Vault-13

SPDR SERIES TRUST SLYG

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

385 institutional holders +12 vs Q2 2023
20,720,64320.7m shares reported held*
$1.5bnreported value*
31 new 158 added 127 reduced 22 sold out net bought ≈ $21.9m (+299.0k 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 ($3.5m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $73.30. Options: 2 managers hold calls ($139.2k notional), 1 hold puts ($29.3k).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0200400Q3 22: 341Q4 22: 371Q1 23: 366Q2 23: 373Q3 23: 385385Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022341
Q4 2022371
Q1 2023366
Q2 2023373
Q3 2023385

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 23Q2 23: 171 bought or addedQ2 23: 160 cut or sold outQ2 23Q3 23: 189 bought or addedQ3 23: 149 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022168133
Q1 2023195142
Q2 2023171160
Q3 2023189149

Calls vs puts

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

CallsPuts
$0$50k$100k$150kQ4 22 calls: $64.7kQ4 22 puts: $108.4kQ4 22P/C 1.67Q1 23 calls: $51.6kQ1 23 puts: $0Q1 23P/C 0.00Q2 23 calls: $100.0kQ2 23 puts: $23.1kQ2 23P/C 0.23Q3 23 calls: $139.2kQ3 23 puts: $29.3kQ3 23P/C 0.21
Numbers
QuarterCallsPutsP/C
Q4 2022$64.7k$108.4k1.67
Q1 2023$51.6k$00.00
Q2 2023$100.0k$23.1k0.23
Q3 2023$139.2k$29.3k0.21

Biggest buyers

LPL Financial LLC Added +166,312+166.3k
LEVEL FOUR ADVISORY SERVICES, LLC Added +69,877+69.9k
CHARLES SCHWAB INVESTMENT MANAGEMENT INC New +66,788+66.8k
Cetera Advisor Networks LLC Added +64,371+64.4k
Grey Fox Wealth Advisors, LLC Added +59,878+59.9k
GTS SECURITIES LLC New +52,493+52.5k
ROYAL BANK OF CANADA Added +44,491+44.5k
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC New +36,023+36.0k
WELLS FARGO & COMPANY/MN Added +34,541+34.5k
PATHSTONE FAMILY OFFICE, LLC New +34,434+34.4k

Biggest sellers

Redwood Investment Management, LLC Reduced -263,709-263.7k
MGO ONE SEVEN LLC Sold out -83,578-83.6k
TD AMERITRADE INVESTMENT MANAGEMENT, LLC Reduced -73,098-73.1k
AMERIPRISE FINANCIAL INC Reduced -71,442-71.4k
Savant Capital, LLC Reduced -54,255-54.3k
Veritable, L.P. Sold out -37,268-37.3k
Steward Partners Investment Advisory, LLC Reduced -22,846-22.8k
Haverford Trust Co Reduced -20,637-20.6k
Wealthcare Advisory Partners LLC Reduced -20,439-20.4k
Houlihan Financial Resource Group, Ltd. Sold out -19,685-19.7k

Biggest calls

CITADEL ADVISORS LLC Added $139.2k1.9k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CITADEL ADVISORS LLC Added $29.3k400 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, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.09% of their portfolio FORT MILL, SC 1,772,9141.8m $129.9m $129.9m 0.09% Added +166.3k +166,312
2 Financial Engines Advisors L.L.C. 0.27% of their portfolio SANTA CLARA, CA 1,412,0781.4m $103.5m $103.5m 0.27% Reduced -11.1k -11,076
3 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 1,355,6421.4m $99.3m $99.3m 0.01% Added +26.3k +26,269
4 AMERIPRISE FINANCIAL INC 0.02% of their portfolio MINNEAPOLIS, MN 739,203739.2k $54.3m $54.3m 0.02% Reduced -71.4k -71,442
5 Haverford Trust Co 0.62% of their portfolio Radnor, PA 698,535698.5k $51.2m $51.2m 0.62% Reduced -20.6k -20,637
6 SIGNATURE ESTATE & INVESTMENT ADVISORS LLC 1.55% of their portfolio LOS ANGELES, CA 624,867624.9k $45.8m $45.8m 1.55% Added +16.7k +16,712
7 ASSETMARK, INC 0.13% of their portfolio CONCORD, CA 454,554454.6k $33.3m $33.3m 0.13% Added +17.1k +17,090
8 Rodgers & Associates, LTD 4.26% of their portfolio Lancaster, PA 384,851384.9k $28.2m $28.2m 4.26% Added +2.3k +2,256
9 Savant Capital, LLC 0.38% of their portfolio ROCKFORD, IL 345,753345.8k $25.3m $25.3m 0.38% Reduced -54.3k -54,255
10 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 336,808336.8k $24.7m $24.7m 0.00% Added +14.5k +14,469
11 TOWNSQUARE CAPITAL LLC 0.45% of their portfolio Lehi, UT 335,148335.1k $24.6m $24.6m 0.45% Added +1.9k +1,890
12 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 329,552329.6k $24.1m $24.1m 0.01% Added +34.5k +34,541
13 STIFEL FINANCIAL CORP 0.03% of their portfolio ST. LOUIS, MO 322,007322.0k $23.6m $23.6m 0.03% Reduced -7.1k -7,090
14 NorthRock Partners, LLC 2.37% of their portfolio MINNEAPOLIS, MN 309,037309.0k $22.6m $22.6m 2.37% Reduced -8.3k -8,273
15 FAS Wealth Partners, Inc. 2.28% of their portfolio LEAWOOD, KS 290,981291.0k $21.3m $21.3m 2.28% Added +17.2k +17,179
16 Krilogy Financial LLC 1.77% of their portfolio ST. LOUIS, MO 264,063264.1k $19.3m $19.3m 1.77% Reduced -2.5k -2,466
17 COMMONWEALTH EQUITY SERVICES, LLC 0.04% of their portfolio WALTHAM, MA 251,758251.8k $18.4m $18.4m 0.04% Reduced -951 -951
18 Tradition Wealth Management, LLC 2.11% of their portfolio EDINA, MN 243,924243.9k $17.8m $17.8m 2.11% Added +2.8k +2,813
19 BENJAMIN F. EDWARDS & COMPANY, INC. 0.66% of their portfolio ST. LOUIS, MO 233,985234.0k $17.1m $17.1m 0.66% Reduced -1.9k -1,940
20 AIRE ADVISORS, LLC 4.44% of their portfolio BEVERLY HILLS, CA 226,315226.3k $16.6m $16.6m 4.44% Added +4.0k +3,991
21 WCG Wealth Advisors LLC 1.22% of their portfolio LAS VEGAS, NV 224,731224.7k $16.7m $16.7m 1.22% Added +14.5k +14,539
22 AE Wealth Management LLC 0.10% of their portfolio TOPEKA, KS 222,841222.8k $16.3m $16.3m 0.10% Added +8.6k +8,588
23 GHP Investment Advisors, Inc. 0.95% of their portfolio Denver, CO 218,225218.2k $15.6m $15.6m 0.95% Added +3.3k +3,336
24 Convergence Financial, LLC 9.49% of their portfolio COLUMBIA, MO 218,219218.2k $16.0m $16.0m 9.49% Added +26.7k +26,701
25 KWB Wealth 2.65% of their portfolio REDLANDS, CA 214,581214.6k $16.5m $16.5m 2.65% Reduced -2.2k -2,240
26 Financial Planning & Information Services, Inc. 2.85% of their portfolio DE PERE, WI 209,041209.0k $15.3m $15.3m 2.85% Reduced -46 -46
27 Roberts Financial Services LLC 3.69% of their portfolio MARQUETTE, MI 208,932208.9k $15.3m $15.3m 3.69% Added +828 +828
28 First National Trust Co 0.72% of their portfolio Johnstown, PA 205,232205.2k $15.0m $15.0m 0.72% Added +5.3k +5,281
29 Equitable Holdings, Inc. 0.19% of their portfolio NEW YORK, NY 184,171184.2k $13.5m $13.5m 0.19% Added +8.6k +8,610
30 Csenge Advisory Group 0.89% of their portfolio CLEARWATER, FL 177,786177.8k $13.0m $13.0m 0.89% Added +1.9k +1,891
31 Octavia Wealth Advisors, LLC 2.54% of their portfolio CINCINNATI, OH 171,250171.2k $12.5m $12.5m 2.54% Added +7.9k +7,896
32 Klingman & Associates, LLC 1.00% of their portfolio New York, NY 168,477168.5k $12.3m $12.3m 1.00% Reduced -8.0k -7,950
33 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 168,455168.5k $12.3m $12.3m 0.02% Added +5.6k +5,621
34 Mariner, LLC 0.03% of their portfolio Overland Park, KS 161,532161.5k $11.8m $11.8m 0.03% Added +16.2k +16,174
35 UBS Group AG 0.01% of their portfolio ZURICH, V8 155,913155.9k $11.4m $11.4m 0.01% Added +9.4k +9,386
36 Cetera Advisor Networks LLC 0.07% of their portfolio EL SEGUNDO, CA 155,194155.2k $11.4m $11.4m 0.07% Added +64.4k +64,371
37 Private Advisor Group, LLC 0.10% of their portfolio MORRISTOWN, NJ 147,222147.2k $10.8m $10.8m 0.10% Reduced -2.4k -2,367
38 Redwood Investment Management, LLC 0.94% of their portfolio SCOTTSDALE, AZ 146,904146.9k $10.8m $10.8m 0.94% Reduced -263.7k -263,709
39 Strategic Advocates LLC 4.76% of their portfolio SACRAMENTO, CA 137,946137.9k $10.1m $10.1m 4.76% First filing
40 TIAA TRUST, NATIONAL ASSOCIATION 0.04% of their portfolio CHARLOTTE, NC 137,671137.7k $10.1m $10.1m 0.04% First filing
41 Financial Enhancement Group LLC 1.80% of their portfolio ANDERSON, IN 128,462128.5k $9.3m $9.3m 1.80% Added +749 +749
42 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 126,902126.9k $9.3m $9.3m 0.00% Reduced -18.3k -18,279
43 MATHER GROUP, LLC. 0.16% of their portfolio CHICAGO, IL 124,356124.4k $9.1m $9.1m 0.16% Added +6.9k +6,926
44 Shakespeare Wealth Management, LLC 3.19% of their portfolio Pewaukee, WI 124,230124.2k $9.1m $9.1m 3.19% Added +1.8k +1,762
45 CONFLUENCE INVESTMENT MANAGEMENT LLC 0.14% of their portfolio ST. LOUIS, MO 122,948122.9k $9.0m $9.0m 0.14% Added +2.1k +2,120
46 Kades & Cheifetz LLC 5.96% of their portfolio Berwyn, PA 102,739102.7k $7.5m $7.5m 5.96% Reduced -1.2k -1,209
47 Diversified, LLC 1.93% of their portfolio Wilmington, DE 101,396101.4k $7.4m $7.4m 1.93% Added +301 +301
48 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 98,93998.9k $7.2m $7.2m 0.01% Added +1.9k +1,895
49 Forbes Financial Planning, Inc. 7.70% of their portfolio EAST GREENWICH, RI 98,07598.1k $7.2m $7.2m 7.70% Added +851 +851
50 DENVER WEALTH MANAGEMENT, INC. 4.62% of their portfolio DENVER, CO 97,50097.5k $7.1m $7.1m 4.62% Added +978 +978
51 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 92,25792.3k $6.8m $6.8m 0.01% Reduced -6.0k -5,974
52 Avantax Planning Partners, Inc. 0.27% of their portfolio DUBUQUE, IA 89,68889.7k $6.6m $6.6m 0.27% Added +112 +112
53 RAINEY & RANDALL WEALTH ADVISORS INC. 1.90% of their portfolio Celebration, FL 89,54089.5k $6.6m $6.6m 1.90% Added +3.9k +3,948
54 Perennial Investment Advisors, LLC 1.19% of their portfolio Los Angeles, CA 89,35089.3k $6.5m $6.5m 1.19% Reduced -733 -733
55 SIGNET FINANCIAL MANAGEMENT, LLC 1.08% of their portfolio PARSIPPANY, NJ 89,31289.3k $6.5m $6.5m 1.08% Reduced -3.4k -3,426
56 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 88,97589.0k $6.5m $6.5m 0.00% Added +44.5k +44,491
57 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 87,87487.9k $6.4m $6.4m 0.01% Added +14.8k +14,750
58 Wealthcare Advisory Partners LLC 0.29% of their portfolio WEST CHESTER, PA 85,79485.8k $6.3m $6.3m 0.29% Reduced -20.4k -20,439
59 JNBA Financial Advisors 0.76% of their portfolio BLOOMINGTON, MN 83,61783.6k $6.1m $6.1m 0.76% Added +10.7k +10,710
60 FINANCIAL CONSULATE, INC 2.66% of their portfolio HUNT VALLEY, MD 82,13782.1k $6.0m $6.0m 2.66% Added +3.9k +3,899
61 Thrivent Financial for Lutherans 0.01% of their portfolio Minneapolis, MN 79,06079.1k $5.8m $5.8m 0.01% Added +4.7k +4,688
62 Grey Fox Wealth Advisors, LLC 2.78% of their portfolio ROCKLAND, DE 75,79275.8k $5.6m $5.6m 2.78% Added +59.9k +59,878
63 McAdam, LLC 0.45% of their portfolio Philadelphia, PA 75,25575.3k $5.5m $5.5m 0.45% Reduced -1.4k -1,419
64 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 75,13475.1k $5.5m $5.5m 0.03% Added +1.6k +1,587
65 M&T Bank Corp 0.02% of their portfolio BUFFALO, NY 74,68774.7k $5.5m $5.5m 0.02% Reduced -3.3k -3,294
66 LEVEL FOUR ADVISORY SERVICES, LLC 0.35% of their portfolio DALLAS, TX 74,13874.1k $5.4m $5.4m 0.35% Added +69.9k +69,877
67 Financial Strategies Group, Inc. 1.69% of their portfolio OKEMOS, MI 72,96473.0k $5.4m $5.4m 1.69% Added +1.8k +1,788
68 Financial Security Advisor, Inc. 2.37% of their portfolio VIRGINIA BEACH, VA 70,40670.4k $5.2m $5.2m 2.37% First filing
69 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.00% of their portfolio SAN FRANCISCO, CA 66,78866.8k $4.9m $4.9m 0.00% New
70 Stratos Wealth Partners, LTD. 0.10% of their portfolio BEACHWOOD, OH 62,40562.4k $4.6m $4.6m 0.10% Added +16.6k +16,585
71 Key Financial Inc 1.52% of their portfolio WEST CHESTER, PA 61,36761.4k $4.5m $4.5m 1.52% Added +6.6k +6,561
72 INTERACTIVE FINANCIAL ADVISORS, INC. 3.00% of their portfolio New Lenox, IL 60,79560.8k $4.5m $4.5m 3.00% Added +28.7k +28,661
73 ERn Financial, LLC 0.93% of their portfolio MIDDLETON, WI 58,46458.5k $4.3m $4.3m 0.93% Reduced -3.0k -3,013
74 Marietta Wealth Management, LLC 0.85% of their portfolio MARIETTA, GA 58,09858.1k $4.3m $4.3m 0.85% Added +2.0k +1,975
75 Pacific Sun Financial Corp 2.90% of their portfolio LOS ANGELES, CA 57,12157.1k $4.2m $4.2m 2.90% Added +86 +86
76 Pinnacle Financial Partners Inc 0.11% of their portfolio Nashville, TN 55,61255.6k $4.1m $4.1m 0.11% Reduced -964 -964
77 BIP Wealth, LLC 0.37% of their portfolio ATLANTA, GA 54,69554.7k $4.0m $4.0m 0.37% Added +4.1k +4,093
78 Strategies Wealth Advisors, LLC 0.79% of their portfolio GRAND RAPIDS, MI 54,61054.6k $4.0m $4.0m 0.79% Added +1.1k +1,066
79 WealthShield Partners, LLC 0.59% of their portfolio CARY, NC 53,48253.5k $3.9m $3.9m 0.59% Reduced -873 -873
80 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 52,80252.8k $3.9m $3.9m 0.01% Added +3.4k +3,400
81 GTS SECURITIES LLC 0.08% of their portfolio NEW YORK, NY 52,49352.5k $3.8m $3.8m 0.08% New
82 MONETA GROUP INVESTMENT ADVISORS LLC 0.09% of their portfolio ST LOUIS, MO 52,09152.1k $3.8m $3.8m 0.09% Added +222 +222
83 BARRETT & COMPANY, INC. 2.23% of their portfolio PROVIDENCE, RI 51,73351.7k $3.8m $3.8m 2.23% Reduced -281 -281
84 Whitegate Investment Counselors, Inc. 1.22% of their portfolio CONCORD, NH 49,65249.7k $3.6m $3.6m 1.22% Added +675 +675
85 WALLER FINANCIAL PLANNING GROUP, INC 1.06% of their portfolio COLUMBUS, OH 49,53949.5k $3.6m $3.6m 1.06% Reduced -159 -159
86 Spire Wealth Management 0.14% of their portfolio MCLEAN, VA 48,81848.8k $3.6m $3.6m 0.14% Added +1.5k +1,491
87 Blue Barn Wealth, LLC 2.32% of their portfolio OREM, UT 48,13548.1k $3.5m $3.5m 2.32% Added +2.2k +2,205
88 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 44,61444.6k $3.3m $3.3m 0.00% Reduced -2.6k -2,580
89 Prestige Wealth Management Group LLC 0.78% of their portfolio FLEMINGTON, NJ 43,18843.2k $3.2m $3.2m 0.78% Reduced -944 -944
90 Connecticut Wealth Management, LLC 0.21% of their portfolio FARMINGTON, CT 42,86942.9k $3.1m $3.1m 0.21% Reduced -440 -440
91 New England Capital Financial Advisors LLC 2.14% of their portfolio MERIDEN, CT 42,46542.5k $3.1m $3.1m 2.14% Added +1.5k +1,492
92 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 40,64440.6k $3.0m $3.0m 0.01% Added +5.7k +5,724
93 Ledge Wealth Management, Inc. 1.28% of their portfolio SARTELL, MN 39,00839.0k $2.9m $2.9m 1.28% Added +523 +523
94 Windsor Wealth Management, Inc. 0.52% of their portfolio INDIANAPOLIS, IN 38,48138.5k $2.8m $2.8m 0.52% Added +66 +66
95 MML INVESTORS SERVICES, LLC 0.02% of their portfolio SPRINGFIELD, MA 38,08638.1k $2.8m $2.8m 0.02% Reduced -2.5k -2,470
96 EisnerAmper Wealth Management Corporate Benefits, LLC 1.21% of their portfolio ISELIN, NJ 36,91336.9k $2.7m $2.7m 1.21% Added +270 +270
97 Kingsview Wealth Management, LLC 0.10% of their portfolio GRANTS PASS, OR 36,69036.7k $2.7m $2.7m 0.10% Reduced -7.8k -7,753
98 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.01% of their portfolio PLYMOUTH, MN 36,02336.0k $2.6m $2.6m 0.01% New
99 PATHSTONE FAMILY OFFICE, LLC 0.02% of their portfolio ENGLEWOOD, NJ 34,43434.4k $2.5m $2.5m 0.02% New
100 Probity Advisors, Inc. 0.57% of their portfolio DALLAS, TX 33,94933.9k $2.5m $2.5m 0.57% Added +251 +251