Vault-13

SPDR SERIES TRUST SLYG

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

442 institutional holders +12 vs Q4 2023
25,944,86625.9m shares reported held*
$2.2bnreported value*
50 new 162 added 147 reduced 34 sold out net bought ≈ $148.6m (+2.0m 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 ($6.7m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $86.70. Options: 2 managers hold calls ($174.5k notional), 1 hold puts ($87.2k).

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 341Q4 22: 371Q1 23: 366Q2 23: 373Q3 23: 385Q4 23: 430Q1 24: 442442Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 2022341
Q4 2022371
Q1 2023366
Q2 2023373
Q3 2023385
Q4 2023430
Q1 2024442

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q4 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 23Q1 24: 212 bought or addedQ1 24: 181 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 2022168133
Q1 2023195142
Q2 2023171160
Q3 2023189149
Q4 2023196155
Q1 2024212181

Calls vs puts

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

CallsPuts
$0$50k$100k$150k$200kQ2 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 0.00Q1 24 calls: $174.5kQ1 24 puts: $87.2kQ1 24P/C 0.50
Numbers
QuarterCallsPutsP/C
Q2 2023$100.0k$23.1k0.23
Q3 2023$139.2k$29.3k0.21
Q4 2023$150.5k$00.00
Q1 2024$174.5k$87.2k0.50

Biggest buyers

MORGAN STANLEY Added +479,163+479.2k
Tradewinds Capital Management, LLC New +332,618+332.6k
Avantax Planning Partners, Inc. Added +265,645+265.6k
BALANCED WEALTH GROUP LLC Added +265,139+265.1k
Thrive Capital Management, LLC New +258,351+258.4k
LPL Financial LLC Added +242,986+243.0k
Cetera Investment Advisers New +192,062+192.1k
BANK OF AMERICA CORP /DE/ Added +172,225+172.2k
STIFEL FINANCIAL CORP Added +148,267+148.3k
OSAIC HOLDINGS, INC. Added +129,977+130.0k

Biggest sellers

SIGNATURE ESTATE & INVESTMENT ADVISORS LLC Reduced -552,681-552.7k
ASSETMARK, INC Reduced -252,521-252.5k
Cetera Advisor Networks LLC Sold out -167,546-167.5k
Octavia Wealth Advisors, LLC Reduced -158,544-158.5k
Raymond James Financial Services Advisors, Inc. Reduced -112,984-113.0k
Strategic Advocates LLC Reduced -90,830-90.8k
Redwood Investment Management, LLC Reduced -82,661-82.7k
Ethos Financial Group, LLC Sold out -80,865-80.9k
AMERIPRISE FINANCIAL INC Reduced -73,318-73.3k
WCG Wealth Advisors LLC Reduced -51,193-51.2k

Biggest calls

CITADEL ADVISORS LLC Added $174.5k2.0k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CITADEL ADVISORS LLC New $87.2k1.0k 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, Q1 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.10% of their portfolio FORT MILL, SC 2,163,6582.2m $188.7m $188.7m 0.10% Added +243.0k +242,986
2 CITIGROUP INC 0.15% of their portfolio NEW YORK, NY 1,609,4451.6m $140.4m $140.4m 0.15% Added +33.8k +33,831
3 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 1,584,1411.6m $138.2m $138.2m 0.01% Added +172.2k +172,225
4 Financial Engines Advisors L.L.C. 0.27% of their portfolio SANTA CLARA, CA 1,362,3511.4m $118.8m $118.8m 0.27% Reduced -32.2k -32,188
5 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,135,5931.1m $99.1m $99.1m 0.00% Added +479.2k +479,163
6 STIFEL FINANCIAL CORP 0.07% of their portfolio ST. LOUIS, MO 674,933674.9k $58.9m $58.9m 0.07% Added +148.3k +148,267
7 Haverford Trust Co 0.60% of their portfolio Radnor, PA 660,529660.5k $57.6m $57.6m 0.60% Added +94.8k +94,817
8 AMERIPRISE FINANCIAL INC 0.02% of their portfolio MINNEAPOLIS, MN 642,021642.0k $56.0m $56.0m 0.02% Reduced -73.3k -73,318
9 NorthRock Partners, LLC 1.96% of their portfolio MINNEAPOLIS, MN 584,552584.6k $51.0m $51.0m 1.96% Added +17.2k +17,172
10 BENJAMIN F. EDWARDS & COMPANY, INC. 0.76% of their portfolio ST. LOUIS, MO 477,207477.2k $41.6m $41.6m 0.76% Added +106.6k +106,577
11 Rodgers & Associates, LTD 4.49% of their portfolio Lancaster, PA 401,138401.1k $35.0m $35.0m 4.49% Reduced -63 -63
12 TOWNSQUARE CAPITAL LLC 0.49% of their portfolio Lehi, UT 386,940386.9k $33.8m $33.8m 0.49% Added +20.8k +20,801
13 Avantax Planning Partners, Inc. 1.00% of their portfolio DUBUQUE, IA 354,822354.8k $31.0m $31.0m 1.00% Added +265.6k +265,645
14 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 354,593354.6k $30.9m $30.9m 0.01% Added +56.5k +56,535
15 Savant Capital, LLC 0.34% of their portfolio ROCKFORD, IL 340,693340.7k $29.7m $29.7m 0.34% Reduced -1.7k -1,740
16 Tradewinds Capital Management, LLC 8.02% of their portfolio BELLINGHAM, WA 332,618332.6k $29.0m $29.0m 8.02% New
17 Equitable Holdings, Inc. 0.33% of their portfolio NEW YORK, NY 332,550332.6k $29.0m $29.0m 0.33% Added +122.0k +122,022
18 OSAIC HOLDINGS, INC. 0.06% of their portfolio SCOTTSDALE, AZ 291,853291.9k $25.5m $25.5m 0.06% Added +130.0k +129,977
19 BALANCED WEALTH GROUP LLC 3.16% of their portfolio WESTLAKE, OH 291,710291.7k $7.1m $7.1m 3.16% Added +265.1k +265,139
20 COMMONWEALTH EQUITY SERVICES, LLC 0.04% of their portfolio WALTHAM, MA 284,817284.8k $24.8m $24.8m 0.04% Added +30.8k +30,812
21 FAS Wealth Partners, Inc. 2.19% of their portfolio LEAWOOD, KS 282,751282.8k $24.7m $24.7m 2.19% Reduced -3.2k -3,228
22 Krilogy Financial LLC 1.75% of their portfolio ST. LOUIS, MO 261,152261.2k $22.8m $22.8m 1.75% Added +1.6k +1,579
23 Thrive Capital Management, LLC 8.40% of their portfolio FORT WASHINGTON, PA 258,351258.4k $15.8m $15.8m 8.40% New
24 CONFLUENCE INVESTMENT MANAGEMENT LLC 0.28% of their portfolio ST. LOUIS, MO 242,435242.4k $21.1m $21.1m 0.28% Added +40.9k +40,850
25 Financial Planning & Information Services, Inc. 2.97% of their portfolio DE PERE, WI 226,970227.0k $19.8m $19.8m 2.97% Reduced -5.8k -5,796
26 GHP Investment Advisors, Inc. 0.98% of their portfolio Denver, CO 226,238226.2k $19.7m $19.7m 0.98% Added +3.2k +3,202
27 AIRE ADVISORS, LLC 4.38% of their portfolio BEVERLY HILLS, CA 222,730222.7k $19.4m $19.4m 4.38% Added +940 +940
28 AE Wealth Management LLC 0.22% of their portfolio TOPEKA, KS 221,864221.9k $19.4m $19.4m 0.22% Added +8.0k +8,005
29 Roberts Financial Services LLC 3.90% of their portfolio MARQUETTE, MI 218,813218.8k $19.1m $19.1m 3.90% Added +1.3k +1,252
30 Redwood Investment Management, LLC 1.80% of their portfolio SCOTTSDALE, AZ 215,939215.9k $18.9m $18.9m 1.80% Reduced -82.7k -82,661
31 UBS Group AG 0.01% of their portfolio ZURICH, V8 211,148211.1k $18.4m $18.4m 0.01% Added +37.0k +36,989
32 KWB Wealth 2.38% of their portfolio REDLANDS, CA 202,863202.9k $17.7m $17.7m 2.38% Reduced -7.0k -7,032
33 Convergence Financial, LLC 7.15% of their portfolio COLUMBIA, MO 198,568198.6k $17.3m $17.3m 7.15% Reduced -14.9k -14,914
34 Cetera Investment Advisers 0.04% of their portfolio SCHAUMBURG, IL 192,062192.1k $16.8m $16.8m 0.04% New
35 ASSETMARK, INC 0.05% of their portfolio CONCORD, CA 190,734190.7k $16.6m $16.6m 0.05% Reduced -252.5k -252,521
36 Mariner, LLC 0.03% of their portfolio Overland Park, KS 190,162190.2k $16.6m $16.6m 0.03% Added +10.3k +10,340
37 Klingman & Associates, LLC 1.07% of their portfolio New York, NY 175,796175.8k $15.3m $15.3m 1.07% Reduced -2.9k -2,908
38 Csenge Advisory Group 0.86% of their portfolio CLEARWATER, FL 175,780175.8k $15.3m $15.3m 0.86% Reduced -3.3k -3,262
39 First National Trust Co 0.59% of their portfolio Johnstown, PA 166,990167.0k $14.6m $14.6m 0.59% Reduced -19.1k -19,145
40 Private Advisor Group, LLC 0.10% of their portfolio MORRISTOWN, NJ 161,953162.0k $14.1m $14.1m 0.10% Added +17.5k +17,505
41 WCG Wealth Advisors LLC 1.04% of their portfolio LAS VEGAS, NV 142,288142.3k $12.4m $12.4m 1.04% Reduced -51.2k -51,193
42 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 138,135138.1k $12.0m $12.0m 0.00% Reduced -3.3k -3,256
43 TIAA TRUST, NATIONAL ASSOCIATION 0.04% of their portfolio CHARLOTTE, NC 134,478134.5k $11.7m $11.7m 0.04% Added +1.6k +1,561
44 Shakespeare Wealth Management, LLC 3.28% of their portfolio Pewaukee, WI 129,652129.7k $11.3m $11.3m 3.28% Added +838 +838
45 MATHER GROUP, LLC. 0.17% of their portfolio CHICAGO, IL 126,471126.5k $10.6m $10.6m 0.17% Reduced -690 -690
46 Optimist Retirement Group LLC 5.47% of their portfolio BELLEVUE, WA 122,037122.0k $10.6m $10.6m 5.47% Added +4.4k +4,449
47 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 121,675121.7k $10.6m $10.6m 0.02% Reduced -113.0k -112,984
48 HighTower Advisors, LLC 0.02% of their portfolio CHICAGO, IL 114,455114.5k $10.0m $10.0m 0.02% Reduced -4.6k -4,638
49 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 112,360112.4k $9.8m $9.8m 0.01% Added +2.5k +2,514
50 Wealthcare Advisory Partners LLC 0.30% of their portfolio WEST CHESTER, PA 104,727104.7k $9.1m $9.1m 0.30% Added +13.8k +13,751
51 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 102,558102.6k $8.9m $8.9m 0.00% Added +92.6k +92,615
52 Kades & Cheifetz LLC 5.69% of their portfolio Berwyn, PA 101,956102.0k $8.9m $8.9m 5.69% Added +478 +478
53 Forbes Financial Planning, Inc. 7.60% of their portfolio EAST GREENWICH, RI 101,280101.3k $8.8m $8.8m 7.60% Added +133 +133
54 RAINEY & RANDALL WEALTH ADVISORS INC. 2.05% of their portfolio Celebration, FL 100,618100.6k $8.8m $8.8m 2.05% Added +6.0k +6,034
55 Grey Fox Wealth Advisors, LLC 3.10% of their portfolio ROCKLAND, DE 94,48394.5k $8.2m $8.2m 3.10% Added +9.0k +9,036
56 FINANCIAL CONSULATE, INC 2.40% of their portfolio HUNT VALLEY, MD 93,25993.3k $8.1m $8.1m 2.40% Added +5.9k +5,910
57 Perennial Investment Advisors, LLC 1.22% of their portfolio Los Angeles, CA 91,70191.7k $8.0m $8.0m 1.22% Added +2.2k +2,223
58 SIGNATURE ESTATE & INVESTMENT ADVISORS LLC 0.23% of their portfolio LOS ANGELES, CA 91,31791.3k $8.0m $8.0m 0.23% Reduced -552.7k -552,681
59 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 87,65687.7k $7.6m $7.6m 0.03% Added +9.6k +9,612
60 O'Dell Group, LLC 1.78% of their portfolio CINCINNATI, OH 83,05283.1k $7.2m $7.2m 1.78% Added +82.6k +82,551
61 Tradition Wealth Management, LLC 0.72% of their portfolio EDINA, MN 81,88681.9k $7.1m $7.1m 0.72% Reduced -37.3k -37,335
62 SIGNET FINANCIAL MANAGEMENT, LLC 0.97% of their portfolio PARSIPPANY, NJ 80,69380.7k $7.0m $7.0m 0.97% Reduced -5.2k -5,151
63 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 79,74579.7k $7.0m $7.0m 0.01% Added +17.2k +17,240
64 LEVEL FOUR ADVISORY SERVICES, LLC 0.36% of their portfolio DALLAS, TX 77,78977.8k $6.5m $6.5m 0.36% Added +1.7k +1,739
65 McAdam, LLC 0.41% of their portfolio Philadelphia, PA 73,90673.9k $6.4m $6.4m 0.41% Reduced -1.4k -1,407
66 Key Financial Inc 1.62% of their portfolio WEST CHESTER, PA 72,99473.0k $6.4m $6.4m 1.62% Added +5.9k +5,908
67 Intrua Financial, LLC 0.98% of their portfolio Houston, TX 72,61072.6k $6.3m $6.3m 0.98% New
68 Dakota Wealth Management 0.16% of their portfolio PALM BEACH GARDENS, FL 72,56672.6k $6.3m $6.3m 0.16% New
69 Financial Strategies Group, Inc. 1.62% of their portfolio OKEMOS, MI 69,99970.0k $6.0m $6.0m 1.62% Reduced -3.2k -3,178
70 JNBA Financial Advisors 0.64% of their portfolio BLOOMINGTON, MN 69,69569.7k $6.1m $6.1m 0.64% Reduced -23.5k -23,540
71 Financial Security Advisor, Inc. 2.07% of their portfolio VIRGINIA BEACH, VA 67,80667.8k $5.9m $5.9m 2.07% Reduced -409 -409
72 BIP Wealth, LLC 0.43% of their portfolio ATLANTA, GA 66,96267.0k $5.8m $5.8m 0.43% Added +7.3k +7,309
73 DENVER WEALTH MANAGEMENT, INC. 2.90% of their portfolio DENVER, CO 65,09365.1k $5.7m $5.7m 2.90% Reduced -31.6k -31,575
74 Pinnacle Family Advisors, LLC 3.01% of their portfolio Springfield, MO 64,82264.8k $5.7m $5.7m 3.01% Added +17.5k +17,487
75 Thrivent Financial for Lutherans 0.01% of their portfolio Minneapolis, MN 61,65661.7k $5.4m $5.4m 0.01% Added +262 +262
76 Marietta Wealth Management, LLC 0.84% of their portfolio MARIETTA, GA 58,64458.6k $5.1m $5.1m 0.84% Added +1.9k +1,856
77 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.00% of their portfolio SAN FRANCISCO, CA 57,78757.8k $5.0m $5.0m 0.00% Reduced -2.4k -2,371
78 HRC WEALTH MANAGEMENT, LLC 3.60% of their portfolio Moscow, ID 56,46456.5k $4.9m $4.9m 3.60% New
79 Pacific Sun Financial Corp 2.85% of their portfolio LOS ANGELES, CA 56,20056.2k $4.9m $4.9m 2.85% Reduced -135 -135
80 ERn Financial, LLC 0.84% of their portfolio MIDDLETON, WI 55,71455.7k $4.9m $4.9m 0.84% Reduced -2.4k -2,420
81 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 54,91154.9k $4.8m $4.8m 0.01% Added +7.0k +6,981
82 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.01% of their portfolio PLYMOUTH, MN 53,97554.0k $4.7m $4.7m 0.01% Added +1.9k +1,944
83 Strategies Wealth Advisors, LLC 0.70% of their portfolio GRAND RAPIDS, MI 52,35252.4k $4.6m $4.6m 0.70% Reduced -304 -304
84 INTERACTIVE FINANCIAL ADVISORS, INC. 2.51% of their portfolio New Lenox, IL 51,96152.0k $4.5m $4.5m 2.51% Added +50.8k +50,828
85 BARRETT & COMPANY, INC. 2.14% of their portfolio PROVIDENCE, RI 51,93951.9k $4.5m $4.5m 2.14% Reduced -819 -819
86 Diversified, LLC 0.62% of their portfolio Wilmington, DE 51,60151.6k $4.5m $4.5m 0.62% Reduced -15.1k -15,068
87 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 50,93150.9k $4.4m $4.4m 0.00% Reduced -16.6k -16,638
88 Blue Barn Wealth, LLC 2.47% of their portfolio OREM, UT 50,73950.7k $4.4m $4.4m 2.47% Added +191 +191
89 Pinnacle Financial Partners Inc 0.09% of their portfolio Nashville, TN 49,72849.7k $4.3m $4.3m 0.09% Reduced -1.9k -1,886
90 WALLER FINANCIAL PLANNING GROUP, INC 1.15% of their portfolio COLUMBUS, OH 49,64249.6k $4.3m $4.3m 1.15% Reduced -55 -55
91 Fragasso Financial Advisors Inc 0.37% of their portfolio SEWICKLEY, PA 49,53349.5k $4.3m $4.3m 0.37% Reduced -676 -676
92 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 49,13249.1k $4.3m $4.3m 0.00% Added +234 +234
93 Councilor Wealth, LLC 2.14% of their portfolio BETHESDA, MD 49,04549.0k $4.3m $4.3m 2.14% Reduced -3.5k -3,451
94 Whitegate Investment Counselors, Inc. 1.20% of their portfolio CONCORD, NH 48,96749.0k $4.3m $4.3m 1.20% Added +68 +68
95 Integrity Wealth Solutions LLC 2.71% of their portfolio DENVER, CO 47,65147.7k $4.2m $4.2m 2.71% Added +1.5k +1,506
96 WealthShield Partners, LLC 0.65% of their portfolio CARY, NC 45,96346.0k $4.0m $4.0m 0.65% Reduced -8.2k -8,197
97 Steward Partners Investment Advisory, LLC 0.04% of their portfolio STAMFORD, CT 45,78745.8k $4.0m $4.0m 0.04% Added +721 +721
98 New England Capital Financial Advisors LLC 2.24% of their portfolio MERIDEN, CT 45,46045.5k $4.0m $4.0m 2.24% Added +2.9k +2,948
99 Spire Wealth Management 0.07% of their portfolio MCLEAN, VA 45,25545.3k $3.9m $3.9m 0.07% Reduced -3.1k -3,116
100 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 44,58344.6k $3.9m $3.9m 0.00% Added +43.5k +43,549