Exchange Traded Concepts, Llc
- Regulatory AUM
- $23.0B
- Discretionary
- $23.0B
- Clients
- 130
- Avg AUM / client
- $177M
- Accounts
- 130
- Employees
- 16
AUM over time
Annual snapshots from Form ADV filings · as of Feb 11, 2026
Investments (13F portfolio — 1,514 positions, $14,115,614,407)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | State Str Spdr S&P 500 Etf T | TR UNIT | $585,464,033 | 900,243 | 4.15% | 2.55% |
| 2 | Spdr Series Trust | STATE STREET SPD | $477,353,038 | 6,236,648 | 3.38% | 2.08% |
| 3 | Vanguard Index Fds | S&P 500 ETF SHS | $336,357,310 | 562,894 | 2.38% | 1.47% |
| 4 | Nvidia Corporation | COM | $323,903,006 | 1,857,242 | 2.29% | 1.41% |
| 5 | Roundhill Etf Trust | ULTRA SHORT DUR | $313,622,642 | 3,183,663 | 2.22% | 1.37% |
| 6 | Microsoft Corp | COM | $300,321,512 | 811,307 | 2.13% | 1.31% |
| 7 | Meta Platforms Inc | CL A | $291,163,822 | 508,912 | 2.06% | 1.27% |
| 8 | Tesla Inc | COM | $255,539,091 | 687,395 | 1.81% | 1.11% |
| 9 | Amazon Com Inc | COM | $253,450,219 | 1,216,931 | 1.8% | 1.1% |
| 10 | Invesco Qqq Tr | UNIT SER 1 | $250,378,952 | 433,797 | 1.77% | 1.09% |
| 11 | Apple Inc | COM | $241,303,532 | 950,800 | 1.71% | 1.05% |
| 12 | Ishares Tr | CORE US AGGBD ET | $240,833,388 | 2,426,044 | 1.71% | 1.05% |
| 13 | Listed Fds Tr | ROUNDHILL MAGNIF | $219,241,832 | 3,783,946 | 1.55% | 0.96% |
| 14 | Spdr Series Trust | STATE STREET SPD | $183,444,862 | 7,160,221 | 1.3% | 0.8% |
| 15 | Alphabet Inc | CAP STK CL A | $182,968,101 | 636,278 | 1.3% | 0.8% |
| 16 | Ishares Bitcoin Trust Etf | SHS BEN INT | $159,266,268 | 4,145,400 | 1.13% | 0.69% |
| 17 | Vanguard Scottsdale Fds | VNG RUS2000IDX | $126,874,721 | 1,266,594 | 0.9% | 0.55% |
| 18 | Vanguard Bd Index Fds | LONG TERM BOND | $120,152,332 | 1,746,908 | 0.85% | 0.52% |
| 19 | Schwab Strategic Tr | INT-TRM U.S TRES | $105,045,520 | 4,217,002 | 0.74% | 0.46% |
| 20 | Spdr Series Trust | STATE STREET SPD | $102,660,495 | 1,048,519 | 0.73% | 0.45% |
| 21 | Spdr Index Shs Fds | STATE STREET SPD | $87,294,578 | 1,912,258 | 0.62% | 0.38% |
| 22 | Roundhill Etf Trust | WEEKLY T BILL ET | $86,307,184 | 862,813 | 0.61% | 0.38% |
| 23 | Oneok Inc New | COM | $85,189,863 | 942,470 | 0.6% | 0.37% |
| 24 | Vanguard Index Fds | GROWTH ETF | $83,093,619 | 190,237 | 0.59% | 0.36% |
| 25 | Vanguard Bd Index Fds | SHORT TRM BOND | $82,431,884 | 1,051,293 | 0.58% | 0.36% |
Top 25 of 1,514 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 130 | $23.0B | 100.0% |
People (7)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stevens, James, Garrett | Chief Executive Officer | Jul 2009 (17y) | 10% – 25% | |
| Hogan, Richard, Robert | Officer | Jan 2011 (16y) | ≈ 9.38% – 37.5% via Richard Hogan Revocable Trust | |
| Lowenfels, Dennis, Paul | Chief Compliance Officer | May 2018 (8y) | Less than 5% | |
| Stuart, Todd, Alan | Trustee | Jun 2019 (7y) | GP / trustee / elected manager of Richard Hogan 2001 Gst Trust (indirect) | |
| Malinowski, Richard | General Counsel | Aug 2022 (4y) | Less than 5% | |
| Taylor, Randal, Kyle | Chief Financial Officer | Apr 2023 (3y) | Less than 5% | |
| Serowik, Andrew, Paul | Officer | Jan 2024 (3y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Cottonwood Etf Holdings, Llc | Member | Jul 2011 | A | 50% – 75% |
| Richard Hogan Revocable Trust | Owner | Jan 2011 | B | ≈ 12.5% – 37.5% via Cottonwood Etf Holdings, Llc |
| Richard Hogan 2001 Gst Trust | Owner | Jan 2015 | B | ≈ 12.5% – 37.5% via Cottonwood Etf Holdings, Llc |
Undisclosed: 0% – 40% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Hogan, Richard, Robert: 75% – 100% of Richard Hogan Revocable Trust × 25% – 50% of Cottonwood Etf Holdings, Llc × 50% – 75% direct ≈ 9.38% – 37.5% of the firm
- Richard Hogan Revocable Trust: 25% – 50% of Cottonwood Etf Holdings, Llc × 50% – 75% direct ≈ 12.5% – 37.5% of the firm
- Richard Hogan 2001 Gst Trust: 25% – 50% of Cottonwood Etf Holdings, Llc × 50% – 75% direct ≈ 12.5% – 37.5% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/11/2026 | 1020 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for investment companies
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 11, 2026.
View current Form ADV (SEC/IAPD) ↗