Vault-13

SPDR SERIES TRUST SPTM

PORTFOLI S&P1500 · ETP · CUSIP 78464A805

509 institutional holders +4 vs Q2 2023
73,956,20774.0m shares reported held*
$3.9bnreported value*
31 new 186 added 201 reduced 32 sold out net bought ≈ $196.8m (+3.4m 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 ($4.9m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $53.09. Options: 8 managers hold calls ($24.0m notional), 2 hold puts ($65.0k).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 448Q4 22: 482Q1 23: 484Q2 23: 505Q3 23: 509509Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022448
Q4 2022482
Q1 2023484
Q2 2023505
Q3 2023509

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q4 22: 206 bought or addedQ4 22: 207 cut or sold outQ4 22Q1 23: 223 bought or addedQ1 23: 214 cut or sold outQ1 23Q2 23: 236 bought or addedQ2 23: 214 cut or sold outQ2 23Q3 23: 217 bought or addedQ3 23: 233 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022206207
Q1 2023223214
Q2 2023236214
Q3 2023217233

Calls vs puts

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

CallsPuts
$0$10m$20m$30m$40mQ4 22 calls: $30.6mQ4 22 puts: $520.2kQ4 22P/C 0.02Q1 23 calls: $19.4mQ1 23 puts: $358.1kQ1 23P/C 0.02Q2 23 calls: $31.9mQ2 23 puts: $76.2kQ2 23P/C 0.00Q3 23 calls: $24.0mQ3 23 puts: $65.0kQ3 23P/C 0.00
Numbers
QuarterCallsPutsP/C
Q4 2022$30.6m$520.2k0.02
Q1 2023$19.4m$358.1k0.02
Q2 2023$31.9m$76.2k0.00
Q3 2023$24.0m$65.0k0.00

Biggest buyers

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC Added +1,381,525+1.4m
Financial Gravity Asset Management, Inc. Added +723,548+723.5k
CHARLES SCHWAB INVESTMENT MANAGEMENT INC New +692,004+692.0k
Royal Harbor Partners, LLC New +669,300+669.3k
OSAIC HOLDINGS, INC. Added +527,705+527.7k
LPL Financial LLC Added +459,157+459.2k
CWM, LLC Added +443,225+443.2k
Private Advisor Group, LLC Added +413,213+413.2k
Cerity Partners LLC Added +402,024+402.0k
Stratos Wealth Partners, LTD. Added +351,164+351.2k

Biggest sellers

TD AMERITRADE INVESTMENT MANAGEMENT, LLC Reduced -1,126,375-1.1m
Balefire, LLC Sold out -483,646-483.6k
Horizon Wealth Management, LLC Sold out -425,903-425.9k
CreativeOne Wealth, LLC Reduced -220,954-221.0k
EP Wealth Advisors, LLC Reduced -190,715-190.7k
ENVESTNET ASSET MANAGEMENT INC Reduced -155,850-155.8k
Arete Wealth Advisors, LLC Sold out -144,181-144.2k
AMERIPRISE FINANCIAL INC Reduced -114,076-114.1k
Prostatis Group LLC Sold out -92,976-93.0k
Brookstone Capital Management Reduced -72,010-72.0k

Biggest calls

JANE STREET GROUP, LLC Added $9.4m179.7k shares
JPMORGAN CHASE & CO Added $6.1m116.8k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $3.9m75.2k shares
IMC-Chicago, LLC Reduced $3.4m64.1k shares
Maven Securities LTD Reduced $787.5k15.0k shares
CITADEL ADVISORS LLC Added $304.4k5.8k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares
Cutler Group LLC / CA Reduced $0100 shares

Biggest puts

CITADEL ADVISORS LLC Reduced $63.0k1.2k shares
Cutler Group LLC / CA Added $2.0k1.9k 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 0.28% of their portfolio FORT MILL, SC 7,526,2637.5m $395.1m $395.1m 0.28% Added +459.2k +459,157
2 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.89% of their portfolio PLYMOUTH, MN 5,172,0245.2m $271.5m $271.5m 0.89% Added +1.4m +1,381,525
3 Private Advisor Group, LLC 1.29% of their portfolio MORRISTOWN, NJ 2,746,4272.7m $144.2m $144.2m 1.29% Added +413.2k +413,213
4 Valmark Advisers, Inc. 2.46% of their portfolio AKRON, OH 2,261,8352.3m $118.7m $118.7m 2.46% Added +76.0k +76,002
5 CWM, LLC 0.69% of their portfolio OMAHA, NE 2,144,6352.1m $112.6m $112.6m 0.69% Added +443.2k +443,225
6 Wealthcare Advisory Partners LLC 5.07% of their portfolio WEST CHESTER, PA 2,104,6562.1m $110.5m $110.5m 5.07% Reduced -35.6k -35,572
7 OSAIC HOLDINGS, INC. 0.14% of their portfolio SCOTTSDALE, AZ 1,777,7071.8m $93.3m $93.3m 0.14% Added +527.7k +527,705
8 Shepherd Financial Partners LLC 12.16% of their portfolio WINCHESTER, MA 1,477,1041.5m $77.5m $77.5m 12.16% Reduced -11.6k -11,580
9 Rockbridge Investment Management, LCC 13.26% of their portfolio Syracuse, NY 1,428,2591.4m $75.0m $75.0m 13.26% Added +12.9k +12,882
10 Professional Financial Advisors, LLC 29.64% of their portfolio NORTH PLATTE, NE 1,247,9111.2m $65.5m $65.5m 29.64% Added +8.2k +8,223
11 RFG Advisory, LLC 2.79% of their portfolio BIRMINGHAM, AL 1,188,1671.2m $62.4m $62.4m 2.79% Added +31.4k +31,358
12 ENVESTNET ASSET MANAGEMENT INC 0.03% of their portfolio Berwyn, PA 1,137,2641.1m $59.7m $59.7m 0.03% Reduced -155.8k -155,850
13 WELLS FARGO & COMPANY/MN 0.02% of their portfolio SAN FRANCISCO, CA 1,105,7241.1m $58.0m $58.0m 0.02% Reduced -23.9k -23,876
14 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 1,073,0891.1m $56.3m $56.3m 0.01% Reduced -50.9k -50,917
15 Stratos Wealth Partners, LTD. 1.03% of their portfolio BEACHWOOD, OH 914,848914.8k $48.0m $48.0m 1.03% Added +351.2k +351,164
16 AMERIPRISE FINANCIAL INC 0.02% of their portfolio MINNEAPOLIS, MN 910,377910.4k $47.8m $47.8m 0.02% Reduced -114.1k -114,076
17 Financial Strategies Group, Inc. 15.28% of their portfolio OKEMOS, MI 906,044906.0k $48.4m $48.4m 15.28% Added +11.3k +11,322
18 Wealthquest Corp 5.74% of their portfolio CINCINNATI, OH 891,251891.3k $46.8m $46.8m 5.74% Added +64.0k +64,006
19 Allworth Financial LP 0.40% of their portfolio FOLSOM, CA 884,366884.4k $46.4m $46.4m 0.40% Added +13.3k +13,291
20 ARS Wealth Advisors Group, LLC 7.04% of their portfolio St. Petersburg, FL 818,147818.1k $42.9m $42.9m 7.04% Added +16.5k +16,462
21 Financial Gravity Asset Management, Inc. 0.86% of their portfolio Lakeway, TX 763,122763.1k $76.0m $76.0m 0.86% Added +723.5k +723,548
22 WOODARD & CO ASSET MANAGEMENT GROUP INC /ADV 13.55% of their portfolio BERMUDA RUN, NC 760,206760.2k $39.9m $39.9m 13.55% Reduced -51.9k -51,883
23 Weitzel Financial Services, Inc. 21.28% of their portfolio DUBUQUE, IA 701,237701.2k $36.4m $36.4m 21.28% Reduced -11.4k -11,436
24 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.01% of their portfolio SAN FRANCISCO, CA 692,004692.0k $36.3m $36.3m 0.01% New
25 Royal Harbor Partners, LLC 18.29% of their portfolio HOUSTON, TX 669,300669.3k $35.1m $35.1m 18.29% New
26 Rinkey Investments 15.27% of their portfolio San Diego, CA 635,106635.1k $33.3m $33.3m 15.27% Added +42.8k +42,820
27 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 632,117632.1k $33.2m $33.2m 0.00% Added +60.8k +60,758
28 Cambridge Investment Research Advisors, Inc. 0.15% of their portfolio FAIRFIELD, IA 630,799630.8k $33.1m $33.1m 0.15% Reduced -1.8k -1,764
29 Cerity Partners LLC 0.15% of their portfolio NEW YORK, NY 586,890586.9k $30.8m $30.8m 0.15% Added +402.0k +402,024
30 PARK AVENUE SECURITIES LLC 0.47% of their portfolio NEW YORK, NY 577,270577.3k $30.3m $30.3m 0.47% Reduced -37.2k -37,249
31 Rosenberg Matthew Hamilton 9.67% of their portfolio GRAND JUNCTION, CO 553,207553.2k $29.0m $29.0m 9.67% Added +9.2k +9,165
32 Portfolio Strategies, Inc. 5.59% of their portfolio MONTVALE, NJ 552,254552.3k $29.0m $29.0m 5.59% Added +2.3k +2,255
33 Asset Management Resources, LLC 17.74% of their portfolio HYANNIS, MA 544,354544.4k $28.6m $28.6m 17.74% Reduced -51.8k -51,841
34 StrategIQ Financial Group, LLC 3.24% of their portfolio MERRILLVILLE, IN 533,947533.9k $28.0m $28.0m 3.24% Reduced -2.5k -2,515
35 AE Wealth Management LLC 0.16% of their portfolio TOPEKA, KS 525,208525.2k $27.6m $27.6m 0.16% Added +57.2k +57,158
36 SigFig Wealth Management, LLC 1.14% of their portfolio SAN FRANCISCO, CA 518,350518.4k $28.4m $28.4m 1.14% Reduced -31.1k -31,077
37 Winch Advisory Services, LLC 9.71% of their portfolio Appleton, WI 504,435504.4k $26.5m $26.5m 9.71% Added +14.7k +14,666
38 Winthrop Advisory Group LLC 4.04% of their portfolio BOSTON, MA 468,302468.3k $24.6m $24.6m 4.04% Added +12 +12
39 Blueprint Investment Partners LLC 7.73% of their portfolio GREENSBORO, NC 458,101458.1k $24.0m $24.0m 7.73% Reduced -64.0k -63,971
40 GM Advisory Group, LLC 1.96% of their portfolio MELVILLE, NY 456,303456.3k $24.0m $24.0m 1.96% Reduced -2.5k -2,528
41 Astor Investment Management LLC 8.19% of their portfolio CHICAGO, IL 414,465414.5k $21.8m $21.8m 8.19% Reduced -38.8k -38,831
42 N.E.W. Advisory Services LLC 2.99% of their portfolio DE PERE, WI 400,338400.3k $21.0m $21.0m 2.99% Added +7.9k +7,915
43 Treasure Coast Financial Planning 14.52% of their portfolio VERO BEACH, FL 398,340398.3k $20.9m $20.9m 14.52% Added +3.2k +3,162
44 Symphony Financial, Ltd. Co. 5.03% of their portfolio HOUSTON, TX 390,224390.2k $20.4m $20.4m 5.03% Added +21.3k +21,338
45 Balentine LLC 0.67% of their portfolio ATLANTA, GA 379,603379.6k $19.9m $19.9m 0.67% Reduced -1.6k -1,596
46 Brookstone Capital Management 0.43% of their portfolio WHEATON, IL 374,014374.0k $19.5m $19.5m 0.43% Reduced -72.0k -72,010
47 Callan Capital, LLC 2.10% of their portfolio LA JOLLA, CA 373,425373.4k $19.6m $19.6m 2.10% Reduced -5.5k -5,481
48 Aquire Wealth Advisors, LLC 7.92% of their portfolio Salt Lake City, UT 361,803361.8k $19.0m $19.0m 7.92% Reduced -21.0k -20,995
49 Mariner, LLC 0.05% of their portfolio Overland Park, KS 358,249358.2k $18.8m $18.8m 0.05% Added +162.4k +162,401
50 Parallel Advisors, LLC 0.62% of their portfolio SAN FRANCISCO, CA 353,893353.9k $18.6m $18.6m 0.62% Reduced -3.8k -3,827
51 MONEY CONCEPTS CAPITAL CORP 1.93% of their portfolio PALM BEACH GARDENS, FL 350,708350.7k $18.4m $18.4m 1.93% Added +3.1k +3,075
52 RVW Wealth, LLC 2.19% of their portfolio LOS ANGELES, CA 345,990346.0k $18.2m $18.2m 2.19% Reduced -10.8k -10,793
53 Baltimore-Washington Financial Advisors, Inc. 1.47% of their portfolio Columbia, MD 344,766344.8k $18.1m $18.1m 1.47% Added +26.7k +26,654
54 Boston Standard Wealth Management, LLC 4.73% of their portfolio WINCHESTER, MA 341,618341.6k $17.9m $17.9m 4.73% Reduced -4.9k -4,862
55 Legacy Private Trust Co. 1.41% of their portfolio NEENAH, WI 312,974313.0k $16.4m $16.4m 1.41% Added +15.2k +15,169
56 Compass Financial Group, INC/SD 4.83% of their portfolio Sioux Falls, SD 307,662307.7k $16.1m $16.1m 4.83% Reduced -5.9k -5,935
57 Annex Advisory Services, LLC 0.97% of their portfolio BROOKFIELD, WI 306,797306.8k $16.1m $16.1m 0.97% Reduced -25.8k -25,841
58 AdvisorNet Financial, Inc 1.43% of their portfolio MINNETONKA, MN 300,809300.8k $15.8m $15.8m 1.43% Added +1.7k +1,734
59 Snowden Capital Advisors LLC 0.66% of their portfolio New York, NY 295,400295.4k $15.5m $15.5m 0.66% Added +913 +913
60 GREAT LAKES ADVISORS, LLC 0.13% of their portfolio CHICAGO, IL 279,079279.1k $14.6m $14.6m 0.13% Added +12.9k +12,879
61 Pure Financial Advisors, LLC 0.59% of their portfolio SAN DIEGO, CA 275,568275.6k $14.5m $14.5m 0.59% Added +82 +82
62 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.09% of their portfolio IRVING, TX 273,515273.5k $14.4m $14.4m 0.09% Reduced -19.5k -19,547
63 Geneos Wealth Management Inc. 0.74% of their portfolio ENGLEWOOD, CO 272,555272.6k $14.3m $14.3m 0.74% Added +11.3k +11,277
64 Jaffetilchin Investment Partners, LLC 1.57% of their portfolio TAMPA, FL 271,001271.0k $14.2m $14.2m 1.57% Reduced -1.3k -1,283
65 Wealth Management Solutions, LLC 9.62% of their portfolio EXTON, PA 267,152267.2k $14.0m $14.0m 9.62% Reduced -5.3k -5,265
66 RETIREMENT CAPITAL STRATEGIES 6.26% of their portfolio SAN JOSE, CA 254,753254.8k $13.4m $13.4m 6.26% Reduced -427 -427
67 Capasso Planning Partners LLC 6.86% of their portfolio CHARLESTON, SC 244,357244.4k $12.8m $12.8m 6.86% Added +7.2k +7,228
68 Jacobi Capital Management LLC 1.44% of their portfolio PITTSTON, PA 243,294243.3k $12.8m $12.8m 1.44% Added +75.9k +75,927
69 BIP Wealth, LLC 1.13% of their portfolio ATLANTA, GA 234,028234.0k $12.3m $12.3m 1.13% Reduced -38.2k -38,155
70 Integrated Wealth Concepts LLC 0.22% of their portfolio WALTHAM, MA 233,376233.4k $12.2m $12.2m 0.22% Reduced -34.1k -34,066
71 Advisors Capital Management, LLC 0.28% of their portfolio RIDGEWOOD, NJ 212,711212.7k $11.2m $11.2m 0.28% Added +33.7k +33,657
72 MML INVESTORS SERVICES, LLC 0.06% of their portfolio SPRINGFIELD, MA 208,442208.4k $10.9m $10.9m 0.06% Added +104.1k +104,091
73 TRUIST FINANCIAL CORP 0.02% of their portfolio CHARLOTTE, NC 202,298202.3k $10.6m $10.6m 0.02% Reduced -1.7k -1,667
74 IAG Wealth Partners, LLC 2.92% of their portfolio WAUKESHA, WI 199,732199.7k $10.5m $10.5m 2.92% Reduced -9.0k -8,964
75 Financial Enhancement Group LLC 2.02% of their portfolio ANDERSON, IN 196,950196.9k $10.5m $10.5m 2.02% Added +24 +24
76 Equitable Holdings, Inc. 0.15% of their portfolio NEW YORK, NY 196,293196.3k $10.3m $10.3m 0.15% Reduced -64.5k -64,486
77 Facet Wealth, Inc. 0.48% of their portfolio WEST PALM BEACH, FL 190,193190.2k $9.7m $9.7m 0.48% Added +73.3k +73,330
78 SENTINEL PENSION ADVISORS, LLC 2.42% of their portfolio WAKEFIELD, MA 188,837188.8k $9.9m $9.9m 2.42% Reduced -4.3k -4,308
79 AIFG Consultants Ltd. 8.05% of their portfolio HALFMOON, NY 184,970185.0k $9.7m $9.7m 8.05% Reduced -2.3k -2,323
80 UBS Group AG 0.00% of their portfolio ZURICH, V8 181,829181.8k $9.5m $9.5m 0.00% Added +19.8k +19,801
81 Bridgewealth Advisory Group, LLC 11.66% of their portfolio Fresno, CA 180,873180.9k $9.5m $9.5m 11.66% Added +14.9k +14,894
82 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 178,321178.3k $9.4m $9.4m 0.02% Reduced -18.4k -18,417
83 Evensky & Katz LLC 0.76% of their portfolio CORAL GABLES, FL 170,206170.2k $8.9m $8.9m 0.76% Reduced -10.7k -10,655
84 Solano Wealth Management, Inc. 6.20% of their portfolio Fairfield, CA 170,178170.2k $8.9m $8.9m 6.20% Added +165.4k +165,416
85 Larson Financial Group LLC 0.87% of their portfolio ST LOUIS, MO 168,442168.4k $8.8m $8.8m 0.87% Reduced -2.6k -2,625
86 Treynor Bancshares, Inc. 5.60% of their portfolio TREYNOR, IA 168,031168.0k $8.8m $8.8m 5.60% Reduced -1.6k -1,613
87 CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC 4.99% of their portfolio Phoenix, AZ 167,553167.6k $8.8m $8.8m 4.99% Added +5.1k +5,120
88 Wall Capital Group, Inc. 12.45% of their portfolio PHOENIX, AZ 164,930164.9k $8.8m $8.8m 12.45% Added +123.5k +123,458
89 Investors Research Corp 2.25% of their portfolio ATLANTA, GA 163,826163.8k $8.6m $8.6m 2.25% Added +2.0k +1,967
90 Ervin Investment Management, LLC 7.12% of their portfolio SEATTLE, WA 161,883161.9k $8.5m $8.5m 7.12% Added +1.4k +1,434
91 Equita Financial Network, Inc. 5.15% of their portfolio FORT WASHINGTON, PA 159,563159.6k $8.4m $8.4m 5.15% First filing
92 Foundations Investment Advisors, LLC 0.26% of their portfolio PHOENIX, AZ 158,366158.4k $8.3m $8.3m 0.26% Reduced -6.0k -6,020
93 IRON Financial LLC 4.81% of their portfolio NORTHBROOK, IL 157,787157.8k $8.3m $8.3m 4.81% Reduced -7.1k -7,113
94 PAX Financial Group, LLC 1.84% of their portfolio SAN ANTONIO, TX 154,054154.1k $8.1m $8.1m 1.84% Reduced -5.2k -5,178
95 CARY STREET PARTNERS INVESTMENT ADVISORY LLC 0.42% of their portfolio RICHMOND, VA 147,699147.7k $7.8m $7.8m 0.42% Added +35.2k +35,171
96 Perennial Investment Advisors, LLC 1.38% of their portfolio Los Angeles, CA 144,473144.5k $7.6m $7.6m 1.38% Reduced -7.1k -7,142
97 Centennial Wealth Advisory LLC 4.01% of their portfolio Traverse City, MI 142,055142.1k $7.5m $7.5m 4.01% Reduced -13.2k -13,209
98 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 141,356141.4k $7.4m $7.4m 0.00% Added +34.1k +34,145
99 G&S Capital LLC 3.67% of their portfolio DENVER, CO 137,085137.1k $7.2m $7.2m 3.67% Added +6.5k +6,540
100 SENTINEL TRUST CO LBA 1.00% of their portfolio HOUSTON, TX 135,050135.1k $7.1m $7.1m 1.00% Added +11.0k +11,000