Vault-13

ISHARES TR CMBS

CMBS ETF · ETP · CUSIP 46429B366

81 institutional holders +5 vs Q4 2022
6,462,8026.5m shares reported held*
$309.0mreported value*
20 new 24 added 30 reduced 15 sold out net sold ≈ $18.6m (-402.6k 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 ($249.8k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $47.82.

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 86Q4 22: 76Q1 23: 8181Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 202286
Q4 202276
Q1 202381

Buyers vs sellers

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

Bought or addedCut or sold out
50050Q4 22: 31 bought or addedQ4 22: 49 cut or sold outQ4 22Q1 23: 44 bought or addedQ1 23: 45 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 20223149
Q1 20234445

Calls vs puts

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

CallsPuts
$0$500k$1m$1.5m$2mQ3 22 calls: $461.0kQ3 22 puts: $1.7mQ3 22P/C 3.69Q4 22 calls: $0Q4 22 puts: $1.3mQ4 22P/C —Q1 23 calls: $0Q1 23 puts: $0Q1 23P/C —
Numbers
QuarterCallsPutsP/C
Q3 2022$461.0k$1.7m3.69
Q4 2022$0$1.3m—
Q1 2023$0$0—

Biggest buyers

Diversified, LLC New +306,023+306.0k
Krilogy Financial LLC New +256,026+256.0k
MORGAN STANLEY Added +125,078+125.1k
ADVISOR PARTNERS II, LLC New +46,210+46.2k
AMERIPRISE FINANCIAL INC Added +38,484+38.5k
SCHMIDT P J INVESTMENT MANAGEMENT INC Added +32,780+32.8k
BerganKDV Wealth Management, LLC Added +27,179+27.2k
Relative Value Partners Group, LLC Added +27,112+27.1k
AE Wealth Management LLC Added +25,301+25.3k
GOLDMAN SACHS GROUP INC New +21,000+21.0k

Biggest sellers

Wealthcare Advisory Partners LLC Reduced -367,674-367.7k
WELLS FARGO & COMPANY/MN Reduced -201,942-201.9k
PATHSTONE FAMILY OFFICE, LLC Reduced -148,000-148.0k
Heck Capital Advisors, LLC Sold out -125,264-125.3k
LPL Financial LLC Reduced -112,618-112.6k
JANE STREET GROUP, LLC Reduced -109,530-109.5k
LGT Financial Advisors LLC Sold out -80,142-80.1k
Freedom Investment Management, Inc. Sold out -64,241-64.2k
GUGGENHEIM CAPITAL LLC Reduced -39,433-39.4k
UBS Group AG Reduced -26,385-26.4k

Holders, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 1,506,8901.5m $69.6m $69.6m 0.01% Added +125.1k +125,078
2 PATHSTONE FAMILY OFFICE, LLC 0.45% of their portfolio ENGLEWOOD, NJ 602,590602.6k $27.8m $27.8m 0.45% Reduced -148.0k -148,000
3 BerganKDV Wealth Management, LLC 2.37% of their portfolio BLOOMINGTON, MN 497,439497.4k $23.0m $23.0m 2.37% Added +27.2k +27,179
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 406,523406.5k $18.8m $18.8m 0.01% Reduced -26.4k -26,385
5 Tortoise Investment Management, LLC 2.45% of their portfolio WHITE PLAINS, NY 332,670332.7k $15.4m $15.4m 2.45% Reduced -8.4k -8,440
6 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 317,831317.8k $14.7m $14.7m 0.00% Reduced -201.9k -201,942
7 Diversified, LLC 5.06% of their portfolio Wilmington, DE 306,023306.0k $14.1m $14.1m 5.06% New
8 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 305,496305.5k $14.1m $14.1m 0.00% Reduced -17.3k -17,273
9 GUGGENHEIM CAPITAL LLC 0.10% of their portfolio CHICAGO, IL 265,414265.4k $12.3m $12.3m 0.10% Reduced -39.4k -39,433
10 Krilogy Financial LLC 0.99% of their portfolio ST. LOUIS, MO 256,026256.0k $11.8m $11.8m 0.99% New
11 JANE STREET GROUP, LLC 0.02% of their portfolio NEW YORK, NY 218,229218.2k $10.1m $10.1m 0.02% Reduced -109.5k -109,530
12 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 174,593174.6k $8.1m $8.1m 0.01% Reduced -112.6k -112,618
13 AE Wealth Management LLC 0.05% of their portfolio TOPEKA, KS 170,726170.7k $7.9m $7.9m 0.05% Added +25.3k +25,301
14 SCHMIDT P J INVESTMENT MANAGEMENT INC 1.34% of their portfolio CEDARBURG, WI 136,764136.8k $6.4m $6.4m 1.34% Added +32.8k +32,780
15 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 124,640124.6k $5.8m $5.8m 0.00% Added +38.5k +38,484
16 Fermata Advisors, LLC 1.85% of their portfolio SONOMA, CA 66,20866.2k $3.1m $3.1m 1.85% Reduced -24.1k -24,052
17 Relative Value Partners Group, LLC 0.09% of their portfolio NORTHBROOK, IL 55,31655.3k $2.6m $2.6m 0.09% Added +27.1k +27,112
18 ADVISOR PARTNERS II, LLC 0.12% of their portfolio WALNUT CREEK, CA 46,21046.2k $2.1m $2.1m 0.12% New
19 FRANKLIN RESOURCES INC 0.00% of their portfolio San Mateo, CA 45,99046.0k $2.1m $2.1m 0.00% Added +2.9k +2,863
20 Insight Wealth Partners, LLC 1.87% of their portfolio Plano, TX 44,85444.9k $2.1m $2.1m 1.87% Added +130 +130
21 Laidlaw Wealth Management LLC 0.39% of their portfolio NEW YORK CITY, NY 41,01041.0k $1.9m $1.9m 0.39% Added +6.5k +6,529
22 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 40,17340.2k $1.9m $1.9m 0.00% Added +1.0k +1,045
23 BlackRock Inc. 0.00% of their portfolio New York, NY 38,93138.9k $1.8m $1.8m 0.00% Added +4.2k +4,189
24 Advisory Alpha, LLC 0.11% of their portfolio HOLLAND, MI 38,31538.3k $1.8m $1.8m 0.11% Reduced -3.5k -3,492
25 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 34,80534.8k $1.6m $1.6m 0.00% Added +17.8k +17,812
26 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 31,27331.3k $1.4m $1.4m 0.00% Reduced -1.1k -1,079
27 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 27,94827.9k $1.3m $1.3m 0.00% Added +9.0k +9,011
28 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 26,21826.2k $1.2m $1.2m 0.00% Added +2.3k +2,254
29 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 21,00021.0k $969.9k $969.9k 0.00% New
30 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 19,70519.7k $910.1k $910.1k 0.00% Added +4.0k +4,040
31 Willis Johnson & Associates, Inc. 0.11% of their portfolio Houston, TX 19,68019.7k $909.0k $909.0k 0.11% Added +319 +319
32 Hilltop Holdings Inc. 0.12% of their portfolio DALLAS, TX 19,35319.4k $893.6k $893.6k 0.12% Reduced -1.3k -1,279
33 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 18,58618.6k $858.4k $858.4k 0.00% New
34 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 18,17518.2k $839.5k $839.5k 0.01% New
35 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 14,01014.0k $647.1k $647.1k 0.00% Reduced -349 -349
36 Advisors Capital Management, LLC 0.02% of their portfolio RIDGEWOOD, NJ 13,97114.0k $645.0k $645.0k 0.02% Reduced -1.2k -1,192
37 Centennial Wealth Advisory LLC 0.34% of their portfolio Traverse City, MI 13,90513.9k $642.2k $642.2k 0.34% Reduced -10.8k -10,758
38 Hoxton Planning & Management, LLC 0.35% of their portfolio SHEPHERDSTOWN, WV 13,61613.6k $628.9k $628.9k 0.35% Reduced -626 -626
39 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 13,10313.1k $605.2k $605.2k 0.00% Reduced -8.0k -7,977
40 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 12,20612.2k $563.8k $563.8k 0.02% Reduced -503 -503
41 Wealthcare Advisory Partners LLC 0.02% of their portfolio WEST CHESTER, PA 12,11312.1k $559.5k $559.5k 0.02% Reduced -367.7k -367,674
42 SCHRODER INVESTMENT MANAGEMENT GROUP 0.00% of their portfolio London, X0 9,0259.0k $416.8k $416.8k 0.00% New
43 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 8,9579.0k $413.7k $413.7k 0.00% Added +1.6k +1,633
44 Ridgewood Investments LLC 0.25% of their portfolio SPRINGFIELD, NJ 8,6788.7k $400.8k $400.8k 0.25% Added +1.6k +1,590
45 MONEYWISE, INC. 0.24% of their portfolio FOREST, VA 8,1448.1k $376.2k $376.2k 0.24% Added +79 +79
46 Advisors Asset Management, Inc. 0.01% of their portfolio Monument, CO 7,1617.2k $330.8k $330.8k 0.01% Reduced -1.5k -1,506
47 IEQ CAPITAL, LLC 0.01% of their portfolio Foster City, CA 6,2156.2k $287.1k $287.1k 0.01% Added +1.2k +1,151
48 Parcion Private Wealth LLC 0.03% of their portfolio BELLEVUE, WA 6,0316.0k $278.6k $278.6k 0.03% New
49 Graypoint LLC 0.03% of their portfolio Albany, NY 5,6655.7k $261.7k $261.7k 0.03% Reduced -5.2k -5,231
50 HORIZON FINANCIAL SERVICES, LLC 0.21% of their portfolio WINSTON SALEM, NC 5,4095.4k $249.8k $249.8k 0.21% Reduced -245 -245
51 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 5,0365.0k $232.6k $232.6k 0.00% New
52 Goldstone Financial Group, LLC 0.07% of their portfolio OAKBROOK TERRACE, IL 4,8214.8k $222.7k $222.7k 0.07% First filing
53 First Heartland Consultants, Inc. 0.03% of their portfolio LAKE ST. LOUIS, MO 4,6384.6k $214.2k $214.2k 0.03% Reduced -5.2k -5,168
54 Financial Management Professionals, Inc. 0.04% of their portfolio AUSTIN, TX 4,2604.3k $197.0k $197.0k 0.04% New
55 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 3,9353.9k $182.0k $182.0k 0.00% Reduced -1.1k -1,078
56 Wagner Wealth Management, LLC 0.05% of their portfolio GREENVILLE, SC 2,1552.2k $99.6k $99.6k 0.05% Reduced -1 -1
57 CENTRAL BANK & TRUST CO 0.01% of their portfolio LEXINGTON, KY 1,1471.1k $53.0k $53.0k 0.01% Added +634 +634
58 Bogart Wealth, LLC 0.00% of their portfolio MCLEAN, VA 891891 $41.2k $41.2k 0.00% Unchanged
59 PRIVATE TRUST CO NA 0.01% of their portfolio CLEVELAND, OH 848848 $39.2k $39.2k 0.01% Reduced -400 -400
60 ASSETMARK, INC 0.00% of their portfolio CONCORD, CA 835835 $38.6k $38.6k 0.00% Reduced -31 -31
61 Family Asset Management, LLC 0.03% of their portfolio CHARLESTON, SC 782782 $36.1k $36.1k 0.03% New
62 Farther Finance Advisors, LLC 0.01% of their portfolio SAN FRANCISCO, CA 747747 $34.5k $34.5k 0.01% New
63 Parkside Financial Bank & Trust 0.01% of their portfolio SAINT LOUIS, MO 701701 $32.4k $32.4k 0.01% New
64 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 567567 $26.2k $26.2k 0.00% Reduced -133 -133
65 Glen Eagle Advisors, LLC 0.01% of their portfolio KINGSTON, NJ 442442 $20.4k $20.4k 0.01% Added +410 +410
66 Strengthening Families & Communities, LLC 0.00% of their portfolio BOSTON, MA 425425 $20.0k $20.0k 0.00% Unchanged
67 SIGNATUREFD, LLC 0.00% of their portfolio ATLANTA, GA 352352 $16.3k $16.3k 0.00% New
68 Spire Wealth Management 0.00% of their portfolio MCLEAN, VA 346346 $16.0k $16.0k 0.00% Added +194 +194
69 Colonial Trust Co / SC 0.00% of their portfolio SPARTANBURG, SC 321321 $14.8k $14.8k 0.00% New
70 Belpointe Asset Management LLC 0.00% of their portfolio RENO, NV 227227 $10.5k $10.5k 0.00% Added +13 +13
71 Ameritas Advisory Services, LLC 0.00% of their portfolio Lincoln, NE 219219 $10.2k $10.2k 0.00% New
72 FIFTH THIRD BANCORP 0.00% of their portfolio CINCINNATI, OH 200200 $9.2k $9.2k 0.00% New
73 Jackson Hole Capital Partners, LLC 0.00% of their portfolio TULSA, OK 136136 $6.3k $6.3k 0.00% Unchanged
74 FMR LLC 0.00% of their portfolio BOSTON, MA 108108 $5.0k $5.0k 0.00% New
75 Iron Horse Wealth Management, LLC 0.00% of their portfolio JOHSTON, IA 7171 $3.3k $3.3k 0.00% New
76 IFP Advisors, Inc 0.00% of their portfolio TAMPA, FL 6666 $3.5k $3.5k 0.00% Reduced -2.8k -2,842
77 Laurel Wealth Advisors LLC 0.00% of their portfolio CHARLOTTE, NC 6666 $3.0k $3.0k 0.00% New
78 Financial Gravity Asset Management, Inc. 0.34% of their portfolio Lakeway, TX 4646 $10.5m $10.5m 0.34% Unchanged
79 JAMES INVESTMENT RESEARCH, INC. 0.00% of their portfolio ALPHA, OH 99 $0 $0 0.00% Reduced -1 -1
80 RFP Financial Group LLC 0.00% of their portfolio ATLANTA, GA 11 $37 $37 0.00% Unchanged
81 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged