Vault-13

NORTHERN LTS FD TR IV SECT

MAIN SECTR ROTN · ETP · CUSIP 66538H591

87 institutional holders +0 vs Q2 2024
51,768,91051.8m shares reported held*
$2.8bnreported value*
11 new 34 added 24 reduced 12 sold out net bought ≈ $2.4m (+44.6k 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 ($1.3m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $53.77.

Trends to Q3 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: 87Q3 24: 8787Q3 22Q1 23Q3 23Q1 24Q3 24
Numbers
QuarterHolders
Q3 202244
Q4 202248
Q1 202353
Q2 202363
Q3 202367
Q4 202369
Q1 202474
Q2 202487
Q3 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 outQ1 23: 37 bought or addedQ1 23: 22 cut or sold outQ1 23Q2 23: 36 bought or addedQ2 23: 23 cut or sold outQ3 23: 36 bought or addedQ3 23: 27 cut or sold outQ3 23Q4 23: 46 bought or addedQ4 23: 27 cut or sold outQ1 24: 43 bought or addedQ1 24: 29 cut or sold outQ1 24Q2 24: 54 bought or addedQ2 24: 23 cut or sold outQ3 24: 45 bought or addedQ3 24: 36 cut or sold outQ3 24
Numbers
QuarterBought or addedCut or sold out
Q4 20222920
Q1 20233722
Q2 20233623
Q3 20233627
Q4 20234627
Q1 20244329
Q2 20245423
Q3 20244536

Biggest buyers

CreativeOne Wealth, LLC Added +250,372+250.4k
LPL Financial LLC Added +233,678+233.7k
ENVESTNET ASSET MANAGEMENT INC Added +122,123+122.1k
CWM, LLC Added +79,228+79.2k
Encompass More Asset Management Added +77,932+77.9k
GeoWealth Management, LLC Added +49,123+49.1k
Cambridge Investment Research Advisors, Inc. Added +35,326+35.3k
BRASS TAX WEALTH MANAGEMENT, INC Added +32,002+32.0k
Discipline Wealth Solutions, LLC New +29,086+29.1k
CITADEL ADVISORS LLC Added +27,141+27.1k

Biggest sellers

Axiom Advisory, LLC Sold out -356,950-356.9k
Orion Portfolio Solutions, LLC Reduced -256,838-256.8k
Orion Porfolio Solutions, LLC Reduced -256,838-256.8k
Atria Wealth Solutions, Inc. Reduced -53,108-53.1k
Integrated Wealth Concepts LLC Reduced -29,683-29.7k
Gibbs Wealth Management Reduced -20,880-20.9k
JANE STREET GROUP, LLC Reduced -17,285-17.3k
OLD MISSION CAPITAL LLC Sold out -17,114-17.1k
Fiduciary Alliance LLC Reduced -12,399-12.4k
McAlister, Sweet & Associates, Inc. Reduced -11,155-11.2k

Holders, Q3 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Orion Porfolio Solutions, LLC 9.54% of their portfolio OMAHA, NE 17,810,85817.8m $957.7m $957.7m 9.54% Reduced -256.8k -256,838
2 Orion Portfolio Solutions, LLC 9.54% of their portfolio Omaha, NE 17,810,85817.8m $957.7m $957.7m 9.54% Reduced -256.8k -256,838
3 OSAIC HOLDINGS, INC. 0.82% of their portfolio SCOTTSDALE, AZ 6,748,7716.7m $362.9m $362.9m 0.82% Reduced -8.8k -8,842
4 LPL Financial LLC 0.03% of their portfolio FORT MILL, SC 1,226,4851.2m $65.9m $65.9m 0.03% Added +233.7k +233,678
5 Integrated Wealth Concepts LLC 0.65% of their portfolio WALTHAM, MA 984,863984.9k $53.0m $53.0m 0.65% Reduced -29.7k -29,683
6 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 856,993857.0k $46.1m $46.1m 0.01% Added +122.1k +122,123
7 TOWNSQUARE CAPITAL LLC 0.38% of their portfolio Lehi, UT 589,786589.8k $31.7m $31.7m 0.38% Added +5.6k +5,635
8 Madrona Financial Services, LLC 8.39% of their portfolio EVERETT, WA 561,122561.1k $30.2m $30.2m 8.39% Added +1.8k +1,797
9 CreativeOne Wealth, LLC 0.91% of their portfolio OVERLAND PARK, KS 497,361497.4k $26.7m $26.7m 0.91% Added +250.4k +250,372
10 GeoWealth Management, LLC 0.84% of their portfolio CHICAGO, IL 442,132442.1k $23.8m $23.8m 0.84% Added +49.1k +49,123
11 Main Management LLC 1.82% of their portfolio SAN FRANCISCO, CA 412,524412.5k $22.2m $22.2m 1.82% Added +5.8k +5,785
12 Atria Wealth Solutions, Inc. 0.21% of their portfolio NEW YORK, NY 351,505351.5k $18.9m $18.9m 0.21% Reduced -53.1k -53,108
13 Envestnet Portfolio Solutions, Inc. 0.06% of their portfolio BERWYN, PA 321,823321.8k $17.3m $17.3m 0.06% Reduced -6.0k -5,971
14 WealthPLAN Partners, LLC 2.06% of their portfolio OMAHA, NE 285,704285.7k $15.4m $15.4m 2.06% Added +1.4k +1,395
15 Encompass More Asset Management 5.16% of their portfolio Danville, CA 251,845251.8k $13.5m $13.5m 5.16% Added +77.9k +77,932
16 Atria Investments, Inc 0.16% of their portfolio Charlotte, NC 237,574237.6k $12.8m $12.8m 0.16% Added +21.4k +21,419
17 Mutual Advisors, LLC 0.36% of their portfolio OMAHA, NE 230,061230.1k $12.4m $12.4m 0.36% Added +15.8k +15,785
18 Gibbs Wealth Management 3.97% of their portfolio Alpharetta, GA 227,853227.9k $12.3m $12.3m 3.97% Reduced -20.9k -20,880
19 Spire Wealth Management 0.38% of their portfolio MCLEAN, VA 210,668210.7k $11.3m $11.3m 0.38% Reduced -3.0k -2,978
20 Copley Financial Group, Inc. 9.79% of their portfolio SAN DIEGO, CA 200,395200.4k $10.8m $10.8m 9.79% First filing
21 Cetera Investment Advisers 0.02% of their portfolio SCHAUMBURG, IL 135,542135.5k $7.3m $7.3m 0.02% Added +4.3k +4,253
22 CWM, LLC 0.03% of their portfolio OMAHA, NE 116,494116.5k $6.3m $6.3m 0.03% Added +79.2k +79,228
23 AVANTAX ADVISORY SERVICES, INC. 0.04% of their portfolio DALLAS, TX 115,440115.4k $6.2m $6.2m 0.04% Added +17.1k +17,065
24 McAlister, Sweet & Associates, Inc. 4.64% of their portfolio HOUSTON, TX 104,492104.5k $5.6m $5.6m 4.64% Reduced -11.2k -11,155
25 NewEdge Advisors, LLC 0.04% of their portfolio NEW ORLEANS, LA 100,971101.0k $5.4m $5.4m 0.04% Added +7.5k +7,530
26 Sigma Planning Corp 0.12% of their portfolio ANN ARBOR, MI 74,83074.8k $4.0m $4.0m 0.12% Added +9.5k +9,468
27 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 69,04469.0k $3.7m $3.7m 0.01% Added +35.3k +35,326
28 BRASS TAX WEALTH MANAGEMENT, INC 0.41% of their portfolio CINCINNATI, OH 55,70455.7k $3.0m $3.0m 0.41% Added +32.0k +32,002
29 Cooper Financial Group 0.38% of their portfolio IRVINE, CA 54,49454.5k $2.9m $2.9m 0.38% Reduced -100 -100
30 Fiduciary Alliance LLC 0.37% of their portfolio GREENVILLE, SC 52,40352.4k $2.8m $2.8m 0.37% Reduced -12.4k -12,399
31 Geneos Wealth Management Inc. 0.10% of their portfolio ENGLEWOOD, CO 47,33847.3k $2.5m $2.5m 0.10% Added +1.9k +1,864
32 FLORIDA FINANCIAL ADVISORS, LLC 1.28% of their portfolio TAMPA, FL 46,26046.3k $2.5m $2.5m 1.28% Reduced -1.7k -1,725
33 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 39,51139.5k $2.1m $2.1m 0.00% Added +27.1k +27,141
34 Lunt Capital Management, Inc. 0.90% of their portfolio HOLLADAY, UT 35,77835.8k $1.9m $1.9m 0.90% Added +2.2k +2,170
35 Discipline Wealth Solutions, LLC 0.83% of their portfolio GREENVILLE, SC 29,08629.1k $1.6m $1.6m 0.83% New
36 WORLD EQUITY GROUP, INC. 0.51% of their portfolio SCHAUMBURG, IL 26,39926.4k $1.4m $1.4m 0.51% Added +2.7k +2,693
37 GTS SECURITIES LLC 0.03% of their portfolio NEW YORK, NY 23,93823.9k $1.3m $1.3m 0.03% New
38 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 20,83220.8k $1.1m $1.1m 0.00% Added +7.6k +7,585
39 Independent Wealth Network Inc. 0.49% of their portfolio URBANDALE, IA 20,63720.6k $1.1m $1.1m 0.49% Added +1.7k +1,684
40 PFG Investments, LLC 0.07% of their portfolio WOODBURY, NY 20,58920.6k $1.1m $1.1m 0.07% Reduced -494 -494
41 LifePro Asset Management 0.62% of their portfolio San Diego, CA 18,87718.9k $1.0m $1.0m 0.62% Reduced -494 -494
42 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 18,39318.4k $989.0k $989.0k 0.01% Added +6.1k +6,059
43 Arkadios Wealth Advisors 0.05% of their portfolio ATLANTA, GA 17,78617.8k $956.3k $956.3k 0.05% Reduced -1.8k -1,807
44 Koshinski Asset Management, Inc. 0.08% of their portfolio DECATUR, IL 17,30017.3k $930.2k $930.2k 0.08% Added +2.2k +2,198
45 RFG Advisory, LLC 0.03% of their portfolio BIRMINGHAM, AL 16,10216.1k $865.8k $865.8k 0.03% Added +6.3k +6,316
46 Advisory Services Network, LLC 0.02% of their portfolio ATLANTA, GA 14,65514.7k $748.7k $748.7k 0.02% Unchanged
47 Financial Advocates Investment Management 0.04% of their portfolio OLYMPIA, WA 14,08114.1k $757.1k $757.1k 0.04% Reduced -9 -9
48 SILVER OAK SECURITIES, INCORPORATED 0.07% of their portfolio JACKSON, TN 13,09313.1k $703.5k $703.5k 0.07% Added +8.4k +8,380
49 NATIXIS ADVISORS, LLC 0.00% of their portfolio Boston, MA 13,08613.1k $704.0k $704.0k 0.00% Added +2.1k +2,098
50 Sanctuary Advisors, LLC 0.00% of their portfolio INDIANAPOLIS, IN 12,82212.8k $719.7k $719.7k 0.00% Reduced -2.6k -2,616
51 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 12,33112.3k $663.0k $663.0k 0.00% Reduced -17.3k -17,285
52 TCP Asset Management, LLC 0.15% of their portfolio Upper Arlington, OH 12,26612.3k $659.5k $659.5k 0.15% New
53 INDEPENDENT FINANCIAL GROUP, LLC 0.02% of their portfolio SAN DIEGO, CA 10,90210.9k $586.2k $586.2k 0.02% Added +500 +500
54 Meeder Advisory Services, Inc. 0.04% of their portfolio DUBLIN, OH 10,38610.4k $558.5k $558.5k 0.04% Added +6.3k +6,335
55 Farther Finance Advisors, LLC 0.02% of their portfolio SAN FRANCISCO, CA 10,17210.2k $547.0k $547.0k 0.02% Reduced -1.6k -1,557
56 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 10,14410.1k $545.4k $545.4k 0.00% Unchanged
57 Coppell Advisory Solutions LLC 0.08% of their portfolio COPPELL, TX 10,07110.1k $541.1k $541.1k 0.08% Unchanged
58 Compound Planning, Inc. 0.03% of their portfolio NEW YORK, NY 9,5529.6k $513.6k $513.6k 0.03% Reduced -243 -243
59 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 9,4489.4k $508.0k $508.0k 0.00% Reduced -4.3k -4,266
60 Foundations Investment Advisors, LLC 0.01% of their portfolio PHOENIX, AZ 9,3179.3k $501.0k $501.0k 0.01% Unchanged
61 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 9,1929.2k $494.2k $494.2k 0.00% Added +2.6k +2,579
62 Simplicity Wealth,LLC 0.04% of their portfolio SUMMIT, NJ 7,7197.7k $415.1k $415.1k 0.04% Unchanged
63 Peterson Financial Group, Inc. 1.40% of their portfolio DES MOINES, IA 6,7436.7k $362.6k $362.6k 1.40% Unchanged
64 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 6,2496.2k $336.0k $336.0k 0.00% Added +1.7k +1,659
65 Wealthcare Advisory Partners LLC 0.01% of their portfolio WEST CHESTER, PA 6,1076.1k $328.4k $328.4k 0.01% New
66 Ethos Financial Group, LLC 0.05% of their portfolio KING OF PRUSSIA, PA 5,9966.0k $322.0k $322.0k 0.05% Unchanged
67 WEDBUSH SECURITIES INC 0.01% of their portfolio PASADENA, CA 5,8535.9k $315.0k $315.0k 0.01% New
68 Diversify Advisory Services, LLC 0.02% of their portfolio SANDY, UT 5,7315.7k $311.3k $311.3k 0.02% Reduced -1.9k -1,911
69 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 4,8554.9k $261.1k $261.1k 0.01% Unchanged
70 Aptus Capital Advisors, LLC 0.00% of their portfolio FAIRHOPE, AL 4,5984.6k $247.2k $247.2k 0.00% Added +1 +1
71 Anchor Investment Management, LLC 0.02% of their portfolio COLUMBIA, SC 4,1824.2k $224.9k $224.9k 0.02% Unchanged
72 EverSource Wealth Advisors, LLC 0.01% of their portfolio BIRMINGHAM, AL 3,2323.2k $173.8k $173.8k 0.01% Unchanged
73 Nemes Rush Group LLC 0.02% of their portfolio NOVI, MI 2,8702.9k $144.6k $144.6k 0.02% Unchanged
74 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 2,1412.1k $115.2k $115.2k 0.00% Unchanged
75 Householder Group Estate & Retirement Specialist, LLC 0.03% of their portfolio SCOTTSDALE, AZ 1,8901.9k $101.0k $101.0k 0.03% Unchanged
76 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 1,7291.7k $93.0k $93.0k 0.00% Reduced -187 -187
77 First Horizon Advisors, Inc. 0.00% of their portfolio MEMPHIS, TN 989989 $53.2k $53.2k 0.00% Unchanged
78 SIGNATUREFD, LLC 0.00% of their portfolio ATLANTA, GA 921921 $49.5k $49.5k 0.00% New
79 Westside Investment Management, Inc. 0.01% of their portfolio SANTA MONICA, CA 834834 $44.8k $44.8k 0.01% Unchanged
80 Hobbs Group Advisors, LLC 0.01% of their portfolio COLUMBIA, SC 648648 $34.8k $34.8k 0.01% Reduced -1.3k -1,345
81 Continuum Advisory, LLC 0.00% of their portfolio EAGLE, ID 512512 $28.7k $28.7k 0.00% New
82 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 391391 $21.0k $21.0k 0.00% New
83 EARNED WEALTH ADVISORS, LLC 0.00% of their portfolio WALNUT CREEK, CA 291291 $15.6k $15.6k 0.00% New
84 ASSETMARK, INC 0.00% of their portfolio CONCORD, CA 143143 $7.7k $7.7k 0.00% Unchanged
85 TOTH FINANCIAL ADVISORY CORP 0.00% of their portfolio LEESBURG, VA 9797 $5.2k $5.2k 0.00% New
86 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 11 $54 $54 0.00% New
87 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged