Vault-13

INNOVATOR ETFS TRUST BAUG

US EQUT BUFR AUG · ETP · CUSIP 45782C698

104 institutional holders +18 vs Q3 2023
5,533,2815.5m shares reported held*
$199.6mreported value*
20 new 29 added 26 reduced 7 sold out net bought ≈ $71.5m (+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 ($22.8k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $36.06.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 64Q4 22: 64Q1 23: 67Q2 23: 72Q3 23: 86Q4 23: 104104Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202264
Q4 202264
Q1 202367
Q2 202372
Q3 202386
Q4 2023104

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 19 bought or addedQ4 22: 32 cut or sold outQ4 22Q1 23: 24 bought or addedQ1 23: 31 cut or sold outQ1 23Q2 23: 18 bought or addedQ2 23: 37 cut or sold outQ2 23Q3 23: 60 bought or addedQ3 23: 20 cut or sold outQ3 23Q4 23: 49 bought or addedQ4 23: 33 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20221932
Q1 20232431
Q2 20231837
Q3 20236020
Q4 20234933

Biggest buyers

Gradient Investments LLC New +675,668+675.7k
ENVESTNET ASSET MANAGEMENT INC Added +464,593+464.6k
Transform Wealth, LLC New +232,139+232.1k
Atria Investments, Inc New +227,521+227.5k
Mariner, LLC New +224,881+224.9k
AE Wealth Management LLC Added +171,167+171.2k
Janney Montgomery Scott LLC New +52,903+52.9k
Brookstone Capital Management Added +47,300+47.3k
JANE STREET GROUP, LLC New +30,755+30.8k
Ashton Thomas Private Wealth, LLC New +28,519+28.5k

Biggest sellers

Accuvest Global Advisors Sold out -229,059-229.1k
RAYMOND JAMES & ASSOCIATES Reduced -105,506-105.5k
Beacon Pointe Advisors, LLC Reduced -23,940-23.9k
Foundations Investment Advisors, LLC Sold out -22,978-23.0k
MILESTONE ASSET MANAGEMENT, LLC Sold out -21,863-21.9k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Sold out -9,229-9.2k
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC Reduced -9,186-9.2k
B. Riley Wealth Advisors, Inc. Reduced -6,965-7.0k
ROYAL BANK OF CANADA Reduced -6,062-6.1k
Rockefeller Capital Management L.P. Reduced -5,963-6.0k

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

No one currently above 5% in the filings since 19 Dec 2024.

Fell to 5% or below in the last year: Brookstone Capital Management (20.6%, 2026-09-02)

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Gradient Investments LLC 0.59% of their portfolio ARDEN HILLS, MN 675,668675.7k $24.3m $24.3m 0.59% New
2 AE Wealth Management LLC 0.12% of their portfolio TOPEKA, KS 650,948650.9k $23.9m $23.9m 0.12% Added +171.2k +171,167
3 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 506,633506.6k $18.2m $18.2m 0.01% Added +464.6k +464,593
4 PERSONAL CFO SOLUTIONS, LLC 1.70% of their portfolio CHESTER, NJ 272,248272.2k $9.8m $9.8m 1.70% Reduced -1.6k -1,647
5 Brookstone Capital Management 0.17% of their portfolio WHEATON, IL 239,727239.7k $8.6m $8.6m 0.17% Added +47.3k +47,300
6 Transform Wealth, LLC 0.81% of their portfolio GREENWOOD VILLAGE, CO 232,139232.1k $8.4m $8.4m 0.81% New
7 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 229,420229.4k $8.3m $8.3m 0.02% Added +17.0k +17,045
8 Atria Investments, Inc 0.13% of their portfolio Charlotte, NC 227,521227.5k $8.2m $8.2m 0.13% New
9 Mariner, LLC 0.02% of their portfolio Overland Park, KS 224,881224.9k $8.1m $8.1m 0.02% New
10 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 188,049188.0k $6.8m $6.8m 0.01% Reduced -1.5k -1,488
11 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 175,831175.8k $6.3m $6.3m 0.01% Added +7.1k +7,106
12 Penserra Capital Management LLC 0.11% of their portfolio ORINDA, CA 168,429168.4k $6.1m $6.1m 0.11% Added +24.8k +24,764
13 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 95,22795.2k $3.4m $3.4m 0.01% Added +1.3k +1,301
14 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 94,65094.7k $3.4m $3.4m 0.01% Added +7.6k +7,600
15 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 77,38877.4k $2.8m $2.8m 0.00% Added +2.3k +2,277
16 Diligent Investors, LLC 0.66% of their portfolio REDLANDS, CA 66,87966.9k $2.4m $2.4m 0.66% Added +2.5k +2,530
17 LINCOLN NATIONAL CORP 0.04% of their portfolio RADNOR, PA 59,56759.6k $2.1m $2.1m 0.04% Added +7.0k +7,047
18 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 52,90352.9k $1.9m $1.9m 0.01% New
19 Cetera Advisors LLC 0.02% of their portfolio DENVER, CO 49,68449.7k $1.8m $1.8m 0.02% Reduced -3.1k -3,147
20 Beacon Pointe Advisors, LLC 0.02% of their portfolio NEWPORT BEACH, CA 46,46346.5k $1.7m $1.7m 0.02% Reduced -23.9k -23,940
21 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 46,35946.4k $1.7m $1.7m 0.01% Added +3.5k +3,518
22 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 43,91343.9k $1.6m $1.6m 0.00% Reduced -9.2k -9,186
23 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 40,13440.1k $1.4m $1.4m 0.01% Added +18.7k +18,661
24 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 0.32% of their portfolio BLUE BELL, PA 36,63436.6k $1.3m $1.3m 0.32% Reduced -540 -540
25 CoreCap Advisors, LLC 0.08% of their portfolio SOUTHFIELD, MI 35,88035.9k $1.3m $1.3m 0.08% Reduced -759 -759
26 Fragasso Financial Advisors Inc 0.12% of their portfolio SEWICKLEY, PA 35,46135.5k $1.3m $1.3m 0.12% Reduced -1.5k -1,457
27 BCS Wealth Management 0.41% of their portfolio JOHNSON CITY, TN 31,15731.2k $1.1m $1.1m 0.41% Reduced -2.3k -2,285
28 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 30,75530.8k $1.1m $1.1m 0.00% New
29 Snowden Capital Advisors LLC 0.04% of their portfolio New York, NY 30,14430.1k $1.1m $1.1m 0.04% Added +4.4k +4,424
30 Beacon Financial Advisory LLC 0.52% of their portfolio CLEVELAND, OH 29,89329.9k $1.1m $1.1m 0.52% Added +1.2k +1,155
31 AXXCESS WEALTH MANAGEMENT, LLC 0.03% of their portfolio CARLSBAD, CA 29,27729.3k $1.1m $1.1m 0.03% Reduced -550 -550
32 Ashton Thomas Private Wealth, LLC 0.06% of their portfolio SCOTTSDALE, AZ 28,51928.5k $1.0m $1.0m 0.06% New
33 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 28,45028.4k $1.0m $1.0m 0.00% New
34 Parker Financial LLC 0.62% of their portfolio SILVERDALE, WA 27,76127.8k $998.7k $998.7k 0.62% New
35 Sunbelt Securities, Inc. 0.12% of their portfolio HOUSTON, TX 26,07626.1k $938.1k $938.1k 0.12% Unchanged
36 FSA Advisors, Inc. 1.14% of their portfolio TROY, MI 25,69225.7k $924.3k $924.3k 1.14% First filing
37 Valtinson Bruner Financial Planning LLC 0.46% of their portfolio NEW BRIGHTON, MN 25,15425.2k $904.9k $904.9k 0.46% Added +732 +732
38 TOWNSQUARE CAPITAL LLC 0.02% of their portfolio Lehi, UT 25,01725.0k $900.0k $900.0k 0.02% Added +14.4k +14,379
39 MML INVESTORS SERVICES, LLC 0.00% of their portfolio SPRINGFIELD, MA 24,83924.8k $894.0k $894.0k 0.00% Added +7.1k +7,057
40 DHJJ Financial Advisors, Ltd. 0.41% of their portfolio NAPERVILLE, IL 24,54924.5k $883.2k $883.2k 0.41% Reduced -1.0k -1,005
41 INTEGRAL INVESTMENT ADVISORS, INC. 0.56% of their portfolio TURLOCK, CA 24,34224.3k $875.7k $875.7k 0.56% Unchanged
42 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 23,96224.0k $862.1k $862.1k 0.00% Added +17.9k +17,867
43 RFG Advisory, LLC 0.03% of their portfolio BIRMINGHAM, AL 22,72222.7k $817.5k $817.5k 0.03% Unchanged
44 Berkshire Money Management, Inc. 0.11% of their portfolio DALTON, MA 22,11622.1k $795.6k $795.6k 0.11% Reduced -2.3k -2,263
45 CRA Financial Services, LLC 0.18% of their portfolio NORTHFIELD, NJ 20,20420.2k $726.9k $726.9k 0.18% Reduced -600 -600
46 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 20,06120.1k $721.7k $721.7k 0.01% Added +14.0k +13,951
47 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 17,74917.7k $638.5k $638.5k 0.01% Reduced -350 -350
48 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 16,23916.2k $584.2k $584.2k 0.00% Reduced -6.0k -5,963
49 Lantz Financial LLC 0.20% of their portfolio NAPERVILLE, IL 15,47215.5k $556.6k $556.6k 0.20% Unchanged
50 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 14,68014.7k $528.1k $528.1k 0.00% Reduced -105.5k -105,506
51 Sigma Planning Corp 0.04% of their portfolio ANN ARBOR, MI 14,35014.3k $516.2k $516.2k 0.04% Reduced -2.3k -2,293
52 Trek Financial, LLC 0.04% of their portfolio Scottsdale, AZ 14,28014.3k $513.7k $513.7k 0.04% New
53 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 14,27514.3k $513.6k $513.6k 0.00% New
54 Arax Advisory Partners 0.05% of their portfolio NEW YORK, NY 13,46813.5k $484.5k $484.5k 0.05% Reduced -459 -459
55 Visionary Wealth Advisors 0.04% of their portfolio O'FALLON, IL 13,28213.3k $477.8k $477.8k 0.04% Reduced -312 -312
56 Vantage Financial Partners, LLC 0.14% of their portfolio ELM GROVE, WI 13,21513.2k $475.4k $475.4k 0.14% Reduced -1.8k -1,773
57 EverSource Wealth Advisors, LLC 0.04% of their portfolio BIRMINGHAM, AL 12,90612.9k $464.3k $464.3k 0.04% Added +200 +200
58 Pinnacle Wealth Management Group, Inc. 0.38% of their portfolio PLYMOUTH, MI 12,85012.8k $462.3k $462.3k 0.38% Unchanged
59 Chicago Partners Investment Group LLC 0.02% of their portfolio CHICAGO, IL 12,64212.6k $462.3k $462.3k 0.02% Added +2.2k +2,177
60 FWG Investments, LLC. 0.56% of their portfolio LEXINGTON, KY 12,46512.5k $448.4k $448.4k 0.56% First filing
61 Cerity Partners LLC 0.00% of their portfolio NEW YORK, NY 12,42112.4k $446.9k $446.9k 0.00% Added +4.7k +4,671
62 Outlook Wealth Advisors, LLC 0.16% of their portfolio SHENANDOAH, TX 12,36412.4k $444.8k $444.8k 0.16% Unchanged
63 SageView Advisory Group, LLC 0.02% of their portfolio Newport Beach, CA 12,33212.3k $455.7k $455.7k 0.02% Unchanged
64 PRINCIPAL SECURITIES, INC. 0.02% of their portfolio DES MOINES, IA 11,37811.4k $409.3k $409.3k 0.02% First filing
65 OLD MISSION CAPITAL LLC 0.01% of their portfolio CHICAGO, IL 11,23211.2k $404.1k $404.1k 0.01% Added +4.2k +4,245
66 Weaver Consulting Group 0.16% of their portfolio HUNTINGTON BEACH, CA 11,07611.1k $398.5k $398.5k 0.16% Unchanged
67 CreativeOne Wealth, LLC 0.02% of their portfolio OVERLAND PARK, KS 10,56910.6k $380.0k $380.0k 0.02% New
68 Strategic Blueprint, LLC 0.03% of their portfolio ATLANTA, GA 10,44810.4k $375.9k $375.9k 0.03% Added +2.1k +2,107
69 PCA Investment Advisory Services Inc. 0.25% of their portfolio CINCINNATI, OH 10,37510.4k $373.3k $373.3k 0.25% Added +3.5k +3,460
70 J.W. COLE ADVISORS, INC. 0.02% of their portfolio TAMPA, FL 9,2169.2k $331.6k $331.6k 0.02% New
71 CENTRAL VALLEY ADVISORS, LLC 0.18% of their portfolio SACRAMENTO, CA 8,5748.6k $308.5k $308.5k 0.18% First filing
72 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 8,3168.3k $299.2k $299.2k 0.01% Added +3.5k +3,522
73 Share Andrew L. 0.15% of their portfolio MANCHESTER, NH 7,7767.8k $279.8k $279.8k 0.15% Unchanged
74 PFG Advisors 0.02% of their portfolio Phoenix, AZ 7,6587.7k $275.5k $275.5k 0.02% Added +187 +187
75 IFP Advisors, Inc 0.01% of their portfolio TAMPA, FL 7,4467.4k $267.9k $267.9k 0.01% Unchanged
76 Garden State Investment Advisory Services LLC 0.11% of their portfolio Red Bank, NJ 7,3257.3k $263.5k $263.5k 0.11% Unchanged
77 VISTA INVESTMENT MANAGEMENT 0.12% of their portfolio PITTSBURGH, PA 7,2587.3k $261.1k $261.1k 0.12% New
78 Walleye Capital LLC 0.00% of their portfolio NEW YORK, NY 7,1567.2k $257.4k $257.4k 0.00% New
79 Summit Wealth Partners, LLC 0.06% of their portfolio Orlando, FL 6,8596.9k $246.8k $246.8k 0.06% Reduced -2.6k -2,617
80 B. Riley Wealth Advisors, Inc. 0.01% of their portfolio MEMPHIS, TN 6,5546.6k $235.8k $235.8k 0.01% Reduced -7.0k -6,965
81 Marathon Mission, Inc. 0.19% of their portfolio ALBANY, NY 6,3326.3k $227.8k $227.8k 0.19% Unchanged
82 First Commonwealth Financial Corp /PA/ 0.07% of their portfolio Indiana, PA 6,2816.3k $226.0k $226.0k 0.07% Unchanged
83 Stratos Wealth Advisors, LLC 0.01% of their portfolio BEACHWOOD, OH 6,0556.1k $217.8k $217.8k 0.01% New
84 ACAS, LLC 0.23% of their portfolio RANCHO SANTA FE, CA 5,6405.6k $202.9k $202.9k 0.23% Reduced -1.1k -1,119
85 Spire Wealth Management 0.01% of their portfolio MCLEAN, VA 4,5604.6k $166.2k $166.2k 0.01% Unchanged
86 NorthRock Partners, LLC 0.01% of their portfolio MINNEAPOLIS, MN 4,2524.3k $153.0k $153.0k 0.01% New
87 Larson Financial Group LLC 0.01% of their portfolio ST LOUIS, MO 3,8223.8k $137.5k $137.5k 0.01% Reduced -180 -180
88 WealthShield Partners, LLC 0.02% of their portfolio CARY, NC 3,6003.6k $129.5k $129.5k 0.02% Unchanged
89 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 3,5003.5k $125.9k $125.9k 0.00% Added +1.8k +1,750
90 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 2,0302.0k $73.0k $73.0k 0.00% Reduced -6.1k -6,062
91 Capital Analysts, LLC 0.00% of their portfolio FORT WASHINGTON, PA 1,6441.6k $59.0k $59.0k 0.00% Unchanged
92 BENJAMIN F. EDWARDS & COMPANY, INC. 0.00% of their portfolio ST. LOUIS, MO 1,3751.4k $49.0k $49.0k 0.00% Unchanged
93 Clear Point Advisors Inc. 0.04% of their portfolio MELVILLE, NY 1,2901.3k $46.4k $46.4k 0.04% First filing
94 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 1,2871.3k $46.3k $46.3k 0.00% New
95 AdvisorNet Financial, Inc 0.00% of their portfolio MINNETONKA, MN 922922 $33.2k $33.2k 0.00% Unchanged
96 OLIVER LAGORE VANVALIN INVESTMENT GROUP 0.01% of their portfolio FLINT, MI 865865 $31.1k $31.1k 0.01% Unchanged
97 UBS Group AG 0.00% of their portfolio ZURICH, V8 749749 $26.9k $26.9k 0.00% Reduced -1.2k -1,162
98 Integrity Financial Corp /WA 0.02% of their portfolio JACKSON, WY 685685 $24.6k $24.6k 0.02% Unchanged
99 CREATIVE FINANCIAL DESIGNS INC /ADV 0.00% of their portfolio KOKOMO, IN 600600 $21.6k $21.6k 0.00% Unchanged
100 JDM Financial Group LLC 0.01% of their portfolio AUSTIN, TX 456456 $16.4k $16.4k 0.01% Unchanged