Vault-13

SPDR SERIES TRUST SLYG

S&P 600 SMCP GRW · ETP · CUSIP 78464A201

371 institutional holders +30 vs Q3 2022
18,364,02718.4m shares reported held*
$1.3bnreported value*
32 new 136 added 112 reduced 21 sold out net bought ≈ $66.8m (+990.5k 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 ($1.8m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $72.03. Options: 3 managers hold calls ($64.7k notional), 1 hold puts ($108.4k).

Trends to Q4 2022

Institutional holders

Managers reporting a position, each quarter

0200400Q3 22: 341Q4 22: 371371Q3 22Q4 22
Numbers
QuarterHolders
Q3 2022341
Q4 2022371

Calls vs puts

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

CallsPuts
$0$100k$200k$300kQ3 22 calls: $217.0kQ3 22 puts: $0Q3 22P/C 0.00Q4 22 calls: $64.7kQ4 22 puts: $108.4kQ4 22P/C 1.67
Numbers
QuarterCallsPutsP/C
Q3 2022$217.0k$00.00
Q4 2022$64.7k$108.4k1.67

Biggest buyers

LPL Financial LLC Added +434,666+434.7k
Capital Directions Investment Advisors, LLC Added +309,403+309.4k
ASSETMARK, INC Added +176,691+176.7k
Financial Enhancement Group LLC New +114,083+114.1k
MORGAN STANLEY Added +100,503+100.5k
DROMS STRAUSS ADVISORS INC /MO/ /ADV Added +99,285+99.3k
AMERIPRISE FINANCIAL INC Added +84,881+84.9k
Private Advisor Group, LLC Added +56,558+56.6k
TRUIST FINANCIAL CORP Added +48,678+48.7k
MATHER GROUP, LLC. Added +43,323+43.3k

Biggest sellers

STIFEL FINANCIAL CORP Reduced -152,436-152.4k
Cambridge Investment Research Advisors, Inc. Reduced -132,460-132.5k
Sugarloaf Wealth Management, LLC Reduced -112,289-112.3k
Redwood Investment Management, LLC Reduced -109,634-109.6k
WELLS FARGO & COMPANY/MN Reduced -109,297-109.3k
OSAIC HOLDINGS, INC. Reduced -97,345-97.3k
NorthRock Partners, LLC Reduced -78,065-78.1k
BENJAMIN F. EDWARDS & COMPANY, INC. Reduced -51,931-51.9k
CONFLUENCE INVESTMENT MANAGEMENT LLC Reduced -42,273-42.3k
ENVESTNET ASSET MANAGEMENT INC Reduced -41,951-42.0k

Biggest calls

CITADEL ADVISORS LLC Reduced $57.8k800 shares
Paladin Advisory Group, LLC Unchanged $6.9k96 shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CITADEL ADVISORS LLC New $108.4k1.5k 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 2022

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.11% of their portfolio FORT MILL, SC 1,749,0741.7m $126.4m $126.4m 0.11% Added +434.7k +434,666
2 Financial Engines Advisors L.L.C. 0.29% of their portfolio SANTA CLARA, CA 1,404,1651.4m $101.4m $101.4m 0.29% Added +21.6k +21,640
3 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 1,042,6501.0m $75.3m $75.3m 0.01% Reduced -18.6k -18,561
4 SIGNATURE ESTATE & INVESTMENT ADVISORS LLC 1.45% of their portfolio LOS ANGELES, CA 557,070557.1k $40.2m $40.2m 1.45% Added +12.0k +12,041
5 AMERIPRISE FINANCIAL INC 0.01% of their portfolio MINNEAPOLIS, MN 428,098428.1k $30.9m $30.9m 0.01% Added +84.9k +84,881
6 NorthRock Partners, LLC 2.97% of their portfolio MINNEAPOLIS, MN 361,617361.6k $26.1m $26.1m 2.97% Reduced -78.1k -78,065
7 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 357,241357.2k $25.8m $25.8m 0.00% Added +100.5k +100,503
8 Rodgers & Associates, LTD 4.10% of their portfolio Lancaster, PA 345,661345.7k $25.0m $25.0m 4.10% Added +27.7k +27,659
9 ASSETMARK, INC 0.11% of their portfolio CONCORD, CA 342,765342.8k $24.8m $24.8m 0.11% Added +176.7k +176,691
10 Mariner, LLC 0.08% of their portfolio Overland Park, KS 338,002338.0k $24.4m $24.4m 0.08% Added +32.2k +32,245
11 STIFEL FINANCIAL CORP 0.03% of their portfolio ST. LOUIS, MO 316,242316.2k $22.8m $22.8m 0.03% Reduced -152.4k -152,436
12 Capital Directions Investment Advisors, LLC 8.34% of their portfolio ATLANTA, GA 309,403309.4k $22.4m $22.4m 8.34% Added +309.4k +309,403
13 REFRAME WEALTH, LLC 8.59% of their portfolio FAIRFAX, VA 309,403309.4k $22.4m $22.4m 8.59% First filing
14 FAS Wealth Partners, Inc. 2.42% of their portfolio LEAWOOD, KS 295,799295.8k $21.4m $21.4m 2.42% Reduced -31.4k -31,427
15 TOWNSQUARE CAPITAL LLC 0.48% of their portfolio Lehi, UT 270,642270.6k $19.6m $19.6m 0.48% Added +10.0k +10,020
16 BENJAMIN F. EDWARDS & COMPANY, INC. 0.84% of their portfolio ST. LOUIS, MO 258,638258.6k $18.7m $18.7m 0.84% Reduced -51.9k -51,931
17 Tradition Wealth Management, LLC 2.64% of their portfolio EDINA, MN 254,736254.7k $18.7m $18.7m 2.64% Added +23.1k +23,118
18 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 228,551228.6k $16.5m $16.5m 0.01% Reduced -109.3k -109,297
19 Krilogy Financial LLC 1.51% of their portfolio ST. LOUIS, MO 219,453219.5k $15.9m $15.9m 1.51% Reduced -14.7k -14,731
20 COMMONWEALTH EQUITY SERVICES, LLC 0.04% of their portfolio WALTHAM, MA 218,942218.9k $15.8m $15.8m 0.04% Added +5.9k +5,948
21 Financial Planning & Information Services, Inc. 3.29% of their portfolio DE PERE, WI 214,901214.9k $15.5m $15.5m 3.29% Added +16.1k +16,121
22 KWB Wealth 2.89% of their portfolio REDLANDS, CA 210,512210.5k $15.2m $15.2m 2.89% Reduced -2.2k -2,204
23 AIRE ADVISORS, LLC 4.64% of their portfolio BEVERLY HILLS, CA 209,396209.4k $15.2m $15.2m 4.64% Added +30.8k +30,771
24 AE Wealth Management LLC 0.11% of their portfolio TOPEKA, KS 206,692206.7k $14.9m $14.9m 0.11% Added +3.5k +3,467
25 Convergence Financial, LLC 12.77% of their portfolio COLUMBIA, MO 199,181199.2k $14.4m $14.4m 12.77% Added +9.8k +9,750
26 GHP Investment Advisors, Inc. 0.97% of their portfolio Denver, CO 198,108198.1k $14.3m $14.3m 0.97% Added +5.9k +5,875
27 Roberts Financial Services LLC 3.66% of their portfolio MARQUETTE, MI 195,272195.3k $14.1m $14.1m 3.66% Added +5.1k +5,117
28 WCG Wealth Advisors LLC 1.91% of their portfolio LAS VEGAS, NV 193,141193.1k $14.0m $14.0m 1.91% Added +18.6k +18,568
29 First National Trust Co 0.74% of their portfolio Johnstown, PA 192,838192.8k $13.9m $13.9m 0.74% Added +16.3k +16,330
30 UBS Group AG 0.01% of their portfolio ZURICH, V8 181,787181.8k $13.1m $13.1m 0.01% Added +27.6k +27,609
31 Klingman & Associates, LLC 1.12% of their portfolio New York, NY 176,656176.7k $12.8m $12.8m 1.12% Added +1.9k +1,917
32 Csenge Advisory Group 0.91% of their portfolio CLEARWATER, FL 162,637162.6k $11.7m $11.7m 0.91% Reduced -1.5k -1,506
33 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 131,551131.6k $407.8k $407.8k 0.01% Added +56.6k +56,558
34 TIAA, FSB 0.04% of their portfolio ST. LOUIS, MO 131,181131.2k $9.5m $9.5m 0.04% Added +13.6k +13,634
35 MATHER GROUP, LLC. 0.18% of their portfolio CHICAGO, IL 126,026126.0k $9.1m $9.1m 0.18% Added +43.3k +43,323
36 Octavia Wealth Advisors, LLC 2.18% of their portfolio CINCINNATI, OH 122,579122.6k $8.9m $8.9m 2.18% Added +9.9k +9,931
37 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 120,677120.7k $8.7m $8.7m 0.02% Reduced -97.3k -97,345
38 CONFLUENCE INVESTMENT MANAGEMENT LLC 0.13% of their portfolio ST. LOUIS, MO 119,211119.2k $8.6m $8.6m 0.13% Reduced -42.3k -42,273
39 Financial Enhancement Group LLC 1.72% of their portfolio ANDERSON, IN 114,083114.1k $9.0m $9.0m 1.72% New
40 Shakespeare Wealth Management, LLC 2.99% of their portfolio Pewaukee, WI 112,610112.6k $8.1m $8.1m 2.99% Added +8.9k +8,884
41 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 108,514108.5k $7.8m $7.8m 0.00% Reduced -42.0k -41,951
42 Wealthcare Advisory Partners LLC 0.37% of their portfolio WEST CHESTER, PA 107,078107.1k $7.7m $7.7m 0.37% Added +18.5k +18,463
43 DROMS STRAUSS ADVISORS INC /MO/ /ADV 3.55% of their portfolio ST. LOUIS, MO 107,073107.1k $7.7m $7.7m 3.55% Added +99.3k +99,285
44 Kades & Cheifetz LLC 6.29% of their portfolio Berwyn, PA 104,227104.2k $7.5m $7.5m 6.29% First filing
45 DENVER WEALTH MANAGEMENT, INC. 5.57% of their portfolio DENVER, CO 103,312103.3k $7.5m $7.5m 5.57% Added +35.9k +35,897
46 Ford Financial Group, LLC 2.88% of their portfolio Fresno, CA 100,863100.9k $7.3m $7.3m 2.88% Added +861 +861
47 M&T Bank Corp 0.03% of their portfolio BUFFALO, NY 94,71294.7k $6.8m $6.8m 0.03% Added +2.8k +2,786
48 Avantax Planning Partners, Inc. 0.26% of their portfolio DUBUQUE, IA 92,32492.3k $6.7m $6.7m 0.26% Reduced -3.0k -2,982
49 MML INVESTORS SERVICES, LLC 0.04% of their portfolio SPRINGFIELD, MA 91,24291.2k $6.6m $6.6m 0.04% Added +281 +281
50 SIGNET FINANCIAL MANAGEMENT, LLC 1.15% of their portfolio PARSIPPANY, NJ 89,26789.3k $6.4m $6.4m 1.15% Reduced -4.0k -3,957
51 Cetera Advisor Networks LLC 0.05% of their portfolio EL SEGUNDO, CA 87,15987.2k $6.3m $6.3m 0.05% Added +2.1k +2,119
52 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 87,01487.0k $6.3m $6.3m 0.01% Added +48.7k +48,678
53 RAINEY & RANDALL WEALTH ADVISORS INC. 2.21% of their portfolio Celebration, FL 86,77686.8k $6.3m $6.3m 2.21% Added +2.4k +2,429
54 Connecticut Wealth Management, LLC 0.50% of their portfolio FARMINGTON, CT 82,10782.1k $5.9m $5.9m 0.50% Reduced -72 -72
55 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 78,51578.5k $5.7m $5.7m 0.01% Added +6.3k +6,282
56 Equitable Holdings, Inc. 0.10% of their portfolio NEW YORK, NY 77,04777.0k $5.6m $5.6m 0.10% Added +11.9k +11,874
57 McAdam, LLC 0.68% of their portfolio Philadelphia, PA 74,05174.1k $6.9m $6.9m 0.68% Reduced -7.1k -7,073
58 Diversified, LLC 2.10% of their portfolio Wilmington, DE 73,85073.8k $5.3m $5.3m 2.10% Added +9.9k +9,927
59 Forbes Financial Planning, Inc. 7.23% of their portfolio EAST GREENWICH, RI 72,92272.9k $5.0m $5.0m 7.23% Unchanged
60 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 71,91371.9k $5.2m $5.2m 0.03% Reduced -132.5k -132,460
61 TD AMERITRADE INVESTMENT MANAGEMENT, LLC 0.05% of their portfolio OMAHA, NE 70,27470.3k $5.1m $5.1m 0.05% Reduced -1.8k -1,843
62 ERn Financial, LLC 1.02% of their portfolio MIDDLETON, WI 61,99062.0k $4.5m $4.5m 1.02% Added +3.0k +2,968
63 WALLER FINANCIAL PLANNING GROUP, INC 1.29% of their portfolio COLUMBUS, OH 61,67961.7k $4.5m $4.5m 1.29% Reduced -143 -143
64 FINANCIAL CONSULATE, INC 1.50% of their portfolio HUNT VALLEY, MD 59,34859.3k $4.3m $4.3m 1.50% Added +894 +894
65 Financial Strategies Group, Inc. 1.72% of their portfolio OKEMOS, MI 57,30957.3k $4.1m $4.1m 1.72% Added +1.1k +1,112
66 Pacific Sun Financial Corp 2.89% of their portfolio LOS ANGELES, CA 56,83056.8k $4.1m $4.1m 2.89% Reduced -350 -350
67 Pinnacle Financial Partners Inc 0.12% of their portfolio Nashville, TN 56,62756.6k $4.1m $4.1m 0.12% Added +23.2k +23,193
68 BARRETT & COMPANY, INC. 2.55% of their portfolio PROVIDENCE, RI 53,35553.4k $3.9m $3.9m 2.55% Unchanged
69 Strategies Wealth Advisors, LLC 0.94% of their portfolio GRAND RAPIDS, MI 52,53452.5k $3.8m $3.8m 0.94% First filing
70 Creative Planning 0.01% of their portfolio OVERLAND PARK, KS 50,57750.6k $3.7m $3.7m 0.01% Added +9.6k +9,553
71 Marietta Wealth Management, LLC 0.81% of their portfolio MARIETTA, GA 49,49949.5k $3.6m $3.6m 0.81% Added +3.6k +3,617
72 Redwood Investment Management, LLC 0.46% of their portfolio SCOTTSDALE, AZ 48,42148.4k $3.5m $3.5m 0.46% Reduced -109.6k -109,634
73 Savant Capital, LLC 0.09% of their portfolio ROCKFORD, IL 48,33948.3k $3.5m $3.5m 0.09% Added +13.9k +13,931
74 Windsor Wealth Management, Inc. 0.72% of their portfolio INDIANAPOLIS, IN 47,66447.7k $3.5m $3.5m 0.72% Added +30.3k +30,338
75 Kingsview Wealth Management, LLC 0.15% of their portfolio GRANTS PASS, OR 47,00947.0k $3.4m $3.4m 0.15% Added +793 +793
76 Clarus Wealth Advisors 2.27% of their portfolio PEORIA, AZ 46,48446.5k $3.5m $3.5m 2.27% Reduced -25.6k -25,628
77 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 45,77545.8k $3.3m $3.3m 0.01% Reduced -406 -406
78 MONETA GROUP INVESTMENT ADVISORS LLC 0.10% of their portfolio ST LOUIS, MO 45,50845.5k $3.5m $3.5m 0.10% Reduced -5.7k -5,652
79 HARBOUR INVESTMENTS, INC. 0.20% of their portfolio MADISON, WI 45,01245.0k $3.3m $3.3m 0.20% Added +1.7k +1,660
80 Prestige Wealth Management Group LLC 0.84% of their portfolio FLEMINGTON, NJ 44,59844.6k $3.2m $3.2m 0.84% Added +884 +884
81 WealthShield Partners, LLC 0.60% of their portfolio CARY, NC 43,25543.3k $3.1m $3.1m 0.60% Added +1.0k +1,008
82 Blue Barn Wealth, LLC 2.03% of their portfolio OREM, UT 42,66242.7k $3.1m $3.1m 2.03% Reduced -5.6k -5,585
83 Key Financial Inc 1.37% of their portfolio WEST CHESTER, PA 42,54442.5k $2.9m $2.9m 1.37% Unchanged
84 EisnerAmper Wealth Management Corporate Benefits, LLC 1.47% of their portfolio ISELIN, NJ 39,94039.9k $2.9m $2.9m 1.47% Added +408 +408
85 Laidlaw Wealth Management LLC 0.62% of their portfolio NEW YORK CITY, NY 39,85139.9k $2.9m $2.9m 0.62% Added +177 +177
86 Ledge Wealth Management, Inc. 1.28% of their portfolio SARTELL, MN 38,92738.9k $2.8m $2.8m 1.28% Added +3.3k +3,273
87 MGO ONE SEVEN LLC 0.28% of their portfolio Beachwood, OH 38,47638.5k $2.8m $2.8m 0.28% New
88 KEELER & NADLER FINANCIAL PLANNING & WEALTH MANAGEMENT 2.51% of their portfolio Dublin, OH 38,39638.4k $2.8m $2.8m 2.51% First filing
89 New England Capital Financial Advisors LLC 2.03% of their portfolio MERIDEN, CT 37,94737.9k $2.9m $2.9m 2.03% First filing
90 CX Institutional 0.16% of their portfolio AUBURN, IN 37,59037.6k $2.7m $2.7m 0.16% Reduced -5.3k -5,302
91 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 35,33635.3k $2.6m $2.6m 0.01% Added +2.1k +2,135
92 Veritable, L.P. 0.04% of their portfolio Newtown Square, PA 33,23833.2k $2.4m $2.4m 0.04% Added +3.9k +3,925
93 JNBA Financial Advisors 0.33% of their portfolio BLOOMINGTON, MN 33,19033.2k $2.4m $2.4m 0.33% Added +10.0k +10,011
94 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 32,96533.0k $2.4m $2.4m 0.00% Added +2.8k +2,754
95 Probity Advisors, Inc. 0.53% of their portfolio DALLAS, TX 32,37532.4k $2.3m $2.3m 0.53% Added +1.0k +1,049
96 Koss-Olinger Consulting, LLC 0.33% of their portfolio GAINESVILLE, FL 31,84931.8k $2.3m $2.3m 0.33% Reduced -830 -830
97 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.01% of their portfolio IRVING, TX 31,81931.8k $2.3m $2.3m 0.01% Reduced -2.5k -2,468
98 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 31,03631.0k $2.2m $2.2m 0.00% Reduced -13.0k -12,987
99 LINCOLN NATIONAL CORP 0.05% of their portfolio RADNOR, PA 30,15430.2k $2.2m $2.2m 0.05% Added +8.5k +8,509
100 Diligent Investors, LLC 0.68% of their portfolio REDLANDS, CA 28,80528.8k $2.1m $2.1m 0.68% Reduced -214 -214