Vault-13

SPDR SER TR EFIV

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

76 institutional holders +12 vs Q1 2023
3,449,5803.4m shares reported held*
$148.5mreported value*
14 new 31 added 17 reduced 3 sold out net bought ≈ $9.3m (+217.2k 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 ≈ $43.05.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 52Q4 22: 60Q1 23: 64Q2 23: 7676Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 202252
Q4 202260
Q1 202364
Q2 202376

Buyers vs sellers

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

Bought or addedCut or sold out
50050Q4 22: 34 bought or addedQ4 22: 24 cut or sold outQ4 22Q1 23: 36 bought or addedQ1 23: 24 cut or sold outQ1 23Q2 23: 45 bought or addedQ2 23: 20 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20223424
Q1 20233624
Q2 20234520

Biggest buyers

RETIREMENT CAPITAL STRATEGIES New +173,230+173.2k
Baltimore-Washington Financial Advisors, Inc. Added +161,061+161.1k
PINEBRIDGE INVESTMENTS, L.P. New +66,662+66.7k
One Capital Management, LLC New +57,032+57.0k
Atria Investments, Inc New +46,795+46.8k
New York Life Investment Management LLC New +37,949+37.9k
SUSQUEHANNA INTERNATIONAL GROUP, LLP New +25,861+25.9k
PRINCIPAL FINANCIAL GROUP INC Added +22,660+22.7k
JANE STREET GROUP, LLC Added +20,873+20.9k
BerganKDV Wealth Management, LLC Added +13,572+13.6k

Biggest sellers

Integrated Wealth Concepts LLC Reduced -319,979-320.0k
LPL Financial LLC Reduced -65,173-65.2k
GOLDMAN SACHS GROUP INC Sold out -29,588-29.6k
OmniStar Financial Group, Inc. Reduced -23,435-23.4k
Gradient Investments LLC Reduced -6,522-6.5k
CITADEL ADVISORS LLC Sold out -6,140-6.1k
Equitable Holdings, Inc. Sold out -5,628-5.6k
US FINANCIAL ADVISORS, LLC Reduced -3,406-3.4k
Blue Edge Capital, LLC Reduced -1,719-1.7k
BANK OF AMERICA CORP /DE/ Reduced -1,579-1.6k

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Bank of Italy 1.03% of their portfolio ROME, L6 771,136771.1k $33.2m $33.2m 1.03% Unchanged
2 Integrated Wealth Concepts LLC 0.38% of their portfolio WALTHAM, MA 510,474510.5k $22.0m $22.0m 0.38% Reduced -320.0k -319,979
3 Baltimore-Washington Financial Advisors, Inc. 1.17% of their portfolio Columbia, MD 340,159340.2k $14.6m $14.6m 1.17% Added +161.1k +161,061
4 RETIREMENT CAPITAL STRATEGIES 3.43% of their portfolio SAN JOSE, CA 173,230173.2k $7.5m $7.5m 3.43% New
5 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 171,963172.0k $7.4m $7.4m 0.01% Reduced -65.2k -65,173
6 Koss-Olinger Consulting, LLC 0.63% of their portfolio GAINESVILLE, FL 126,849126.8k $5.5m $5.5m 0.63% Unchanged
7 PRINCIPAL FINANCIAL GROUP INC 0.00% of their portfolio DES MOINES, IA 105,793105.8k $4.6m $4.6m 0.00% Added +22.7k +22,660
8 PFS INVESTMENTS INC. 0.07% of their portfolio DULUTH, GA 104,686104.7k $4.5m $4.5m 0.07% Reduced -1.4k -1,421
9 Financial Engines Advisors L.L.C. 0.01% of their portfolio SANTA CLARA, CA 71,75271.8k $3.1m $3.1m 0.01% Added +9.4k +9,428
10 Gradient Investments LLC 0.08% of their portfolio ARDEN HILLS, MN 70,96871.0k $3.1m $3.1m 0.08% Reduced -6.5k -6,522
11 PINEBRIDGE INVESTMENTS, L.P. 0.03% of their portfolio NEW YORK, NY 66,66266.7k $2.9m $2.9m 0.03% New
12 Blue Edge Capital, LLC 0.52% of their portfolio RICHMOND, VA 60,43160.4k $2.6m $2.6m 0.52% Reduced -1.7k -1,719
13 One Capital Management, LLC 0.11% of their portfolio WESTLAKE VILLAGE, CA 57,03257.0k $2.5m $2.5m 0.11% New
14 Corient Private Wealth LP 0.01% of their portfolio MIAMI, FL 50,73150.7k $2.2m $2.2m 0.01% Unchanged
15 FLAGSHIP HARBOR ADVISORS, LLC 0.17% of their portfolio BOSTON, MA 47,31047.3k $2.0m $2.0m 0.17% Reduced -968 -968
16 Atria Investments, Inc 0.04% of their portfolio Charlotte, NC 46,79546.8k $2.0m $2.0m 0.04% New
17 New York Life Investment Management LLC 0.02% of their portfolio New York, NY 37,94937.9k $1.6m $1.6m 0.02% New
18 Armbruster Capital Management, Inc. 0.38% of their portfolio PITTSFORD, NY 35,77535.8k $1.5m $1.5m 0.38% Added +1.1k +1,125
19 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 35,76435.8k $1.5m $1.5m 0.00% Added +20.9k +20,873
20 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 34,30934.3k $1.5m $1.5m 0.00% Added +731 +731
21 BerganKDV Wealth Management, LLC 0.14% of their portfolio BLOOMINGTON, MN 33,17433.2k $1.4m $1.4m 0.14% Added +13.6k +13,572
22 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 27,77127.8k $1.2m $1.2m 0.00% Added +1.9k +1,853
23 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 26,46626.5k $1.1m $1.1m 0.01% Added +5.8k +5,757
24 US FINANCIAL ADVISORS, LLC 0.48% of their portfolio BRAINTREE, MA 26,14326.1k $1.1m $1.1m 0.48% Reduced -3.4k -3,406
25 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 25,86125.9k $1.1m $1.1m 0.00% New
26 Mariner, LLC 0.00% of their portfolio Overland Park, KS 24,63324.6k $1.1m $1.1m 0.00% Added +3.5k +3,507
27 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 23,35923.4k $1.0m $1.0m 0.02% Added +2.3k +2,326
28 Sage Advisory Services, Ltd.Co. 0.27% of their portfolio AUSTIN, TX 21,60921.6k $930.0k $930.0k 0.27% Reduced -392 -392
29 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 18,69518.7k $806.0k $806.0k 0.00% Added +4.5k +4,480
30 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 18,22918.2k $784.8k $784.8k 0.01% Added +592 +592
31 RETIREMENT INCOME SOLUTIONS, INC 0.20% of their portfolio ANN ARBOR, MI 16,96617.0k $730.4k $730.4k 0.20% Added +2.5k +2,495
32 Zurich Insurance Group Ltd/FI 0.01% of their portfolio ZURICH, V8 16,76016.8k $733.6k $733.6k 0.01% Reduced -1.4k -1,380
33 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 16,31216.3k $702.2k $702.2k 0.00% Added +251 +251
34 Veracity Capital LLC 0.29% of their portfolio Atlanta, GA 15,95015.9k $686.6k $686.6k 0.29% Added +413 +413
35 Focus Financial Network, Inc. 0.03% of their portfolio MINNEAPOLIS, MN 14,32014.3k $616.5k $616.5k 0.03% Added +355 +355
36 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 14,00014.0k $602.7k $602.7k 0.00% Reduced -1.6k -1,579
37 Kingsview Wealth Management, LLC 0.02% of their portfolio GRANTS PASS, OR 12,83412.8k $552.5k $552.5k 0.02% Reduced -677 -677
38 CreativeOne Wealth, LLC 0.01% of their portfolio OVERLAND PARK, KS 12,76012.8k $549.0k $549.0k 0.01% Added +4.5k +4,512
39 OmniStar Financial Group, Inc. 0.61% of their portfolio Wilmington, NC 12,03612.0k $518.5k $518.5k 0.61% Reduced -23.4k -23,435
40 Warren Street Wealth Advisors, LLC 0.34% of their portfolio IRVINE, CA 11,82311.8k $509.0k $509.0k 0.34% Added +70 +70
41 Fort Point Capital Partners LLC 0.08% of their portfolio San Francisco, CA 11,64411.6k $501.3k $501.3k 0.08% Added +411 +411
42 R. W. Roge & Company, Inc. 0.31% of their portfolio BOHEMIA, NY 10,29410.3k $443.0k $443.0k 0.31% Reduced -500 -500
43 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 9,2259.2k $397.1k $397.1k 0.00% Reduced -631 -631
44 JOURNEY STRATEGIC WEALTH LLC 0.02% of their portfolio SUMMIT, NJ 8,9218.9k $384.1k $384.1k 0.02% Added +144 +144
45 Single Point Partners, LLC 0.52% of their portfolio BOSTON, MA 8,7458.7k $376.0k $376.0k 0.52% Added +155 +155
46 KWB Wealth 0.06% of their portfolio REDLANDS, CA 8,1438.1k $350.6k $350.6k 0.06% Reduced -244 -244
47 Operose Advisors LLC 0.16% of their portfolio MILWAUKEE, WI 8,1308.1k $350.0k $350.0k 0.16% Added +30 +30
48 Marshall Financial Group, LLC 0.11% of their portfolio Hunt Valley, MD 7,6217.6k $328.1k $328.1k 0.11% Added +1.5k +1,500
49 ST GERMAIN D J CO INC 0.02% of their portfolio SPRINGFIELD, MA 7,5557.6k $325.2k $325.2k 0.02% First filing
50 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 6,6536.7k $286.0k $286.0k 0.01% Unchanged
51 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 6,5626.6k $282.5k $282.5k 0.00% Added +1.7k +1,730
52 Tower Research Capital LLC (TRC) 0.01% of their portfolio NEW YORK, NY 6,0436.0k $260.2k $260.2k 0.01% Reduced -1.4k -1,424
53 DENVER WEALTH MANAGEMENT, INC. 0.18% of their portfolio DENVER, CO 5,9526.0k $256.2k $256.2k 0.18% Added +61 +61
54 BRAVE ASSET MANAGEMENT INC 0.06% of their portfolio Summit, NJ 5,1135.1k $220.1k $220.1k 0.06% Unchanged
55 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 4,9925.0k $216.0k $216.0k 0.00% Added +4.1k +4,062
56 Merit Financial Group, LLC 0.01% of their portfolio ALPHARETTA, GA 4,8894.9k $210.5k $210.5k 0.01% New
57 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 4,7894.8k $206.0k $206.0k 0.00% New
58 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 2,7942.8k $120.3k $120.3k 0.00% Added +11 +11
59 Wells Financial Advisors INC 0.08% of their portfolio FRAMINGHAM, MA 2,5382.5k $109.3k $109.3k 0.08% New
60 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 2,1152.1k $91.1k $91.1k 0.00% New
61 CWM, LLC 0.00% of their portfolio OMAHA, NE 1,8291.8k $79.0k $79.0k 0.00% New
62 IFP Advisors, Inc 0.00% of their portfolio TAMPA, FL 1,5561.6k $56.9k $56.9k 0.00% Added +778 +778
63 Geneos Wealth Management Inc. 0.00% of their portfolio ENGLEWOOD, CO 1,1591.2k $49.9k $49.9k 0.00% Unchanged
64 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 954954 $41.1k $41.1k 0.00% Added +103 +103
65 Penserra Capital Management LLC 0.00% of their portfolio ORINDA, CA 471471 $20.0k $20.0k 0.00% New
66 NFSG Corp 0.01% of their portfolio BOCA RATON, FL 395395 $17.0k $17.0k 0.01% Unchanged
67 Tradewinds Capital Management, LLC 0.00% of their portfolio BELLINGHAM, WA 215215 $9.3k $9.3k 0.00% Unchanged
68 Focused Wealth Management, Inc 0.00% of their portfolio Newburgh, NY 168168 $7.2k $7.2k 0.00% Unchanged
69 UBS Group AG 0.00% of their portfolio ZURICH, V8 161161 $6.9k $6.9k 0.00% Reduced -1.5k -1,463
70 Aptus Capital Advisors, LLC 0.00% of their portfolio FAIRHOPE, AL 121121 $5.2k $5.2k 0.00% New
71 GUARDIAN WEALTH ADVISORS, LLC / NC 0.00% of their portfolio RALEIGH, NC 121121 $5.2k $5.2k 0.00% New
72 ADIRONDACK TRUST CO 0.00% of their portfolio SARATOGA SPRINGS, NY 100100 $4.5k $4.5k 0.00% Unchanged
73 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 8282 $3.5k $3.5k 0.00% Added +25 +25
74 Glen Eagle Advisors, LLC 0.00% of their portfolio KINGSTON, NJ 4545 $1.9k $1.9k 0.00% Unchanged
75 GPS Wealth Strategies Group, LLC 0.00% of their portfolio CENTENNIAL, CO 1616 $689 $689 0.00% Unchanged
76 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged