Vault-13

ALPS ETF TR OUSM

OSHARES US SMLCP · ETP · CUSIP 00162Q395

56 institutional holders +5 vs Q1 2023
5,204,5745.2m shares reported held*
$190.9mreported value*
8 new 26 added 12 reduced 4 sold out net bought ≈ $71.9m (+2.0m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $36.68.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 41Q4 22: 43Q1 23: 51Q2 23: 5656Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 202241
Q4 202243
Q1 202351
Q2 202356

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
40040Q4 22: 25 bought or addedQ4 22: 14 cut or sold outQ4 22Q1 23: 30 bought or addedQ1 23: 11 cut or sold outQ1 23Q2 23: 34 bought or addedQ2 23: 16 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20222514
Q1 20233011
Q2 20233416

Biggest buyers

AMERIPRISE FINANCIAL INC New +684,678+684.7k
WELLS FARGO & COMPANY/MN Added +442,319+442.3k
Thrivent Financial for Lutherans New +219,831+219.8k
Raymond James Financial Services Advisors, Inc. Added +179,702+179.7k
LPL Financial LLC Added +126,566+126.6k
BANK OF AMERICA CORP /DE/ Added +90,086+90.1k
MORGAN STANLEY Added +52,006+52.0k
COMMONWEALTH EQUITY SERVICES, LLC Added +41,713+41.7k
LEVEL FOUR ADVISORY SERVICES, LLC New +21,660+21.7k
KESTRA PRIVATE WEALTH SERVICES, LLC Added +15,396+15.4k

Biggest sellers

CITADEL ADVISORS LLC Sold out -7,088-7.1k
Stonehearth Capital Management, LLC Reduced -4,574-4.6k
JPMORGAN CHASE & CO Sold out -1,185-1.2k
Private Advisor Group, LLC Reduced -1,180-1.2k
Steward Partners Investment Advisory, LLC Reduced -1,081-1.1k
Sigma Planning Corp Reduced -689-689
Janney Montgomery Scott LLC Reduced -500-500
HighTower Advisors, LLC Reduced -300-300
Diligent Investors, LLC Reduced -300-300
Gladstone Institutional Advisory LLC Reduced -241-241

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 812,781812.8k $29.8m $29.8m 0.01% Added +442.3k +442,319
2 AMERIPRISE FINANCIAL INC 0.01% of their portfolio MINNEAPOLIS, MN 684,678684.7k $25.1m $25.1m 0.01% New
3 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 547,054547.1k $20.1m $20.1m 0.00% Added +52.0k +52,006
4 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 427,269427.3k $15.7m $15.7m 0.00% Added +90.1k +90,086
5 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 403,787403.8k $14.8m $14.8m 0.01% Added +126.6k +126,566
6 Stonehearth Capital Management, LLC 6.28% of their portfolio DANVERS, MA 324,937324.9k $11.9m $11.9m 6.28% Reduced -4.6k -4,574
7 UBS Group AG 0.01% of their portfolio ZURICH, V8 319,904319.9k $11.7m $11.7m 0.01% Added +14.3k +14,349
8 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 221,444221.4k $8.1m $8.1m 0.01% Added +179.7k +179,702
9 Thrivent Financial for Lutherans 0.02% of their portfolio Minneapolis, MN 219,831219.8k $8.0m $8.0m 0.02% New
10 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 142,592142.6k $5.2m $5.2m 0.01% Added +5.2k +5,237
11 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 134,627134.6k $4.9m $4.9m 0.00% Added +4.3k +4,320
12 AVANTAX ADVISORY SERVICES, INC. 0.05% of their portfolio DALLAS, TX 110,945110.9k $4.1m $4.1m 0.05% Added +2.9k +2,936
13 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 85,76385.8k $3.1m $3.1m 0.01% Added +41.7k +41,713
14 Wealthspire Advisors, LLC 0.04% of their portfolio NEW YORK, NY 64,00064.0k $2.3m $2.3m 0.04% Unchanged
15 KESTRA PRIVATE WEALTH SERVICES, LLC 0.07% of their portfolio AUSTIN, TX 58,31758.3k $2.1m $2.1m 0.07% Added +15.4k +15,396
16 BARNES PETTEY FINANCIAL ADVISORS, LLC 1.83% of their portfolio CLARKSDALE, MS 57,70157.7k $2.1m $2.1m 1.83% Added +1.2k +1,171
17 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 56,79756.8k $2.1m $2.1m 0.02% Reduced -1.2k -1,180
18 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 47,71447.7k $1.7m $1.7m 0.00% Added +12.3k +12,333
19 BROWN ADVISORY INC 0.00% of their portfolio BALTIMORE, MD 43,28043.3k $1.6m $1.6m 0.00% Unchanged
20 Park Edge Advisors, LLC 0.43% of their portfolio Cleveland, OH 35,00435.0k $1.3m $1.3m 0.43% Reduced -139 -139
21 Steward Partners Investment Advisory, LLC 0.02% of their portfolio STAMFORD, CT 32,45532.5k $1.2m $1.2m 0.02% Reduced -1.1k -1,081
22 Clay Northam Wealth Management, LLC 1.08% of their portfolio HUNTINGTON BEACH, CA 30,91730.9k $1.1m $1.1m 1.08% Added +1.3k +1,305
23 SHEETS SMITH WEALTH MANAGEMENT 0.16% of their portfolio WINSTON-SALEM, NC 29,51629.5k $1.1m $1.1m 0.16% Added +18 +18
24 J.P. Morgan Private Wealth Advisors LLC 0.01% of their portfolio SAN FRANCISCO, CA 27,31327.3k $1.0m $1.0m 0.01% Added +13.3k +13,343
25 Empirical Asset Management, LLC 0.80% of their portfolio WELLESLEY, MA 24,63324.6k $904.0k $904.0k 0.80% Added +1.0k +1,012
26 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 22,11622.1k $812.0k $812.0k 0.00% Added +450 +450
27 ORG Partners LLC 0.13% of their portfolio ROANOKE, IN 22,03522.0k $809.2k $809.2k 0.13% Added +9.5k +9,498
28 LEVEL FOUR ADVISORY SERVICES, LLC 0.05% of their portfolio DALLAS, TX 21,66021.7k $794.9k $794.9k 0.05% New
29 Acorn Wealth Advisors, LLC 0.47% of their portfolio Grand Blanc, MI 18,93518.9k $694.9k $694.9k 0.47% Added +2.2k +2,225
30 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 18,46118.5k $677.5k $677.5k 0.02% Added +2.4k +2,443
31 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 17,61217.6k $646.4k $646.4k 0.00% Unchanged
32 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 16,53916.5k $607.0k $607.0k 0.00% Added +10.0k +9,992
33 Sigma Planning Corp 0.02% of their portfolio ANN ARBOR, MI 14,68614.7k $539.0k $539.0k 0.02% Reduced -689 -689
34 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 14,66714.7k $538.3k $538.3k 0.00% Added +146 +146
35 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 12,98413.0k $477.0k $477.0k 0.00% Reduced -500 -500
36 Cambridge Advisors Inc. 0.11% of their portfolio OMAHA, NE 11,25511.3k $413.1k $413.1k 0.11% Reduced -61 -61
37 THOROUGHBRED FINANCIAL SERVICES, LLC 0.05% of their portfolio BRENTWOOD, TN 10,55710.6k $387.0k $387.0k 0.05% New
38 Capital Advisors, Ltd. LLC 0.06% of their portfolio SHAKER HEIGHTS, OH 10,34510.3k $380.0k $380.0k 0.06% Added +5 +5
39 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 9,0309.0k $331.0k $331.0k 0.00% Reduced -300 -300
40 MML INVESTORS SERVICES, LLC 0.00% of their portfolio SPRINGFIELD, MA 7,5777.6k $278.0k $278.0k 0.00% New
41 Diligent Investors, LLC 0.08% of their portfolio REDLANDS, CA 7,2807.3k $267.2k $267.2k 0.08% Reduced -300 -300
42 Gladstone Institutional Advisory LLC 0.02% of their portfolio Bedminster, NJ 7,0847.1k $260.0k $260.0k 0.02% Reduced -241 -241
43 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 6,8076.8k $249.8k $249.8k 0.00% Reduced -155 -155
44 Farther Finance Advisors, LLC 0.02% of their portfolio SAN FRANCISCO, CA 2,3542.4k $86.4k $86.4k 0.02% Unchanged
45 GoalVest Advisory LLC 0.04% of their portfolio New York, NY 2,2172.2k $81.4k $81.4k 0.04% Unchanged
46 IFP Advisors, Inc 0.00% of their portfolio TAMPA, FL 1,9582.0k $66.3k $66.3k 0.00% Added +982 +982
47 Tower Research Capital LLC (TRC) 0.00% of their portfolio NEW YORK, NY 1,5951.6k $58.5k $58.5k 0.00% Added +668 +668
48 Canton Hathaway, LLC 0.01% of their portfolio PROVIDENCE, RI 1,0001.0k $37.0k $37.0k 0.01% Unchanged
49 PRIVATE TRUST CO NA 0.00% of their portfolio CLEVELAND, OH 973973 $35.7k $35.7k 0.00% New
50 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 600600 $22.0k $22.0k 0.00% New
51 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 400400 $14.7k $14.7k 0.00% Unchanged
52 Robinswood Financial LLC 0.00% of their portfolio KIRKLAND, WA 285285 $10.5k $10.5k 0.00% First filing
53 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 246246 $9.0k $9.0k 0.00% New
54 USA FINANCIAL FORMULAS 0.00% of their portfolio ADA, MI 5353 $1.9k $1.9k 0.00% Unchanged
55 FMR LLC 0.00% of their portfolio BOSTON, MA 44 $147 $147 0.00% Reduced -10 -10
56 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged