ARK INVESTMENT MANAGEMENT LLC

HTTP://WWW.ARK-INVEST.COM NEW YORK, NY Investment Advisor How do I update this listing?

ARK Investment Management is based out of New York. ARK Investment Management is a large advisory firm with 136 clients and discretionary assets under management (AUM) of $3,335,859,669 (Form ADV from 2019-03-27). Their last reported 13F filing for Q1 2019 included $3,496,649,000 in managed 13F securities and a top 10 holdings concentration of 48.19%. ARK Investment Management's largest holding is NVIDIA Corp. with shares held of 1,289,075. Whalewisdom has at least 11 13F filings, and 17 13G filings

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03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $3.5 Billion
  • Prior Market Value $2.463 Billion
  • New Purchases13 stocks
  • Additional Purchases81 stocks
  • Sold out of12 stocks
  • Reduced holdings in83 stocks
  • Top 10 Holdings % 48.14 %
  • Turnover % [1]:13.02%
  • Turnover Alt % [2]: 17.85 %
  • Time Held Top20:4.40 quarters
  • Time Held Top10:5.20 quarters
  • Time Held All:5.80 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-05-15

Performance for Q1 2019: 3.76%
Performance Last 4 Quarters: -1.65%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR/A (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

ARK INVEST
3 E. 28TH STREET FLOOR 7
NEW YORK NY    10016
Country: United States

Business Phone: 212-426-7040
Fax: 646-668-4134
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 22
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 136
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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ARK INVESTMENT MANAGEMENT LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
WOOD, CATHERINE, DUDDY CHIEF EXECUTIVE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
CARTER, KELLEN CHIEF COMPLIANCE OFFICER; CORPORATE COUNSEL 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2016-03-01
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER; INTERIM GENERAL COUNSEL direct 2016-03-01
WINTON, BRETT, MCKENZIE DIRECTOR OF RESEARCH 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC DIRECTOR OF RESEARCH direct 2013-06-01
STAUDT, THOMAS, GREGORY CHIEF OPERATING OFFICER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC INTERIM CHIEF OPERATING OFFICER; DIRECTOR OF PRODUCT DEVELOPMENT direct 2016-09-01
ARK INVESTMENT MANAGEMENT LP MANAGING MEMEBER 05/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC LIMITED PARTNER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMEBER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2016-07-01
CHAVIS, JAMES, ARTHUR CHIEF FINANCIAL OFFICER; CHIEF ADMINISTRATIVE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER; CHIEF ADMINISTRATIVE OFFICER direct 2018-04-01
WOOD, CATHERINE, DUDDY MEMBER ARK INVESTMENT MANAGEMENT GP LLC 06/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT GP LLC GENERAL PARTNER ARK INVESTMENT MANAGEMENT LP 07/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 2016-07-01
WOOD, CATHERINE, DUDDY PARTNER ARK INVESTMENT MANAGEMENT LP 06/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01

ARK INVESTMENT MANAGEMENT LLC

ownership team - last updated 2017-09-25
Name Title Start Date Direct/Indirect % Ownership
NEEMS, GARY, H. DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2012-01-01
93RD STREET CAPITAL MANAGEMENT, LLC SENIOR MANAGING DIRECTOR, MANAGING MEMBER direct 2005-10-01
CIFC ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2012-01-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR direct 2016-07-01
GRAY, JOHN, CLARKE CHIEF FINANCIAL OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
BKF ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER AND CFO direct 2006-06-01
MANIFOLD PARTNERS LLC CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER direct 2015-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2015-02-01
ARK INVESTMENT MANAGEMENT GP LLC MEMBER 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 2016-07-01
ARK INVESTMENT MANAGEMENT LP MANAGING MEMEBER 05/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC LIMITED PARTNER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMEBER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2016-07-01
NEEDLES, GENE, LOUIS DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
A I M DISTRIBUTORS, INC. PRESIDENT, DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER direct 2004-01-01
AMERICAN BEACON ADVISORS, INC. PRESIDENT & CEO, DIRECTOR direct 2009-04-01
SHAPIRO CAPITAL MANAGEMENT LLC DIRECTOR direct 2016-04-01
SHAPIRO CAPITAL MANAGEMENT LLC DIRECTOR direct 2017-04-01
TOUCHSTONE ADVISORS INC PRESIDENT direct 2008-10-01
AIM PRIVATE ASSET MANAGEMENT, INC. PRESIDENT, DIRECTOR direct 2005-10-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR direct 2016-07-01
ALPHA QUANT ADVISORS, LLC CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2016-10-01
STAUDT, THOMAS, GREGORY INTERIM CHIEF OPERATING OFFICER; DIRECTOR OF PRODUCT DEVELOPMENT 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC INTERIM CHIEF OPERATING OFFICER; DIRECTOR OF PRODUCT DEVELOPMENT direct 2016-09-01
WINTON, BRETT, MCKENZIE DIRECTOR OF RESEARCH 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC DIRECTOR OF RESEARCH direct 2013-06-01
CARTER, KELLEN CHIEF COMPLIANCE OFFICER; INTERIM GENERAL COUNSEL 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2016-03-01
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER; INTERIM GENERAL COUNSEL direct 2016-03-01
WOOD, CATHERINE, DUDDY CHIEF EXECUTIVE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
WOOD, CATHERINE, DUDDY PARTNER ARK INVESTMENT MANAGEMENT LP 06/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT GP LLC GENERAL PARTNER ARK INVESTMENT MANAGEMENT LP 07/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 2016-07-01
WOOD, CATHERINE, DUDDY MEMBER ARK INVESTMENT MANAGEMENT GP LLC 06/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01

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