0001752724-22-202411.txt : 20220908
0001752724-22-202411.hdr.sgml : 20220908
20220908141742
ACCESSION NUMBER: 0001752724-22-202411
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20220630
FILED AS OF DATE: 20220908
DATE AS OF CHANGE: 20220908
EFFECTIVENESS DATE: 20220908
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: AdvisorShares Trust
CENTRAL INDEX KEY: 0001408970
IRS NUMBER: 260636087
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22110
FILM NUMBER: 221233461
BUSINESS ADDRESS:
STREET 1: 4800 MONTGOMERY LANE
STREET 2: SUITE 150
CITY: BETHESDA
STATE: MD
ZIP: 20814
BUSINESS PHONE: (877) 843-3831
MAIL ADDRESS:
STREET 1: 4800 MONTGOMERY LANE
STREET 2: SUITE 150
CITY: BETHESDA
STATE: MD
ZIP: 20814
0001408970
S000026954
AdvisorShares Dorsey Wright ADR ETF
C000081186
AdvisorShares Dorsey Wright ADR ETF
AADR
0001408970
S000030090
AdvisorShares Ranger Equity Bear ETF
C000092409
AdvisorShares Ranger Equity Bear ETF
HDGE
0001408970
S000031216
AdvisorShares North Square McKee ESG Core Bond ETF
C000096918
AdvisorShares North Square McKee ESG Core Bond ETF
MENV
0001408970
S000031813
AdvisorShares DoubleLine Value Equity ETF
C000099071
AdvisorShares DoubleLine Value Equity ETF
DBLV
0001408970
S000034456
AdvisorShares STAR Global Buy-Write ETF
C000105934
AdvisorShares STAR Global Buy-Write ETF
VEGA
0001408970
S000038247
AdvisorShares Newfleet Multi-Sector Income ETF
C000117922
AdvisorShares Newfleet Multi-Sector Income ETF
MINC
0001408970
S000039806
AdvisorShares North Square McKee Core Reserves ETF
C000123404
AdvisorShares North Square McKee Core Reserves ETF
HOLD
0001408970
S000055090
AdvisorShares Focused Equity ETF
C000173320
AdvisorShares Focused Equity ETF
CWS
0001408970
S000059263
AdvisorShares Vice ETF
C000194564
AdvisorShares Vice ETF
VICE
0001408970
S000062083
AdvisorShares Dorsey Wright Micro-Cap ETF
C000201032
AdvisorShares Dorsey Wright Micro-Cap ETF
DWMC
0001408970
S000062084
AdvisorShares Dorsey Wright Short ETF
C000201033
AdvisorShares Dorsey Wright Short ETF
DWSH
0001408970
S000065228
AdvisorShares Pure Cannabis ETF
C000211119
AdvisorShares Pure Cannabis ETF
YOLO
0001408970
S000066948
AdvisorShares Pure US Cannabis ETF
C000215439
AdvisorShares Pure US Cannabis ETF
MSOS
0001408970
S000067382
AdvisorShares Dorsey Wright Alpha Equal Weight ETF
C000216697
AdvisorShares Dorsey Wright Alpha Equal Weight ETF
DWEQ
0001408970
S000067383
AdvisorShares Dorsey Wright FSM All Cap World ETF
C000216698
AdvisorShares Dorsey Wright FSM All Cap World ETF
DWAW
0001408970
S000067384
AdvisorShares Dorsey Wright FSM US Core ETF
C000216699
AdvisorShares Dorsey Wright FSM US Core ETF
DWUS
0001408970
S000070110
AdvisorShares Q Portfolio Blended Allocation ETF
C000223022
AdvisorShares Q Portfolio Blended Allocation ETF
QPT
0001408970
S000070111
AdvisorShares Q Dynamic Growth ETF
C000223023
AdvisorShares Q Dynamic Growth ETF
QPX
0001408970
S000070646
AdvisorShares Alpha DNA Equity Sentiment ETF
C000224385
AdvisorShares Alpha DNA Equity Sentiment ETF
SENT
0001408970
S000071546
AdvisorShares Hotel ETF
C000226855
AdvisorShares Hotel ETF
BEDZ
0001408970
S000071547
AdvisorShares Restaurant ETF
C000226856
AdvisorShares Restaurant ETF
EATZ
0001408970
S000072084
AdvisorShares Gerber Kawasaki ETF
C000227805
AdvisorShares Gerber Kawasaki ETF
GK
0001408970
S000072085
AdvisorShares Psychedelics ETF
C000227806
AdvisorShares Psychedelics ETF
PSIL
0001408970
S000074074
AdvisorShares Poseidon Dynamic Cannabis ETF
C000231516
AdvisorShares Poseidon Dynamic Cannabis ETF
PSDN
0001408970
S000074207
AdvisorShares Managed Bitcoin Strategy ETF
C000231814
AdvisorShares Managed Bitcoin Strategy ETF
CRYP
0001408970
S000075085
AdvisorShares Let Bob AI Powered Momentum ETF
C000233889
AdvisorShares Let Bob AI Powered Momentum ETF
LETB
0001408970
S000075536
AdvisorShares Drone Technology ETF
C000234720
AdvisorShares Drone Technology ETF
UAV
N-CEN
1
primary_doc.xml
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AdvisorShares Trust
811-22110
0001408970
549300K5KGUMX2I7WM68
4800 Montgomery Lane
Suite 150
Bethesda
20814
US-MD
US
877-843-3831
Poseidon Investment Management, LLC
330 Fell Street
Suite 200
San Francisco
94102
716-984-2105
Records related to its function as sub-adviser
AdvisorShares Trust
4800 Montgomery Lane
Suite 150
Bethesda
20814
877-843-3831
Records related to its function as registrant
Newfleet Asset Management, LLC
One Financial Plaza
Hartford
06103
877-332-8172
Records related to its function as sub-adviser
Gerber Kawasaki, Inc.
2716 Ocean Park Boulevard
Santa Monica
90405
310-399-6397
Records related to its function as sub-adviser
The Bank of New York Mellon
240 Greenwich Street
New York
10286
1-212-495-1784
Records related to its function as custodian and administrator
Morgan Creek Capital Management, LLC
301 West Barbee Chapel Road
Suite 200
Chapel Hill
27517
919-933-4004
Records related to its function as sub-adviser
AdvisorShares Investments, LLC
4800 Montgomery Lane
Suite 150
Bethesda
20814
877-843-3831
Records related to its function as adviser
Dorsey, Wright & Associates, LLC
3300 W. Leigh Street
Richmond
23230
804-320-8511
Records related to its function as sub-adviser
Alpha DNA Investment Management, LLC
8860 Columbia 100 Parkway
Suite 301
Columbia
21045
443-288-6444
Records related to its function as sub-adviser
Ranger Alternative Management L.P.
1845 Woodall Rodgers Fwy
Suite 1050
Dallas
75201
214-871-5200
Records related to its function as sub-adviser
CreativeOne Wealth, LLC
11460 Tomahawk Creek Parkway
Suite 200
Leawood
66211
888-798-2360
Records related to its function as sub-adviser
Foreside Fund Services, LLC
Three Canal Plaza
Suite 100
Portland
04101
207-553-7111
Records related to its function as principal underwriter
ThinkBetter, LLC
1924 South Osprey Avenue
Suite 202
Sarasota
34239
941-451-0029
Records related to its function as sub-adviser
CSM Advisors, LLC
420 Fort Duquesne Boulevard
Pittsburgh
15222
412-566-1234
Records related to its function as sub-adviser
DoubleLine Equity LP
505 North Brand Boulevard
Suite 860
Glendale
91203
213-633-8200
Records related to its function as sub-adviser
N
N
N
N-1A
27
Y
Elizabeth Piper/Bach
001026618
N
Noah Hamman
002193633
Y
William G. McVay
000718549
N
Stefanie Little
N/A
11 Gina Marie Lane
Elkton
21921
XXXXXX
N
N
N
N
N
N
Foreside Fund Services, LLC
008-51293
000046106
N/A
N
N
Tait, Weller & Baker LLP
445
N/A
N
N
N
N
N
N
N
AdvisorShares North Square McKee Core Reserves ETF
S000039806
549300JV5T62F5E7S151
N
0
0
0
Exchange-Traded Fund
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
423224.25000000
341.39000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
CSM Advisors, LLC
801-117641
000306128
254900OFFZCSY0EX5598
N
Sage Advisory Services, Ltd. Co.
801-52937
000106236
549300SKL8ZTWD7IT150
2021-10-31
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
N
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
INTERACTIVE BROKERS, LLC
008-47257
000036418
50OBSE5T5521O6SMZR28
11.76000000
12.00000000
RBC CAPITAL MARKETS LLC
008-45411
000031194
549300LCO2FLSSVFFR64
1585007.82000000
Jane Street Execution Services, LLC
008-69254
000167280
549300HXJLXCPDWAH070
2322853.72000000
MUFG SECURITIES AMERICAS INC.
008-43026
000019685
K5HU16E3LMSVCCJJJ255
2196441.39000000
CITADEL SECURITIES LLC
008-53574
000116797
12UUJYTN7D3SW8KCSG25
3489433.59000000
STEPHENS INC.
008-01927
000003496
213800LH6T9XDYZCA534
4123062.13000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
6155536.44000000
DEUTSCHE BANK SECURITIES, INC.
008-17822
000002525
9J6MBOOO7BECTDTUZW19
2003586.48000000
WELLS FARGO SECURITIES, LLC
008-65876
000126292
VYVVCKR63DVZZN70PB21
3872825.18000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
7779240.94000000
CitiGroup Global Markets Inc.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
4356374.89000000
52093419.00000000
N
38085605.00000000
0.00000000
N
N
N
AdvisorShares Gerber Kawasaki ETF
S000072084
54930039NN1Q9HOW3F65
Y
0
0
0
Exchange-Traded Fund
Y
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
1211048.46000000
19489.82000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
2021-05-27
Gerber Kawasaki, Inc.
801-79339
000153649
N/A
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
Y
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Y
BTIG, LLC
008-65473
000122225
549300GTG9PL6WO3EC51
3412.84000000
3413.00000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
20073824.22000000
CITADEL SECURITIES LLC
008-53574
000116797
12UUJYTN7D3SW8KCSG25
2835449.86000000
BTIG LLC
008-65473
000122225
549300GTG9PL6WO3EC51
1174853.92000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
8822880.88000000
32907009.00000000
N
17246428.00000000
0.00000000
N
N
N
AdvisorShares Drone Technology ETF
S000075536
549300LRA4K487RX6M67
Y
0
0
0
Exchange-Traded Fund
Y
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
33943.00000000
2002.36000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
2022-03-28
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
Y
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Y
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
233.80000000
234.00000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
589975.63000000
589976.00000000
Y
609095.00000000
0.00000000
N
N
N
AdvisorShares DoubleLine Value Equity ETF
S000031813
54930085C9IKMRA4B072
N
0
0
0
Exchange-Traded Fund
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
1062154.39000000
3043.49000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
DoubleLine Equity LP
801-77611
000166732
N/A
N
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
Needham & Company, LLC
008-33772
000016360
254900J2GFQ4J4NK1J89
862.80000000
PIPER SANDLER & CO.
008-15204
000000665
549300GRQCWQ3XGH0H10
780.54000000
UBS Securities LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
365.07000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
700.47000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
377.97000000
SANFORD C. BERNSTEIN & CO., LLC
008-52942
000104474
549300I7JYZHT7D5CO04
1041.96000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
591.84000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
691.08000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
1690.02000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
1227.61000000
9211.00000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
2708046.90000000
RBC CAPITAL MARKETS LLC
008-45411
000031194
549300LCO2FLSSVFFR64
3313241.03000000
CITADEL SECURITIES LLC
008-53574
000116797
12UUJYTN7D3SW8KCSG25
3578592.00000000
9599880.00000000
Y
48264103.00000000
0.00000000
N
N
N
AdvisorShares STAR Global Buy-Write ETF
S000034456
549300IVWTE0EMCNMD69
N
0
0
0
Exchange-Traded Fund
Fund of Funds
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
4581479.09000000
14316.29000000
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 6c-11 (17 CFR 270.6c-11)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
Y
Y
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
CreativeOne Wealth, LLC
801-106677
000281213
N/A
N
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
INTERACTIVE BROKERS, LLC
008-47257
000036418
50OBSE5T5521O6SMZR28
7796.13000000
7796.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
4608967.11000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
17679236.41000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
1532465.04000000
Cowen and Company, LLC
008-22522
000007616
549300WR155U7DVMIW58
78.23000000
23820747.00000000
N
28802641.00000000
0.00000000
N
N
N
AdvisorShares Dorsey Wright Alpha Equal Weight ETF
S000067382
549300X23Z1J4DVEKB51
N
0
0
0
Exchange-Traded Fund
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
1767635.67000000
2241.11000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
126469.54000000
126470.00000000
CITADEL SECURITIES LLC
008-53574
000116797
12UUJYTN7D3SW8KCSG25
16596801.69000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
135541038.72000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
2046706.20000000
154184547.00000000
Y
66585283.00000000
0.00000000
N
N
N
AdvisorShares Newfleet Multi-Sector Income ETF
S000038247
549300TXPL8N66JNJ546
N
0
0
0
Exchange-Traded Fund
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
2007797.05000000
3431.59000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 6c-11 (17 CFR 270.6c-11)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
Newfleet Asset Management, LLC
801-51559
000104532
549300FZNGRGI1YVNB75
N
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
Bank Polska Kasa Opieki S.A.
5493000LKS7B3UTF7H35
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Banco de Chile
8B4EZFY8IHJC44TT2K84
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse (Switzerland) Ltd.
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC QIANHAI SECURITIES LIMITED
213800H3TEBTFHD5JR69
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC NOMINEES (NEW ZEALAND) LIMITED
213800NHDWIZKO5KIH05
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
STANBIC IBTC BANK PLC
549300NIVXF92ZIOVW61
NG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Australia Limited
DY9DBNI4W8J63Z298033
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon (United Kingdom)
N/A
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon (Ireland)
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG Bank, Ltd.
C3GTMMZIHMY46P4OIX74
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank del Peru S.A.
MYTK5NHHP1G8TVFGT193
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Securities Korea Co.
529900J0N5FYROZOL786
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Singapore) Limited
549300MDYVVHJ8D1DW28
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Stockholm
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
PT Deutsche Sekuritas Indonesia
529900BYFVEGGOM24P36
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Deutsche Bank A.S. (Turkey)
789000N5SE3LWDK7OI11
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon, SA/NV (Italy)
MMYX0N4ZEZ13Z4XCG897
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation (Thailand)
2HI3YI5320L3RW6NJ957
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Cititrust Colombia S A Sociedad Fiduciaria
549300242J3IJCOSGI49
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Aberdeen Euro Vallalati Kotveny Alapok Alapja
549300UJQU5R5G17NH37
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANCO CITIBANK S A
1P0UUG7LC1S92QTNHG39
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Argentina
579100KKDGKCFFKKF005
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibanamex Afore, S.A. de C.V.
5493004NLEXB8DK06353
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
Jane Street Execution Services, LLC
008-69254
000167280
549300HXJLXCPDWAH070
36.82000000
37.00000000
RBC CAPITAL MARKETS LLC
008-45411
000031194
549300LCO2FLSSVFFR64
1822357.63000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
6397488.03000000
DEUTSCHE BANK SECURITIES, INC.
008-17822
000002525
9J6MBOOO7BECTDTUZW19
4444521.16000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
9462071.85000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
5933396.71000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
5580689.73000000
WELLS FARGO SECURITIES, LLC
008-65876
000126292
VYVVCKR63DVZZN70PB21
4582156.66000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
12555470.74000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
8684322.23000000
CitiGroup Global Markets Inc.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
6877341.13000000
81227277.00000000
N
97987796.00000000
0.00000000
N
N
N
AdvisorShares Dorsey Wright FSM US Core ETF
S000067384
5493001DPU8A1POYN342
N
0
0
0
Exchange-Traded Fund
Fund of Funds
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
37764193.10000000
99324.71000000
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
18735.26000000
18735.00000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
91721140.05000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
2073260.52000000
CITADEL SECURITIES LLC
008-53574
000116797
12UUJYTN7D3SW8KCSG25
2342281.16000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
380159.76000000
96516841.00000000
Y
95339212.00000000
0.00000000
N
N
N
AdvisorShares North Square McKee ESG Core Bond ETF
S000031216
549300YKE0FBCHCMFG06
N
0
0
0
Exchange-Traded Fund
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
204616.74000000
1424.60000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
CSM Advisors, LLC
801-117641
000306128
254900OFFZCSY0EX5598
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
N
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
INSTINET, LLC
008-23669
000007897
549300MGMN3RKMU8FT57
793.42000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
6557.36000000
7351.00000000
CitiGroup Global Markets Inc.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
1582812.03000000
CITADEL SECURITIES LLC
008-53574
000116797
12UUJYTN7D3SW8KCSG25
1055182.95000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
1743373.70000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
837997.20000000
DEUTSCHE BANK SECURITIES, INC.
008-17822
000002525
9J6MBOOO7BECTDTUZW19
708507.72000000
STONEX FINANCIAL INC.
008-51269
000045993
549300LNKU6K5TJCRG93
657793.96000000
TD SECURITIES (USA) LLC
008-36747
000018476
SUVUFHICNZMP2WKHG940
730973.22000000
WELLS FARGO SECURITIES, LLC
008-65876
000126292
VYVVCKR63DVZZN70PB21
951873.37000000
MARKETAXESS CORPORATION
008-50727
000044542
GPSMMRI21JE7ZCVYF972
479740.67000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
810952.63000000
13139167.00000000
N
4104826.00000000
0.00000000
N
N
N
AdvisorShares Pure Cannabis ETF
S000065228
549300KQ9WTMH65SBK09
N
0
0
0
Exchange-Traded Fund
Y
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
24524806.80000000
760095.18000000
Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
268941.75000000
268942.00000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
125790.14000000
Cowen and Company, LLC
008-22522
000007616
549300WR155U7DVMIW58
102868040.26000000
HRT FINANCIAL LP
008-68430
000152144
21380037YFKONTT23854
12700295.87000000
Jane Street Execution Services, LLC
008-69254
000167280
549300HXJLXCPDWAH070
4340994.44000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
14628849.59000000
134663970.00000000
Y
197059386.00000000
0.00000000
N
N
N
AdvisorShares Vice ETF
S000059263
5493007Q9G201B621B10
N
0
0
0
Exchange-Traded Fund
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
1044120.05000000
1384.19000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 6c-11 (17 CFR 270.6c-11)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
11943.94000000
11944.00000000
DEL TACO RESTAURANTS, INC.
N/A
N/A
5299004IBCSPGYGOI790
584404.65000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
1116574.08000000
1700979.00000000
Y
11444968.00000000
0.00000000
N
N
N
AdvisorShares Dorsey Wright FSM All Cap World ETF
S000067383
549300542DJZE89VN647
N
0
0
0
Exchange-Traded Fund
Fund of Funds
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
20533632.10000000
71035.74000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
79160.45000000
79160.00000000
RBC CAPITAL MARKETS LLC
008-45411
000031194
549300LCO2FLSSVFFR64
2203125.73000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
9120798.67000000
CITADEL SECURITIES LLC
008-53574
000116797
12UUJYTN7D3SW8KCSG25
45376614.08000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
163254144.54000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
2188397.56000000
222143081.00000000
Y
129324529.00000000
0.00000000
N
N
N
AdvisorShares Let Bob AI Powered Momentum ETF
S000075085
5493000V75SNQZT5OP74
Y
0
0
0
Exchange-Traded Fund
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
56496.04000000
94.03000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
2022-01-28
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
Y
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Y
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
26122.44000000
26122.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
186815.90000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
621876.36000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
319717.26000000
CITADEL SECURITIES LLC
008-53574
000116797
12UUJYTN7D3SW8KCSG25
376254.80000000
1504664.00000000
Y
19245496.00000000
0.00000000
N
N
N
AdvisorShares Restaurant ETF
S000071547
549300F2N4QU1GXKGP60
N
0
0
0
Exchange-Traded Fund
Y
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
224049.65000000
31788.17000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
N
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
5836.94000000
5837.00000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
2047825.86000000
DEL TACO RESTAURANTS, INC.
N/A
N/A
5299004IBCSPGYGOI790
224216.73000000
2272043.00000000
Y
4316230.00000000
0.00000000
N
N
N
AdvisorShares Dorsey Wright Micro-Cap ETF
S000062083
549300I7EU7PD9D9P071
N
0
0
0
Exchange-Traded Fund
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
589164.67000000
40242.57000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
Dorsey, Wright & Associates, LLC
801-29045
000104925
N/A
N
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
32581.62000000
32582.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
1154180.88000000
CITADEL SECURITIES LLC
008-53574
000116797
12UUJYTN7D3SW8KCSG25
3533599.06000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
7539118.36000000
12226898.00000000
Y
9072040.00000000
0.00000000
N
N
N
AdvisorShares Q Portfolio Blended Allocation ETF
S000070110
549300S5MICYODWAVT07
N
0
0
0
Exchange-Traded Fund
Fund of Funds
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
1220481.12000000
2756.30000000
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
ThinkBetter, LLC
801-119275
000300530
N/A
N
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
N
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
ALLIANCEBERNSTEIN INVESTMENTS, INC.
008-30851
000014549
N/A
3235.65000000
Raymond James & Associates, Inc.
008-10999
000000705
U4ONQX15J3RO8XCKE979
388.32000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
786.71000000
4411.00000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
2864935.66000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
2074234.51000000
4939170.00000000
N
4216664.00000000
0.00000000
N
N
N
AdvisorShares Psychedelics ETF
S000072085
5493006JP686ZK0LV692
Y
0
0
0
Exchange-Traded Fund
Y
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
520743.17000000
20107.39000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
2021-07-30
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
Y
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Y
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
70884.05000000
70884.00000000
Jane Street Execution Services, LLC
008-69254
000167280
549300HXJLXCPDWAH070
2995270.30000000
Cowen and Company, LLC
008-22522
000007616
549300WR155U7DVMIW58
1983892.75000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
6308367.50000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
102381.37000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
1628187.37000000
13018099.00000000
Y
5128485.00000000
0.00000000
N
N
N
AdvisorShares Dorsey Wright Short ETF
S000062084
549300LTRG88VTGUGS49
N
0
0
0
Exchange-Traded Fund
N
N
N
N
N/A
N/A
N/A
Rule 6c-11 (17 CFR 270.6c-11)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
Dorsey, Wright & Associates, LLC
801-29045
000104925
N/A
N
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
99366.66000000
99367.00000000
Cowen and Company, LLC
008-22522
000007616
549300WR155U7DVMIW58
1012009.58000000
1012010.00000000
Y
31091165.00000000
0.00000000
N
N
N
AdvisorShares Alpha DNA Equity Sentiment ETF
S000070646
549300LURHUYSIBJKL37
N
0
0
0
Exchange-Traded Fund
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
2297751.45000000
18831.75000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
Alpha DNA Investment Management LLC
801-119457
000288198
N/A
N
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
Cowen and Company, LLC
008-22522
000007616
549300WR155U7DVMIW58
333064.42000000
333064.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
6919797.51000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
2620451.17000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
8960684.68000000
Cowen and Company, LLC
008-22522
000007616
549300WR155U7DVMIW58
60937519.59000000
79438453.00000000
N
68263972.00000000
0.00000000
N
N
N
AdvisorShares Q Dynamic Growth ETF
S000070111
549300Y6TNKQ0IZVWF80
N
0
0
0
Exchange-Traded Fund
Fund of Funds
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
23239199.60000000
57259.13000000
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
Y
Y
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
ThinkBetter, LLC
801-119275
000300530
N/A
N
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
ALLIANCEBERNSTEIN INVESTMENTS, INC.
008-30851
000014549
N/A
24642.06000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
3362.76000000
Raymond James & Associates, Inc.
008-10999
000000705
U4ONQX15J3RO8XCKE979
2250.84000000
30256.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
50329662.49000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
12287514.70000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
2556410.56000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
50277492.03000000
115451080.00000000
N
89801579.00000000
0.00000000
N
N
N
AdvisorShares Dorsey Wright ADR ETF
S000026954
549300J3T52TB0ZR4T50
N
0
0
0
Exchange-Traded Fund
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
12817214.70000000
61958.30000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
Dorsey, Wright & Associates, LLC
801-29045
000104925
N/A
N
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
122436.01000000
122436.00000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
1945734.72000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
2429807.60000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
12127409.39000000
CITADEL SECURITIES LLC
008-53574
000116797
12UUJYTN7D3SW8KCSG25
6900902.24000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
5033736.68000000
28437591.00000000
Y
69840277.00000000
0.00000000
N
N
N
AdvisorShares Ranger Equity Bear ETF
S000030090
5493002XL8HC1EE2BT77
N
0
0
0
Exchange-Traded Fund
N
N
N
N
N/A
N/A
N/A
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))
Y
N
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
Ranger Alternative Management, L.P.
801-69133
000145543
213800MAKA7GPMOIDN64
N
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
2077887.79000000
2077888.00000000
BNP PARIBAS SECURITIES CORP.
008-32682
000015794
RCNB6OTYUAMMP879YW96
58829881.10000000
Cowen and Company, LLC
008-22522
000007616
549300WR155U7DVMIW58
3058392.14000000
61888273.00000000
Y
86590423.00000000
0.00000000
N
N
N
AdvisorShares Managed Bitcoin Strategy ETF
S000074207
549300HNYS2GZUY0V190
Y
0
0
0
Exchange-Traded Fund
Y
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
341704.33000000
2185.06000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 6c-11 (17 CFR 270.6c-11)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
2022-03-28
Morgan Creek Capital Management, LLC
801-65690
000138401
549300K0FDJ8T2OQQ437
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
Y
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Y
BTIG, LLC
008-65473
000122225
549300GTG9PL6WO3EC51
1191.82000000
1192.00000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
14489711.50000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
14806727.73000000
29296439.00000000
N
858097.00000000
0.00000000
N
N
N
AdvisorShares Pure US Cannabis ETF
S000066948
549300U1LLTOEUUI7S22
N
0
0
0
Exchange-Traded Fund
Y
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
9598885.21000000
82039.47000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
249892.97000000
249893.00000000
Jane Street Execution Services, LLC
008-69254
000167280
549300HXJLXCPDWAH070
26625496.41000000
Cowen and Company, LLC
008-22522
000007616
549300WR155U7DVMIW58
1062348370.32000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
113331313.45000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
12618052.64000000
HRT FINANCIAL LP
008-68430
000152144
21380037YFKONTT23854
21428657.47000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
2404100.96000000
1238755991.00000000
Y
895826301.00000000
0.00000000
N
N
N
AdvisorShares Focused Equity ETF
S000055090
549300SOCN4VS8WM9S74
N
0
0
0
Exchange-Traded Fund
N
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
680975.91000000
749.29000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 6c-11 (17 CFR 270.6c-11)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
N
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
3145.94000000
3146.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
255099.20000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
18779681.09000000
CITADEL SECURITIES LLC
008-53574
000116797
12UUJYTN7D3SW8KCSG25
705138.96000000
19739919.00000000
Y
31377526.00000000
0.00000000
N
N
N
AdvisorShares Poseidon Dynamic Cannabis ETF
S000074074
549300Y3IX1HKGOK2C94
Y
0
0
0
Exchange-Traded Fund
Y
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
4701.43000000
4.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
2021-11-01
Poseidon Investment Management, LLC
801-122377
000311864
N/A
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
Y
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Y
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Y
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
7238.96000000
ATB CAPITAL MARKETS USA INC.
008-68692
000155053
549300M9WLX8E03RLW17
CA
3600.00000000
10839.00000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
2067613.49000000
Cowen and Company, LLC
008-22522
000007616
549300WR155U7DVMIW58
8404255.09000000
Jane Street Execution Services, LLC
008-69254
000167280
549300HXJLXCPDWAH070
83694.75000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
720428.42000000
11275992.00000000
N
6129612.00000000
0.00000000
N
N
N
AdvisorShares Hotel ETF
S000071546
54930052HGMWX3OY3M33
N
0
0
0
Exchange-Traded Fund
Y
N
Y
N
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
492041.56000000
1499.46000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
AdvisorShares Investments, LLC
801-70457
000149782
N/A
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Refinitiv US LLC
213800HQORQAP68CJJ04
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Depository Trust Company
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
8644.52000000
8645.00000000
CITADEL SECURITIES LLC
008-53574
000116797
12UUJYTN7D3SW8KCSG25
1811019.25000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
1259846.10000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
7690325.79000000
10761191.00000000
Y
8097526.00000000
0.00000000
N
N
N
AdvisorShares North Square McKee Core Reserves ETF
S000039806
N
5000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
AdvisorShares Gerber Kawasaki ETF
S000072084
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5000.00000000
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1.42000000
98.31000000
1.42000000
-0.29000000
2.53000000
100.29000000
2.53000000
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500.00000000
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500.00000000
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500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
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AdvisorShares Drone Technology ETF
S000075536
Y
5000.00000000
5.60000000
0.00000000
94.40000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
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0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
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AdvisorShares DoubleLine Value Equity ETF
S000031813
Y
5000.00000000
2.88000000
0.58000000
97.12000000
0.58000000
2.01000000
0.37000000
97.99000000
0.37000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
AdvisorShares STAR Global Buy-Write ETF
S000034456
Y
5000.00000000
6.31000000
1.31000000
93.69000000
1.31000000
6.80000000
0.00000000
93.20000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
AdvisorShares Dorsey Wright Alpha Equal Weight ETF
S000067382
Y
5000.00000000
0.08000000
0.25000000
99.92000000
0.25000000
1.42000000
9.84000000
98.58000000
9.84000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
506.25000000
0.00000000
0.00000000
506.25000000
0.00000000
Y
AdvisorShares Newfleet Multi-Sector Income ETF
S000038247
N
5000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
550.00000000
0.00000000
0.00000000
550.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
AdvisorShares Dorsey Wright FSM US Core ETF
S000067384
Y
5000.00000000
0.24000000
0.11000000
99.76000000
0.11000000
1.97000000
0.66000000
98.03000000
0.66000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
AdvisorShares North Square McKee ESG Core Bond ETF
S000031216
Y
5000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.45000000
0.02000000
99.55000000
0.02000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
AdvisorShares Pure Cannabis ETF
S000065228
Y
5000.00000000
15.79000000
0.00000000
84.21000000
0.00000000
37.12000000
15.47000000
62.88000000
15.47000000
0.00000000
500.00000000
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500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
AdvisorShares Vice ETF
S000059263
Y
5000.00000000
0.00000000
0.00000000
0.00000000
0.00000000
4.58000000
4.33000000
95.42000000
4.33000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
AdvisorShares Dorsey Wright FSM All Cap World ETF
S000067383
Y
5000.00000000
0.20000000
0.18000000
99.80000000
0.18000000
0.87000000
0.28000000
99.13000000
0.28000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
AdvisorShares Let Bob AI Powered Momentum ETF
S000075085
Y
5000.00000000
94.20000000
23.91000000
5.80000000
23.91000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
Y
AdvisorShares Restaurant ETF
S000071547
Y
5000.00000000
0.00000000
0.00000000
0.00000000
0.00000000
1.95000000
2.52000000
98.05000000
2.52000000
0.00000000
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0.00000000
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500.00000000
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0.00000000
500.00000000
0.00000000
Y
AdvisorShares Dorsey Wright Micro-Cap ETF
S000062083
Y
5000.00000000
0.56000000
0.47000000
99.44000000
0.47000000
0.12000000
0.07000000
99.88000000
0.07000000
0.00000000
510.00000000
0.00000000
0.00000000
510.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
AdvisorShares Q Portfolio Blended Allocation ETF
S000070110
Y
5000.00000000
3.02000000
0.21000000
96.98000000
0.21000000
2.74000000
0.09000000
97.26000000
0.09000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
AdvisorShares Psychedelics ETF
S000072085
Y
5000.00000000
21.23000000
7.95000000
78.77000000
7.95000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
Y
AdvisorShares Dorsey Wright Short ETF
S000062084
N
5000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
AdvisorShares Alpha DNA Equity Sentiment ETF
S000070646
Y
5000.00000000
2.93000000
1.18000000
97.07000000
1.18000000
2.26000000
2.02000000
97.74000000
2.02000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
AdvisorShares Q Dynamic Growth ETF
S000070111
Y
5000.00000000
2.77000000
0.29000000
97.23000000
0.29000000
2.72000000
0.31000000
97.28000000
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0.00000000
503.00000000
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503.00000000
0.00000000
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500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
AdvisorShares Dorsey Wright ADR ETF
S000026954
Y
5000.00000000
0.00000000
0.00000000
0.00000000
0.00000000
1.44000000
0.77000000
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0.77000000
0.00000000
0.00000000
0.00000000
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0.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
AdvisorShares Ranger Equity Bear ETF
S000030090
N
5000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
502.60000000
0.00000000
0.00000000
502.60000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
AdvisorShares Managed Bitcoin Strategy ETF
S000074207
Y
5000.00000000
28.14000000
18.76000000
71.86000000
18.76000000
29.64000000
12.01000000
70.36000000
12.01000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
AdvisorShares Pure US Cannabis ETF
S000066948
Y
5000.00000000
84.96000000
2.85000000
15.04000000
2.85000000
84.77000000
3.08000000
15.23000000
3.08000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
AdvisorShares Focused Equity ETF
S000055090
Y
5000.00000000
0.91000000
0.70000000
99.09000000
0.70000000
2.25000000
0.90000000
97.75000000
0.90000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
AdvisorShares Poseidon Dynamic Cannabis ETF
S000074074
Y
5000.00000000
80.30000000
17.93000000
19.70000000
17.93000000
72.47000000
0.00000000
27.53000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
AdvisorShares Hotel ETF
S000071546
Y
5000.00000000
4.58000000
4.00000000
95.42000000
4.00000000
3.39000000
3.09000000
96.61000000
3.09000000
0.00000000
500.00000000
0.00000000
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0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
Y
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INTERNAL CONTROL RPT
2
AdvisorShares-NCEN-2022.htm
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
Shareholders and Board of Trustees
AdvisorShares Trust
In planning and performing our audits of the financial statements of the Alpha DNA Equity Sentiment ETF, Dorsey Wright ADR ETF, Dorsey Wright Alpha Equal Weight ETF, Dorsey Wright FSM All Cap World ETF, Dorsey Wright FSM US Core ETF, Dorsey Wright Micro-Cap ETF, Dorsey Wright Short ETF, DoubleLine Value Equity ETF, Drone Technology ETF, Focused Equity ETF, Gerber Kawasaki ETF, Hotel ETF, Let Bob Al Powered Momentum ETF, Managed Bitcoin Strategy ETF, Newfleet Multi-Sector Income ETF, North Square McKee Core Reserves ETF (formerly known as AdvisorShares Sage Core Reserves ETF), North Square McKee ESG Core Bond ETF (formerly known as AdvisorShares FolioBeyond Smart Core Bond ETF), Poseidon Dynamic Cannabis ETF, Psychedelics ETF, Pure Cannabis ETF, Pure US Cannabis ETF, Q Dynamic Growth ETF, Q Portfolio Blended Allocation ETF, Ranger Equity Bear ETF, Restaurant ETF, STAR Global Buy-Write ETF, Vice ETF (the “Funds”), as of and for the year ended June 30, 2022, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Funds’ internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Funds’ internal control over financial reporting. Accordingly, we express no such opinion.
The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’s assets that could have a material effect on the financial statements.
Because of inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company’s annual or interim financial statements will not be prevented or detected on a timely basis.
Our consideration of the Funds’ internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Funds’ internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be material weaknesses as defined above as of June 30, 2022.
This report is intended solely for the information and use of management, the Board of Trustees of the AdvisorShares Trust and the Securities and Exchange Commission, and is not intended to be and should not be used by anyone other than these specified parties.
/s/ TAIT, WELLER & BAKER LLP
Philadelphia, Pennsylvania
August 29, 2022