Vault-13

ALPS ETF TR SDOG

SECTR DIV DOGS · ETP · CUSIP 00162Q858

137 institutional holders +6 vs Q3 2023
8,599,4398.6m shares reported held*
$440.8mreported value*
13 new 33 added 46 reduced 14 sold out net bought ≈ $33.0m (+644.6k 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 ≈ $51.26. Options: 1 managers hold calls ($302.4k notional), 0 hold puts (—).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 139Q4 22: 150Q1 23: 147Q2 23: 140Q3 23: 131Q4 23: 137137Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022139
Q4 2022150
Q1 2023147
Q2 2023140
Q3 2023131
Q4 2023137

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 23Q4 23: 46 bought or addedQ4 23: 60 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20226153
Q1 20236048
Q2 20234567
Q3 20234763
Q4 20234660

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$100k$200k$300k$400kQ1 23 calls: $0Q1 23 puts: $0Q1 23P/C —Q2 23 calls: $0Q2 23 puts: $0Q2 23P/C —Q3 23 calls: $0Q3 23 puts: $0Q3 23P/C —Q4 23 calls: $302.4kQ4 23 puts: $0Q4 23P/C 0.00
Numbers
QuarterCallsPutsP/C
Q1 2023$0$0—
Q2 2023$0$0—
Q3 2023$0$0—
Q4 2023$302.4k$00.00

Biggest buyers

MORGAN STANLEY Added +1,078,553+1.1m
BANK OF AMERICA CORP /DE/ Added +115,011+115.0k
Dynamic Advisor Solutions LLC New +62,930+62.9k
Del-Sette Capital Management, LLC Added +54,771+54.8k
Meridian Wealth Management, LLC New +41,116+41.1k
Kestra Advisory Services, LLC New +29,029+29.0k
Apollon Wealth Management, LLC Added +8,794+8.8k
JPMORGAN CHASE & CO Added +8,356+8.4k
WELLS FARGO & COMPANY/MN Added +7,822+7.8k
GSA CAPITAL PARTNERS LLP New +5,480+5.5k

Biggest sellers

UNITED CAPITAL FINANCIAL ADVISORS, LLC Reduced -259,245-259.2k
ROYAL BANK OF CANADA Reduced -157,867-157.9k
LPL Financial LLC Reduced -46,966-47.0k
RAYMOND JAMES & ASSOCIATES Reduced -46,195-46.2k
AMERIPRISE FINANCIAL INC Reduced -41,196-41.2k
Raymond James Financial Services Advisors, Inc. Reduced -37,025-37.0k
MTM FINANCIAL GROUP, LLC Reduced -26,900-26.9k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -19,665-19.7k
GOLDMAN SACHS GROUP INC Sold out -18,104-18.1k
Janney Montgomery Scott LLC Reduced -15,555-15.6k

Biggest calls

Belvedere Trading LLC New $302.4k5.9k shares

Biggest puts

None

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 2,352,8162.4m $120.6m $120.6m 0.01% Added +1.1m +1,078,553
2 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 1,679,7181.7m $86.1m $86.1m 0.01% Added +115.0k +115,011
3 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 871,337871.3k $44.7m $44.7m 0.01% Added +7.8k +7,822
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 434,101434.1k $22.3m $22.3m 0.01% Reduced -14.6k -14,566
5 COMMONWEALTH EQUITY SERVICES, LLC 0.03% of their portfolio WALTHAM, MA 370,423370.4k $19.0m $19.0m 0.03% Reduced -15.3k -15,313
6 Del-Sette Capital Management, LLC 16.22% of their portfolio SCHENECTADY, NY 359,816359.8k $18.4m $18.4m 16.22% Added +54.8k +54,771
7 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 225,208225.2k $11.5m $11.5m 0.01% Reduced -47.0k -46,966
8 Janney Montgomery Scott LLC 0.03% of their portfolio PHILADELPHIA, PA 160,957161.0k $8.3m $8.3m 0.03% Reduced -15.6k -15,555
9 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 154,751154.8k $7.9m $7.9m 0.00% Reduced -157.9k -157,867
10 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 142,153142.2k $7.3m $7.3m 0.01% Reduced -46.2k -46,195
11 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 139,176139.2k $7.1m $7.1m 0.01% Reduced -37.0k -37,025
12 MTM FINANCIAL GROUP, LLC 5.10% of their portfolio BETHLEHEM, PA 136,363136.4k $7.0m $7.0m 5.10% Reduced -26.9k -26,900
13 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.04% of their portfolio IRVING, TX 90,83790.8k $4.7m $4.7m 0.04% Reduced -259.2k -259,245
14 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 80,13280.1k $4.1m $4.1m 0.01% Reduced -2.6k -2,631
15 Dynamic Advisor Solutions LLC 0.12% of their portfolio PHOENIX, AZ 62,93062.9k $3.2m $3.2m 0.12% New
16 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 61,90861.9k $3.2m $3.2m 0.00% Reduced -41.2k -41,196
17 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 58,57458.6k $3.0m $3.0m 0.00% Reduced -1.4k -1,448
18 Capital Investment Counsel, LLC 0.95% of their portfolio DENVER, CO 49,34349.3k $2.5m $2.5m 0.95% First filing
19 Integrated Wealth Concepts LLC 0.04% of their portfolio WALTHAM, MA 46,25946.3k $2.4m $2.4m 0.04% Added +45 +45
20 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 43,99944.0k $2.3m $2.3m 0.01% Reduced -1.6k -1,612
21 Joseph P. Lucia & Associates, LLC 1.40% of their portfolio Yorktown Heights, NY 43,89843.9k $2.3m $2.3m 1.40% Reduced -1.4k -1,361
22 Meridian Wealth Management, LLC 0.13% of their portfolio LEXINGTON, KY 41,11641.1k $2.1m $2.1m 0.13% New
23 CAHILL FINANCIAL ADVISORS INC 0.27% of their portfolio EDINA, MN 35,69835.7k $1.8m $1.8m 0.27% Reduced -357 -357
24 Apollon Wealth Management, LLC 0.06% of their portfolio MOUNT PLEASANT, SC 33,61633.6k $1.7m $1.7m 0.06% Added +8.8k +8,794
25 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 31,57731.6k $1.6m $1.6m 0.01% Reduced -637 -637
26 MONEY CONCEPTS CAPITAL CORP 0.15% of their portfolio PALM BEACH GARDENS, FL 31,45531.5k $1.6m $1.6m 0.15% Reduced -970 -970
27 Steward Partners Investment Advisory, LLC 0.02% of their portfolio STAMFORD, CT 31,11531.1k $1.6m $1.6m 0.02% Added +401 +401
28 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 29,02929.0k $1.5m $1.5m 0.01% New
29 Federation des caisses Desjardins du Quebec 0.01% of their portfolio LEVIS, A8 28,85028.9k $1.5m $1.5m 0.01% Reduced -343 -343
30 Sage Capital Management, LLC 0.88% of their portfolio Stockton, NJ 28,56028.6k $1.5m $1.5m 0.88% First filing
31 JPL Wealth Management, LLC 1.05% of their portfolio GREENWOOD VILLAGE, CO 28,37328.4k $1.5m $1.5m 1.05% First filing
32 Cypress Wealth Services, LLC 0.32% of their portfolio PALM DESERT, CA 24,79124.8k $1.3m $1.3m 0.32% Reduced -4.6k -4,601
33 Allworth Financial LP 0.01% of their portfolio FOLSOM, CA 24,64424.6k $1.3m $1.3m 0.01% Reduced -2.8k -2,760
34 D.A. DAVIDSON & CO. 0.01% of their portfolio GREAT FALLS, MT 23,33223.3k $1.2m $1.2m 0.01% Reduced -532 -532
35 Gateway Advisory, LLC 0.23% of their portfolio WESTFIELD, NJ 23,32223.3k $1.2m $1.2m 0.23% Added +84 +84
36 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 22,65122.7k $1.2m $1.2m 0.01% Reduced -168 -168
37 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 22,23622.2k $1.1m $1.1m 0.01% Added +543 +543
38 Heartwood Wealth Advisors LLC 0.15% of their portfolio RICHMOND, VA 21,88221.9k $1.1m $1.1m 0.15% Reduced -2.6k -2,605
39 Investors Research Corp 0.27% of their portfolio ATLANTA, GA 21,79921.8k $1.1m $1.1m 0.27% Reduced -467 -467
40 PFG Advisors 0.09% of their portfolio Phoenix, AZ 21,27321.3k $1.1m $1.1m 0.09% Reduced -7.9k -7,855
41 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 21,18821.2k $1.1m $1.1m 0.00% Reduced -3.8k -3,767
42 Great Diamond Partners, LLC 0.25% of their portfolio Portland, ME 19,40519.4k $994.7k $994.7k 0.25% Added +1.2k +1,235
43 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 18,78518.8k $962.9k $962.9k 0.01% Reduced -1.7k -1,731
44 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 18,16518.2k $931.1k $931.1k 0.00% Reduced -945 -945
45 Madden Advisory Services, Inc. 0.48% of their portfolio Jacksonville, FL 16,47416.5k $844.5k $844.5k 0.48% Added +191 +191
46 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 16,10016.1k $825.4k $825.4k 0.00% Added +8.4k +8,356
47 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 15,67415.7k $803.4k $803.4k 0.01% Added +3.6k +3,650
48 Wealthcare Advisory Partners LLC 0.03% of their portfolio WEST CHESTER, PA 15,65315.7k $802.4k $802.4k 0.03% Added +284 +284
49 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 15,00015.0k $768.9k $768.9k 0.00% Added +5.4k +5,396
50 Mariner, LLC 0.00% of their portfolio Overland Park, KS 14,12914.1k $724.2k $724.2k 0.00% Added +3.8k +3,765
51 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 13,43313.4k $688.6k $688.6k 0.00% Reduced -19.7k -19,665
52 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 12,70712.7k $651.4k $651.4k 0.01% Added +4.4k +4,388
53 BKM Wealth Management, LLC 0.27% of their portfolio BROOKFIELD, WI 12,22312.2k $626.5k $626.5k 0.27% First filing
54 Prospera Financial Services Inc 0.02% of their portfolio Dallas, TX 11,88411.9k $609.2k $609.2k 0.02% Added +1.4k +1,415
55 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 10,42810.4k $534.5k $534.5k 0.00% Added +1.2k +1,225
56 TOCQUEVILLE ASSET MANAGEMENT L.P. 0.01% of their portfolio New York, NY 10,36510.4k $531.3k $531.3k 0.01% Reduced -75 -75
57 DB Wealth Management Group, LLC 0.26% of their portfolio SAN DIEGO, CA 8,8688.9k $454.5k $454.5k 0.26% Reduced -3.0k -3,000
58 HARBOUR INVESTMENTS, INC. 0.02% of their portfolio MADISON, WI 8,0348.0k $411.8k $411.8k 0.02% Added +1.8k +1,839
59 Tradition Wealth Management, LLC 0.04% of their portfolio EDINA, MN 7,9147.9k $406.0k $406.0k 0.04% Added +84 +84
60 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 7,8067.8k $400.1k $400.1k 0.00% Reduced -2.1k -2,096
61 Snowden Capital Advisors LLC 0.01% of their portfolio New York, NY 7,6347.6k $391.3k $391.3k 0.01% Reduced -525 -525
62 Keystone Financial Group 0.07% of their portfolio LEXINGTON, KY 7,4237.4k $380.5k $380.5k 0.07% Reduced -136 -136
63 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 7,3857.4k $378.5k $378.5k 0.00% Reduced -1.9k -1,886
64 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.03% of their portfolio CEDAR RAPIDS, IA 7,3717.4k $377.9k $377.9k 0.03% Added +2 +2
65 Beacon Pointe Advisors, LLC 0.00% of their portfolio NEWPORT BEACH, CA 7,3647.4k $377.5k $377.5k 0.00% Reduced -605 -605
66 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 7,2757.3k $372.9k $372.9k 0.00% Reduced -223 -223
67 Pinnacle Bancorp, Inc. 0.11% of their portfolio BEATRICE, NE 6,7006.7k $343.4k $343.4k 0.11% Unchanged
68 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 6,4716.5k $331.7k $331.7k 0.00% Added +485 +485
69 FMR LLC 0.00% of their portfolio BOSTON, MA 6,3616.4k $326.1k $326.1k 0.00% Added +2.5k +2,502
70 J.W. COLE ADVISORS, INC. 0.02% of their portfolio TAMPA, FL 6,3346.3k $324.7k $324.7k 0.02% Added +1.7k +1,686
71 Tyche Wealth Partners LLC 0.08% of their portfolio PLANO, TX 6,1576.2k $315.6k $315.6k 0.08% First filing
72 Ancora Advisors LLC 0.01% of their portfolio Cleveland, OH 6,0696.1k $311.1k $311.1k 0.01% Unchanged
73 GILL CAPITAL PARTNERS, LLC 0.13% of their portfolio DENVER, CO 6,0396.0k $309.6k $309.6k 0.13% Reduced -950 -950
74 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 5,9135.9k $303.1k $303.1k 0.00% Added +365 +365
75 Aspen Grove Capital, LLC 0.09% of their portfolio AVON, CO 5,7505.8k $294.7k $294.7k 0.09% Unchanged
76 Redwood Financial Network Corp 0.27% of their portfolio SOLON, OH 5,4835.5k $281.1k $281.1k 0.27% Reduced -88 -88
77 GSA CAPITAL PARTNERS LLP 0.02% of their portfolio LONDON, X0 5,4805.5k $281.0k $281.0k 0.02% New
78 WEALTHSOURCE PARTNERS, LLC 0.02% of their portfolio SAN LUIS OBISPO, CA 5,2825.3k $270.8k $270.8k 0.02% Unchanged
79 COMERICA BANK 0.00% of their portfolio DALLAS, TX 5,2075.2k $266.9k $266.9k 0.00% Reduced -333 -333
80 Commonwealth Financial Services, LLC 0.06% of their portfolio VIENNA, WV 5,1705.2k $265.0k $265.0k 0.06% Unchanged
81 PFG Investments, LLC 0.05% of their portfolio WOODBURY, NY 5,0285.0k $257.7k $257.7k 0.05% Reduced -380 -380
82 Convergence Financial, LLC 0.11% of their portfolio COLUMBIA, MO 4,8894.9k $250.6k $250.6k 0.11% Unchanged
83 Lido Advisors, LLC 0.00% of their portfolio Los Angeles, CA 4,8094.8k $246.5k $246.5k 0.00% New
84 CENTRAL VALLEY ADVISORS, LLC 0.14% of their portfolio SACRAMENTO, CA 4,8004.8k $246.1k $246.1k 0.14% First filing
85 Retirement Group, LLC 0.10% of their portfolio SAN DIEGO, CA 4,7254.7k $242.2k $242.2k 0.10% Unchanged
86 Dana Investment Advisors, Inc. 0.01% of their portfolio BROOKFIELD, WI 4,7204.7k $241.9k $241.9k 0.01% Unchanged
87 Well Done, LLC 0.05% of their portfolio HOLLAND, MI 4,6824.7k $240.0k $240.0k 0.05% Added +4 +4
88 MKT Advisors LLC 0.15% of their portfolio CARLSBAD, CA 4,4184.4k $228.0k $228.0k 0.15% Unchanged
89 Ironsides Asset Advisors, LLC 0.10% of their portfolio ROCKY MOUNT, NC 4,3504.3k $223.0k $223.0k 0.10% Reduced -4.5k -4,451
90 Hudock, Inc. 0.05% of their portfolio Williamsport, PA 4,2854.3k $219.7k $219.7k 0.05% Reduced -176 -176
91 TIAA TRUST, NATIONAL ASSOCIATION 0.00% of their portfolio CHARLOTTE, NC 4,2704.3k $218.9k $218.9k 0.00% Unchanged
92 Simmons Bank 0.02% of their portfolio Pine Bluff, AR 4,1834.2k $214.4k $214.4k 0.02% Reduced -4.2k -4,250
93 PRIVATE TRUST CO NA 0.03% of their portfolio CLEVELAND, OH 4,1654.2k $213.5k $213.5k 0.03% Unchanged
94 LEVEL FOUR ADVISORY SERVICES, LLC 0.01% of their portfolio DALLAS, TX 4,1084.1k $210.6k $210.6k 0.01% New
95 HENGEHOLD CAPITAL MANAGEMENT LLC 0.02% of their portfolio CINCINNATI, OH 3,9303.9k $201.5k $201.5k 0.02% New
96 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 3,9303.9k $201.5k $201.5k 0.00% New
97 Parallel Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 3,2503.2k $166.6k $166.6k 0.00% New
98 LANARK FINANCIAL, INC. 0.02% of their portfolio BIRMINGHAM, AL 3,0153.0k $154.0k $154.0k 0.02% Unchanged
99 Tennessee Valley Asset Management Partners 0.02% of their portfolio KNOXVILLE, TN 2,9753.0k $152.5k $152.5k 0.02% New
100 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 2,9703.0k $152.2k $152.2k 0.00% Added +2.0k +1,995