Vault-13

SPDR SER TR EFIV

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

64 institutional holders +4 vs Q4 2022
3,224,8213.2m shares reported held*
$127.1mreported value*
13 new 23 added 17 reduced 7 sold out net sold ≈ $6.5m (-165.9k 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. Holder counts are more reliable. Implied quarter-end price ≈ $39.42.

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

0255075Q3 22: 52Q4 22: 60Q1 23: 6464Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 202252
Q4 202260
Q1 202364

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q4 22: 34 bought or addedQ4 22: 24 cut or sold outQ4 22Q1 23: 36 bought or addedQ1 23: 24 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 20223424
Q1 20233624

Biggest buyers

PRINCIPAL FINANCIAL GROUP INC Added +73,059+73.1k
Integrated Wealth Concepts LLC Added +39,702+39.7k
OmniStar Financial Group, Inc. New +35,471+35.5k
Financial Engines Advisors L.L.C. Added +24,581+24.6k
Baltimore-Washington Financial Advisors, Inc. Added +20,160+20.2k
JANE STREET GROUP, LLC New +14,891+14.9k
Focus Financial Network, Inc. New +13,965+14.0k
R. W. Roge & Company, Inc. New +10,794+10.8k
Zurich Insurance Group Ltd/FI Added +6,240+6.2k
Marshall Financial Group, LLC New +6,121+6.1k

Biggest sellers

LPL Financial LLC Reduced -224,656-224.7k
RETIREMENT CAPITAL STRATEGIES Sold out -95,319-95.3k
FLAGSHIP HARBOR ADVISORS, LLC Reduced -56,621-56.6k
FLOW TRADERS U.S. LLC Sold out -15,200-15.2k
Gradient Investments LLC Reduced -9,106-9.1k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Sold out -8,633-8.6k
Kingsview Wealth Management, LLC Reduced -8,018-8.0k
Stratos Wealth Partners, LTD. Reduced -6,101-6.1k
Blue Edge Capital, LLC Reduced -6,012-6.0k
SIGNATURE ESTATE & INVESTMENT ADVISORS LLC Sold out -5,994-6.0k

Holders, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Integrated Wealth Concepts LLC 0.67% of their portfolio WALTHAM, MA 830,453830.5k $32.7m $32.7m 0.67% Added +39.7k +39,702
2 Bank of Italy 1.01% of their portfolio ROME, L6 771,136771.1k $30.4m $30.4m 1.01% Unchanged
3 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 237,136237.1k $9.4m $9.4m 0.01% Reduced -224.7k -224,656
4 Baltimore-Washington Financial Advisors, Inc. 0.63% of their portfolio Columbia, MD 179,098179.1k $7.1m $7.1m 0.63% Added +20.2k +20,160
5 Koss-Olinger Consulting, LLC 0.62% of their portfolio GAINESVILLE, FL 126,849126.8k $5.0m $5.0m 0.62% Unchanged
6 PFS INVESTMENTS INC. 0.07% of their portfolio DULUTH, GA 106,107106.1k $4.2m $4.2m 0.07% Added +1.4k +1,361
7 PRINCIPAL FINANCIAL GROUP INC 0.00% of their portfolio DES MOINES, IA 83,13383.1k $3.3m $3.3m 0.00% Added +73.1k +73,059
8 Gradient Investments LLC 0.08% of their portfolio ARDEN HILLS, MN 77,49077.5k $3.1m $3.1m 0.08% Reduced -9.1k -9,106
9 Financial Engines Advisors L.L.C. 0.01% of their portfolio SANTA CLARA, CA 62,32462.3k $2.5m $2.5m 0.01% Added +24.6k +24,581
10 Blue Edge Capital, LLC 0.53% of their portfolio RICHMOND, VA 62,15062.1k $2.5m $2.5m 0.53% Reduced -6.0k -6,012
11 Corient Private Wealth LP 0.01% of their portfolio MIAMI, FL 50,73150.7k $2.0m $2.0m 0.01% Unchanged
12 FLAGSHIP HARBOR ADVISORS, LLC 0.18% of their portfolio BOSTON, MA 48,27848.3k $1.9m $1.9m 0.18% Reduced -56.6k -56,621
13 OmniStar Financial Group, Inc. 1.78% of their portfolio Wilmington, NC 35,47135.5k $1.4m $1.4m 1.78% New
14 Armbruster Capital Management, Inc. 0.35% of their portfolio PITTSFORD, NY 34,65034.6k $1.4m $1.4m 0.35% Added +5.8k +5,850
15 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 33,57833.6k $1.3m $1.3m 0.00% Added +440 +440
16 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 29,58829.6k $1.2m $1.2m 0.00% Added +6.0k +5,956
17 US FINANCIAL ADVISORS, LLC 0.52% of their portfolio BRAINTREE, MA 29,54929.5k $1.2m $1.2m 0.52% Added +2.4k +2,414
18 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 25,91825.9k $1.0m $1.0m 0.00% Reduced -80 -80
19 Sage Advisory Services, Ltd.Co. 0.25% of their portfolio AUSTIN, TX 22,00122.0k $867.0k $867.0k 0.25% Added +622 +622
20 Mariner, LLC 0.00% of their portfolio Overland Park, KS 21,12621.1k $833.0k $833.0k 0.00% Added +1.4k +1,401
21 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 21,03321.0k $829.3k $829.3k 0.02% Reduced -6.1k -6,101
22 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 20,70920.7k $816.6k $816.6k 0.01% Reduced -531 -531
23 BerganKDV Wealth Management, LLC 0.08% of their portfolio BLOOMINGTON, MN 19,60219.6k $772.9k $772.9k 0.08% Added +31 +31
24 Zurich Insurance Group Ltd/FI 0.01% of their portfolio ZURICH, V8 18,14018.1k $717.1k $717.1k 0.01% Added +6.2k +6,240
25 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 17,63717.6k $695.4k $695.4k 0.01% Reduced -329 -329
26 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 16,06116.1k $633.3k $633.3k 0.00% Added +536 +536
27 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 15,57915.6k $614.3k $614.3k 0.00% Reduced -46 -46
28 Veracity Capital LLC 0.28% of their portfolio Atlanta, GA 15,53715.5k $612.6k $612.6k 0.28% Added +3.0k +2,985
29 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 14,89114.9k $587.2k $587.2k 0.00% New
30 RETIREMENT INCOME SOLUTIONS, INC 0.17% of their portfolio ANN ARBOR, MI 14,47114.5k $570.6k $570.6k 0.17% Reduced -318 -318
31 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 14,21514.2k $560.0k $560.0k 0.00% Reduced -3.3k -3,308
32 Focus Financial Network, Inc. 0.03% of their portfolio MINNEAPOLIS, MN 13,96514.0k $550.6k $550.6k 0.03% New
33 Kingsview Wealth Management, LLC 0.02% of their portfolio GRANTS PASS, OR 13,51113.5k $532.7k $532.7k 0.02% Reduced -8.0k -8,018
34 Warren Street Wealth Advisors, LLC 0.33% of their portfolio IRVINE, CA 11,75311.8k $463.4k $463.4k 0.33% Added +39 +39
35 Fort Point Capital Partners LLC 0.07% of their portfolio San Francisco, CA 11,23311.2k $442.9k $442.9k 0.07% Added +1.6k +1,596
36 R. W. Roge & Company, Inc. 0.27% of their portfolio BOHEMIA, NY 10,79410.8k $425.0k $425.0k 0.27% New
37 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 9,8569.9k $388.6k $388.6k 0.00% Unchanged
38 JOURNEY STRATEGIC WEALTH LLC 0.04% of their portfolio SUMMIT, NJ 8,7778.8k $346.1k $346.1k 0.04% Added +1.5k +1,495
39 Single Point Partners, LLC 0.07% of their portfolio BOSTON, MA 8,5908.6k $339.0k $339.0k 0.07% Added +15 +15
40 KWB Wealth 0.06% of their portfolio REDLANDS, CA 8,3878.4k $307.5k $307.5k 0.06% Unchanged
41 CreativeOne Wealth, LLC 0.02% of their portfolio OVERLAND PARK, KS 8,2488.2k $325.0k $325.0k 0.02% Reduced -2.7k -2,655
42 Operose Advisors LLC 0.16% of their portfolio MILWAUKEE, WI 8,1008.1k $319.4k $319.4k 0.16% Added +33 +33
43 Tower Research Capital LLC (TRC) 0.01% of their portfolio NEW YORK, NY 7,4677.5k $294.0k $294.0k 0.01% Added +2.7k +2,692
44 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 6,6536.7k $262.0k $262.0k 0.01% Unchanged
45 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 6,1406.1k $242.1k $242.1k 0.00% Reduced -1.6k -1,602
46 Marshall Financial Group, LLC 0.09% of their portfolio Hunt Valley, MD 6,1216.1k $241.4k $241.4k 0.09% New
47 DENVER WEALTH MANAGEMENT, INC. 0.16% of their portfolio DENVER, CO 5,8915.9k $232.3k $232.3k 0.16% Added +322 +322
48 Equitable Holdings, Inc. 0.00% of their portfolio NEW YORK, NY 5,6285.6k $221.9k $221.9k 0.00% New
49 BRAVE ASSET MANAGEMENT INC 0.06% of their portfolio Summit, NJ 5,1135.1k $201.6k $201.6k 0.06% New
50 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 4,8324.8k $190.5k $190.5k 0.00% Added +125 +125
51 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 2,7832.8k $109.7k $109.7k 0.00% New
52 UBS Group AG 0.00% of their portfolio ZURICH, V8 1,6241.6k $64.0k $64.0k 0.00% New
53 Geneos Wealth Management Inc. 0.00% of their portfolio ENGLEWOOD, CO 1,1591.2k $45.7k $45.7k 0.00% Unchanged
54 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 930930 $37.0k $37.0k 0.00% Reduced -3.6k -3,643
55 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 851851 $33.6k $33.6k 0.00% Reduced -356 -356
56 IFP Advisors, Inc 0.00% of their portfolio TAMPA, FL 778778 $23.4k $23.4k 0.00% Reduced -1.7k -1,726
57 NFSG Corp 0.01% of their portfolio BOCA RATON, FL 395395 $15.6k $15.6k 0.01% Unchanged
58 Tradewinds Capital Management, LLC 0.00% of their portfolio BELLINGHAM, WA 215215 $8.5k $8.5k 0.00% New
59 Focused Wealth Management, Inc 0.00% of their portfolio Newburgh, NY 168168 $6.6k $6.6k 0.00% Unchanged
60 ADIRONDACK TRUST CO 0.00% of their portfolio SARATOGA SPRINGS, NY 100100 $3.9k $3.9k 0.00% Unchanged
61 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 5757 $2.2k $2.2k 0.00% New
62 Glen Eagle Advisors, LLC 0.00% of their portfolio KINGSTON, NJ 4545 $1.8k $1.8k 0.00% New
63 GPS Wealth Strategies Group, LLC 0.00% of their portfolio CENTENNIAL, CO 1616 $631 $631 0.00% New
64 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged