Vault-13

ALPS ETF TR SDOG

SECTR DIV DOGS · ETP · CUSIP 00162Q858

131 institutional holders -9 vs Q2 2023
7,812,4397.8m shares reported held*
$367.8mreported value*
10 new 37 added 42 reduced 21 sold out net sold ≈ $17.6m (-374.1k 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 ($851.4k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $47.07.

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 139Q4 22: 150Q1 23: 147Q2 23: 140Q3 23: 131131Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022139
Q4 2022150
Q1 2023147
Q2 2023140
Q3 2023131

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 61 bought or addedQ4 22: 53 cut or sold outQ4 22Q1 23: 60 bought or addedQ1 23: 48 cut or sold outQ1 23Q2 23: 45 bought or addedQ2 23: 67 cut or sold outQ2 23Q3 23: 47 bought or addedQ3 23: 63 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20226153
Q1 20236048
Q2 20234567
Q3 20234763

Biggest buyers

OSAIC HOLDINGS, INC. Added +28,626+28.6k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added +16,158+16.2k
Janney Montgomery Scott LLC Added +8,044+8.0k
Aspen Grove Capital, LLC New +5,750+5.8k
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC New +5,548+5.5k
COMERICA BANK New +5,540+5.5k
Rockefeller Capital Management L.P. Added +4,926+4.9k
GTS SECURITIES LLC Added +4,715+4.7k
Tower Research Capital LLC (TRC) Added +4,394+4.4k
ROYAL BANK OF CANADA Added +2,715+2.7k

Biggest sellers

Stratos Wealth Advisors, LLC Sold out -135,058-135.1k
WELLS FARGO & COMPANY/MN Reduced -53,483-53.5k
MORGAN STANLEY Reduced -48,840-48.8k
AMERIPRISE FINANCIAL INC Reduced -20,722-20.7k
DB Wealth Management Group, LLC Reduced -16,710-16.7k
BANK OF AMERICA CORP /DE/ Reduced -16,055-16.1k
JANE STREET GROUP, LLC Sold out -15,381-15.4k
STIFEL FINANCIAL CORP Reduced -12,853-12.9k
FLOW TRADERS U.S. LLC Sold out -12,587-12.6k
UBS Group AG Reduced -11,911-11.9k

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 1,564,7071.6m $73.6m $73.6m 0.01% Reduced -16.1k -16,055
2 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 1,274,2631.3m $59.9m $59.9m 0.01% Reduced -48.8k -48,840
3 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 863,515863.5k $40.6m $40.6m 0.01% Reduced -53.5k -53,483
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 448,667448.7k $21.1m $21.1m 0.01% Reduced -11.9k -11,911
5 COMMONWEALTH EQUITY SERVICES, LLC 0.04% of their portfolio WALTHAM, MA 385,736385.7k $18.1m $18.1m 0.04% Reduced -1.9k -1,943
6 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.11% of their portfolio IRVING, TX 350,082350.1k $16.5m $16.5m 0.11% Added +1.6k +1,596
7 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 312,618312.6k $14.7m $14.7m 0.00% Added +2.7k +2,715
8 Del-Sette Capital Management, LLC 14.11% of their portfolio SCHENECTADY, NY 305,045305.0k $14.3m $14.3m 14.11% Reduced -2.1k -2,138
9 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 272,174272.2k $12.8m $12.8m 0.01% Reduced -9.9k -9,928
10 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 188,348188.3k $8.9m $8.9m 0.01% Reduced -3.1k -3,058
11 Janney Montgomery Scott LLC 0.03% of their portfolio PHILADELPHIA, PA 176,512176.5k $8.3m $8.3m 0.03% Added +8.0k +8,044
12 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 176,201176.2k $8.3m $8.3m 0.02% Added +1.6k +1,566
13 MTM FINANCIAL GROUP, LLC 6.39% of their portfolio BETHLEHEM, PA 163,263163.3k $7.7m $7.7m 6.39% Reduced -2.4k -2,447
14 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 103,104103.1k $4.8m $4.8m 0.00% Reduced -20.7k -20,722
15 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 82,76382.8k $3.9m $3.9m 0.01% Added +28.6k +28,626
16 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 60,02260.0k $2.8m $2.8m 0.00% Reduced -12.9k -12,853
17 Integrated Wealth Concepts LLC 0.04% of their portfolio WALTHAM, MA 46,21446.2k $2.2m $2.2m 0.04% Added +310 +310
18 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 45,61145.6k $2.1m $2.1m 0.01% Added +4.9k +4,926
19 Joseph P. Lucia & Associates, LLC 1.49% of their portfolio Yorktown Heights, NY 45,25945.3k $2.1m $2.1m 1.49% Reduced -887 -887
20 CAHILL FINANCIAL ADVISORS INC 0.28% of their portfolio EDINA, MN 36,05536.1k $1.7m $1.7m 0.28% Added +152 +152
21 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 33,09833.1k $1.6m $1.6m 0.00% Added +16.2k +16,158
22 MONEY CONCEPTS CAPITAL CORP 0.20% of their portfolio PALM BEACH GARDENS, FL 32,42532.4k $1.9m $1.9m 0.20% Added +605 +605
23 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 32,21432.2k $1.5m $1.5m 0.01% Reduced -8 -8
24 Steward Partners Investment Advisory, LLC 0.02% of their portfolio STAMFORD, CT 30,71430.7k $1.4m $1.4m 0.02% Reduced -2.6k -2,571
25 Cypress Wealth Services, LLC 0.38% of their portfolio PALM DESERT, CA 29,39229.4k $1.4m $1.4m 0.38% Added +258 +258
26 Federation des caisses Desjardins du Quebec 0.01% of their portfolio LEVIS, A8 29,19329.2k $1.4m $1.4m 0.01% Added +590 +590
27 PFG Advisors 0.12% of their portfolio Phoenix, AZ 29,12829.1k $1.4m $1.4m 0.12% Reduced -920 -920
28 Allworth Financial LP 0.01% of their portfolio FOLSOM, CA 27,40427.4k $1.3m $1.3m 0.01% Reduced -489 -489
29 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 24,95525.0k $1.2m $1.2m 0.00% Reduced -139 -139
30 Apollon Wealth Management, LLC 0.06% of their portfolio MOUNT PLEASANT, SC 24,82224.8k $1.2m $1.2m 0.06% Reduced -965 -965
31 Heartwood Wealth Advisors LLC 0.17% of their portfolio RICHMOND, VA 24,48724.5k $1.2m $1.2m 0.17% Reduced -2.0k -1,982
32 D.A. DAVIDSON & CO. 0.01% of their portfolio GREAT FALLS, MT 23,86423.9k $1.1m $1.1m 0.01% Added +6 +6
33 Gateway Advisory, LLC 0.22% of their portfolio WESTFIELD, NJ 23,23823.2k $1.1m $1.1m 0.22% Unchanged
34 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 22,81922.8k $1.1m $1.1m 0.01% Reduced -281 -281
35 Investors Research Corp 0.27% of their portfolio ATLANTA, GA 22,26622.3k $1.0m $1.0m 0.27% Reduced -3.2k -3,160
36 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 21,69321.7k $1.0m $1.0m 0.01% Added +286 +286
37 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 20,51620.5k $964.9k $964.9k 0.01% Added +149 +149
38 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 19,11019.1k $898.8k $898.8k 0.00% Added +331 +331
39 Great Diamond Partners, LLC 0.23% of their portfolio Portland, ME 18,17018.2k $854.5k $854.5k 0.23% Reduced -331 -331
40 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 18,10418.1k $851.4k $851.4k 0.00% Reduced -7.3k -7,326
41 Madden Advisory Services, Inc. 0.48% of their portfolio Jacksonville, FL 16,28316.3k $765.8k $765.8k 0.48% Added +719 +719
42 Wealthcare Advisory Partners LLC 0.03% of their portfolio WEST CHESTER, PA 15,36915.4k $722.8k $722.8k 0.03% Reduced -2.3k -2,328
43 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 14,45414.5k $679.8k $679.8k 0.00% Added +2.1k +2,133
44 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 12,02412.0k $565.5k $565.5k 0.01% Added +686 +686
45 DB Wealth Management Group, LLC 0.35% of their portfolio SAN DIEGO, CA 11,86811.9k $558.1k $558.1k 0.35% Reduced -16.7k -16,710
46 GTS SECURITIES LLC 0.01% of their portfolio NEW YORK, NY 11,36711.4k $534.6k $534.6k 0.01% Added +4.7k +4,715
47 Prospera Financial Services Inc 0.02% of their portfolio Dallas, TX 10,46910.5k $492.4k $492.4k 0.02% Added +906 +906
48 TOCQUEVILLE ASSET MANAGEMENT L.P. 0.01% of their portfolio New York, NY 10,44010.4k $491.0k $491.0k 0.01% Reduced -75 -75
49 Mariner, LLC 0.00% of their portfolio Overland Park, KS 10,36410.4k $487.4k $487.4k 0.00% Added +299 +299
50 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 9,9029.9k $465.7k $465.7k 0.00% Reduced -1.3k -1,259
51 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 9,6049.6k $451.7k $451.7k 0.00% Added +4 +4
52 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 9,2719.3k $436.0k $436.0k 0.00% Reduced -3.8k -3,796
53 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 9,2039.2k $432.8k $432.8k 0.00% Unchanged
54 Ironsides Asset Advisors, LLC 0.19% of their portfolio ROCKY MOUNT, NC 8,8018.8k $413.9k $413.9k 0.19% Unchanged
55 Simmons Bank 0.04% of their portfolio Pine Bluff, AR 8,4338.4k $396.6k $396.6k 0.04% Unchanged
56 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 8,3198.3k $391.2k $391.2k 0.00% Reduced -215 -215
57 Tower Research Capital LLC (TRC) 0.01% of their portfolio NEW YORK, NY 8,2488.2k $387.9k $387.9k 0.01% Added +4.4k +4,394
58 Snowden Capital Advisors LLC 0.02% of their portfolio New York, NY 8,1598.2k $383.7k $383.7k 0.02% Unchanged
59 Beacon Pointe Advisors, LLC 0.00% of their portfolio NEWPORT BEACH, CA 7,9698.0k $374.8k $374.8k 0.00% Added +371 +371
60 Tradition Wealth Management, LLC 0.04% of their portfolio EDINA, MN 7,8307.8k $368.0k $368.0k 0.04% Added +89 +89
61 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 7,7447.7k $364.2k $364.2k 0.00% Reduced -1.5k -1,459
62 Strategic Financial Concepts, LLC 0.12% of their portfolio SAN ANTONIO, TX 7,7157.7k $362.8k $362.8k 0.12% Added +88 +88
63 Keystone Financial Group 0.06% of their portfolio LEXINGTON, KY 7,5597.6k $355.5k $355.5k 0.06% Reduced -299 -299
64 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 7,4987.5k $352.6k $352.6k 0.00% Added +227 +227
65 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.03% of their portfolio CEDAR RAPIDS, IA 7,3697.4k $346.6k $346.6k 0.03% Added +338 +338
66 SWEENEY & MICHEL, LLC 0.18% of their portfolio CHICO, CA 7,3487.3k $335.8k $335.8k 0.18% Added +75 +75
67 Geneos Wealth Management Inc. 0.02% of their portfolio ENGLEWOOD, CO 7,2977.3k $343.2k $343.2k 0.02% Unchanged
68 GILL CAPITAL PARTNERS, LLC 0.15% of their portfolio DENVER, CO 6,9897.0k $328.7k $328.7k 0.15% Unchanged
69 Pinnacle Bancorp, Inc. 0.11% of their portfolio BEATRICE, NE 6,7006.7k $315.1k $315.1k 0.11% Unchanged
70 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 6,1956.2k $291.4k $291.4k 0.01% Added +541 +541
71 Clarus Group, Inc. 0.21% of their portfolio HOUSTON, TX 6,1476.1k $289.1k $289.1k 0.21% Reduced -62 -62
72 Ancora Advisors LLC 0.01% of their portfolio Cleveland, OH 6,0696.1k $285.4k $285.4k 0.01% Unchanged
73 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 5,9866.0k $281.5k $281.5k 0.00% Reduced -1.0k -1,012
74 Visionary Wealth Advisors 0.02% of their portfolio O'FALLON, IL 5,7635.8k $271.0k $271.0k 0.02% Reduced -11.6k -11,593
75 Aspen Grove Capital, LLC 0.10% of their portfolio AVON, CO 5,7505.8k $270.4k $270.4k 0.10% New
76 Redwood Financial Network Corp 0.28% of their portfolio SOLON, OH 5,5715.6k $262.0k $262.0k 0.28% Unchanged
77 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 5,5485.5k $260.9k $260.9k 0.00% New
78 COMERICA BANK 0.00% of their portfolio DALLAS, TX 5,5405.5k $260.5k $260.5k 0.00% New
79 PFG Investments, LLC 0.05% of their portfolio WOODBURY, NY 5,4085.4k $254.3k $254.3k 0.05% Added +35 +35
80 WEALTHSOURCE PARTNERS, LLC 0.02% of their portfolio SAN LUIS OBISPO, CA 5,2825.3k $248.4k $248.4k 0.02% Added +61 +61
81 BTS Asset Management, Inc. 0.16% of their portfolio Lincoln, MA 5,1855.2k $243.9k $243.9k 0.16% Reduced -353 -353
82 Commonwealth Financial Services, LLC 0.07% of their portfolio VIENNA, WV 5,1705.2k $243.1k $243.1k 0.07% First filing
83 Convergence Financial, LLC 0.14% of their portfolio COLUMBIA, MO 4,8894.9k $229.9k $229.9k 0.14% Unchanged
84 Retirement Group, LLC 0.09% of their portfolio SAN DIEGO, CA 4,7254.7k $222.2k $222.2k 0.09% Reduced -3.0k -3,000
85 Dana Investment Advisors, Inc. 0.01% of their portfolio BROOKFIELD, WI 4,7204.7k $222.0k $222.0k 0.01% Reduced -1.4k -1,433
86 Well Done, LLC 0.05% of their portfolio HOLLAND, MI 4,6784.7k $220.0k $220.0k 0.05% Added +5 +5
87 J.W. COLE ADVISORS, INC. 0.02% of their portfolio TAMPA, FL 4,6484.6k $218.6k $218.6k 0.02% Unchanged
88 Hudock, Inc. 0.05% of their portfolio Williamsport, PA 4,4614.5k $209.8k $209.8k 0.05% Added +2 +2
89 MKT Advisors LLC 0.15% of their portfolio CARLSBAD, CA 4,4184.4k $204.1k $204.1k 0.15% Unchanged
90 TIAA TRUST, NATIONAL ASSOCIATION 0.00% of their portfolio CHARLOTTE, NC 4,2704.3k $200.8k $200.8k 0.00% First filing
91 PRIVATE TRUST CO NA 0.03% of their portfolio CLEVELAND, OH 4,1654.2k $195.9k $195.9k 0.03% Unchanged
92 Hibernia Wealth Partners, LLC 0.15% of their portfolio BATON ROUGE, LA 3,9884.0k $187.6k $187.6k 0.15% First filing
93 FMR LLC 0.00% of their portfolio BOSTON, MA 3,8593.9k $181.5k $181.5k 0.00% Added +1.2k +1,208
94 LANARK FINANCIAL, INC. 0.02% of their portfolio BIRMINGHAM, AL 3,0153.0k $141.0k $141.0k 0.02% First filing
95 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 2,8862.9k $132.1k $132.1k 0.00% Reduced -530 -530
96 O'SHAUGHNESSY ASSET MANAGEMENT, LLC 0.00% of their portfolio Stamford, CT 2,1302.1k $100.2k $100.2k 0.00% Unchanged
97 Goodman Advisory Group, LLC 0.04% of their portfolio NEEDHAM, MA 1,9952.0k $93.8k $93.8k 0.04% Unchanged
98 Key Financial Inc 0.02% of their portfolio WEST CHESTER, PA 1,0981.1k $51.6k $51.6k 0.02% Unchanged
99 Register Financial Advisors LLC 0.04% of their portfolio ATLANTA, GA 1,0501.1k $49.4k $49.4k 0.04% Unchanged
100 Caldwell Trust Co 0.01% of their portfolio Venice, FL 1,0501.1k $49.4k $49.4k 0.01% Unchanged