuer-wide count, not one listing's

Private-fund advisers

—

of shares outstanding

Institutional ownership

—

shares outstanding is an issuer-wide count, not one listing's

Top 10 holders

61.6%

of 13F shares, Herfindahl 0.086

Active holders

+26.8%

like-for-like share change of active filers

5% stakes on record

0 13D, 0 13G

Managers in the top fifth by current three-year FundScore alpha were net buyers of $0 (0 buying, 0 selling).

Quarterly Activity

vs Jun 30, 2026

New

Increased

Decreased

Sold Out

Unchanged

New and Sold Out count only filers that reported a 13F for both quarters: a first-time filer's book is not a buy, and a fund that has not filed, or withheld its positions under confidential treatment, has not sold.

Holder count: -184

Institutional value: +157124.0%

Shares held: -87.1%

Top Buyers

vs Jun 30, 2026

Institution	Added	Now Holds
Small Noble Wealth Management PBC	+7,650	12,430
Small Berbice Capital Management LLC	+1,900	81,714
Large Concurrent Investment Advisors, LLC	+1,498	25,350
Micro Box Hill Private Wealth LLC	+883	23,420
Mid WealthPlan Investment Management, LLC	+369	19,617

Top Sellers

vs Jun 30, 2026

Institution	Sold	Now Holds
Mid Gradient Investments LLC	−65,532	213,846
Small Redhawk Wealth Advisors, Inc.	−3,782	2,922
Mid Gemmer Asset Management LLC	−1,304	69,391
Mid Integrated Advisors Network LLC	−990	4,933
Small UNIQUE WEALTH, LLC	−731	28,785

Top New Positions

vs Jun 30, 2026

Institution	Acquired	Value (USD)
Mid INDEPENDENT FINANCIAL GROUP, LLC	9,342	$859,277
Small Chris Bulman Inc	2,848	$261,959
Small POM Investment Strategies, LLC	1,095	$100,718
Small GK Wealth Management LLC	199	$18,304

Top Sold-Out Positions

vs Jun 30, 2026

Institution	Previously Held	Last Value (USD)
Small CERTIOR FINANCIAL GROUP, LLC	2,126	$0
Mid Avidian Wealth Enterprises, LLC	2,095	$0
Mid CoreCap Advisors, LLC	31	$0
Small BROWN WEALTH MANAGEMENT, LLC	4,270	$0
Mid Sowell Financial Services LLC	4,024	$0

Filter: New 4 Increased 8 Reduced 10 Sold out 6 Unchanged 11

Holder type: Registered adviser 20 Unknown 13

Showing 33 of 33

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

Gradient Investments LLC CHAT

$19,669,555

36.12%

213,846

Berbice Capital Management LLC CHAT

$7,516,053

13.80%

81,714

Gemmer Asset Management LLC CHAT

$6,382,584

11.72%

69,391

UNIQUE WEALTH, LLC CHAT

$2,647,644

4.86%

28,785

Concurrent Investment Advisors, LLC CHAT

$2,331,693

4.28%

25,350

Box Hill Private Wealth LLC CHAT

$2,154,171

3.96%

23,420

Venture Visionary Partners LLC CHAT

$1,852,477

3.40%

20,140

WealthPlan Investment Management, LLC CHAT

$1,804,371

3.31%

19,617

Noble Wealth Management PBC CHAT

$1,143,311

2.10%

12,430

HOWARD FINANCIAL SERVICES, LTD. CHAT

$1,082,052

1.99%

11,764

Beacon Financial Advisory LLC CHAT

$952,084

1.75%

10,351

INDEPENDENT FINANCIAL GROUP, LLC CHAT

$859,277

1.58%

9,342

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC CHAT

$752,396

1.38%

8,180

Valeo Financial Advisors, LLC CHAT

$627,671

1.15%

6,824

ARMSTRONG ADVISORY GROUP, INC CHAT

$553,719

1.02%

6,020

Farther Finance Advisors, LLC CHAT

$532,380

0.98%

5,788

VESTIA PERSONAL WEALTH ADVISORS CHAT

$473,605

0.87%

5,149

Integrated Advisors Network LLC CHAT

$453,737

0.83%

4,933

Allen Mooney & Barnes Investment Advisors LLC CHAT

$432,306

0.79%

4,700

GILL CAPITAL PARTNERS, LLC CHAT

$389,259

0.71%

4,232

Tempus Wealth Planning, LLC CHAT

$350,903

0.64%

3,815

Redhawk Wealth Advisors, Inc. CHAT

$268,765

0.49%

2,922

COLUMBIA ADVISORY PARTNERS LLC CHAT

$265,362

0.49%

2,885

Chris Bulman Inc CHAT

$261,959

0.48%

2,848

Kingsbury Capital Investment Advisors LLC CHAT

$256,256

0.47%

2,786

IFP Advisors, Inc CHAT

$140,361

0.26%

1,526

Blue Trust, Inc. CHAT

$114,607

0.21%

1,246

POM Investment Strategies, LLC CHAT

$100,718

0.18%

1,095

PRIVATE TRUST CO NA CHAT

$43,138

0.08%

469

Triumph Capital Management CHAT

$18,671

0.03%

203

GK Wealth Management LLC CHAT

$18,304

0.03%

199

ADIRONDACK TRUST CO CHAT

$7,174

0.01%

TD Waterhouse Canada Inc. CHAT

$1,103

0.00%

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
TORONTO DOMINION BANK	12	$1,103	100.0%	Defined