Vault-13

SPDR SERIES TRUST SLYG

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

430 institutional holders +45 vs Q3 2023
24,112,60724.1m shares reported held*
$2.0bnreported value*
39 new 157 added 137 reduced 18 sold out net bought ≈ $251.5m (+3.0m 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 ($3.7m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $83.61. Options: 2 managers hold calls ($150.5k notional), 0 hold puts (—).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 341Q4 22: 371Q1 23: 366Q2 23: 373Q3 23: 385Q4 23: 430430Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022341
Q4 2022371
Q1 2023366
Q2 2023373
Q3 2023385
Q4 2023430

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 23Q4 23: 196 bought or addedQ4 23: 155 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022168133
Q1 2023195142
Q2 2023171160
Q3 2023189149
Q4 2023196155

Calls vs puts

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

CallsPuts
$0$50k$100k$150k$200kQ1 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 0.21Q4 23 calls: $150.5kQ4 23 puts: $0Q4 23P/C 0.00
Numbers
QuarterCallsPutsP/C
Q1 2023$51.6k$00.00
Q2 2023$100.0k$23.1k0.23
Q3 2023$139.2k$29.3k0.21
Q4 2023$150.5k$00.00

Biggest buyers

CITIGROUP INC New +1,575,614+1.6m
MORGAN STANLEY Added +319,622+319.6k
NorthRock Partners, LLC Added +258,343+258.3k
STIFEL FINANCIAL CORP Added +204,659+204.7k
Redwood Investment Management, LLC Added +151,696+151.7k
LPL Financial LLC Added +147,758+147.8k
Raymond James Financial Services Advisors, Inc. Added +146,785+146.8k
BENJAMIN F. EDWARDS & COMPANY, INC. Added +136,645+136.6k
Ethos Financial Group, LLC New +80,865+80.9k
CONFLUENCE INVESTMENT MANAGEMENT LLC Added +78,637+78.6k

Biggest sellers

Haverford Trust Co Reduced -132,823-132.8k
Financial Enhancement Group LLC Sold out -128,462-128.5k
Tradition Wealth Management, LLC Reduced -124,703-124.7k
INTERACTIVE FINANCIAL ADVISORS, INC. Reduced -59,662-59.7k
GTS SECURITIES LLC Sold out -52,493-52.5k
Diversified, LLC Reduced -34,727-34.7k
WELLS FARGO & COMPANY/MN Reduced -31,494-31.5k
WCG Wealth Advisors LLC Reduced -31,250-31.2k
Connecticut Wealth Management, LLC Reduced -27,780-27.8k
IMC-Chicago, LLC Sold out -26,178-26.2k

Biggest calls

CITADEL ADVISORS LLC Reduced $150.5k1.8k 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, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.10% of their portfolio FORT MILL, SC 1,920,6721.9m $160.6m $160.6m 0.10% Added +147.8k +147,758
2 CITIGROUP INC 0.17% of their portfolio NEW YORK, NY 1,575,6141.6m $131.8m $131.8m 0.17% New
3 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 1,411,9161.4m $118.1m $118.1m 0.01% Added +56.3k +56,274
4 Financial Engines Advisors L.L.C. 0.28% of their portfolio SANTA CLARA, CA 1,394,5391.4m $116.6m $116.6m 0.28% Reduced -17.5k -17,539
5 AMERIPRISE FINANCIAL INC 0.02% of their portfolio MINNEAPOLIS, MN 715,339715.3k $60.1m $60.1m 0.02% Reduced -23.9k -23,864
6 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 656,430656.4k $54.9m $54.9m 0.00% Added +319.6k +319,622
7 SIGNATURE ESTATE & INVESTMENT ADVISORS LLC 1.58% of their portfolio LOS ANGELES, CA 643,998644.0k $53.9m $53.9m 1.58% Added +19.1k +19,131
8 NorthRock Partners, LLC 1.99% of their portfolio MINNEAPOLIS, MN 567,380567.4k $47.5m $47.5m 1.99% Added +258.3k +258,343
9 Haverford Trust Co 0.52% of their portfolio Radnor, PA 565,712565.7k $47.3m $47.3m 0.52% Reduced -132.8k -132,823
10 STIFEL FINANCIAL CORP 0.06% of their portfolio ST. LOUIS, MO 526,666526.7k $44.0m $44.0m 0.06% Added +204.7k +204,659
11 ASSETMARK, INC 0.13% of their portfolio CONCORD, CA 443,255443.3k $37.1m $37.1m 0.13% Reduced -11.3k -11,299
12 Rodgers & Associates, LTD 4.55% of their portfolio Lancaster, PA 401,201401.2k $33.6m $33.6m 4.55% Added +16.4k +16,350
13 BENJAMIN F. EDWARDS & COMPANY, INC. 0.62% of their portfolio ST. LOUIS, MO 370,630370.6k $31.0m $31.0m 0.62% Added +136.6k +136,645
14 TOWNSQUARE CAPITAL LLC 0.52% of their portfolio Lehi, UT 366,139366.1k $30.6m $30.6m 0.52% Added +31.0k +30,991
15 Savant Capital, LLC 0.37% of their portfolio ROCKFORD, IL 342,433342.4k $28.6m $28.6m 0.37% Reduced -3.3k -3,320
16 Redwood Investment Management, LLC 2.28% of their portfolio SCOTTSDALE, AZ 298,600298.6k $25.0m $25.0m 2.28% Added +151.7k +151,696
17 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 298,058298.1k $24.9m $24.9m 0.01% Reduced -31.5k -31,494
18 FAS Wealth Partners, Inc. 2.27% of their portfolio LEAWOOD, KS 285,979286.0k $23.9m $23.9m 2.27% Reduced -5.0k -5,002
19 Krilogy Financial LLC 1.85% of their portfolio ST. LOUIS, MO 259,573259.6k $21.7m $21.7m 1.85% Reduced -4.5k -4,490
20 COMMONWEALTH EQUITY SERVICES, LLC 0.04% of their portfolio WALTHAM, MA 254,005254.0k $21.2m $21.2m 0.04% Added +2.2k +2,247
21 Raymond James Financial Services Advisors, Inc. 0.03% of their portfolio ST. PETERSBURG, FL 234,659234.7k $19.6m $19.6m 0.03% Added +146.8k +146,785
22 Financial Planning & Information Services, Inc. 3.07% of their portfolio DE PERE, WI 232,766232.8k $19.5m $19.5m 3.07% Added +23.7k +23,725
23 GHP Investment Advisors, Inc. 1.01% of their portfolio Denver, CO 223,036223.0k $18.7m $18.7m 1.01% Added +4.8k +4,811
24 AIRE ADVISORS, LLC 4.60% of their portfolio BEVERLY HILLS, CA 221,790221.8k $18.6m $18.6m 4.60% Reduced -4.5k -4,525
25 Roberts Financial Services LLC 3.93% of their portfolio MARQUETTE, MI 217,561217.6k $18.2m $18.2m 3.93% Added +8.6k +8,629
26 AE Wealth Management LLC 0.09% of their portfolio TOPEKA, KS 213,859213.9k $17.6m $17.6m 0.09% Reduced -9.0k -8,982
27 Convergence Financial, LLC 7.97% of their portfolio COLUMBIA, MO 213,482213.5k $17.9m $17.9m 7.97% Reduced -4.7k -4,737
28 Equitable Holdings, Inc. 0.22% of their portfolio NEW YORK, NY 210,528210.5k $17.6m $17.6m 0.22% Added +26.4k +26,357
29 KWB Wealth 2.53% of their portfolio REDLANDS, CA 209,895209.9k $17.6m $17.6m 2.53% Reduced -4.7k -4,686
30 CONFLUENCE INVESTMENT MANAGEMENT LLC 0.24% of their portfolio ST. LOUIS, MO 201,585201.6k $16.9m $16.9m 0.24% Added +78.6k +78,637
31 WCG Wealth Advisors LLC 1.19% of their portfolio LAS VEGAS, NV 193,481193.5k $16.2m $16.2m 1.19% Reduced -31.2k -31,250
32 First National Trust Co 0.68% of their portfolio Johnstown, PA 186,135186.1k $15.6m $15.6m 0.68% Reduced -19.1k -19,097
33 Mariner, LLC 0.04% of their portfolio Overland Park, KS 179,822179.8k $15.0m $15.0m 0.04% Added +18.3k +18,290
34 Csenge Advisory Group 0.93% of their portfolio CLEARWATER, FL 179,042179.0k $15.0m $15.0m 0.93% Added +1.3k +1,256
35 Klingman & Associates, LLC 1.10% of their portfolio New York, NY 178,704178.7k $14.9m $14.9m 1.10% Added +10.2k +10,227
36 Octavia Wealth Advisors, LLC 2.61% of their portfolio CINCINNATI, OH 177,035177.0k $14.8m $14.8m 2.61% Added +5.8k +5,785
37 UBS Group AG 0.01% of their portfolio ZURICH, V8 174,159174.2k $14.6m $14.6m 0.01% Added +18.2k +18,246
38 Cetera Advisor Networks LLC 0.08% of their portfolio EL SEGUNDO, CA 167,546167.5k $14.0m $14.0m 0.08% Added +12.4k +12,352
39 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 161,876161.9k $13.5m $13.5m 0.02% Reduced -6.6k -6,579
40 Private Advisor Group, LLC 0.09% of their portfolio MORRISTOWN, NJ 144,448144.4k $12.1m $12.1m 0.09% Reduced -2.8k -2,774
41 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 141,391141.4k $11.8m $11.8m 0.00% Added +14.5k +14,489
42 TIAA TRUST, NATIONAL ASSOCIATION 0.04% of their portfolio CHARLOTTE, NC 132,917132.9k $11.1m $11.1m 0.04% Reduced -4.8k -4,754
43 Shakespeare Wealth Management, LLC 3.33% of their portfolio Pewaukee, WI 128,814128.8k $10.8m $10.8m 3.33% Added +4.6k +4,584
44 MATHER GROUP, LLC. 0.17% of their portfolio CHICAGO, IL 127,161127.2k $10.6m $10.6m 0.17% Added +2.8k +2,805
45 Strategic Advocates LLC 4.51% of their portfolio SACRAMENTO, CA 126,954127.0k $10.6m $10.6m 4.51% Reduced -11.0k -10,992
46 Tradition Wealth Management, LLC 1.04% of their portfolio EDINA, MN 119,221119.2k $10.0m $10.0m 1.04% Reduced -124.7k -124,703
47 HighTower Advisors, LLC 0.02% of their portfolio CHICAGO, IL 119,093119.1k $10.0m $10.0m 0.02% Added +26.8k +26,836
48 Optimist Retirement Group LLC 6.39% of their portfolio BELLEVUE, WA 117,588117.6k $9.8m $9.8m 6.39% First filing
49 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 109,846109.8k $9.2m $9.2m 0.01% Added +10.9k +10,907
50 Kades & Cheifetz LLC 6.02% of their portfolio Berwyn, PA 101,478101.5k $8.5m $8.5m 6.02% Reduced -1.3k -1,261
51 Forbes Financial Planning, Inc. 7.88% of their portfolio EAST GREENWICH, RI 101,147101.1k $8.5m $8.5m 7.88% Added +3.1k +3,072
52 DENVER WEALTH MANAGEMENT, INC. 4.57% of their portfolio DENVER, CO 96,66896.7k $8.1m $8.1m 4.57% Reduced -832 -832
53 RAINEY & RANDALL WEALTH ADVISORS INC. 2.02% of their portfolio Celebration, FL 94,58494.6k $7.9m $7.9m 2.02% Added +5.0k +5,044
54 JNBA Financial Advisors 0.89% of their portfolio BLOOMINGTON, MN 93,23593.2k $7.8m $7.8m 0.89% Added +9.6k +9,618
55 Wealthcare Advisory Partners LLC 0.30% of their portfolio WEST CHESTER, PA 90,97691.0k $7.6m $7.6m 0.30% Added +5.2k +5,182
56 Perennial Investment Advisors, LLC 1.24% of their portfolio Los Angeles, CA 89,47889.5k $7.5m $7.5m 1.24% Added +128 +128
57 Avantax Planning Partners, Inc. 0.28% of their portfolio DUBUQUE, IA 89,17789.2k $7.5m $7.5m 0.28% Reduced -511 -511
58 FINANCIAL CONSULATE, INC 2.40% of their portfolio HUNT VALLEY, MD 87,34987.3k $7.3m $7.3m 2.40% Added +5.2k +5,212
59 SIGNET FINANCIAL MANAGEMENT, LLC 1.07% of their portfolio PARSIPPANY, NJ 85,84485.8k $7.2m $7.2m 1.07% Reduced -3.5k -3,468
60 Grey Fox Wealth Advisors, LLC 3.11% of their portfolio ROCKLAND, DE 85,44785.4k $7.1m $7.1m 3.11% Added +9.7k +9,655
61 Ethos Financial Group, LLC 1.44% of their portfolio KING OF PRUSSIA, PA 80,86580.9k $6.8m $6.8m 1.44% New
62 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 78,04478.0k $6.5m $6.5m 0.03% Added +2.9k +2,910
63 LEVEL FOUR ADVISORY SERVICES, LLC 0.36% of their portfolio DALLAS, TX 76,05076.0k $6.4m $6.4m 0.36% Added +1.9k +1,912
64 McAdam, LLC 0.45% of their portfolio Philadelphia, PA 75,31375.3k $6.3m $6.3m 0.45% Added +58 +58
65 Financial Strategies Group, Inc. 1.72% of their portfolio OKEMOS, MI 73,17773.2k $6.0m $6.0m 1.72% Added +213 +213
66 Ledge Wealth Management, Inc. 2.30% of their portfolio SARTELL, MN 70,83270.8k $5.9m $5.9m 2.30% Added +31.8k +31,824
67 Financial Security Advisor, Inc. 2.24% of their portfolio VIRGINIA BEACH, VA 68,21568.2k $5.7m $5.7m 2.24% Reduced -2.2k -2,191
68 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 67,56967.6k $5.7m $5.7m 0.00% Reduced -21.4k -21,406
69 Key Financial Inc 1.53% of their portfolio WEST CHESTER, PA 67,08667.1k $5.6m $5.6m 1.53% Added +5.7k +5,719
70 Diversified, LLC 1.21% of their portfolio Wilmington, DE 66,66966.7k $5.6m $5.6m 1.21% Reduced -34.7k -34,727
71 Stratos Wealth Partners, LTD. 0.10% of their portfolio BEACHWOOD, OH 66,50666.5k $5.6m $5.6m 0.10% Added +4.1k +4,101
72 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 62,50562.5k $5.2m $5.2m 0.01% Added +9.7k +9,703
73 M&T Bank Corp 0.02% of their portfolio BUFFALO, NY 61,80661.8k $5.2m $5.2m 0.02% Reduced -12.9k -12,881
74 Thrivent Financial for Lutherans 0.01% of their portfolio Minneapolis, MN 61,39461.4k $5.1m $5.1m 0.01% Reduced -17.7k -17,666
75 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.00% of their portfolio SAN FRANCISCO, CA 60,15860.2k $5.0m $5.0m 0.00% Reduced -6.6k -6,630
76 BIP Wealth, LLC 0.39% of their portfolio ATLANTA, GA 59,65359.7k $5.0m $5.0m 0.39% Added +5.0k +4,958
77 ERn Financial, LLC 0.89% of their portfolio MIDDLETON, WI 58,13458.1k $4.7m $4.7m 0.89% Reduced -330 -330
78 Marietta Wealth Management, LLC 0.85% of their portfolio MARIETTA, GA 56,78856.8k $4.7m $4.7m 0.85% Reduced -1.3k -1,310
79 Pacific Sun Financial Corp 2.97% of their portfolio LOS ANGELES, CA 56,33556.3k $4.7m $4.7m 2.97% Reduced -786 -786
80 WealthShield Partners, LLC 0.75% of their portfolio CARY, NC 54,16054.2k $4.5m $4.5m 0.75% Added +678 +678
81 BARRETT & COMPANY, INC. 2.39% of their portfolio PROVIDENCE, RI 52,75852.8k $4.4m $4.4m 2.39% Added +1.0k +1,025
82 Strategies Wealth Advisors, LLC 0.75% of their portfolio GRAND RAPIDS, MI 52,65652.7k $4.4m $4.4m 0.75% Reduced -2.0k -1,954
83 Councilor Wealth, LLC 2.26% of their portfolio BETHESDA, MD 52,49652.5k $4.4m $4.4m 2.26% First filing
84 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.01% of their portfolio PLYMOUTH, MN 52,03152.0k $4.4m $4.4m 0.01% Added +16.0k +16,008
85 Pinnacle Financial Partners Inc 0.10% of their portfolio Nashville, TN 51,61451.6k $4.3m $4.3m 0.10% Reduced -4.0k -3,998
86 Blue Barn Wealth, LLC 2.51% of their portfolio OREM, UT 50,54850.5k $4.2m $4.2m 2.51% Added +2.4k +2,413
87 Fragasso Financial Advisors Inc 0.38% of their portfolio SEWICKLEY, PA 50,20950.2k $4.2m $4.2m 0.38% New
88 WALLER FINANCIAL PLANNING GROUP, INC 1.09% of their portfolio COLUMBUS, OH 49,69749.7k $4.2m $4.2m 1.09% Added +158 +158
89 Whitegate Investment Counselors, Inc. 1.25% of their portfolio CONCORD, NH 48,89948.9k $4.1m $4.1m 1.25% Reduced -753 -753
90 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 48,89848.9k $4.1m $4.1m 0.00% Added +42.1k +42,127
91 MONETA GROUP INVESTMENT ADVISORS LLC 0.08% of their portfolio ST LOUIS, MO 48,39848.4k $4.0m $4.0m 0.08% Reduced -3.7k -3,693
92 Spire Wealth Management 0.13% of their portfolio MCLEAN, VA 48,37148.4k $4.0m $4.0m 0.13% Reduced -447 -447
93 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 47,93047.9k $4.0m $4.0m 0.01% Added +7.3k +7,286
94 Pinnacle Family Advisors, LLC 2.33% of their portfolio Springfield, MO 47,33547.3k $4.0m $4.0m 2.33% New
95 Integrity Wealth Solutions LLC 2.67% of their portfolio DENVER, CO 46,14546.1k $3.9m $3.9m 2.67% First filing
96 Steward Partners Investment Advisory, LLC 0.05% of their portfolio STAMFORD, CT 45,06645.1k $3.8m $3.8m 0.05% Added +18.5k +18,455
97 Corient Private Wealth LP 0.01% of their portfolio MIAMI, FL 43,69043.7k $3.7m $3.7m 0.01% Added +40.3k +40,344
98 Prestige Wealth Management Group LLC 0.82% of their portfolio FLEMINGTON, NJ 43,19443.2k $3.6m $3.6m 0.82% Added +6 +6
99 New England Capital Financial Advisors LLC 2.14% of their portfolio MERIDEN, CT 42,51242.5k $3.6m $3.6m 2.14% Added +47 +47
100 MML INVESTORS SERVICES, LLC 0.02% of their portfolio SPRINGFIELD, MA 39,20839.2k $3.3m $3.3m 0.02% Added +1.1k +1,122