Vault-13

SPDR SER TR SLYV

S&P 600 SMCP VAL · ETP · CUSIP 78464A300

484 institutional holders -17 vs Q2 2023
31,282,55431.3m shares reported held*
$2.3bnreported value*
25 new 189 added 185 reduced 42 sold out net bought ≈ $36.3m (+491.9k 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 ($2.7m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $72.37. Options: 9 managers hold calls ($201.1m notional), 1 hold puts ($7.2k).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 457Q4 22: 480Q1 23: 471Q2 23: 501Q3 23: 484484Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022457
Q4 2022480
Q1 2023471
Q2 2023501
Q3 2023484

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q4 22: 224 bought or addedQ4 22: 180 cut or sold outQ4 22Q1 23: 202 bought or addedQ1 23: 221 cut or sold outQ1 23Q2 23: 230 bought or addedQ2 23: 202 cut or sold outQ2 23Q3 23: 214 bought or addedQ3 23: 227 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022224180
Q1 2023202221
Q2 2023230202
Q3 2023214227

Calls vs puts

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

CallsPuts
$0$200m$400m$600m$800mQ4 22 calls: $609.5mQ4 22 puts: $118.8kQ4 22P/C 0.00Q1 23 calls: $639.7mQ1 23 puts: $22.9kQ1 23P/C 0.00Q2 23 calls: $698.9mQ2 23 puts: $7.7kQ2 23P/C 0.00Q3 23 calls: $201.1mQ3 23 puts: $7.2kQ3 23P/C 0.00
Numbers
QuarterCallsPutsP/C
Q4 2022$609.5m$118.8k0.00
Q1 2023$639.7m$22.9k0.00
Q2 2023$698.9m$7.7k0.00
Q3 2023$201.1m$7.2k0.00

Biggest buyers

AMERIPRISE FINANCIAL INC Added +383,206+383.2k
Dean, Jacobson Financial Services, LLC New +280,272+280.3k
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC Added +173,004+173.0k
CHARLES SCHWAB INVESTMENT MANAGEMENT INC New +112,758+112.8k
ALPS ADVISORS INC New +76,675+76.7k
Facet Wealth, Inc. Added +52,763+52.8k
Cannon Financial Strategists, Inc. Added +46,130+46.1k
CW Advisors, LLC New +46,045+46.0k
WELLS FARGO & COMPANY/MN Added +39,838+39.8k
FINANCIAL COUNSELORS INC Added +37,056+37.1k

Biggest sellers

Redwood Investment Management, LLC Reduced -202,979-203.0k
Compass Ion Advisors, LLC Reduced -192,404-192.4k
TD AMERITRADE INVESTMENT MANAGEMENT, LLC Reduced -120,734-120.7k
PRW Wealth Management LLC Sold out -108,484-108.5k
Morningstar Investment Services LLC Reduced -97,305-97.3k
IFP Advisors, Inc Reduced -50,313-50.3k
ENVESTNET ASSET MANAGEMENT INC Reduced -50,174-50.2k
MORGAN STANLEY Reduced -38,050-38.0k
CALTON & ASSOCIATES, INC. Sold out -36,252-36.3k
Betterment LLC Reduced -34,553-34.6k

Biggest calls

JANE STREET GROUP, LLC Reduced $124.7m1.7m shares
JPMORGAN CHASE & CO Reduced $29.2m400.0k shares
IMC-Chicago, LLC Added $27.6m378.2k shares
Maven Securities LTD Added $10.3m141.4k shares
GARDA CAPITAL PARTNERS LP Added $6.8m93.5k shares
CenterStar Asset Management, LLC Added $1.9m26.0k shares
CITADEL ADVISORS LLC Reduced $441.5k6.1k shares
Worth Venture Partners, LLC New $22.8k30.8k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CITADEL ADVISORS LLC Unchanged $7.2k100 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 BANK OF AMERICA CORP /DE/ 0.02% of their portfolio CHARLOTTE, NC 1,790,3991.8m $129.6m $129.6m 0.02% Added +36.9k +36,878
2 LPL Financial LLC 0.08% of their portfolio FORT MILL, SC 1,666,7851.7m $120.6m $120.6m 0.08% Added +23.5k +23,535
3 Financial Engines Advisors L.L.C. 0.26% of their portfolio SANTA CLARA, CA 1,343,5121.3m $97.2m $97.2m 0.26% Reduced -7.1k -7,149
4 AMERIPRISE FINANCIAL INC 0.03% of their portfolio MINNEAPOLIS, MN 1,302,4421.3m $94.3m $94.3m 0.03% Added +383.2k +383,206
5 FINANCIAL COUNSELORS INC 1.42% of their portfolio Overland Park, KS 979,611979.6k $70.9m $70.9m 1.42% Added +37.1k +37,056
6 Cannon Financial Strategists, Inc. 15.06% of their portfolio ATHENS, GA 817,954818.0k $59.2m $59.2m 15.06% Added +46.1k +46,130
7 Goelzer Investment Management, Inc. 4.06% of their portfolio CARMEL, IN 797,708797.7k $57.7m $57.7m 4.06% Added +2.5k +2,459
8 Cerity Partners LLC 0.26% of their portfolio NEW YORK, NY 734,122734.1k $53.1m $53.1m 0.26% Reduced -5.8k -5,788
9 MassMutual Private Wealth & Trust, FSB 1.78% of their portfolio Windsor, CT 665,939665.9k $48.2m $48.2m 1.78% Added +31.6k +31,551
10 Financial Planning & Information Services, Inc. 8.47% of their portfolio DE PERE, WI 628,733628.7k $45.5m $45.5m 8.47% Reduced -8.1k -8,126
11 Creative Planning 0.05% of their portfolio OVERLAND PARK, KS 540,521540.5k $39.1m $39.1m 0.05% Reduced -6.4k -6,417
12 Morningstar Investment Services LLC 0.47% of their portfolio CHICAGO, IL 505,421505.4k $36.8m $36.8m 0.47% Reduced -97.3k -97,305
13 COMMONWEALTH EQUITY SERVICES, LLC 0.07% of their portfolio WALTHAM, MA 451,917451.9k $32.7m $32.7m 0.07% Reduced -2.6k -2,614
14 NorthRock Partners, LLC 2.93% of their portfolio MINNEAPOLIS, MN 387,288387.3k $28.0m $28.0m 2.93% Reduced -5.8k -5,781
15 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 363,443363.4k $26.3m $26.3m 0.01% Added +39.8k +39,838
16 Equitable Holdings, Inc. 0.38% of their portfolio NEW YORK, NY 363,305363.3k $26.3m $26.3m 0.38% Reduced -4.4k -4,399
17 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 351,286351.3k $25.4m $25.4m 0.01% Reduced -50.2k -50,174
18 TOWNSQUARE CAPITAL LLC 0.45% of their portfolio Lehi, UT 340,612340.6k $24.7m $24.7m 0.45% Added +3.3k +3,329
19 Evensky & Katz LLC 1.98% of their portfolio CORAL GABLES, FL 320,002320.0k $23.2m $23.2m 1.98% Reduced -3.4k -3,354
20 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.07% of their portfolio PLYMOUTH, MN 311,508311.5k $22.5m $22.5m 0.07% Added +173.0k +173,004
21 Trilogy Capital Inc. 1.49% of their portfolio IRVINE, CA 304,500304.5k $22.0m $22.0m 1.49% Added +21.4k +21,384
22 Avantax Planning Partners, Inc. 0.90% of their portfolio DUBUQUE, IA 297,451297.5k $21.5m $21.5m 0.90% Added +4.5k +4,465
23 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 290,077290.1k $21.0m $21.0m 0.00% Reduced -38.0k -38,050
24 American Financial Advisors, LLC 3.23% of their portfolio Marietta, GA 283,589283.6k $20.5m $20.5m 3.23% Reduced -2.0k -1,969
25 Dean, Jacobson Financial Services, LLC 18.74% of their portfolio FORT WORTH, TX 280,272280.3k $20.3m $20.3m 18.74% New
26 Avior Wealth Management, LLC 1.36% of their portfolio OMAHA, NE 277,687277.7k $20.1m $20.1m 1.36% Added +12.0k +11,976
27 Rodgers & Associates, LTD 2.98% of their portfolio Lancaster, PA 272,263272.3k $19.7m $19.7m 2.98% Added +8.0k +7,993
28 Redwood Investment Management, LLC 1.65% of their portfolio SCOTTSDALE, AZ 260,380260.4k $18.8m $18.8m 1.65% Reduced -203.0k -202,979
29 New Hampshire Trust 4.95% of their portfolio CONCORD, NH 251,539251.5k $18.2m $18.2m 4.95% Added +868 +868
30 Klingman & Associates, LLC 1.46% of their portfolio New York, NY 250,155250.2k $18.1m $18.1m 1.46% Reduced -7.0k -6,963
31 BRANDYWINE OAK PRIVATE WEALTH LLC 2.03% of their portfolio Kennett Square, PA 235,221235.2k $17.0m $17.0m 2.03% Reduced -4.0k -4,015
32 BRIGGS ADVISORY GROUP, INC. 9.68% of their portfolio LINCOLN, RI 233,591233.6k $16.9m $16.9m 9.68% Reduced -1.3k -1,257
33 First National Trust Co 0.80% of their portfolio Johnstown, PA 232,802232.8k $16.8m $16.8m 0.80% Reduced -20.4k -20,446
34 TRUIST FINANCIAL CORP 0.03% of their portfolio CHARLOTTE, NC 230,732230.7k $16.7m $16.7m 0.03% Added +5.2k +5,225
35 Roberts Financial Services LLC 3.95% of their portfolio MARQUETTE, MI 226,431226.4k $16.4m $16.4m 3.95% Added +3.2k +3,217
36 WCG Wealth Advisors LLC 1.21% of their portfolio LAS VEGAS, NV 225,002225.0k $16.5m $16.5m 1.21% Added +18.9k +18,869
37 High Probability Advisors, LLC 3.47% of their portfolio Pittsford, NY 222,455222.5k $16.1m $16.1m 3.47% Added +5.7k +5,742
38 Convergence Financial, LLC 9.24% of their portfolio COLUMBIA, MO 214,975215.0k $15.6m $15.6m 9.24% Added +29.8k +29,837
39 KWB Wealth 2.65% of their portfolio REDLANDS, CA 214,067214.1k $16.5m $16.5m 2.65% Reduced -2.4k -2,426
40 UBS Group AG 0.01% of their portfolio ZURICH, V8 212,568212.6k $15.4m $15.4m 0.01% Reduced -4.1k -4,142
41 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 205,368205.4k $14.9m $14.9m 0.02% Added +4.9k +4,941
42 Financial Advisory Group 3.06% of their portfolio HOUSTON, TX 205,077205.1k $14.8m $14.8m 3.06% Reduced -1.5k -1,465
43 FAS Wealth Partners, Inc. 1.56% of their portfolio LEAWOOD, KS 201,342201.3k $14.6m $14.6m 1.56% Reduced -3.9k -3,867
44 Mariner, LLC 0.03% of their portfolio Overland Park, KS 179,592179.6k $13.0m $13.0m 0.03% Reduced -15.2k -15,169
45 Lutz Financial Services LLC 1.34% of their portfolio OMAHA, NE 170,595170.6k $12.3m $12.3m 1.34% Reduced -6.7k -6,717
46 Asset Dedication, LLC 1.02% of their portfolio SAN FRANCISCO, CA 165,467165.5k $12.0m $12.0m 1.02% Reduced -4.8k -4,824
47 Financial Synergies Wealth Advisors, Inc. 1.72% of their portfolio HOUSTON, TX 164,937164.9k $11.9m $11.9m 1.72% Added +2.1k +2,058
48 Morton Brown Family Wealth, LLC 6.07% of their portfolio ALLENTOWN, PA 164,164164.2k $11.9m $11.9m 6.07% Added +16.5k +16,532
49 GHP Investment Advisors, Inc. 0.67% of their portfolio Denver, CO 157,855157.9k $11.0m $11.0m 0.67% Added +4.5k +4,469
50 SAGE FINANCIAL GROUP INC 1.24% of their portfolio W. CONSHOHOCKEN, PA 154,958155.0k $11.2m $11.2m 1.24% Added +1.8k +1,758
51 Financial Strategies Group, Inc. 3.50% of their portfolio OKEMOS, MI 154,444154.4k $11.1m $11.1m 3.50% Added +4.4k +4,445
52 Marathon Mission, Inc. 9.91% of their portfolio ALBANY, NY 152,903152.9k $10.4m $10.4m 9.91% Added +2.3k +2,329
53 Rockbridge Investment Management, LCC 1.91% of their portfolio Syracuse, NY 149,484149.5k $10.8m $10.8m 1.91% Added +3.6k +3,626
54 RESTON WEALTH MANAGEMENT LLC 5.36% of their portfolio Reston, VA 146,617146.6k $10.6m $10.6m 5.36% Reduced -10.2k -10,192
55 TIAA TRUST, NATIONAL ASSOCIATION 0.04% of their portfolio CHARLOTTE, NC 143,086143.1k $10.4m $10.4m 0.04% First filing
56 Concord Wealth Partners 2.09% of their portfolio ABINGDON, VA 136,080136.1k $9.8m $9.8m 2.09% Added +15.6k +15,642
57 Capasso Planning Partners LLC 5.20% of their portfolio CHARLESTON, SC 134,295134.3k $9.7m $9.7m 5.20% Added +6.4k +6,437
58 Key Financial Inc 3.26% of their portfolio WEST CHESTER, PA 133,547133.5k $9.7m $9.7m 3.26% Added +4.0k +4,039
59 Focus Financial Network, Inc. 0.53% of their portfolio MINNEAPOLIS, MN 129,566129.6k $9.4m $9.4m 0.53% Added +3.1k +3,090
60 HighTower Advisors, LLC 0.02% of their portfolio CHICAGO, IL 121,895121.9k $8.8m $8.8m 0.02% Reduced -5.6k -5,556
61 Resonant Capital Advisors, LLC 0.92% of their portfolio Madison, WI 119,322119.3k $8.6m $8.6m 0.92% Added +3.5k +3,461
62 Compass Ion Advisors, LLC 1.48% of their portfolio CONSHOHOCKEN, PA 119,282119.3k $8.6m $8.6m 1.48% Reduced -192.4k -192,404
63 Retirement Group, LLC 3.53% of their portfolio SAN DIEGO, CA 117,100117.1k $8.5m $8.5m 3.53% Added +3.2k +3,227
64 MATHER GROUP, LLC. 0.15% of their portfolio CHICAGO, IL 116,335116.3k $8.4m $8.4m 0.15% Added +17.5k +17,493
65 Concord Asset Management, LLC/VA 2.82% of their portfolio ABINGDON, VA 116,213116.2k $8.4m $8.4m 2.82% Added +14.8k +14,787
66 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.00% of their portfolio SAN FRANCISCO, CA 112,758112.8k $8.2m $8.2m 0.00% New
67 Betterment LLC 0.03% of their portfolio NEW YORK, NY 112,599112.6k $8.1m $8.1m 0.03% Reduced -34.6k -34,553
68 Red Door Wealth Management, LLC 2.01% of their portfolio Memphis, TN 111,055111.1k $8.0m $8.0m 2.01% Reduced -670 -670
69 Triangle Securities Wealth Management 2.79% of their portfolio RALEIGH, NC 108,299108.3k $7.8m $7.8m 2.79% Added +945 +945
70 Corient Private Wealth LP 0.02% of their portfolio MIAMI, FL 106,516106.5k $7.7m $7.7m 0.02% Added +2.2k +2,156
71 Perritt Capital Management Inc 4.29% of their portfolio Chicago, IL 102,316102.3k $7.4m $7.4m 4.29% Added +657 +657
72 N.E.W. Advisory Services LLC 1.02% of their portfolio DE PERE, WI 99,03799.0k $7.2m $7.2m 1.02% Added +2.2k +2,248
73 Clark Capital Management Group, Inc. 0.07% of their portfolio PHILADELPHIA, PA 98,13498.1k $7.1m $7.1m 0.07% Added +1.9k +1,890
74 SIGNATURE ESTATE & INVESTMENT ADVISORS LLC 0.24% of their portfolio LOS ANGELES, CA 97,83597.8k $7.1m $7.1m 0.24% Added +2.5k +2,467
75 BIP Wealth, LLC 0.63% of their portfolio ATLANTA, GA 95,24595.2k $6.9m $6.9m 0.63% Reduced -8.0k -8,013
76 Melone Private Wealth, LLC 4.88% of their portfolio AUBURN HILLS, MI 94,28094.3k $6.8m $6.8m 4.88% Added +6.4k +6,399
77 Perennial Investment Advisors, LLC 1.24% of their portfolio Los Angeles, CA 94,00794.0k $6.8m $6.8m 1.24% Reduced -1.4k -1,417
78 McAdam, LLC 0.53% of their portfolio Philadelphia, PA 88,60888.6k $6.4m $6.4m 0.53% Reduced -1.3k -1,310
79 NORTHWEST WEALTH MANAGEMENT, LLC 2.24% of their portfolio SPENCER, IA 86,10686.1k $6.2m $6.2m 2.24% Reduced -738 -738
80 Baird Financial Group, Inc. 0.02% of their portfolio MILWAUKEE, WI 85,64985.6k $6.2m $6.2m 0.02% Added +5.2k +5,249
81 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 84,74684.7k $6.1m $6.1m 0.03% Added +13.2k +13,191
82 AIRE ADVISORS, LLC 1.64% of their portfolio BEVERLY HILLS, CA 84,59784.6k $6.1m $6.1m 1.64% Reduced -9.3k -9,277
83 Ledge Wealth Management, Inc. 2.74% of their portfolio SARTELL, MN 84,40284.4k $6.1m $6.1m 2.74% Added +298 +298
84 Geneos Wealth Management Inc. 0.31% of their portfolio ENGLEWOOD, CO 82,03182.0k $5.9m $5.9m 0.31% Added +4.4k +4,438
85 Diversified, LLC 1.50% of their portfolio Wilmington, DE 79,81879.8k $5.8m $5.8m 1.50% Added +99 +99
86 Merit Financial Group, LLC 0.19% of their portfolio ALPHARETTA, GA 78,21378.2k $5.7m $5.7m 0.19% Added +2.4k +2,428
87 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 76,93476.9k $5.6m $5.6m 0.01% Reduced -11.4k -11,351
88 ALPS ADVISORS INC 0.05% of their portfolio Denver, CO 76,67576.7k $5.5m $5.5m 0.05% New
89 Salomon & Ludwin, LLC 0.58% of their portfolio RICHMOND, VA 76,42876.4k $5.5m $5.5m 0.58% Added +122 +122
90 HRT FINANCIAL LP 0.06% of their portfolio NEW YORK, NY 75,89275.9k $5.5m $5.5m 0.06% Added +29.5k +29,492
91 LPWM LLC 2.41% of their portfolio MINNEAPOLIS, MN 75,18575.2k $5.4m $5.4m 2.41% Added +981 +981
92 Probity Advisors, Inc. 1.24% of their portfolio DALLAS, TX 74,58574.6k $5.4m $5.4m 1.24% Added +355 +355
93 CarsonAllaria Wealth Management, Ltd. 4.31% of their portfolio GLEN CARBON, IL 73,32873.3k $5.3m $5.3m 4.31% Added +2.3k +2,290
94 NWAM LLC 0.53% of their portfolio MERCER ISLAND, WA 72,65972.7k $5.3m $5.3m 0.53% Reduced -3.4k -3,366
95 MML INVESTORS SERVICES, LLC 0.03% of their portfolio SPRINGFIELD, MA 69,12969.1k $5.0m $5.0m 0.03% Added +509 +509
96 Financial Guidance Group, Inc. 3.69% of their portfolio Palm Harbor, FL 67,72367.7k $4.9m $4.9m 3.69% Reduced -236 -236
97 DENVER WEALTH MANAGEMENT, INC. 3.17% of their portfolio DENVER, CO 67,62967.6k $4.9m $4.9m 3.17% Added +2.5k +2,525
98 Private Advisor Group, LLC 0.04% of their portfolio MORRISTOWN, NJ 65,82565.8k $4.8m $4.8m 0.04% Reduced -34.5k -34,501
99 Krilogy Financial LLC 0.43% of their portfolio ST. LOUIS, MO 64,70264.7k $4.7m $4.7m 0.43% Reduced -11.4k -11,378
100 CAHILL FINANCIAL ADVISORS INC 0.75% of their portfolio EDINA, MN 62,74062.7k $4.5m $4.5m 0.75% Reduced -449 -449