Vault-13

NORTHERN LTS FD TR IV SECT

MAIN SECTR ROTN · ETP · CUSIP 66538H591

87 institutional holders +13 vs Q1 2024
51,517,39351.5m shares reported held*
$2.6bnreported value*
17 new 37 added 17 reduced 6 sold out net bought ≈ $249.3m (+4.9m 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 ($1.6m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $51.08.

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 44Q4 22: 48Q1 23: 53Q2 23: 63Q3 23: 67Q4 23: 69Q1 24: 74Q2 24: 8787Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 202244
Q4 202248
Q1 202353
Q2 202363
Q3 202367
Q4 202369
Q1 202474
Q2 202487

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 29 bought or addedQ4 22: 20 cut or sold outQ4 22Q1 23: 37 bought or addedQ1 23: 22 cut or sold outQ2 23: 36 bought or addedQ2 23: 23 cut or sold outQ2 23Q3 23: 36 bought or addedQ3 23: 27 cut or sold outQ4 23: 46 bought or addedQ4 23: 27 cut or sold outQ4 23Q1 24: 43 bought or addedQ1 24: 29 cut or sold outQ2 24: 54 bought or addedQ2 24: 23 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 20222920
Q1 20233722
Q2 20233623
Q3 20233627
Q4 20234627
Q1 20244329
Q2 20245423

Biggest buyers

OSAIC HOLDINGS, INC. Added +4,346,822+4.3m
Axiom Advisory, LLC Added +350,900+350.9k
LPL Financial LLC Added +215,485+215.5k
ENVESTNET ASSET MANAGEMENT INC Added +99,950+100.0k
Cooper Financial Group New +54,594+54.6k
Atria Wealth Solutions, Inc. Added +51,089+51.1k
Envestnet Portfolio Solutions, Inc. Added +32,618+32.6k
JANE STREET GROUP, LLC New +29,616+29.6k
Cetera Investment Advisers Added +28,737+28.7k
Encompass More Asset Management Added +24,568+24.6k

Biggest sellers

Orion Porfolio Solutions, LLC Reduced -172,427-172.4k
Orion Portfolio Solutions, LLC Reduced -172,427-172.4k
CreativeOne Wealth, LLC Reduced -72,471-72.5k
Integrated Wealth Concepts LLC Reduced -67,333-67.3k
Main Management LLC Reduced -17,296-17.3k
Virtu Financial LLC Sold out -14,931-14.9k
ICA Group Wealth Management, LLC Sold out -12,704-12.7k
Allen Mooney & Barnes Investment Advisors LLC Sold out -9,932-9.9k
McAlister, Sweet & Associates, Inc. Reduced -7,856-7.9k
Gibbs Wealth Management Reduced -7,302-7.3k

Holders, Q2 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Orion Porfolio Solutions, LLC 9.75% of their portfolio OMAHA, NE 18,067,69618.1m $923.1m $923.1m 9.75% Reduced -172.4k -172,427
2 Orion Portfolio Solutions, LLC 9.75% of their portfolio Omaha, NE 18,067,69618.1m $923.1m $923.1m 9.75% Reduced -172.4k -172,427
3 OSAIC HOLDINGS, INC. 0.82% of their portfolio SCOTTSDALE, AZ 6,757,6136.8m $345.2m $345.2m 0.82% Added +4.3m +4,346,822
4 Integrated Wealth Concepts LLC 0.71% of their portfolio WALTHAM, MA 1,014,5461.0m $51.8m $51.8m 0.71% Reduced -67.3k -67,333
5 LPL Financial LLC 0.03% of their portfolio FORT MILL, SC 992,807992.8k $50.7m $50.7m 0.03% Added +215.5k +215,485
6 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 734,870734.9k $37.5m $37.5m 0.01% Added +100.0k +99,950
7 TOWNSQUARE CAPITAL LLC 0.41% of their portfolio Lehi, UT 584,151584.2k $29.8m $29.8m 0.41% Added +14.8k +14,825
8 Madrona Financial Services, LLC 8.78% of their portfolio EVERETT, WA 559,325559.3k $28.6m $28.6m 8.78% Added +22.6k +22,615
9 Main Management LLC 1.72% of their portfolio SAN FRANCISCO, CA 406,739406.7k $20.8m $20.8m 1.72% Reduced -17.3k -17,296
10 Atria Wealth Solutions, Inc. 0.23% of their portfolio NEW YORK, NY 404,613404.6k $20.7m $20.7m 0.23% Added +51.1k +51,089
11 GeoWealth Management, LLC 0.87% of their portfolio CHICAGO, IL 393,009393.0k $20.1m $20.1m 0.87% Added +8.5k +8,464
12 Axiom Advisory, LLC 0.19% of their portfolio SAN DIEGO, CA 356,950356.9k $17.8m $17.8m 0.19% Added +350.9k +350,900
13 Envestnet Portfolio Solutions, Inc. 0.06% of their portfolio BERWYN, PA 327,794327.8k $16.7m $16.7m 0.06% Added +32.6k +32,618
14 WealthPLAN Partners, LLC 1.56% of their portfolio OMAHA, NE 284,309284.3k $14.5m $14.5m 1.56% Added +4.2k +4,178
15 Gibbs Wealth Management 5.14% of their portfolio Alpharetta, GA 248,733248.7k $12.7m $12.7m 5.14% Reduced -7.3k -7,302
16 CreativeOne Wealth, LLC 0.64% of their portfolio OVERLAND PARK, KS 246,989247.0k $12.6m $12.6m 0.64% Reduced -72.5k -72,471
17 Atria Investments, Inc 0.14% of their portfolio Charlotte, NC 216,155216.2k $11.0m $11.0m 0.14% Reduced -3.6k -3,611
18 Mutual Advisors, LLC 0.34% of their portfolio OMAHA, NE 214,276214.3k $11.1m $11.1m 0.34% Added +20.0k +20,005
19 Spire Wealth Management 0.39% of their portfolio MCLEAN, VA 213,646213.6k $10.9m $10.9m 0.39% Reduced -2.0k -1,986
20 Encompass More Asset Management 6.34% of their portfolio Danville, CA 173,913173.9k $8.9m $8.9m 6.34% Added +24.6k +24,568
21 Cetera Investment Advisers 0.02% of their portfolio SCHAUMBURG, IL 131,289131.3k $6.7m $6.7m 0.02% Added +28.7k +28,737
22 McAlister, Sweet & Associates, Inc. 4.24% of their portfolio HOUSTON, TX 115,647115.6k $5.9m $5.9m 4.24% Reduced -7.9k -7,856
23 AVANTAX ADVISORY SERVICES, INC. 0.04% of their portfolio DALLAS, TX 98,37598.4k $5.0m $5.0m 0.04% Added +10.1k +10,056
24 NewEdge Advisors, LLC 0.03% of their portfolio NEW ORLEANS, LA 93,44193.4k $4.8m $4.8m 0.03% Added +3.5k +3,531
25 Sigma Planning Corp 0.11% of their portfolio ANN ARBOR, MI 65,36265.4k $3.3m $3.3m 0.11% Added +4.5k +4,478
26 Fiduciary Alliance LLC 0.54% of their portfolio GREENVILLE, SC 64,80264.8k $3.3m $3.3m 0.54% Added +9.7k +9,709
27 Cooper Financial Group 0.41% of their portfolio IRVINE, CA 54,59454.6k $2.8m $2.8m 0.41% New
28 FLORIDA FINANCIAL ADVISORS, LLC 1.47% of their portfolio TAMPA, FL 47,98548.0k $2.5m $2.5m 1.47% Reduced -3.6k -3,551
29 Geneos Wealth Management Inc. 0.10% of their portfolio ENGLEWOOD, CO 45,47445.5k $2.3m $2.3m 0.10% Added +1.8k +1,751
30 CWM, LLC 0.01% of their portfolio OMAHA, NE 37,26637.3k $1.9m $1.9m 0.01% Reduced -1.4k -1,370
31 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 33,71833.7k $1.7m $1.7m 0.01% Added +772 +772
32 Lunt Capital Management, Inc. 0.85% of their portfolio HOLLADAY, UT 33,60833.6k $1.7m $1.7m 0.85% Added +4.2k +4,169
33 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 29,61629.6k $1.5m $1.5m 0.00% New
34 WORLD EQUITY GROUP, INC. 0.36% of their portfolio SCHAUMBURG, IL 23,70623.7k $1.2m $1.2m 0.36% Reduced -593 -593
35 BRASS TAX WEALTH MANAGEMENT, INC 0.24% of their portfolio CINCINNATI, OH 23,70223.7k $1.2m $1.2m 0.24% Added +4.7k +4,665
36 PFG Investments, LLC 0.08% of their portfolio WOODBURY, NY 21,08321.1k $1.1m $1.1m 0.08% Added +2.5k +2,494
37 Arkadios Wealth Advisors 0.07% of their portfolio ATLANTA, GA 19,59319.6k $1.0m $1.0m 0.07% Added +116 +116
38 LifePro Asset Management 0.71% of their portfolio San Diego, CA 19,37119.4k $989.7k $989.7k 0.71% Added +1.2k +1,213
39 Independent Wealth Network Inc. 0.45% of their portfolio URBANDALE, IA 18,95319.0k $968.3k $968.3k 0.45% Added +62 +62
40 OLD MISSION CAPITAL LLC 0.02% of their portfolio CHICAGO, IL 17,11417.1k $874.4k $874.4k 0.02% New
41 Sanctuary Advisors, LLC 0.01% of their portfolio INDIANAPOLIS, IN 15,43815.4k $750.0k $750.0k 0.01% First filing
42 Koshinski Asset Management, Inc. 0.07% of their portfolio DECATUR, IL 15,10215.1k $774.3k $774.3k 0.07% Added +6.3k +6,257
43 Advisory Services Network, LLC 0.02% of their portfolio ATLANTA, GA 14,65514.7k $748.7k $748.7k 0.02% Added +1.8k +1,800
44 Financial Advocates Investment Management 0.04% of their portfolio OLYMPIA, WA 14,09014.1k $719.9k $719.9k 0.04% Reduced -114 -114
45 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 13,71413.7k $700.6k $700.6k 0.00% New
46 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 13,24713.2k $676.8k $676.8k 0.00% New
47 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 12,37012.4k $632.0k $632.0k 0.00% Added +6.6k +6,567
48 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 12,33412.3k $630.1k $630.1k 0.00% Added +2.6k +2,628
49 Farther Finance Advisors, LLC 0.03% of their portfolio SAN FRANCISCO, CA 11,72911.7k $598.3k $598.3k 0.03% New
50 NATIXIS ADVISORS, LLC 0.00% of their portfolio Boston, MA 10,98811.0k $561.0k $561.0k 0.00% New
51 INDEPENDENT FINANCIAL GROUP, LLC 0.02% of their portfolio SAN DIEGO, CA 10,40210.4k $531.4k $531.4k 0.02% Added +557 +557
52 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 10,14410.1k $518.3k $518.3k 0.00% Unchanged
53 Coppell Advisory Solutions LLC 0.08% of their portfolio COPPELL, TX 10,07110.1k $514.5k $514.5k 0.08% First filing
54 Compound Planning, Inc. 0.04% of their portfolio NEW YORK, NY 9,7959.8k $500.4k $500.4k 0.04% Added +812 +812
55 RFG Advisory, LLC 0.02% of their portfolio BIRMINGHAM, AL 9,7869.8k $500.0k $500.0k 0.02% New
56 Foundations Investment Advisors, LLC 0.01% of their portfolio PHOENIX, AZ 9,3179.3k $476.0k $476.0k 0.01% Added +1.0k +1,018
57 Simplicity Wealth,LLC 0.01% of their portfolio SUMMIT, NJ 7,7197.7k $394.4k $394.4k 0.01% Unchanged
58 Diversify Advisory Services, LLC 0.02% of their portfolio SANDY, UT 7,6427.6k $391.8k $391.8k 0.02% Reduced -101 -101
59 Peterson Financial Group, Inc. 2.10% of their portfolio DES MOINES, IA 6,7436.7k $344.5k $344.5k 2.10% Unchanged
60 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 6,6136.6k $337.8k $337.8k 0.00% Added +797 +797
61 Ethos Financial Group, LLC 0.05% of their portfolio KING OF PRUSSIA, PA 5,9966.0k $306.0k $306.0k 0.05% Unchanged
62 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 4,8554.9k $248.0k $248.0k 0.01% Unchanged
63 SILVER OAK SECURITIES, INCORPORATED 0.04% of their portfolio JACKSON, TN 4,7134.7k $240.8k $240.8k 0.04% Added +850 +850
64 Aptus Capital Advisors, LLC 0.00% of their portfolio FAIRHOPE, AL 4,5974.6k $234.9k $234.9k 0.00% Unchanged
65 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 4,5904.6k $235.0k $235.0k 0.00% Reduced -5.4k -5,438
66 UBS Group AG 0.00% of their portfolio ZURICH, V8 4,5204.5k $230.9k $230.9k 0.00% New
67 Anchor Investment Management, LLC 0.02% of their portfolio COLUMBIA, SC 4,1824.2k $213.7k $213.7k 0.02% Added +865 +865
68 Meeder Advisory Services, Inc. 0.01% of their portfolio DUBLIN, OH 4,0514.1k $207.0k $207.0k 0.01% New
69 Focus Partners Advisor Solutions, LLC 0.01% of their portfolio SAINT LOUIS, MO 4,0414.0k $206.5k $206.5k 0.01% Unchanged
70 Leverty Financial Group, LLC 0.12% of their portfolio HUDSON, WI 4,0284.0k $205.8k $205.8k 0.12% New
71 EverSource Wealth Advisors, LLC 0.01% of their portfolio BIRMINGHAM, AL 3,2323.2k $170.0k $170.0k 0.01% Unchanged
72 Nemes Rush Group LLC 0.02% of their portfolio NOVI, MI 2,8702.9k $146.6k $146.6k 0.02% Unchanged
73 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 2,1412.1k $109.4k $109.4k 0.00% Reduced -4.3k -4,282
74 Hobbs Group Advisors, LLC 0.04% of their portfolio COLUMBIA, SC 1,9932.0k $101.8k $101.8k 0.04% First filing
75 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 1,9161.9k $98.0k $98.0k 0.00% Added +293 +293
76 Householder Group Estate & Retirement Specialist, LLC 0.03% of their portfolio SCOTTSDALE, AZ 1,8901.9k $96.0k $96.0k 0.03% Reduced -190 -190
77 Sound Income Strategies, LLC 0.00% of their portfolio FT LAUDERDALE, FL 1,2291.2k $62.8k $62.8k 0.00% New
78 RFP Financial Group LLC 0.02% of their portfolio ATLANTA, GA 1,0631.1k $54.3k $54.3k 0.02% New
79 Register Financial Advisors LLC 0.03% of their portfolio ATLANTA, GA 1,0001.0k $51.1k $51.1k 0.03% Unchanged
80 First Horizon Advisors, Inc. 0.00% of their portfolio MEMPHIS, TN 989989 $50.5k $50.5k 0.00% Added +19 +19
81 JONES FINANCIAL COMPANIES LLLP 0.00% of their portfolio DES PERES, MO 842842 $43.0k $43.0k 0.00% New
82 Westside Investment Management, Inc. 0.01% of their portfolio SANTA MONICA, CA 834834 $42.6k $42.6k 0.01% Unchanged
83 Gradient Investments LLC 0.00% of their portfolio ARDEN HILLS, MN 338338 $17.3k $17.3k 0.00% Unchanged
84 ASSETMARK, INC 0.00% of their portfolio CONCORD, CA 143143 $7.3k $7.3k 0.00% New
85 Financial Connections Group, Inc. 0.00% of their portfolio CORTE MADERA, CA 102102 $5.0k $5.0k 0.00% New
86 Ashton Thomas Private Wealth, LLC 0.00% of their portfolio SCOTTSDALE, AZ 5252 $2.7k $2.7k 0.00% New
87 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged