Vault-13

PIMCO ETF TR SMMU

SHTRM MUN BD ACT · ETP · CUSIP 72201R874

140 institutional holders +9 vs Q3 2023
9,562,0349.6m shares reported held*
$479.1mreported value*
16 new 50 added 43 reduced 15 sold out net bought ≈ $43.8m (+862.5k 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. Holder counts are more reliable. Implied quarter-end price ≈ $50.10.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 103Q4 22: 112Q1 23: 123Q2 23: 125Q3 23: 131Q4 23: 140140Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022103
Q4 2022112
Q1 2023123
Q2 2023125
Q3 2023131
Q4 2023140

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 56 bought or addedQ4 22: 47 cut or sold outQ4 22Q1 23: 62 bought or addedQ1 23: 46 cut or sold outQ1 23Q2 23: 59 bought or addedQ2 23: 50 cut or sold outQ2 23Q3 23: 61 bought or addedQ3 23: 53 cut or sold outQ3 23Q4 23: 66 bought or addedQ4 23: 58 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20225647
Q1 20236246
Q2 20235950
Q3 20236153
Q4 20236658

Biggest buyers

MORGAN STANLEY Added +797,251+797.3k
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC Added +275,468+275.5k
GOLDMAN SACHS GROUP INC New +222,784+222.8k
OSAIC HOLDINGS, INC. Added +128,353+128.4k
JANE STREET GROUP, LLC Added +114,215+114.2k
Pictet North America Advisors SA New +107,200+107.2k
FLOW TRADERS U.S. LLC New +91,937+91.9k
Cetera Advisor Networks LLC Added +84,565+84.6k
PAX Financial Group, LLC New +56,691+56.7k
TD Capital Management LLC Added +52,750+52.8k

Biggest sellers

BANK OF AMERICA CORP /DE/ Reduced -492,731-492.7k
Kathmere Capital Management, LLC Sold out -108,012-108.0k
OneDigital Investment Advisors LLC Reduced -105,762-105.8k
Amplius Wealth Advisors, LLC Reduced -98,724-98.7k
Signify Wealth Sold out -93,734-93.7k
CWM, LLC Reduced -69,644-69.6k
TRUIST FINANCIAL CORP Sold out -64,197-64.2k
LPL Financial LLC Reduced -44,141-44.1k
HighTower Advisors, LLC Reduced -42,615-42.6k
COMMONWEALTH EQUITY SERVICES, LLC Reduced -34,792-34.8k

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,263,2641.3m $63.2m $63.2m 0.00% Added +797.3k +797,251
2 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 1,097,8251.1m $54.9m $54.9m 0.01% Reduced -492.7k -492,731
3 CWM, LLC 0.23% of their portfolio OMAHA, NE 853,066853.1k $42.7m $42.7m 0.23% Reduced -69.6k -69,644
4 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.08% of their portfolio PLYMOUTH, MN 541,631541.6k $27.1m $27.1m 0.08% Added +275.5k +275,468
5 Biltmore Wealth Management, LLC 8.78% of their portfolio TEMPE, AZ 368,867368.9k $18.5m $18.5m 8.78% Added +9.7k +9,672
6 Cetera Advisors LLC 0.20% of their portfolio DENVER, CO 290,821290.8k $14.5m $14.5m 0.20% Added +29.8k +29,792
7 CAPTRUST FINANCIAL ADVISORS 0.05% of their portfolio RALEIGH, NC 286,844286.8k $14.3m $14.3m 0.05% Added +28.1k +28,121
8 Cerity Partners LLC 0.05% of their portfolio NEW YORK, NY 271,995272.0k $13.6m $13.6m 0.05% Added +11.2k +11,181
9 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 267,583267.6k $13.4m $13.4m 0.02% Added +128.4k +128,353
10 CONDOR CAPITAL MANAGEMENT 1.23% of their portfolio MARTINSVILLE, NJ 230,055230.1k $11.5m $11.5m 1.23% Added +5.7k +5,694
11 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 222,784222.8k $11.1m $11.1m 0.00% New
12 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 207,340207.3k $10.4m $10.4m 0.00% Reduced -25.5k -25,527
13 JANE STREET GROUP, LLC 0.01% of their portfolio NEW YORK, NY 202,498202.5k $10.1m $10.1m 0.01% Added +114.2k +114,215
14 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 190,418190.4k $9.5m $9.5m 0.01% Reduced -44.1k -44,141
15 TD Capital Management LLC 1.00% of their portfolio MEMPHIS, TN 175,927175.9k $8.8m $8.8m 1.00% Added +52.8k +52,750
16 CarsonAllaria Wealth Management, Ltd. 4.53% of their portfolio GLEN CARBON, IL 126,287126.3k $6.3m $6.3m 4.53% Reduced -1.1k -1,103
17 OneDigital Investment Advisors LLC 0.10% of their portfolio OVERLAND PARK, KS 114,079114.1k $5.7m $5.7m 0.10% Reduced -105.8k -105,762
18 WEBSTERROGERS FINANCIAL ADVISORS, LLC 2.25% of their portfolio FLORENCE, SC 107,916107.9k $5.4m $5.4m 2.25% Reduced -13.5k -13,490
19 Pictet North America Advisors SA 0.69% of their portfolio GENEVA 73, V8 107,200107.2k $5.4m $5.4m 0.69% New
20 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 94,72194.7k $4.7m $4.7m 0.01% Added +5.8k +5,820
21 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 92,79692.8k $4.6m $4.6m 0.00% Reduced -25.1k -25,098
22 FLOW TRADERS U.S. LLC 0.14% of their portfolio NEW YORK, NY 91,93791.9k $4.6m $4.6m 0.14% New
23 Cetera Advisor Networks LLC 0.03% of their portfolio EL SEGUNDO, CA 91,20491.2k $4.6m $4.6m 0.03% Added +84.6k +84,565
24 Westside Investment Management, Inc. 1.10% of their portfolio SANTA MONICA, CA 85,95086.0k $4.3m $4.3m 1.10% Reduced -250 -250
25 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 84,68584.7k $4.2m $4.2m 0.01% Added +980 +980
26 SIGNET FINANCIAL MANAGEMENT, LLC 0.63% of their portfolio PARSIPPANY, NJ 84,41784.4k $4.2m $4.2m 0.63% Reduced -1.2k -1,181
27 DAVIS R M INC 0.10% of their portfolio PORTLAND, ME 83,15183.2k $4.2m $4.2m 0.10% Reduced -27.8k -27,842
28 Kelman-Lazarov, Inc. 0.75% of their portfolio MEMPHIS, TN 68,81568.8k $3.4m $3.4m 0.75% Added +18.2k +18,239
29 Crumly & Associates Inc. 0.98% of their portfolio SPRINGFIELD, IL 67,65167.7k $3.4m $3.4m 0.98% Added +41.5k +41,524
30 Orion Porfolio Solutions, LLC 0.04% of their portfolio OMAHA, NE 67,40367.4k $3.4m $3.4m 0.04% Reduced -5.5k -5,498
31 Orion Portfolio Solutions, LLC 0.04% of their portfolio Omaha, NE 67,40367.4k $3.4m $3.4m 0.04% Reduced -5.5k -5,498
32 MML INVESTORS SERVICES, LLC 0.02% of their portfolio SPRINGFIELD, MA 66,15966.2k $3.3m $3.3m 0.02% Reduced -3.0k -3,023
33 Cedar Point Capital Partners, LLC 2.41% of their portfolio Cedar Rapids, IA 58,26558.3k $2.9m $2.9m 2.41% First filing
34 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 57,63757.6k $2.9m $2.9m 0.00% Added +8.4k +8,363
35 PAX Financial Group, LLC 0.58% of their portfolio SAN ANTONIO, TX 56,69156.7k $2.8m $2.8m 0.58% New
36 IFP Advisors, Inc 0.13% of their portfolio TAMPA, FL 56,39156.4k $2.8m $2.8m 0.13% Added +2.8k +2,795
37 ABLE Financial Group, LLC 1.20% of their portfolio SCOTTSDALE, AZ 55,31855.3k $2.8m $2.8m 1.20% Reduced -1.3k -1,347
38 Allworth Financial LP 0.02% of their portfolio FOLSOM, CA 50,46950.5k $2.5m $2.5m 0.02% Reduced -8.8k -8,767
39 INSPIRION WEALTH ADVISORS, LLC 0.41% of their portfolio LIBERTYVILLE, IL 45,75845.8k $2.3m $2.3m 0.41% Added +5.0k +5,000
40 UBS Group AG 0.00% of their portfolio ZURICH, V8 44,73644.7k $2.2m $2.2m 0.00% Added +755 +755
41 Certified Advisory Corp 0.33% of their portfolio ALTAMONTE SPRINGS, FL 43,92143.9k $2.2m $2.2m 0.33% Added +470 +470
42 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 41,10841.1k $2.1m $2.1m 0.00% Added +1.1k +1,120
43 BCGM Wealth Management, LLC 0.81% of their portfolio LAFAYETTE, IN 39,82539.8k $2.0m $2.0m 0.81% Reduced -1.8k -1,790
44 NewSquare Capital LLC 0.18% of their portfolio NEWTOWN SQUARE, PA 38,65038.6k $1.9m $1.9m 0.18% Reduced -165 -165
45 StrategIQ Financial Group, LLC 0.22% of their portfolio MERRILLVILLE, IN 38,56238.6k $1.9m $1.9m 0.22% Added +9.3k +9,311
46 LongView Wealth Management 0.85% of their portfolio ATLANTA, GA 37,90237.9k $1.9m $1.9m 0.85% First filing
47 Levy Wealth Management Group, LLC 0.52% of their portfolio PHILADELPHIA, PA 37,22537.2k $1.9m $1.9m 0.52% Added +676 +676
48 Inspire Advisors, LLC 0.27% of their portfolio Meridian, ID 35,60235.6k $1.8m $1.8m 0.27% Added +1.0k +1,025
49 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 35,55235.6k $1.8m $1.8m 0.01% Added +5.1k +5,055
50 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 34,97435.0k $1.7m $1.7m 0.01% New
51 Skyline Advisors, Inc. 0.82% of their portfolio BELLINGHAM, WA 34,47834.5k $1.7m $1.7m 0.82% First filing
52 Cyndeo Wealth Partners, LLC 0.15% of their portfolio ST. PETERSBURG, FL 33,41733.4k $1.7m $1.7m 0.15% New
53 Dynamic Advisor Solutions LLC 0.06% of their portfolio PHOENIX, AZ 30,47930.5k $1.5m $1.5m 0.06% Reduced -13.9k -13,917
54 Garden State Investment Advisory Services LLC 0.61% of their portfolio Red Bank, NJ 30,21130.2k $1.5m $1.5m 0.61% Added +277 +277
55 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 28,48728.5k $1.4m $1.4m 0.00% Reduced -42.6k -42,615
56 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 25,22025.2k $1.3m $1.3m 0.00% Reduced -12.5k -12,468
57 SAGE RHINO CAPITAL LLC 0.32% of their portfolio MENLO PARK, CA 24,58824.6k $1.2m $1.2m 0.32% Reduced -1.1k -1,056
58 MBL Wealth, LLC 0.13% of their portfolio CHARLOTTE, NC 21,25021.2k $1.1m $1.1m 0.13% Reduced -150 -150
59 Total Clarity Wealth Management, Inc. 0.38% of their portfolio ST. CHARLES, IL 18,69618.7k $935.3k $935.3k 0.38% Added +11.6k +11,621
60 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 18,48018.5k $924.5k $924.5k 0.00% Added +270 +270
61 Avestar Capital, LLC 0.11% of their portfolio New York, NY 18,00018.0k $902.8k $902.8k 0.11% Added +2.5k +2,481
62 Visionary Wealth Advisors 0.07% of their portfolio O'FALLON, IL 17,88917.9k $894.9k $894.9k 0.07% Added +4.7k +4,700
63 IAM Advisory, LLC 0.28% of their portfolio EASTON, PA 17,80217.8k $890.6k $890.6k 0.28% Reduced -33 -33
64 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 17,75317.8k $888.0k $888.0k 0.00% Reduced -34.8k -34,792
65 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 17,31217.3k $866.1k $866.1k 0.00% Added +9.7k +9,651
66 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 15,61215.6k $781.0k $781.0k 0.00% Unchanged
67 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 15,07215.1k $754.0k $754.0k 0.01% Reduced -775 -775
68 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 14,98115.0k $748.8k $748.8k 0.01% Added +7.3k +7,299
69 Tyler-Stone Wealth Management 0.37% of their portfolio Beachwood, OH 14,88714.9k $744.7k $744.7k 0.37% Reduced -1.0k -1,045
70 SageView Advisory Group, LLC 0.03% of their portfolio Newport Beach, CA 13,53613.5k $677.6k $677.6k 0.03% New
71 Virtue Capital Management, LLC 0.14% of their portfolio BRENTWOOD, TN 13,38613.4k $669.4k $669.4k 0.14% Unchanged
72 Bedel Financial Consulting, Inc. 0.12% of their portfolio INDIANAPOLIS, IN 13,18413.2k $659.6k $659.6k 0.12% Unchanged
73 Kooman & Associates 0.29% of their portfolio ALTOONA, PA 13,17713.2k $659.2k $659.2k 0.29% Reduced -2.8k -2,848
74 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 13,12813.1k $657.0k $657.0k 0.00% Added +6.3k +6,262
75 YHB Investment Advisors, Inc. 0.06% of their portfolio West Hartford, CT 12,84512.8k $642.6k $642.6k 0.06% Reduced -790 -790
76 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 12,57312.6k $629.0k $629.0k 0.01% Added +2.2k +2,210
77 Watchman Group, Inc. 0.21% of their portfolio PLANO, TX 12,50312.5k $625.5k $625.5k 0.21% Unchanged
78 Financial Advocates Investment Management 0.04% of their portfolio OLYMPIA, WA 12,06412.1k $603.5k $603.5k 0.04% Reduced -3.4k -3,433
79 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 11,77411.8k $589.0k $589.0k 0.00% Reduced -1.6k -1,575
80 GREENLEAF TRUST 0.01% of their portfolio KALAMAZOO, MI 10,23410.2k $512.0k $512.0k 0.01% Unchanged
81 AdvisorNet Financial, Inc 0.05% of their portfolio MINNETONKA, MN 10,22010.2k $511.3k $511.3k 0.05% Added +6.6k +6,559
82 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 10,17710.2k $509.0k $509.0k 0.00% Added +1.0k +1,027
83 WBH ADVISORY INC 0.06% of their portfolio BALTIMORE, MD 9,98210.0k $499.4k $499.4k 0.06% Added +192 +192
84 Rehmann Capital Advisory Group 0.04% of their portfolio LANSING, MI 9,6309.6k $481.8k $481.8k 0.04% Reduced -116 -116
85 Madison Wealth Partners, Inc 0.18% of their portfolio MADISON, WI 9,3019.3k $465.3k $465.3k 0.18% Reduced -2.8k -2,752
86 Capital Market Strategies LLC 0.39% of their portfolio PALM BEACH GARDENS, FL 8,8338.8k $441.9k $441.9k 0.39% Reduced -106 -106
87 PFG Advisors 0.03% of their portfolio Phoenix, AZ 8,3398.3k $417.2k $417.2k 0.03% Reduced -596 -596
88 Amplius Wealth Advisors, LLC 0.05% of their portfolio BLUE BELL, PA 8,2888.3k $414.6k $414.6k 0.05% Reduced -98.7k -98,724
89 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 7,9988.0k $400.1k $400.1k 0.00% Reduced -1.6k -1,555
90 WINTRUST INVESTMENTS LLC 0.04% of their portfolio CHICAGO, IL 7,7837.8k $389.0k $389.0k 0.04% Added +131 +131
91 Williams & Novak, LLC 0.44% of their portfolio WESTLAKE VILLAGE, CA 7,7507.8k $387.7k $387.7k 0.44% First filing
92 COMERICA BANK 0.00% of their portfolio DALLAS, TX 7,6787.7k $384.1k $384.1k 0.00% Added +6.9k +6,863
93 Kuhn & Co Investment Counsel 0.38% of their portfolio Chicago, IL 7,4717.5k $373.7k $373.7k 0.38% First filing
94 Syverson Strege & Co 0.14% of their portfolio WEST DES MOINES, IA 7,3837.4k $369.4k $369.4k 0.14% Added +117 +117
95 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 7,0787.1k $354.1k $354.1k 0.00% Added +2.0k +1,964
96 Good Life Advisors, LLC 0.03% of their portfolio READING, PA 6,9557.0k $347.9k $347.9k 0.03% Reduced -195 -195
97 Capital Advisors, Ltd. LLC 0.05% of their portfolio SHAKER HEIGHTS, OH 6,6006.6k $330.0k $330.0k 0.05% Unchanged
98 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 6,4496.4k $322.6k $322.6k 0.01% Unchanged
99 SITTNER & NELSON, LLC 0.16% of their portfolio EUGENE, OR 6,0006.0k $300.2k $300.2k 0.16% Reduced -7.2k -7,165
100 J.W. COLE ADVISORS, INC. 0.02% of their portfolio TAMPA, FL 5,7715.8k $288.7k $288.7k 0.02% New