Vault-13

NEW YORK LIFE INVESTMENTS ET HFXI

NYLI FTSE INTERN · ETP · CUSIP 45409B560

44 institutional holders +9 vs Q1 2023
12,879,98212.9m shares reported held*
$308.7mreported value*
11 new 17 added 7 reduced 2 sold out net bought ≈ $28.3m (+1.2m 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 ≈ $23.96.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 35Q4 22: 33Q1 23: 35Q2 23: 4444Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 202235
Q4 202233
Q1 202335
Q2 202344

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q4 22: 16 bought or addedQ4 22: 10 cut or sold outQ4 22Q1 23: 18 bought or addedQ1 23: 15 cut or sold outQ1 23Q2 23: 28 bought or addedQ2 23: 9 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20221610
Q1 20231815
Q2 2023289

Biggest buyers

Gladstone Institutional Advisory LLC New +273,125+273.1k
BANK OF AMERICA CORP /DE/ Added +270,427+270.4k
MORGAN STANLEY Added +263,291+263.3k
WESPAC Advisors SoCal, LLC Added +231,113+231.1k
LPL Financial LLC Added +210,746+210.7k
Cornerstone Wealth Management, LLC New +153,234+153.2k
FLYNN ZITO CAPITAL MANAGEMENT, LLC Added +101,355+101.4k
Raymond James Financial Services Advisors, Inc. Added +67,919+67.9k
AMERIPRISE FINANCIAL INC Added +56,546+56.5k
OSAIC HOLDINGS, INC. Added +52,986+53.0k

Biggest sellers

New York Life Investment Management LLC Reduced -263,162-263.2k
JANE STREET GROUP, LLC Reduced -199,770-199.8k
CITADEL ADVISORS LLC Sold out -112,494-112.5k
UBS Group AG Reduced -95,432-95.4k
BANK OF MONTREAL /CAN/ Sold out -57,383-57.4k
Revisor Wealth Management LLC Reduced -11,841-11.8k
Ten Capital Wealth Advisors, LLC Reduced -10,386-10.4k
COMMONWEALTH EQUITY SERVICES, LLC Reduced -882-882
WESCAP Management Group, Inc. Reduced -149-149

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 New York Life Investment Management LLC 1.20% of their portfolio New York, NY 4,834,8914.8m $115.8m $115.8m 1.20% Reduced -263.2k -263,162
2 UBS Group AG 0.02% of their portfolio ZURICH, V8 1,715,3691.7m $41.1m $41.1m 0.02% Reduced -95.4k -95,432
3 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 854,986855.0k $20.5m $20.5m 0.00% Added +263.3k +263,291
4 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 691,958692.0k $16.6m $16.6m 0.01% Added +210.7k +210,746
5 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 669,008669.0k $16.0m $16.0m 0.00% Added +270.4k +270,427
6 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 621,801621.8k $14.9m $14.9m 0.00% Added +56.5k +56,546
7 WESPAC Advisors SoCal, LLC 4.45% of their portfolio Pasadena, CA 542,108542.1k $13.0m $13.0m 4.45% Added +231.1k +231,113
8 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 410,251410.3k $9.8m $9.8m 0.02% Added +67.9k +67,919
9 FLYNN ZITO CAPITAL MANAGEMENT, LLC 6.33% of their portfolio GARDEN CITY, NY 391,283391.3k $9.4m $9.4m 6.33% Added +101.4k +101,355
10 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 389,235389.2k $9.3m $9.3m 0.01% Added +47.7k +47,723
11 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 319,163319.2k $7.6m $7.6m 0.00% Added +29.8k +29,795
12 Gladstone Institutional Advisory LLC 0.40% of their portfolio Bedminster, NJ 273,125273.1k $6.5m $6.5m 0.40% New
13 JANE STREET GROUP, LLC 0.01% of their portfolio NEW YORK, NY 182,615182.6k $4.4m $4.4m 0.01% Reduced -199.8k -199,770
14 Cornerstone Wealth Management, LLC 0.33% of their portfolio ST. PETERS, MO 153,234153.2k $3.7m $3.7m 0.33% New
15 Ten Capital Wealth Advisors, LLC 0.86% of their portfolio SPOKANE, WA 123,048123.0k $2.9m $2.9m 0.86% Reduced -10.4k -10,386
16 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 113,942113.9k $2.7m $2.7m 0.01% Reduced -882 -882
17 WESCAP Management Group, Inc. 0.72% of their portfolio Glendale, CA 86,17486.2k $2.1m $2.1m 0.72% Reduced -149 -149
18 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 58,52358.5k $1.4m $1.4m 0.01% Added +33.1k +33,080
19 Equitable Holdings, Inc. 0.02% of their portfolio NEW YORK, NY 55,83555.8k $1.3m $1.3m 0.02% Added +19.6k +19,646
20 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 55,74855.7k $1.3m $1.3m 0.00% Added +53.0k +52,986
21 THOROUGHBRED FINANCIAL SERVICES, LLC 0.17% of their portfolio BRENTWOOD, TN 53,93553.9k $1.3m $1.3m 0.17% Unchanged
22 Kovack Advisors, Inc. 0.10% of their portfolio FT. LAUDERDALE, FL 33,88533.9k $811.9k $811.9k 0.10% Added +3.7k +3,680
23 Revisor Wealth Management LLC 0.71% of their portfolio AKRON, OH 33,11633.1k $793.5k $793.5k 0.71% Reduced -11.8k -11,841
24 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 32,65432.7k $782.4k $782.4k 0.00% Added +21.1k +21,102
25 Mariner, LLC 0.00% of their portfolio Overland Park, KS 26,62926.6k $638.0k $638.0k 0.00% New
26 LODESTAR PRIVATE ASSET MANAGEMENT LLC 0.10% of their portfolio ALAMO, CA 26,05726.1k $624.3k $624.3k 0.10% Unchanged
27 SFG Wealth Management, LLC. 0.51% of their portfolio TOWSON, MD 25,50725.5k $611.1k $611.1k 0.51% New
28 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 25,01525.0k $599.3k $599.3k 0.01% Added +2.7k +2,681
29 D.A. DAVIDSON & CO. 0.01% of their portfolio GREAT FALLS, MT 23,06323.1k $552.6k $552.6k 0.01% Added +483 +483
30 NewEdge Wealth, LLC 0.01% of their portfolio STAMFORD, CT 17,20917.2k $412.3k $412.3k 0.01% New
31 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 15,02115.0k $359.9k $359.9k 0.00% New
32 Hamilton Wealth, LLC 0.08% of their portfolio LOS ANGELES, CA 9,0009.0k $215.6k $215.6k 0.08% Unchanged
33 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 5,2855.3k $126.6k $126.6k 0.00% New
34 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 3,9163.9k $93.8k $93.8k 0.00% Unchanged
35 PSI Advisors, LLC 0.03% of their portfolio TAMPA, FL 3,1533.2k $75.5k $75.5k 0.03% New
36 PRIVATE TRUST CO NA 0.00% of their portfolio CLEVELAND, OH 1,0441.0k $25.0k $25.0k 0.00% New
37 Spire Wealth Management 0.00% of their portfolio MCLEAN, VA 800800 $19.2k $19.2k 0.00% Unchanged
38 Investors Research Corp 0.00% of their portfolio ATLANTA, GA 605605 $14.5k $14.5k 0.00% Unchanged
39 FMR LLC 0.00% of their portfolio BOSTON, MA 555555 $13.3k $13.3k 0.00% New
40 TSFG, LLC 0.00% of their portfolio LAKE FOREST, IL 483483 $12.0k $12.0k 0.00% Unchanged
41 AdvisorNet Financial, Inc 0.00% of their portfolio MINNETONKA, MN 420420 $10.1k $10.1k 0.00% Unchanged
42 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 235235 $5.6k $5.6k 0.00% Added +2 +2
43 First Horizon Advisors, Inc. 0.00% of their portfolio MEMPHIS, TN 9898 $2.3k $2.3k 0.00% New
44 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged