Vault-13

NUSHARES ETF TR NUSC

NUVEEN ESG SMLCP · ETP · CUSIP 67092P607

210 institutional holders -4 vs Q2 2023
20,324,09620.3m shares reported held*
$707.9mreported value*
19 new 77 added 61 reduced 21 sold out net bought ≈ $26.5m (+762.0k 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 ($562.3k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $34.83. Options: 1 managers hold calls ($0 notional), 0 hold puts (—).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 185Q4 22: 207Q1 23: 204Q2 23: 214Q3 23: 210210Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022185
Q4 2022207
Q1 2023204
Q2 2023214
Q3 2023210

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 109 bought or addedQ4 22: 71 cut or sold outQ4 22Q1 23: 101 bought or addedQ1 23: 83 cut or sold outQ1 23Q2 23: 108 bought or addedQ2 23: 70 cut or sold outQ2 23Q3 23: 96 bought or addedQ3 23: 82 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 202210971
Q1 202310183
Q2 202310870
Q3 20239682

Biggest buyers

Ameritas Advisory Services, LLC New +375,831+375.8k
BANK OF AMERICA CORP /DE/ Added +123,590+123.6k
ROYAL BANK OF CANADA Added +121,344+121.3k
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC New +104,805+104.8k
IMPACTfolio, LLC Added +71,780+71.8k
MERCER GLOBAL ADVISORS INC /ADV Added +59,428+59.4k
LAZARD ASSET MANAGEMENT LLC New +44,616+44.6k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added +40,642+40.6k
MISSION WEALTH MANAGEMENT, LP Added +36,342+36.3k
LPL Financial LLC Added +35,371+35.4k

Biggest sellers

Sowell Financial Services LLC Reduced -186,994-187.0k
AMERIPRISE FINANCIAL INC Reduced -153,810-153.8k
GOLDMAN SACHS GROUP INC Sold out -50,000-50.0k
Lido Advisors, LLC Reduced -40,148-40.1k
ENVESTNET ASSET MANAGEMENT INC Reduced -31,622-31.6k
WELLS FARGO & COMPANY/MN Reduced -26,598-26.6k
UBS Group AG Reduced -23,769-23.8k
Cambridge Investment Research Advisors, Inc. Reduced -21,954-22.0k
SILVER OAK SECURITIES, INCORPORATED Sold out -20,490-20.5k
Veritable, L.P. Sold out -18,641-18.6k

Biggest calls

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

None

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 BANK OF AMERICA CORP /DE/ 0.02% of their portfolio CHARLOTTE, NC 5,701,9955.7m $198.5m $198.5m 0.02% Added +123.6k +123,590
2 TIAA TRUST, NATIONAL ASSOCIATION 0.24% of their portfolio CHARLOTTE, NC 1,887,3961.9m $65.7m $65.7m 0.24% First filing
3 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,304,2031.3m $45.4m $45.4m 0.00% Added +34.0k +33,979
4 Abacus Wealth Partners, LLC 12.20% of their portfolio SANTA MONICA, CA 1,131,8671.1m $39.4m $39.4m 12.20% Added +18.9k +18,851
5 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 1,075,1441.1m $37.4m $37.4m 0.01% Added +121.3k +121,344
6 MISSION WEALTH MANAGEMENT, LP 1.08% of their portfolio Santa Barbara, CA 818,485818.5k $28.5m $28.5m 1.08% Added +36.3k +36,342
7 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 534,661534.7k $18.6m $18.6m 0.01% Added +35.4k +35,371
8 UBS Group AG 0.01% of their portfolio ZURICH, V8 489,552489.6k $17.0m $17.0m 0.01% Reduced -23.8k -23,769
9 Ameritas Advisory Services, LLC 0.65% of their portfolio Lincoln, NE 375,831375.8k $13.1m $13.1m 0.65% New
10 IMPACTfolio, LLC 8.51% of their portfolio DENVER, CO 338,996339.0k $11.8m $11.8m 8.51% Added +71.8k +71,780
11 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 328,203328.2k $11.4m $11.4m 0.00% Reduced -153.8k -153,810
12 MERCER GLOBAL ADVISORS INC /ADV 0.04% of their portfolio DENVER, CO 323,759323.8k $11.3m $11.3m 0.04% Added +59.4k +59,428
13 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 319,723319.7k $11.1m $11.1m 0.01% Reduced -31.6k -31,622
14 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 309,853309.9k $10.8m $10.8m 0.00% Reduced -26.6k -26,598
15 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 296,662296.7k $10.3m $10.3m 0.00% Added +27.6k +27,619
16 Creative Planning 0.01% of their portfolio OVERLAND PARK, KS 251,141251.1k $8.7m $8.7m 0.01% Added +30.4k +30,392
17 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 218,841218.8k $7.6m $7.6m 0.02% Reduced -15.0k -15,012
18 First Pacific Financial 2.39% of their portfolio VANCOUVER, WA 154,089154.1k $5.4m $5.4m 2.39% Added +7.2k +7,155
19 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 148,230148.2k $5.2m $5.2m 0.02% Reduced -22.0k -21,954
20 Colorado Capital Management, Inc. 3.77% of their portfolio BOULDER, CO 142,800142.8k $5.0m $5.0m 3.77% Added +5.3k +5,340
21 WCG Wealth Advisors LLC 0.36% of their portfolio LAS VEGAS, NV 131,833131.8k $4.9m $4.9m 0.36% Added +1.5k +1,469
22 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 127,501127.5k $4.4m $4.4m 0.01% Reduced -1.6k -1,633
23 EASTERN BANK 0.22% of their portfolio BOSTON, MA 125,079125.1k $4.4m $4.4m 0.22% Reduced -3.9k -3,877
24 BSW Wealth Partners 0.91% of their portfolio BOULDER, CO 117,107117.1k $4.1m $4.1m 0.91% Added +114 +114
25 Dynamic Advisor Solutions LLC 0.19% of their portfolio PHOENIX, AZ 112,972113.0k $3.9m $3.9m 0.19% Added +7.6k +7,643
26 Allworth Financial LP 0.03% of their portfolio FOLSOM, CA 110,049110.0k $3.8m $3.8m 0.03% Added +24.3k +24,324
27 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.01% of their portfolio PLYMOUTH, MN 104,805104.8k $3.6m $3.6m 0.01% New
28 Thrivent Financial for Lutherans 0.01% of their portfolio Minneapolis, MN 98,89598.9k $3.5m $3.5m 0.01% Added +17.8k +17,826
29 Cable Hill Partners, LLC 0.39% of their portfolio PORTLAND, OR 83,55383.6k $2.9m $2.9m 0.39% Added +2.4k +2,370
30 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 81,88281.9k $2.9m $2.9m 0.01% Added +1.1k +1,104
31 SageView Advisory Group, LLC 0.16% of their portfolio Newport Beach, CA 81,63081.6k $2.8m $2.8m 0.16% Reduced -967 -967
32 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 80,70480.7k $2.8m $2.8m 0.01% Added +18.5k +18,549
33 Cetera Investment Advisers 0.02% of their portfolio SCHAUMBURG, IL 80,13180.1k $2.8m $2.8m 0.02% Added +1.0k +1,025
34 WHITTIER TRUST CO 0.05% of their portfolio SOUTH PASADENA, CA 74,37974.4k $2.6m $2.6m 0.05% Reduced -5.7k -5,698
35 NewEdge Advisors, LLC 0.03% of their portfolio NEW ORLEANS, LA 74,25274.3k $2.6m $2.6m 0.03% Reduced -5.2k -5,207
36 Stonehearth Capital Management, LLC 1.41% of their portfolio DANVERS, MA 74,18074.2k $2.6m $2.6m 1.41% Added +1.4k +1,403
37 First Ascent Asset Management, LLC 0.29% of their portfolio DENVER, CO 65,21865.2k $2.3m $2.3m 0.29% Added +8.7k +8,742
38 DeDora Capital, Inc. 0.85% of their portfolio Napa, CA 61,94061.9k $2.2m $2.2m 0.85% Added +4.9k +4,912
39 Corundum Group, Inc. 1.16% of their portfolio COLORADO SPRINGS, CO 58,58558.6k $2.0m $2.0m 1.16% Added +2.2k +2,173
40 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 56,97957.0k $2.0m $2.0m 0.00% Added +5.5k +5,503
41 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 55,84755.8k $2.0m $2.0m 0.00% Added +2.5k +2,526
42 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 54,04954.0k $1.9m $1.9m 0.00% Added +40.6k +40,642
43 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 49,12649.1k $1.7m $1.7m 0.00% Added +70 +70
44 CGC Financial Services, LLC 1.18% of their portfolio LAKE OSWEGO, OR 48,40248.4k $1.7m $1.7m 1.18% Reduced -214 -214
45 LAKE STREET ADVISORS GROUP, LLC 0.10% of their portfolio PORTSMOUTH, NH 46,37446.4k $1.6m $1.6m 0.10% Unchanged
46 VICUS CAPITAL 0.17% of their portfolio STATE COLLEGE, PA 46,06346.1k $1.6m $1.6m 0.17% Reduced -79 -79
47 Arlington Financial Advisors, LLC 0.55% of their portfolio SANTA BARBARA, CA 44,90744.9k $1.6m $1.6m 0.55% Reduced -36 -36
48 LAZARD ASSET MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 44,61644.6k $1.6m $1.6m 0.00% New
49 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 44,05544.1k $1.5m $1.5m 0.01% Reduced -1.4k -1,393
50 PFG Investments, LLC 0.28% of their portfolio WOODBURY, NY 42,71542.7k $1.5m $1.5m 0.28% Added +2.9k +2,906
51 Klaas Financial Asset Advisors, LLC 0.33% of their portfolio LOVES PARK, IL 42,45742.5k $1.5m $1.5m 0.33% Added +4.7k +4,664
52 Modera Wealth Management, LLC 0.03% of their portfolio WESTWOOD, NJ 42,23442.2k $1.5m $1.5m 0.03% Added +7.6k +7,600
53 Envestnet Portfolio Solutions, Inc. 0.01% of their portfolio BERWYN, PA 40,73440.7k $1.4m $1.4m 0.01% First filing
54 Relyea Zuckerberg Hanson LLC 0.32% of their portfolio STAMFORD, CT 39,68739.7k $1.4m $1.4m 0.32% Added +179 +179
55 Wescott Financial Advisory Group, LLC 0.23% of their portfolio Philadelphia, PA 36,46336.5k $1.3m $1.3m 0.23% Added +1.1k +1,141
56 Palisades Hudson Asset Management, L.P. 0.67% of their portfolio FORT LAUDERDALE, FL 35,21635.2k $1.2m $1.2m 0.67% Unchanged
57 Sowell Financial Services LLC 0.07% of their portfolio NORTH LITTLE ROCK, AR 34,20534.2k $1.2m $1.2m 0.07% Reduced -187.0k -186,994
58 Equitable Holdings, Inc. 0.02% of their portfolio NEW YORK, NY 33,95834.0k $1.2m $1.2m 0.02% Reduced -11.2k -11,243
59 Laurel Wealth Planning LLC 0.91% of their portfolio EDINA, MN 33,69033.7k $1.2m $1.2m 0.91% Reduced -6.9k -6,863
60 Sand Hill Global Advisors, LLC 0.06% of their portfolio Palo Alto, CA 31,81831.8k $1.1m $1.1m 0.06% Reduced -521 -521
61 WHITTIER TRUST CO OF NEVADA INC 0.04% of their portfolio RENO, NV 31,37331.4k $1.1m $1.1m 0.04% Reduced -52 -52
62 WealthShield Partners, LLC 0.16% of their portfolio CARY, NC 31,07031.1k $1.1m $1.1m 0.16% Reduced -249 -249
63 Brio Consultants, LLC 0.20% of their portfolio SAN FRANCISCO, CA 30,35830.4k $1.1m $1.1m 0.20% Reduced -383 -383
64 Walkner Condon Financial Advisors LLC 0.28% of their portfolio MADISON, WI 29,83629.8k $1.0m $1.0m 0.28% Added +465 +465
65 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 29,71429.7k $1.0m $1.0m 0.00% New
66 Savant Capital, LLC 0.02% of their portfolio ROCKFORD, IL 29,71429.7k $1.0m $1.0m 0.02% Reduced -1.7k -1,672
67 Financial Connections Group, Inc. 1.24% of their portfolio CORTE MADERA, CA 28,95129.0k $1.0m $1.0m 1.24% Reduced -3.0k -3,040
68 JONES FINANCIAL COMPANIES LLLP 0.00% of their portfolio DES PERES, MO 28,17128.2k $980.9k $980.9k 0.00% Added +8.1k +8,051
69 HARBOUR INVESTMENTS, INC. 0.05% of their portfolio MADISON, WI 27,91827.9k $972.1k $972.1k 0.05% Added +489 +489
70 UMB Bank, n.a. 0.02% of their portfolio Kansas City, MO 27,79227.8k $967.7k $967.7k 0.02% Added +1.6k +1,647
71 Avantax Planning Partners, Inc. 0.04% of their portfolio DUBUQUE, IA 27,46327.5k $956.3k $956.3k 0.04% Reduced -3.7k -3,699
72 PATHSTONE FAMILY OFFICE, LLC 0.01% of their portfolio ENGLEWOOD, NJ 26,87826.9k $935.9k $935.9k 0.01% Added +18.6k +18,641
73 Orion Porfolio Solutions, LLC 0.01% of their portfolio OMAHA, NE 25,77125.8k $897.3k $897.3k 0.01% New
74 Orion Portfolio Solutions, LLC 0.01% of their portfolio Omaha, NE 25,77125.8k $897.3k $897.3k 0.01% New
75 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 25,21425.2k $878.0k $878.0k 0.01% Added +11.3k +11,260
76 LEVEL FOUR ADVISORY SERVICES, LLC 0.06% of their portfolio DALLAS, TX 25,13025.1k $875.0k $875.0k 0.06% Reduced -1.1k -1,137
77 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 23,83323.8k $829.9k $829.9k 0.01% Added +263 +263
78 Addison Advisors LLC 0.39% of their portfolio MIDDLEBURY, VT 23,82023.8k $829.4k $829.4k 0.39% Unchanged
79 RVW Wealth, LLC 0.10% of their portfolio LOS ANGELES, CA 23,49523.5k $818.1k $818.1k 0.10% Added +177 +177
80 Sandbox Financial Partners, LLC 0.42% of their portfolio BETHESDA, MD 22,61922.6k $787.6k $787.6k 0.42% Added +2.3k +2,268
81 Scott Capital Advisors, LLC 0.30% of their portfolio PORTLAND, OR 21,86221.9k $744.2k $744.2k 0.30% Unchanged
82 OPPENHEIMER ASSET MANAGEMENT INC. 0.01% of their portfolio NEW YORK, NY 21,11621.1k $735.3k $735.3k 0.01% Added +2.2k +2,233
83 US FINANCIAL ADVISORS, LLC 0.30% of their portfolio BRAINTREE, MA 20,98021.0k $730.5k $730.5k 0.30% Added +1.1k +1,061
84 Neumann Capital Management, LLC 0.30% of their portfolio FOSTER CITY, CA 19,90419.9k $693.1k $693.1k 0.30% Added +600 +600
85 RAYMOND JAMES TRUST N.A. 0.02% of their portfolio ST. PETERSBURG, FL 19,49519.5k $678.8k $678.8k 0.02% Unchanged
86 Beacon Pointe Advisors, LLC 0.01% of their portfolio NEWPORT BEACH, CA 19,01219.0k $662.0k $662.0k 0.01% New
87 CWM, LLC 0.00% of their portfolio OMAHA, NE 18,83318.8k $656.0k $656.0k 0.00% Added +18.8k +18,787
88 BOKF, NA 0.01% of their portfolio TULSA, OK 18,45818.5k $598.0k $598.0k 0.01% Added +1.1k +1,101
89 Stratos Wealth Partners, LTD. 0.01% of their portfolio BEACHWOOD, OH 17,48417.5k $608.8k $608.8k 0.01% Reduced -5 -5
90 Lido Advisors, LLC 0.01% of their portfolio Los Angeles, CA 17,35717.4k $604.4k $604.4k 0.01% Reduced -40.1k -40,148
91 Pacific Sun Financial Corp 0.41% of their portfolio LOS ANGELES, CA 17,10317.1k $595.5k $595.5k 0.41% Reduced -1.2k -1,240
92 Pioneer Wealth Management Group 0.45% of their portfolio AUSTIN, TX 16,79416.8k $584.8k $584.8k 0.45% Added +1.7k +1,707
93 J.P. Morgan Private Wealth Advisors LLC 0.00% of their portfolio SAN FRANCISCO, CA 16,58216.6k $577.4k $577.4k 0.00% Reduced -5.9k -5,864
94 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 16,54316.5k $576.0k $576.0k 0.00% Reduced -616 -616
95 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 16,31216.3k $568.0k $568.0k 0.00% Reduced -444 -444
96 3D/L Capital Management, LLC 0.18% of their portfolio Hartford, CT 16,29616.3k $567.5k $567.5k 0.18% Added +44 +44
97 Vestmark Advisory Solutions, Inc. 0.04% of their portfolio Wakefield, MA 16,14916.1k $562.3k $562.3k 0.04% Reduced -6.5k -6,499
98 RTD Financial Advisors, Inc. 0.08% of their portfolio Philadelphia, PA 15,55215.6k $541.5k $541.5k 0.08% Added +1.2k +1,152
99 Tower Research Capital LLC (TRC) 0.02% of their portfolio NEW YORK, NY 15,40715.4k $536.5k $536.5k 0.02% Added +10.3k +10,316
100 MML INVESTORS SERVICES, LLC 0.00% of their portfolio SPRINGFIELD, MA 15,27515.3k $532.0k $532.0k 0.00% Added +1.4k +1,439