Vault-13

NUSHARES ETF TR NUSC

NUVEEN ESG SMLCP · ETP · CUSIP 67092P607

229 institutional holders +19 vs Q3 2023
21,274,92121.3m shares reported held*
$831.5mreported value*
22 new 80 added 72 reduced 17 sold out net bought ≈ $31.0m (+794.1k 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 ($617.8k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $39.08. Options: 1 managers hold calls ($0 notional), 0 hold puts (—).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 185Q4 22: 207Q1 23: 204Q2 23: 214Q3 23: 210Q4 23: 229229Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022185
Q4 2022207
Q1 2023204
Q2 2023214
Q3 2023210
Q4 2023229

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 23Q4 23: 102 bought or addedQ4 23: 89 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 202210971
Q1 202310183
Q2 202310870
Q3 20239682
Q4 202310289

Biggest buyers

MORGAN STANLEY Added +1,344,879+1.3m
MERCER GLOBAL ADVISORS INC /ADV Added +74,563+74.6k
JPMORGAN CHASE & CO Added +71,454+71.5k
Rockefeller Capital Management L.P. Added +66,969+67.0k
RWA WEALTH PARTNERS, LLC New +58,243+58.2k
LPL Financial LLC Added +55,083+55.1k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added +45,747+45.7k
ENVESTNET ASSET MANAGEMENT INC Added +45,600+45.6k
Abacus Wealth Partners, LLC Added +43,749+43.7k
AMERIPRISE FINANCIAL INC Added +40,269+40.3k

Biggest sellers

BANK OF AMERICA CORP /DE/ Reduced -465,655-465.7k
TIAA TRUST, NATIONAL ASSOCIATION Reduced -311,988-312.0k
COMMONWEALTH EQUITY SERVICES, LLC Reduced -78,727-78.7k
Ameritas Advisory Services, LLC Reduced -53,946-53.9k
IMPACTfolio, LLC Reduced -47,275-47.3k
UBS Group AG Reduced -37,383-37.4k
Sand Hill Global Advisors, LLC Sold out -31,818-31.8k
CITADEL ADVISORS LLC Sold out -29,714-29.7k
MISSION WEALTH MANAGEMENT, LP Reduced -18,530-18.5k
Raymond James Financial Services Advisors, Inc. Reduced -16,666-16.7k

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, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 BANK OF AMERICA CORP /DE/ 0.02% of their portfolio CHARLOTTE, NC 5,236,3405.2m $204.7m $204.7m 0.02% Reduced -465.7k -465,655
2 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 2,649,0822.6m $103.6m $103.6m 0.00% Added +1.3m +1,344,879
3 TIAA TRUST, NATIONAL ASSOCIATION 0.21% of their portfolio CHARLOTTE, NC 1,575,4081.6m $61.6m $61.6m 0.21% Reduced -312.0k -311,988
4 Abacus Wealth Partners, LLC 7.76% of their portfolio SANTA MONICA, CA 1,175,6161.2m $46.0m $46.0m 7.76% Added +43.7k +43,749
5 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 1,100,7211.1m $43.0m $43.0m 0.01% Added +25.6k +25,577
6 MISSION WEALTH MANAGEMENT, LP 1.03% of their portfolio Santa Barbara, CA 799,955800.0k $31.3m $31.3m 1.03% Reduced -18.5k -18,530
7 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 589,744589.7k $23.1m $23.1m 0.01% Added +55.1k +55,083
8 UBS Group AG 0.01% of their portfolio ZURICH, V8 452,169452.2k $17.7m $17.7m 0.01% Reduced -37.4k -37,383
9 MERCER GLOBAL ADVISORS INC /ADV 0.05% of their portfolio DENVER, CO 398,322398.3k $15.6m $15.6m 0.05% Added +74.6k +74,563
10 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 368,472368.5k $14.4m $14.4m 0.00% Added +40.3k +40,269
11 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 365,323365.3k $14.3m $14.3m 0.01% Added +45.6k +45,600
12 Ameritas Advisory Services, LLC 0.69% of their portfolio Lincoln, NE 321,885321.9k $12.6m $12.6m 0.69% Reduced -53.9k -53,946
13 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 294,369294.4k $11.5m $11.5m 0.00% Reduced -15.5k -15,484
14 IMPACTfolio, LLC 7.42% of their portfolio DENVER, CO 291,721291.7k $11.4m $11.4m 7.42% Reduced -47.3k -47,275
15 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 289,495289.5k $11.3m $11.3m 0.00% Reduced -7.2k -7,167
16 Creative Planning 0.02% of their portfolio OVERLAND PARK, KS 241,960242.0k $9.5m $9.5m 0.02% Reduced -9.2k -9,181
17 First Pacific Financial 1.90% of their portfolio VANCOUVER, WA 158,876158.9k $6.2m $6.2m 1.90% Added +4.8k +4,787
18 Colorado Capital Management, Inc. 3.66% of their portfolio BOULDER, CO 142,573142.6k $5.6m $5.6m 3.66% Reduced -227 -227
19 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 140,114140.1k $5.5m $5.5m 0.01% Reduced -78.7k -78,727
20 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 137,209137.2k $5.4m $5.4m 0.02% Reduced -11.0k -11,021
21 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 130,079130.1k $5.1m $5.1m 0.01% Added +2.6k +2,578
22 WCG Wealth Advisors LLC 0.37% of their portfolio LAS VEGAS, NV 129,377129.4k $5.1m $5.1m 0.37% Reduced -2.5k -2,456
23 EASTERN BANK 0.22% of their portfolio BOSTON, MA 126,585126.6k $4.9m $4.9m 0.22% Added +1.5k +1,506
24 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 120,580120.6k $4.7m $4.7m 0.00% Added +71.5k +71,454
25 BSW Wealth Partners 0.91% of their portfolio BOULDER, CO 116,829116.8k $4.6m $4.6m 0.91% Reduced -278 -278
26 Allworth Financial LP 0.03% of their portfolio FOLSOM, CA 116,136116.1k $4.5m $4.5m 0.03% Added +6.1k +6,087
27 Dynamic Advisor Solutions LLC 0.16% of their portfolio PHOENIX, AZ 112,685112.7k $4.3m $4.3m 0.16% Reduced -287 -287
28 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 111,024111.0k $4.3m $4.3m 0.01% Added +67.0k +66,969
29 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.01% of their portfolio PLYMOUTH, MN 104,510104.5k $4.1m $4.1m 0.01% Reduced -295 -295
30 Thrivent Financial for Lutherans 0.01% of their portfolio Minneapolis, MN 101,280101.3k $4.0m $4.0m 0.01% Added +2.4k +2,385
31 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.01% of their portfolio BALA CYNWYD, PA 99,79699.8k $3.9m $3.9m 0.01% Added +45.7k +45,747
32 Cable Hill Partners, LLC 0.47% of their portfolio PORTLAND, OR 99,57299.6k $3.8m $3.8m 0.47% Added +16.0k +16,019
33 SageView Advisory Group, LLC 0.15% of their portfolio Newport Beach, CA 89,93789.9k $3.5m $3.5m 0.15% Added +8.3k +8,307
34 First Ascent Asset Management, LLC 0.36% of their portfolio DENVER, CO 83,26683.3k $3.3m $3.3m 0.36% Added +18.0k +18,048
35 WHITTIER TRUST CO 0.05% of their portfolio SOUTH PASADENA, CA 73,52373.5k $2.9m $2.9m 0.05% Reduced -856 -856
36 NewEdge Advisors, LLC 0.03% of their portfolio NEW ORLEANS, LA 70,03470.0k $2.7m $2.7m 0.03% Reduced -4.2k -4,218
37 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 69,07869.1k $2.7m $2.7m 0.00% Reduced -11.6k -11,626
38 Cetera Investment Advisers 0.02% of their portfolio SCHAUMBURG, IL 68,63768.6k $2.7m $2.7m 0.02% Reduced -11.5k -11,494
39 DeDora Capital, Inc. 0.92% of their portfolio Napa, CA 67,25667.3k $2.6m $2.6m 0.92% Added +5.3k +5,316
40 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 65,21665.2k $2.5m $2.5m 0.00% Reduced -16.7k -16,666
41 Corundum Group, Inc. 1.23% of their portfolio COLORADO SPRINGS, CO 62,90462.9k $2.5m $2.5m 1.23% Added +4.3k +4,319
42 Stonehearth Capital Management, LLC 1.15% of their portfolio DANVERS, MA 59,84359.8k $2.3m $2.3m 1.15% Reduced -14.3k -14,337
43 RWA WEALTH PARTNERS, LLC 0.03% of their portfolio BOSTON, MA 58,24358.2k $2.3m $2.3m 0.03% New
44 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 57,79757.8k $2.3m $2.3m 0.00% Added +818 +818
45 CGC Financial Services, LLC 0.91% of their portfolio LAKE OSWEGO, OR 51,00851.0k $2.0m $2.0m 0.91% Added +2.6k +2,606
46 Modera Wealth Management, LLC 0.03% of their portfolio WESTWOOD, NJ 50,01950.0k $2.0m $2.0m 0.03% Added +7.8k +7,785
47 Arlington Financial Advisors, LLC 0.56% of their portfolio SANTA BARBARA, CA 47,58447.6k $1.9m $1.9m 0.56% Added +2.7k +2,677
48 Beacon Pointe Advisors, LLC 0.02% of their portfolio NEWPORT BEACH, CA 47,28347.3k $1.8m $1.8m 0.02% Added +28.3k +28,271
49 PFG Investments, LLC 0.33% of their portfolio WOODBURY, NY 45,52845.5k $1.8m $1.8m 0.33% Added +2.8k +2,813
50 LAZARD ASSET MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 44,61644.6k $1.7m $1.7m 0.00% Unchanged
51 LAKE STREET ADVISORS GROUP, LLC 0.09% of their portfolio PORTSMOUTH, NH 44,52644.5k $1.7m $1.7m 0.09% Reduced -1.8k -1,848
52 SilverOak Wealth Management LLC 0.47% of their portfolio Edina, MN 44,14144.1k $1.7m $1.7m 0.47% First filing
53 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 43,16443.2k $1.7m $1.7m 0.00% Reduced -12.7k -12,683
54 Envestnet Portfolio Solutions, Inc. 0.01% of their portfolio BERWYN, PA 39,20239.2k $1.5m $1.5m 0.01% Reduced -1.5k -1,532
55 VICUS CAPITAL 0.15% of their portfolio STATE COLLEGE, PA 38,20238.2k $1.5m $1.5m 0.15% Reduced -7.9k -7,861
56 Wescott Financial Advisory Group, LLC 0.20% of their portfolio Philadelphia, PA 37,39937.4k $1.5m $1.5m 0.20% Added +936 +936
57 Palisades Hudson Asset Management, L.P. 0.70% of their portfolio FORT LAUDERDALE, FL 36,73636.7k $1.4m $1.4m 0.70% Added +1.5k +1,520
58 Focus Partners Wealth 0.02% of their portfolio ST LOUIS, MO 35,91935.9k $1.4m $1.4m 0.02% First filing
59 Klaas Financial Asset Advisors, LLC 0.28% of their portfolio LOVES PARK, IL 34,87734.9k $1.4m $1.4m 0.28% Reduced -7.6k -7,580
60 FMR LLC 0.00% of their portfolio BOSTON, MA 34,75934.8k $1.4m $1.4m 0.00% Added +25.1k +25,086
61 Walkner Condon Financial Advisors LLC 0.31% of their portfolio MADISON, WI 34,68834.7k $1.4m $1.4m 0.31% Added +4.9k +4,852
62 Brio Consultants, LLC 0.24% of their portfolio SAN FRANCISCO, CA 33,95834.0k $1.3m $1.3m 0.24% Added +3.6k +3,600
63 WealthShield Partners, LLC 0.21% of their portfolio CARY, NC 32,87132.9k $1.3m $1.3m 0.21% Added +1.8k +1,801
64 Equitable Holdings, Inc. 0.02% of their portfolio NEW YORK, NY 31,93731.9k $1.2m $1.2m 0.02% Reduced -2.0k -2,021
65 WHITTIER TRUST CO OF NEVADA INC 0.04% of their portfolio RENO, NV 31,29531.3k $1.2m $1.2m 0.04% Reduced -78 -78
66 HARBOUR INVESTMENTS, INC. 0.05% of their portfolio MADISON, WI 28,67228.7k $1.1m $1.1m 0.05% Added +754 +754
67 UMB Bank, n.a. 0.02% of their portfolio Kansas City, MO 27,53227.5k $1.1m $1.1m 0.02% Reduced -260 -260
68 Avantax Planning Partners, Inc. 0.04% of their portfolio DUBUQUE, IA 27,51327.5k $1.1m $1.1m 0.04% Added +50 +50
69 Orion Porfolio Solutions, LLC 0.01% of their portfolio OMAHA, NE 27,42427.4k $1.1m $1.1m 0.01% Added +1.7k +1,653
70 Orion Portfolio Solutions, LLC 0.01% of their portfolio Omaha, NE 27,42427.4k $1.1m $1.1m 0.01% Added +1.7k +1,653
71 Pathstone Holdings, LLC 0.01% of their portfolio ENGLEWOOD, NJ 26,87826.9k $1.1m $1.1m 0.01% First filing
72 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 26,55326.6k $1.0m $1.0m 0.01% Added +1.3k +1,339
73 Relyea Zuckerberg Hanson LLC 0.20% of their portfolio STAMFORD, CT 26,55026.6k $1.0m $1.0m 0.20% Reduced -13.1k -13,137
74 Laurel Wealth Planning LLC 0.73% of their portfolio EDINA, MN 26,51326.5k $1.0m $1.0m 0.73% Reduced -7.2k -7,177
75 JONES FINANCIAL COMPANIES LLLP 0.00% of their portfolio DES PERES, MO 26,37426.4k $1.0m $1.0m 0.00% Reduced -1.8k -1,797
76 Pioneer Wealth Management Group 0.62% of their portfolio AUSTIN, TX 25,63825.6k $1.0m $1.0m 0.62% Added +8.8k +8,844
77 Addison Advisors LLC 0.36% of their portfolio MIDDLEBURY, VT 23,82023.8k $931.4k $931.4k 0.36% Unchanged
78 RVW Wealth, LLC 0.10% of their portfolio LOS ANGELES, CA 23,34623.3k $912.8k $912.8k 0.10% Reduced -149 -149
79 Savant Capital, LLC 0.01% of their portfolio ROCKFORD, IL 23,17423.2k $906.1k $906.1k 0.01% Reduced -6.5k -6,540
80 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 22,45222.5k $877.9k $877.9k 0.01% Reduced -1.4k -1,381
81 US FINANCIAL ADVISORS, LLC 0.33% of their portfolio BRAINTREE, MA 22,37322.4k $874.8k $874.8k 0.33% Added +1.4k +1,393
82 OPPENHEIMER ASSET MANAGEMENT INC. 0.01% of their portfolio NEW YORK, NY 22,20922.2k $868.4k $868.4k 0.01% Added +1.1k +1,093
83 Scott Capital Advisors, LLC 0.29% of their portfolio PORTLAND, OR 22,03922.0k $861.7k $861.7k 0.29% Added +177 +177
84 Sowell Financial Services LLC 0.05% of their portfolio NORTH LITTLE ROCK, AR 21,56621.6k $843.0k $843.0k 0.05% Reduced -12.6k -12,639
85 CWM, LLC 0.00% of their portfolio OMAHA, NE 20,80620.8k $814.0k $814.0k 0.00% Added +2.0k +1,973
86 Neumann Capital Management, LLC 0.32% of their portfolio FOSTER CITY, CA 20,80420.8k $813.4k $813.4k 0.32% Added +900 +900
87 Sandbox Financial Partners, LLC 0.36% of their portfolio BETHESDA, MD 19,62919.6k $767.5k $767.5k 0.36% Reduced -3.0k -2,990
88 BOKF, NA 0.01% of their portfolio TULSA, OK 19,41219.4k $759.0k $759.0k 0.01% Added +954 +954
89 Destination Wealth Management 0.03% of their portfolio Walnut Creek, CA 19,22519.2k $751.7k $751.7k 0.03% New
90 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 18,44018.4k $721.0k $721.0k 0.00% Added +1.9k +1,897
91 Lido Advisors, LLC 0.01% of their portfolio Los Angeles, CA 17,58217.6k $687.5k $687.5k 0.01% Added +225 +225
92 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 17,55517.6k $686.4k $686.4k 0.00% Added +1.2k +1,243
93 FLOW TRADERS U.S. LLC 0.02% of their portfolio NEW YORK, NY 17,39117.4k $680.0k $680.0k 0.02% Added +5.1k +5,142
94 Stratos Wealth Partners, LTD. 0.01% of their portfolio BEACHWOOD, OH 16,81316.8k $657.4k $657.4k 0.01% Reduced -671 -671
95 LEVEL FOUR ADVISORY SERVICES, LLC 0.04% of their portfolio DALLAS, TX 16,78216.8k $656.2k $656.2k 0.04% Reduced -8.3k -8,348
96 Financial Connections Group, Inc. 0.42% of their portfolio CORTE MADERA, CA 16,39916.4k $641.0k $641.0k 0.42% Reduced -12.6k -12,552
97 Balanced Rock Investment Advisors LLC 0.57% of their portfolio ROSLINDALE, MA 16,33416.3k $638.7k $638.7k 0.57% First filing
98 Revolve Wealth Partners, LLC 0.12% of their portfolio Hackensack, NJ 16,02016.0k $626.4k $626.4k 0.12% Added +6.9k +6,911
99 Vestmark Advisory Solutions, Inc. 0.03% of their portfolio Wakefield, MA 15,80115.8k $617.8k $617.8k 0.03% Reduced -348 -348
100 RAYMOND JAMES TRUST N.A. 0.02% of their portfolio ST. PETERSBURG, FL 15,64415.6k $611.7k $611.7k 0.02% Reduced -3.9k -3,851