Vault-13

SPDR SERIES TRUST SLYG

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

366 institutional holders -5 vs Q4 2022
19,534,44719.5m shares reported held*
$1.5bnreported value*
29 new 166 added 114 reduced 28 sold out net bought ≈ $141.3m (+1.9m 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 ($4.0m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $74.36. Options: 2 managers hold calls ($51.6k notional), 0 hold puts (—).

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

0200400Q3 22: 341Q4 22: 371Q1 23: 366366Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022341
Q4 2022371
Q1 2023366

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 168 bought or addedQ4 22: 133 cut or sold outQ4 22Q1 23: 195 bought or addedQ1 23: 142 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022168133
Q1 2023195142

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 1.67Q1 23 calls: $51.6kQ1 23 puts: $0Q1 23P/C 0.00
Numbers
QuarterCallsPutsP/C
Q3 2022$217.0k$00.00
Q4 2022$64.7k$108.4k1.67
Q1 2023$51.6k$00.00

Biggest buyers

Haverford Trust Co New +672,127+672.1k
Savant Capital, LLC Added +338,402+338.4k
AMERIPRISE FINANCIAL INC Added +234,798+234.8k
WELLS FARGO & COMPANY/MN Added +177,336+177.3k
Redwood Investment Management, LLC Added +166,714+166.7k
BANK OF AMERICA CORP /DE/ Added +140,517+140.5k
Perennial Investment Advisors, LLC New +100,222+100.2k
ASSETMARK, INC Added +93,426+93.4k
STIFEL FINANCIAL CORP Added +82,559+82.6k
MGO ONE SEVEN LLC Added +61,106+61.1k

Biggest sellers

Mariner, LLC Reduced -198,136-198.1k
LPL Financial LLC Reduced -162,180-162.2k
DROMS STRAUSS ADVISORS INC /MO/ /ADV Reduced -102,695-102.7k
Ford Financial Group, LLC Sold out -100,863-100.9k
Clarus Wealth Advisors Sold out -46,484-46.5k
CX Institutional Sold out -37,590-37.6k
FAS Wealth Partners, Inc. Reduced -36,904-36.9k
UBS Group AG Reduced -33,313-33.3k
MORGAN STANLEY Reduced -25,847-25.8k
Convergence Financial, LLC Reduced -21,824-21.8k

Biggest calls

CITADEL ADVISORS LLC Reduced $51.6k700 shares
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, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.09% of their portfolio FORT MILL, SC 1,586,8941.6m $117.0m $117.0m 0.09% Reduced -162.2k -162,180
2 Financial Engines Advisors L.L.C. 0.27% of their portfolio SANTA CLARA, CA 1,386,7211.4m $102.3m $102.3m 0.27% Reduced -17.4k -17,444
3 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 1,183,1671.2m $87.3m $87.3m 0.01% Added +140.5k +140,517
4 Haverford Trust Co 0.59% of their portfolio Radnor, PA 672,127672.1k $49.6m $49.6m 0.59% New
5 AMERIPRISE FINANCIAL INC 0.02% of their portfolio MINNEAPOLIS, MN 662,896662.9k $48.9m $48.9m 0.02% Added +234.8k +234,798
6 SIGNATURE ESTATE & INVESTMENT ADVISORS LLC 1.48% of their portfolio LOS ANGELES, CA 573,773573.8k $42.3m $42.3m 1.48% Added +16.7k +16,703
7 ASSETMARK, INC 0.13% of their portfolio CONCORD, CA 436,191436.2k $32.2m $32.2m 0.13% Added +93.4k +93,426
8 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 405,887405.9k $29.9m $29.9m 0.01% Added +177.3k +177,336
9 STIFEL FINANCIAL CORP 0.04% of their portfolio ST. LOUIS, MO 398,801398.8k $29.4m $29.4m 0.04% Added +82.6k +82,559
10 Savant Capital, LLC 0.53% of their portfolio ROCKFORD, IL 386,741386.7k $28.5m $28.5m 0.53% Added +338.4k +338,402
11 NorthRock Partners, LLC 2.90% of their portfolio MINNEAPOLIS, MN 369,190369.2k $27.2m $27.2m 2.90% Added +7.6k +7,573
12 Rodgers & Associates, LTD 4.08% of their portfolio Lancaster, PA 356,242356.2k $26.3m $26.3m 4.08% Added +10.6k +10,581
13 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 331,394331.4k $24.4m $24.4m 0.00% Reduced -25.8k -25,847
14 TOWNSQUARE CAPITAL LLC 0.46% of their portfolio Lehi, UT 283,319283.3k $20.9m $20.9m 0.46% Added +12.7k +12,677
15 BENJAMIN F. EDWARDS & COMPANY, INC. 0.85% of their portfolio ST. LOUIS, MO 275,758275.8k $20.3m $20.3m 0.85% Added +17.1k +17,120
16 FAS Wealth Partners, Inc. 2.07% of their portfolio LEAWOOD, KS 258,895258.9k $19.1m $19.1m 2.07% Reduced -36.9k -36,904
17 Tradition Wealth Management, LLC 2.40% of their portfolio EDINA, MN 256,286256.3k $19.3m $19.3m 2.40% Added +1.6k +1,550
18 Krilogy Financial LLC 1.57% of their portfolio ST. LOUIS, MO 253,078253.1k $18.7m $18.7m 1.57% Added +33.6k +33,625
19 COMMONWEALTH EQUITY SERVICES, LLC 0.04% of their portfolio WALTHAM, MA 232,427232.4k $17.1m $17.1m 0.04% Added +13.5k +13,485
20 AIRE ADVISORS, LLC 4.56% of their portfolio BEVERLY HILLS, CA 221,120221.1k $16.3m $16.3m 4.56% Added +11.7k +11,724
21 Redwood Investment Management, LLC 1.71% of their portfolio SCOTTSDALE, AZ 215,135215.1k $15.9m $15.9m 1.71% Added +166.7k +166,714
22 KWB Wealth 2.85% of their portfolio REDLANDS, CA 213,561213.6k $15.4m $15.4m 2.85% Added +3.0k +3,049
23 Financial Planning & Information Services, Inc. 3.05% of their portfolio DE PERE, WI 213,477213.5k $15.7m $15.7m 3.05% Reduced -1.4k -1,424
24 AE Wealth Management LLC 0.10% of their portfolio TOPEKA, KS 212,559212.6k $15.7m $15.7m 0.10% Added +5.9k +5,867
25 GHP Investment Advisors, Inc. 0.98% of their portfolio Denver, CO 209,255209.3k $15.4m $15.4m 0.98% Added +11.1k +11,147
26 First National Trust Co 0.81% of their portfolio Johnstown, PA 206,279206.3k $15.2m $15.2m 0.81% Added +13.4k +13,441
27 WCG Wealth Advisors LLC 1.95% of their portfolio LAS VEGAS, NV 206,184206.2k $15.2m $15.2m 1.95% Added +13.0k +13,043
28 Roberts Financial Services LLC 3.53% of their portfolio MARQUETTE, MI 197,824197.8k $14.6m $14.6m 3.53% Added +2.6k +2,552
29 Convergence Financial, LLC 9.64% of their portfolio COLUMBIA, MO 177,357177.4k $13.1m $13.1m 9.64% Reduced -21.8k -21,824
30 Klingman & Associates, LLC 1.12% of their portfolio New York, NY 176,025176.0k $13.0m $13.0m 1.12% Reduced -631 -631
31 TIAA, FSB 0.05% of their portfolio ST. LOUIS, MO 169,544169.5k $12.5m $12.5m 0.05% Added +38.4k +38,363
32 Csenge Advisory Group 0.88% of their portfolio CLEARWATER, FL 166,039166.0k $12.2m $12.2m 0.88% Added +3.4k +3,402
33 CONFLUENCE INVESTMENT MANAGEMENT LLC 0.17% of their portfolio ST. LOUIS, MO 157,045157.0k $11.6m $11.6m 0.17% Added +37.8k +37,834
34 Octavia Wealth Advisors, LLC 2.51% of their portfolio CINCINNATI, OH 151,229151.2k $11.2m $11.2m 2.51% Added +28.6k +28,650
35 UBS Group AG 0.01% of their portfolio ZURICH, V8 148,474148.5k $10.9m $10.9m 0.01% Reduced -33.3k -33,313
36 Mariner, LLC 0.03% of their portfolio Overland Park, KS 139,866139.9k $10.3m $10.3m 0.03% Reduced -198.1k -198,136
37 Private Advisor Group, LLC 0.10% of their portfolio MORRISTOWN, NJ 137,537137.5k $10.1m $10.1m 0.10% Added +6.0k +5,986
38 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 125,048125.0k $9.2m $9.2m 0.02% Added +4.4k +4,371
39 Financial Enhancement Group LLC 1.71% of their portfolio ANDERSON, IN 124,658124.7k $8.8m $8.8m 1.71% Added +10.6k +10,575
40 MATHER GROUP, LLC. 0.16% of their portfolio CHICAGO, IL 123,839123.8k $9.1m $9.1m 0.16% Reduced -2.2k -2,187
41 Shakespeare Wealth Management, LLC 3.05% of their portfolio Pewaukee, WI 116,470116.5k $8.6m $8.6m 3.05% Added +3.9k +3,860
42 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 115,421115.4k $8.5m $8.5m 0.00% Added +6.9k +6,907
43 Kades & Cheifetz LLC 6.05% of their portfolio Berwyn, PA 104,068104.1k $7.7m $7.7m 6.05% Reduced -159 -159
44 Wealthcare Advisory Partners LLC 0.32% of their portfolio WEST CHESTER, PA 100,364100.4k $7.4m $7.4m 0.32% Reduced -6.7k -6,714
45 Perennial Investment Advisors, LLC 1.38% of their portfolio Los Angeles, CA 100,222100.2k $7.4m $7.4m 1.38% New
46 MGO ONE SEVEN LLC 0.47% of their portfolio Beachwood, OH 99,58299.6k $7.3m $7.3m 0.47% Added +61.1k +61,106
47 DENVER WEALTH MANAGEMENT, INC. 5.05% of their portfolio DENVER, CO 98,65298.7k $7.3m $7.3m 5.05% Reduced -4.7k -4,660
48 Diversified, LLC 2.58% of their portfolio Wilmington, DE 97,81597.8k $7.2m $7.2m 2.58% Added +24.0k +23,965
49 Forbes Financial Planning, Inc. 7.06% of their portfolio EAST GREENWICH, RI 97,38597.4k $7.2m $7.2m 7.06% Added +24.5k +24,463
50 HighTower Advisors, LLC 0.02% of their portfolio CHICAGO, IL 96,67596.7k $7.1m $7.1m 0.02% Added +18.2k +18,160
51 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 93,48993.5k $6.9m $6.9m 0.03% Added +21.6k +21,576
52 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 92,18992.2k $6.8m $6.8m 0.01% Added +5.2k +5,175
53 Avantax Planning Partners, Inc. 0.27% of their portfolio DUBUQUE, IA 91,77191.8k $6.8m $6.8m 0.27% Reduced -553 -553
54 SIGNET FINANCIAL MANAGEMENT, LLC 1.14% of their portfolio PARSIPPANY, NJ 91,65791.7k $6.8m $6.8m 1.14% Added +2.4k +2,390
55 MML INVESTORS SERVICES, LLC 0.05% of their portfolio SPRINGFIELD, MA 91,02391.0k $6.7m $6.7m 0.05% Reduced -219 -219
56 M&T Bank Corp 0.03% of their portfolio BUFFALO, NY 89,78889.8k $6.6m $6.6m 0.03% Reduced -4.9k -4,924
57 Cetera Advisor Networks LLC 0.05% of their portfolio EL SEGUNDO, CA 87,33987.3k $6.4m $6.4m 0.05% Added +180 +180
58 Equitable Holdings, Inc. 0.10% of their portfolio NEW YORK, NY 87,17087.2k $6.4m $6.4m 0.10% Added +10.1k +10,123
59 RAINEY & RANDALL WEALTH ADVISORS INC. 2.02% of their portfolio Celebration, FL 85,18085.2k $6.3m $6.3m 2.02% Reduced -1.6k -1,596
60 McAdam, LLC 0.51% of their portfolio Philadelphia, PA 77,32577.3k $5.7m $5.7m 0.51% Added +3.3k +3,274
61 Connecticut Wealth Management, LLC 0.39% of their portfolio FARMINGTON, CT 70,68270.7k $5.2m $5.2m 0.39% Reduced -11.4k -11,425
62 FINANCIAL CONSULATE, INC 1.81% of their portfolio HUNT VALLEY, MD 70,42770.4k $5.2m $5.2m 1.81% Added +11.1k +11,079
63 TD AMERITRADE INVESTMENT MANAGEMENT, LLC 0.05% of their portfolio OMAHA, NE 68,08468.1k $5.0m $5.0m 0.05% Reduced -2.2k -2,190
64 ERn Financial, LLC 1.03% of their portfolio MIDDLETON, WI 63,32963.3k $4.7m $4.7m 1.03% Added +1.3k +1,339
65 Financial Strategies Group, Inc. 1.69% of their portfolio OKEMOS, MI 59,39859.4k $4.4m $4.4m 1.69% Added +2.1k +2,089
66 Pinnacle Financial Partners Inc 0.11% of their portfolio Nashville, TN 56,65956.7k $4.2m $4.2m 0.11% Added +32 +32
67 JNBA Financial Advisors 0.52% of their portfolio BLOOMINGTON, MN 54,10854.1k $4.0m $4.0m 0.52% Added +20.9k +20,918
68 Strategies Wealth Advisors, LLC 0.86% of their portfolio GRAND RAPIDS, MI 53,12053.1k $3.9m $3.9m 0.86% Added +586 +586
69 BARRETT & COMPANY, INC. 2.46% of their portfolio PROVIDENCE, RI 52,61052.6k $3.9m $3.9m 2.46% Reduced -745 -745
70 Marietta Wealth Management, LLC 0.81% of their portfolio MARIETTA, GA 51,83951.8k $3.8m $3.8m 0.81% Added +2.3k +2,340
71 MONETA GROUP INVESTMENT ADVISORS LLC 0.09% of their portfolio ST LOUIS, MO 51,38651.4k $3.8m $3.8m 0.09% Added +5.9k +5,878
72 Key Financial Inc 1.36% of their portfolio WEST CHESTER, PA 50,46450.5k $3.7m $3.7m 1.36% Added +7.9k +7,920
73 Thrivent Financial for Lutherans 0.01% of their portfolio Minneapolis, MN 49,36049.4k $3.6m $3.6m 0.01% New
74 WALLER FINANCIAL PLANNING GROUP, INC 1.02% of their portfolio COLUMBUS, OH 48,66548.7k $3.6m $3.6m 1.02% Reduced -13.0k -13,014
75 Whitegate Investment Counselors, Inc. 1.15% of their portfolio CONCORD, NH 48,23648.2k $3.6m $3.6m 1.15% Added +33.2k +33,211
76 Windsor Wealth Management, Inc. 0.67% of their portfolio INDIANAPOLIS, IN 47,34047.3k $3.4m $3.4m 0.67% Reduced -324 -324
77 HARBOUR INVESTMENTS, INC. 0.19% of their portfolio MADISON, WI 46,88046.9k $3.5m $3.5m 0.19% Added +1.9k +1,868
78 Spire Wealth Management 0.13% of their portfolio MCLEAN, VA 46,25046.2k $3.4m $3.4m 0.13% Added +24.3k +24,344
79 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 45,58145.6k $3.4m $3.4m 0.01% Reduced -194 -194
80 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 45,30645.3k $3.3m $3.3m 0.00% Reduced -5.3k -5,271
81 WealthShield Partners, LLC 0.54% of their portfolio CARY, NC 45,30145.3k $3.3m $3.3m 0.54% Added +2.0k +2,046
82 Kingsview Wealth Management, LLC 0.14% of their portfolio GRANTS PASS, OR 44,34544.3k $3.3m $3.3m 0.14% Reduced -2.7k -2,664
83 Prestige Wealth Management Group LLC 0.81% of their portfolio FLEMINGTON, NJ 43,91543.9k $3.2m $3.2m 0.81% Reduced -683 -683
84 Blue Barn Wealth, LLC 2.00% of their portfolio OREM, UT 43,78343.8k $3.2m $3.2m 2.00% Added +1.1k +1,121
85 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 43,27543.3k $3.2m $3.2m 0.00% Added +35.1k +35,096
86 BIP Wealth, LLC 0.35% of their portfolio ATLANTA, GA 43,23843.2k $3.2m $3.2m 0.35% First filing
87 Veritable, L.P. 0.05% of their portfolio Newtown Square, PA 40,56840.6k $3.0m $3.0m 0.05% Added +7.3k +7,330
88 Laidlaw Wealth Management LLC 0.59% of their portfolio NEW YORK CITY, NY 39,16639.2k $2.9m $2.9m 0.59% Reduced -685 -685
89 Ledge Wealth Management, Inc. 1.36% of their portfolio SARTELL, MN 38,93138.9k $2.9m $2.9m 1.36% Added +4 +4
90 New England Capital Financial Advisors LLC 2.02% of their portfolio MERIDEN, CT 38,81138.8k $2.9m $2.9m 2.02% Added +864 +864
91 EisnerAmper Wealth Management Corporate Benefits, LLC 1.32% of their portfolio ISELIN, NJ 37,14137.1k $2.7m $2.7m 1.32% Reduced -2.8k -2,799
92 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 36,90136.9k $2.7m $2.7m 0.01% Added +1.6k +1,565
93 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 36,23936.2k $2.7m $2.7m 0.00% Added +5.2k +5,203
94 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 35,98036.0k $2.7m $2.7m 0.00% Added +3.0k +3,015
95 New York Life Investment Management LLC 0.03% of their portfolio New York, NY 34,70934.7k $2.6m $2.6m 0.03% Added +8.0k +8,015
96 Advisor OS, LLC 0.58% of their portfolio CHICAGO, IL 32,98833.0k $2.4m $2.4m 0.58% Added +27.9k +27,899
97 LINCOLN NATIONAL CORP 0.05% of their portfolio RADNOR, PA 32,92832.9k $2.4m $2.4m 0.05% Added +2.8k +2,774
98 Koss-Olinger Consulting, LLC 0.28% of their portfolio GAINESVILLE, FL 30,75230.8k $2.3m $2.3m 0.28% Reduced -1.1k -1,097
99 MONECO ADVISORS, LLC 0.65% of their portfolio FAIRFIELD, CT 29,96130.0k $2.2m $2.2m 0.65% Added +6.2k +6,182
100 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.01% of their portfolio IRVING, TX 29,83229.8k $2.2m $2.2m 0.01% Reduced -2.0k -1,987