Vault-13

SPDR SER TR EFIV

S&P 500 ESG ETF · ETP · CUSIP 78468R531

60 institutional holders +8 vs Q3 2022
3,455,5213.5m shares reported held*
$126.3mreported value*
11 new 23 added 18 reduced 6 sold out net bought ≈ $11.2m (+324.4k 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. Holder counts are more reliable. Implied quarter-end price ≈ $36.54.

Trends to Q4 2022

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 52Q4 22: 6060Q3 22Q4 22
Numbers
QuarterHolders
Q3 202252
Q4 202260

Biggest buyers

LPL Financial LLC Added +135,665+135.7k
Koss-Olinger Consulting, LLC New +126,849+126.8k
RETIREMENT CAPITAL STRATEGIES New +95,319+95.3k
Baltimore-Washington Financial Advisors, Inc. Added +34,198+34.2k
US FINANCIAL ADVISORS, LLC New +27,135+27.1k
Integrated Wealth Concepts LLC Added +20,356+20.4k
Mariner, LLC New +19,725+19.7k
Cetera Investment Advisers New +17,966+18.0k
GOLDMAN SACHS GROUP INC Added +14,001+14.0k
Stratos Wealth Partners, LTD. Added +13,105+13.1k

Biggest sellers

PFS INVESTMENTS INC. Reduced -66,663-66.7k
Merit Financial Group, LLC Sold out -57,271-57.3k
JANE STREET GROUP, LLC Sold out -23,078-23.1k
Gradient Investments LLC Reduced -20,744-20.7k
New York Life Investment Management LLC Sold out -19,286-19.3k
Keystone Financial Group Sold out -14,422-14.4k
RFG Advisory, LLC Sold out -12,323-12.3k
Tower Research Capital LLC (TRC) Reduced -12,307-12.3k
Sage Advisory Services, Ltd.Co. Reduced -12,302-12.3k
FLAGSHIP HARBOR ADVISORS, LLC Reduced -5,508-5.5k

Holders, Q4 2022

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Integrated Wealth Concepts LLC 0.79% of their portfolio WALTHAM, MA 790,751790.8k $29.0m $29.0m 0.79% Added +20.4k +20,356
2 Bank of Italy 1.07% of their portfolio ROME, L6 771,136771.1k $28.3m $28.3m 1.07% Unchanged
3 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 461,792461.8k $16.9m $16.9m 0.01% Added +135.7k +135,665
4 Baltimore-Washington Financial Advisors, Inc. 0.57% of their portfolio Columbia, MD 158,938158.9k $5.8m $5.8m 0.57% Added +34.2k +34,198
5 Koss-Olinger Consulting, LLC 0.67% of their portfolio GAINESVILLE, FL 126,849126.8k $4.7m $4.7m 0.67% New
6 FLAGSHIP HARBOR ADVISORS, LLC 0.39% of their portfolio BOSTON, MA 104,899104.9k $3.8m $3.8m 0.39% Reduced -5.5k -5,508
7 PFS INVESTMENTS INC. 0.07% of their portfolio DULUTH, GA 104,746104.7k $3.8m $3.8m 0.07% Reduced -66.7k -66,663
8 RETIREMENT CAPITAL STRATEGIES 1.72% of their portfolio SAN JOSE, CA 95,31995.3k $3.5m $3.5m 1.72% New
9 Gradient Investments LLC 0.10% of their portfolio ARDEN HILLS, MN 86,59686.6k $3.2m $3.2m 0.10% Reduced -20.7k -20,744
10 Blue Edge Capital, LLC 0.57% of their portfolio RICHMOND, VA 68,16268.2k $2.5m $2.5m 0.57% Added +1.3k +1,347
11 GOFEN & GLOSSBERG LLC /IL/ 0.05% of their portfolio CHICAGO, IL 50,73150.7k $1.9m $1.9m 0.05% Reduced -190 -190
12 Corient Private Wealth LP 0.01% of their portfolio MIAMI, FL 50,73150.7k $1.9m $1.9m 0.01% First filing
13 Financial Engines Advisors L.L.C. 0.00% of their portfolio SANTA CLARA, CA 37,74337.7k $1.4m $1.4m 0.00% Added +5.8k +5,806
14 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 33,13833.1k $1.2m $1.2m 0.00% Reduced -763 -763
15 Armbruster Capital Management, Inc. 0.27% of their portfolio PITTSFORD, NY 28,80028.8k $1.1m $1.1m 0.27% Added +3.8k +3,825
16 US FINANCIAL ADVISORS, LLC 0.50% of their portfolio BRAINTREE, MA 27,13527.1k $994.8k $994.8k 0.50% New
17 Stratos Wealth Partners, LTD. 0.03% of their portfolio BEACHWOOD, OH 27,13427.1k $994.8k $994.8k 0.03% Added +13.1k +13,105
18 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 25,99826.0k $953.0k $953.0k 0.00% Added +1.6k +1,597
19 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 23,63223.6k $866.3k $866.3k 0.00% Added +14.0k +14,001
20 Kingsview Wealth Management, LLC 0.03% of their portfolio GRANTS PASS, OR 21,52921.5k $789.3k $789.3k 0.03% Reduced -2.4k -2,365
21 Sage Advisory Services, Ltd.Co. 0.23% of their portfolio AUSTIN, TX 21,37921.4k $784.0k $784.0k 0.23% Reduced -12.3k -12,302
22 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 21,24021.2k $779.0k $779.0k 0.02% Reduced -475 -475
23 Mariner, LLC 0.00% of their portfolio Overland Park, KS 19,72519.7k $723.0k $723.0k 0.00% New
24 BerganKDV Wealth Management, LLC 0.08% of their portfolio BLOOMINGTON, MN 19,57119.6k $717.5k $717.5k 0.08% Added +1.6k +1,584
25 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 17,96618.0k $658.6k $658.6k 0.01% New
26 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 17,52317.5k $642.0k $642.0k 0.00% Added +1.4k +1,350
27 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 15,62515.6k $572.8k $572.8k 0.00% Added +10.2k +10,173
28 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 15,52515.5k $569.1k $569.1k 0.00% Reduced -3.1k -3,128
29 FLOW TRADERS U.S. LLC 0.03% of their portfolio NEW YORK, NY 15,20015.2k $557.0k $557.0k 0.03% Reduced -1.0k -1,000
30 RETIREMENT INCOME SOLUTIONS, INC 0.17% of their portfolio ANN ARBOR, MI 14,78914.8k $542.2k $542.2k 0.17% Added +7.4k +7,427
31 ST GERMAIN D J CO INC 0.01% of their portfolio SPRINGFIELD, MA 14,04114.0k $119.3k $119.3k 0.01% Not comparable
32 Veracity Capital LLC 0.22% of their portfolio Atlanta, GA 12,55212.6k $460.1k $460.1k 0.22% New
33 Zurich Insurance Group Ltd/FI 0.01% of their portfolio ZURICH, V8 11,90011.9k $407.2k $407.2k 0.01% Reduced -1.0k -1,000
34 Warren Street Wealth Advisors, LLC 0.34% of their portfolio IRVINE, CA 11,71411.7k $429.4k $429.4k 0.34% Added +255 +255
35 CreativeOne Wealth, LLC 0.02% of their portfolio OVERLAND PARK, KS 10,90310.9k $400.0k $400.0k 0.02% Reduced -297 -297
36 PRINCIPAL FINANCIAL GROUP INC 0.00% of their portfolio DES MOINES, IA 10,07410.1k $369.3k $369.3k 0.00% Reduced -3.4k -3,426
37 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 9,8569.9k $361.3k $361.3k 0.00% Added +9.4k +9,352
38 Fort Point Capital Partners LLC 0.06% of their portfolio San Francisco, CA 9,6379.6k $353.3k $353.3k 0.06% Added +50 +50
39 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 8,6338.6k $316.5k $316.5k 0.00% Reduced -3.2k -3,235
40 Single Point Partners, LLC 0.08% of their portfolio BOSTON, MA 8,5758.6k $314.0k $314.0k 0.08% Added +20 +20
41 KWB Wealth 0.06% of their portfolio REDLANDS, CA 8,3878.4k $307.5k $307.5k 0.06% Added +1.1k +1,091
42 Operose Advisors LLC 0.16% of their portfolio MILWAUKEE, WI 8,0678.1k $295.7k $295.7k 0.16% Added +38 +38
43 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 7,7427.7k $283.8k $283.8k 0.00% Reduced -1.9k -1,866
44 JOURNEY STRATEGIC WEALTH LLC 0.03% of their portfolio SUMMIT, NJ 7,2827.3k $267.0k $267.0k 0.03% New
45 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 6,6536.7k $244.0k $244.0k 0.01% Unchanged
46 SIGNATURE ESTATE & INVESTMENT ADVISORS LLC 0.01% of their portfolio LOS ANGELES, CA 5,9946.0k $220.0k $220.0k 0.01% New
47 DENVER WEALTH MANAGEMENT, INC. 0.15% of their portfolio DENVER, CO 5,5695.6k $204.0k $204.0k 0.15% New
48 Tower Research Capital LLC (TRC) 0.01% of their portfolio NEW YORK, NY 4,7754.8k $175.0k $175.0k 0.01% Reduced -12.3k -12,307
49 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 4,7074.7k $172.6k $172.6k 0.00% Added +770 +770
50 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 4,5734.6k $167.0k $167.0k 0.00% Added +3.9k +3,946
51 IFP Advisors, Inc 0.00% of their portfolio TAMPA, FL 2,5042.5k $75.0k $75.0k 0.00% Reduced -322 -322
52 Baker Avenue Asset Management, LP 0.00% of their portfolio SAN FRANCISCO, CA 1,9812.0k $72.6k $72.6k 0.00% New
53 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,2071.2k $44.2k $44.2k 0.00% Unchanged
54 CWM, LLC 0.00% of their portfolio OMAHA, NE 1,1631.2k $43.0k $43.0k 0.00% Reduced -131 -131
55 Geneos Wealth Management Inc. 0.00% of their portfolio ENGLEWOOD, CO 1,1591.2k $42.5k $42.5k 0.00% Added +13 +13
56 ARMSTRONG ADVISORY GROUP, INC 0.00% of their portfolio NEEDHAM, MA 908908 $33.3k $33.3k 0.00% First filing
57 NFSG Corp 0.01% of their portfolio BOCA RATON, FL 395395 $14.5k $14.5k 0.01% Unchanged
58 Focused Wealth Management, Inc 0.00% of their portfolio Newburgh, NY 168168 $6.2k $6.2k 0.00% Added +126 +126
59 ADIRONDACK TRUST CO 0.00% of their portfolio SARATOGA SPRINGS, NY 100100 $3.7k $3.7k 0.00% New
60 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged