Vault-13

SPDR SERIES TRUST VLU

SPDR S&P1500VL · ETP · CUSIP 78464A128

61 institutional holders +6 vs Q3 2023
1,254,8071.3m shares reported held*
$201.1mreported value*
16 new 22 added 17 reduced 11 sold out net bought ≈ $35.7m (+222.9k 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 ≈ $160.28. Options: 0 managers hold calls (— notional), 1 hold puts ($1.1m).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0255075Q3 22: 47Q4 22: 57Q1 23: 54Q2 23: 54Q3 23: 55Q4 23: 6161Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202247
Q4 202257
Q1 202354
Q2 202354
Q3 202355
Q4 202361

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q4 22: 29 bought or addedQ4 22: 23 cut or sold outQ4 22Q1 23: 34 bought or addedQ1 23: 18 cut or sold outQ1 23Q2 23: 27 bought or addedQ2 23: 31 cut or sold outQ2 23Q3 23: 30 bought or addedQ3 23: 27 cut or sold outQ3 23Q4 23: 38 bought or addedQ4 23: 28 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20222923
Q1 20233418
Q2 20232731
Q3 20233027
Q4 20233828

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$10m$20m$30mQ1 23 calls: $0Q1 23 puts: $1.2mQ1 23P/C —Q2 23 calls: $0Q2 23 puts: $0Q2 23P/C —Q3 23 calls: $0Q3 23 puts: $28.9mQ3 23P/C —Q4 23 calls: $0Q4 23 puts: $1.1mQ4 23P/C —
Numbers
QuarterCallsPutsP/C
Q1 2023$0$1.2m—
Q2 2023$0$0—
Q3 2023$0$28.9m—
Q4 2023$0$1.1m—

Biggest buyers

LPL Financial LLC Added +141,241+141.2k
ICA Group Wealth Management, LLC New +72,214+72.2k
JPMORGAN CHASE & CO Added +52,257+52.3k
MORGAN STANLEY Added +27,729+27.7k
ShoreHaven Wealth Partners, LLC Added +24,106+24.1k
ABSOLUTE CAPITAL MANAGEMENT, LLC New +19,600+19.6k
THOROUGHBRED FINANCIAL SERVICES, LLC New +10,393+10.4k
ROYAL BANK OF CANADA Added +5,733+5.7k
Mariner, LLC New +5,533+5.5k
Cambridge Investment Research Advisors, Inc. Added +4,678+4.7k

Biggest sellers

Raymond James Financial Services Advisors, Inc. Reduced -43,936-43.9k
EVOKE WEALTH, LLC Sold out -33,591-33.6k
GeoWealth Management, LLC Sold out -32,466-32.5k
OSAIC HOLDINGS, INC. Reduced -11,231-11.2k
ENVESTNET ASSET MANAGEMENT INC Reduced -10,330-10.3k
Virtu Financial LLC Sold out -6,467-6.5k
Merit Financial Group, LLC Reduced -5,898-5.9k
Integrated Wealth Concepts LLC Sold out -5,819-5.8k
Tower Research Capital LLC (TRC) Sold out -5,163-5.2k
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO Reduced -3,680-3.7k

Biggest calls

None

Biggest puts

Lighthouse Investment Partners, LLC New $1.1m20.5k shares

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 LPL Financial LLC 0.04% of their portfolio FORT MILL, SC 376,822376.8k $60.4m $60.4m 0.04% Added +141.2k +141,241
2 AMERIPRISE FINANCIAL INC 0.01% of their portfolio MINNEAPOLIS, MN 215,878215.9k $34.6m $34.6m 0.01% Added +1.7k +1,659
3 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 75,09275.1k $12.0m $12.0m 0.00% Added +27.7k +27,729
4 ICA Group Wealth Management, LLC 2.58% of their portfolio DENVER, CO 72,21472.2k $11.6m $11.6m 2.58% New
5 LWS Wealth Advisors, Inc. 3.81% of their portfolio BASKING RIDGE, NJ 63,29763.3k $10.1m $10.1m 3.81% Added +3.9k +3,876
6 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 60,19660.2k $9.6m $9.6m 0.00% Added +52.3k +52,257
7 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 44,30744.3k $7.1m $7.1m 0.03% Added +4.7k +4,678
8 Roger Wittlin Investment Advisory, LLC 4.12% of their portfolio San Francisco, CA 34,79134.8k $5.6m $5.6m 4.12% Added +1.2k +1,200
9 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 33,06233.1k $5.3m $5.3m 0.00% Added +91 +91
10 ShoreHaven Wealth Partners, LLC 2.98% of their portfolio Red Bank, NJ 30,56730.6k $4.9m $4.9m 2.98% Added +24.1k +24,106
11 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 27,20027.2k $4.4m $4.4m 0.01% Reduced -43.9k -43,936
12 ABSOLUTE CAPITAL MANAGEMENT, LLC 2.85% of their portfolio Pittsburgh, PA 19,60019.6k $3.1m $3.1m 2.85% New
13 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 15,44915.4k $2.5m $2.5m 0.00% Reduced -3.7k -3,680
14 J.W. COLE ADVISORS, INC. 0.13% of their portfolio TAMPA, FL 13,41813.4k $2.2m $2.2m 0.13% Added +2.4k +2,401
15 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 13,34913.3k $2.1m $2.1m 0.00% Added +2.0k +2,042
16 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 11,95011.9k $1.9m $1.9m 0.00% Added +5.7k +5,733
17 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 10,73010.7k $1.7m $1.7m 0.00% Reduced -11.2k -11,231
18 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 10,72610.7k $1.7m $1.7m 0.00% Added +1.2k +1,250
19 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 10,46810.5k $1.7m $1.7m 0.00% Added +346 +346
20 THOROUGHBRED FINANCIAL SERVICES, LLC 0.13% of their portfolio BRENTWOOD, TN 10,39310.4k $1.7m $1.7m 0.13% New
21 MONEY CONCEPTS CAPITAL CORP 0.15% of their portfolio PALM BEACH GARDENS, FL 10,29410.3k $1.6m $1.6m 0.15% Reduced -103 -103
22 Merit Financial Group, LLC 0.05% of their portfolio ALPHARETTA, GA 9,3709.4k $1.5m $1.5m 0.05% Reduced -5.9k -5,898
23 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 8,7228.7k $1.4m $1.4m 0.01% Reduced -609 -609
24 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 7,1877.2k $1.2m $1.2m 0.00% Reduced -10.3k -10,330
25 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 6,3636.4k $1.0m $1.0m 0.00% Reduced -28 -28
26 Keystone Wealth Services, LLC 0.34% of their portfolio PALM DESERT, CA 6,2396.2k $999.9k $999.9k 0.34% Added +90 +90
27 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 5,9946.0k $960.7k $960.7k 0.01% Added +1.3k +1,289
28 Mariner, LLC 0.00% of their portfolio Overland Park, KS 5,5335.5k $886.8k $886.8k 0.00% New
29 STEPHENS INC /AR/ 0.01% of their portfolio LITTLE ROCK, AR 5,3565.4k $858.5k $858.5k 0.01% Reduced -1.2k -1,215
30 SAXON INTERESTS, INC. 0.34% of their portfolio HOUSTON, TX 4,2484.2k $680.9k $680.9k 0.34% New
31 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 4,0654.1k $651.5k $651.5k 0.01% Added +2.1k +2,135
32 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 2,9412.9k $472.9k $472.9k 0.00% New
33 LEVEL FOUR ADVISORY SERVICES, LLC 0.03% of their portfolio DALLAS, TX 2,9262.9k $469.0k $469.0k 0.03% Unchanged
34 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 2,4292.4k $389.3k $389.3k 0.01% New
35 Western Wealth Management, LLC 0.02% of their portfolio GOLDEN, CO 2,1572.2k $345.8k $345.8k 0.02% Added +7 +7
36 Wealthcare Advisory Partners LLC 0.01% of their portfolio WEST CHESTER, PA 2,1302.1k $341.4k $341.4k 0.01% Reduced -46 -46
37 CoreCap Advisors, LLC 0.02% of their portfolio SOUTHFIELD, MI 2,1102.1k $338.2k $338.2k 0.02% Reduced -18 -18
38 Dynamic Advisor Solutions LLC 0.01% of their portfolio PHOENIX, AZ 2,0302.0k $323.1k $323.1k 0.01% Added +91 +91
39 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 1,8171.8k $291.2k $291.2k 0.00% New
40 Stratos Wealth Advisors, LLC 0.02% of their portfolio BEACHWOOD, OH 1,7691.8k $283.7k $283.7k 0.02% Reduced -704 -704
41 Ameritas Advisory Services, LLC 0.02% of their portfolio Lincoln, NE 1,7011.7k $272.6k $272.6k 0.02% New
42 Flagship Private Wealth, LLC 0.19% of their portfolio Woburn, MA 1,5351.5k $246.1k $246.1k 0.19% Added +4 +4
43 GREAT VALLEY ADVISOR GROUP, INC. 0.01% of their portfolio WILMINGTON, DE 1,5191.5k $243.5k $243.5k 0.01% Reduced -10 -10
44 Prosperity Consulting Group, LLC 0.08% of their portfolio OWINGS MILLS, MD 1,5131.5k $242.5k $242.5k 0.08% Reduced -427 -427
45 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 1,3251.3k $212.4k $212.4k 0.00% New
46 Professional Financial Advisors, LLC 0.07% of their portfolio NORTH PLATTE, NE 1,3081.3k $209.7k $209.7k 0.07% New
47 Global Retirement Partners, LLC 0.01% of their portfolio San Rafael, CA 1,1761.2k $186.1k $186.1k 0.01% Added +3 +3
48 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 512512 $82.1k $82.1k 0.00% Unchanged
49 PRIVATE TRUST CO NA 0.01% of their portfolio CLEVELAND, OH 345345 $55.3k $55.3k 0.01% Reduced -1.0k -1,048
50 HARBOR INVESTMENT ADVISORY, LLC 0.00% of their portfolio LUTHERVILLE, MD 150150 $24.0k $24.0k 0.00% New
51 Parkside Financial Bank & Trust 0.00% of their portfolio SAINT LOUIS, MO 137137 $21.9k $21.9k 0.00% Unchanged
52 Geneos Wealth Management Inc. 0.00% of their portfolio ENGLEWOOD, CO 9595 $15.2k $15.2k 0.00% Unchanged
53 FMR LLC 0.00% of their portfolio BOSTON, MA 9090 $14.4k $14.4k 0.00% Reduced -152 -152
54 Tidemark, LLC 0.01% of their portfolio SAN DIEGO, CA 5757 $9.1k $9.1k 0.01% First filing
55 OXFORD FINANCIAL GROUP, LTD. LLC 0.00% of their portfolio INDIANAPOLIS, IN 5555 $8.8k $8.8k 0.00% New
56 AdvisorNet Financial, Inc 0.00% of their portfolio MINNETONKA, MN 4545 $7.2k $7.2k 0.00% Added +20 +20
57 Iron Horse Wealth Management, LLC 0.00% of their portfolio JOHSTON, IA 3333 $5.3k $5.3k 0.00% New
58 FIRST COMMUNITY TRUST NA 0.00% of their portfolio DUBUQUE, IA 2121 $3.4k $3.4k 0.00% New
59 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 11 $142 $142 0.00% Reduced -250 -250
60 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged
61 ORG Partners LLC 0.00% of their portfolio ROANOKE, IN 00 $23 $23 0.00% New