Vault-13

SPDR SER TR SHM

NUVEEN BLMBRG SH · ETP · CUSIP 78468R739

406 institutional holders -22 vs Q2 2023
74,755,62974.8m shares reported held*
$3.5bnreported value*
31 new 110 added 185 reduced 50 sold out net sold ≈ $218.0m (-4.7m 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 ($198.2m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $46.26. Options: 0 managers hold calls (— notional), 1 hold puts ($46.3k).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 448Q4 22: 467Q1 23: 433Q2 23: 428Q3 23: 406406Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022448
Q4 2022467
Q1 2023433
Q2 2023428
Q3 2023406

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q4 22: 197 bought or addedQ4 22: 233 cut or sold outQ4 22Q1 23: 146 bought or addedQ1 23: 239 cut or sold outQ1 23Q2 23: 163 bought or addedQ2 23: 213 cut or sold outQ2 23Q3 23: 141 bought or addedQ3 23: 235 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022197233
Q1 2023146239
Q2 2023163213
Q3 2023141235

Calls vs puts

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

CallsPuts
$0$20k$40k$60kQ4 22 calls: $0Q4 22 puts: $0Q4 22P/C —Q1 23 calls: $0Q1 23 puts: $0Q1 23P/C —Q2 23 calls: $0Q2 23 puts: $0Q2 23P/C —Q3 23 calls: $0Q3 23 puts: $46.3kQ3 23P/C —
Numbers
QuarterCallsPutsP/C
Q4 2022$0$0—
Q1 2023$0$0—
Q2 2023$0$0—
Q3 2023$0$46.3k—

Biggest buyers

WELLS FARGO & COMPANY/MN Added +1,230,984+1.2m
JPMORGAN CHASE & CO Added +891,493+891.5k
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC New +507,724+507.7k
Alaska Wealth Advisors, LLC Added +325,386+325.4k
Kades & Cheifetz LLC New +138,823+138.8k
COMERICA BANK New +112,678+112.7k
Brio Consultants, LLC Added +101,591+101.6k
Quent Capital, LLC Added +79,506+79.5k
Mariner, LLC Added +72,368+72.4k
GOLDMAN SACHS GROUP INC Added +68,055+68.1k

Biggest sellers

JANE STREET GROUP, LLC Reduced -2,504,157-2.5m
Opal Wealth Advisors, LLC Reduced -989,146-989.1k
ENVESTNET ASSET MANAGEMENT INC Reduced -911,445-911.4k
BANK OF AMERICA CORP /DE/ Reduced -835,469-835.5k
UNITED CAPITAL FINANCIAL ADVISORS, LLC Reduced -423,687-423.7k
PNC Financial Services Group, Inc. Reduced -341,409-341.4k
RENAISSANCE TECHNOLOGIES LLC Sold out -331,900-331.9k
MORGAN STANLEY Reduced -168,037-168.0k
MERCER GLOBAL ADVISORS INC /ADV Reduced -161,698-161.7k
Axiom Financial Strategies, LLC Sold out -152,998-153.0k

Biggest calls

None

Biggest puts

Private Advisor Group, LLC New $46.3k100.1k 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/ 0.08% of their portfolio CHARLOTTE, NC 14,826,68914.8m $685.4m $685.4m 0.08% Reduced -835.5k -835,469
2 ENVESTNET ASSET MANAGEMENT INC 0.17% of their portfolio Berwyn, PA 8,042,7538.0m $371.8m $371.8m 0.17% Reduced -911.4k -911,445
3 WELLS FARGO & COMPANY/MN 0.11% of their portfolio SAN FRANCISCO, CA 7,494,8487.5m $346.5m $346.5m 0.11% Added +1.2m +1,230,984
4 MORGAN STANLEY 0.03% of their portfolio NEW YORK, NY 5,852,5385.9m $270.6m $270.6m 0.03% Reduced -168.0k -168,037
5 GOLDMAN SACHS GROUP INC 0.06% of their portfolio NEW YORK, NY 5,366,6005.4m $248.1m $248.1m 0.06% Added +68.1k +68,055
6 UNITED CAPITAL FINANCIAL ADVISORS, LLC 1.27% of their portfolio IRVING, TX 4,197,3354.2m $194.0m $194.0m 1.27% Reduced -423.7k -423,687
7 MERCER GLOBAL ADVISORS INC /ADV 0.58% of their portfolio DENVER, CO 3,306,5883.3m $152.9m $152.9m 0.58% Reduced -161.7k -161,698
8 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.13% of their portfolio MILWAUKEE, WI 2,136,5642.1m $98.8m $98.8m 0.13% Reduced -5.1k -5,112
9 PNC Financial Services Group, Inc. 0.07% of their portfolio Pittsburgh, PA 1,818,2651.8m $84.1m $84.1m 0.07% Reduced -341.4k -341,409
10 COMMONWEALTH EQUITY SERVICES, LLC 0.16% of their portfolio WALTHAM, MA 1,715,3281.7m $79.3m $79.3m 0.16% Reduced -51.6k -51,607
11 JANE STREET GROUP, LLC 0.07% of their portfolio NEW YORK, NY 996,858996.9k $46.1m $46.1m 0.07% Reduced -2.5m -2,504,157
12 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 916,142916.1k $42.4m $42.4m 0.00% Added +891.5k +891,493
13 SEI INVESTMENTS CO 0.08% of their portfolio OAKS, PA 908,229908.2k $42.0m $42.0m 0.08% Reduced -4.2k -4,195
14 Financial Engines Advisors L.L.C. 0.09% of their portfolio SANTA CLARA, CA 764,416764.4k $35.3m $35.3m 0.09% Reduced -17.1k -17,141
15 Alaska Wealth Advisors, LLC 5.59% of their portfolio ANCHORAGE, AK 759,066759.1k $35.1m $35.1m 5.59% Added +325.4k +325,386
16 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 756,122756.1k $35.0m $35.0m 0.02% Reduced -85.9k -85,903
17 Quent Capital, LLC 5.41% of their portfolio NEW YORK, NY 750,027750.0k $34.7m $34.7m 5.41% Added +79.5k +79,506
18 UBS Group AG 0.01% of their portfolio ZURICH, V8 521,319521.3k $24.1m $24.1m 0.01% Reduced -48.6k -48,574
19 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.08% of their portfolio PLYMOUTH, MN 507,724507.7k $23.5m $23.5m 0.08% New
20 STIFEL FINANCIAL CORP 0.03% of their portfolio ST. LOUIS, MO 504,588504.6k $23.3m $23.3m 0.03% Added +44.3k +44,271
21 OLD NATIONAL BANCORP /IN/ 0.62% of their portfolio EVANSVILLE, IN 462,348462.3k $21.4m $21.4m 0.62% Reduced -44.4k -44,379
22 OSAIC HOLDINGS, INC. 0.03% of their portfolio SCOTTSDALE, AZ 442,663442.7k $20.5m $20.5m 0.03% Reduced -110.0k -109,961
23 ALTFEST L J & CO INC 3.14% of their portfolio NEW YORK, NY 431,256431.3k $19.9m $19.9m 3.14% Reduced -25.6k -25,609
24 TRUIST FINANCIAL CORP 0.03% of their portfolio CHARLOTTE, NC 405,738405.7k $18.8m $18.8m 0.03% Reduced -140.6k -140,638
25 AVANTAX ADVISORY SERVICES, INC. 0.21% of their portfolio DALLAS, TX 404,250404.2k $18.7m $18.7m 0.21% Reduced -2.1k -2,127
26 Dubuque Bank & Trust Co 2.41% of their portfolio Dubuque, IA 390,306390.3k $18.0m $18.0m 2.41% Added +12.0k +12,042
27 Wealthcare Advisory Partners LLC 0.80% of their portfolio WEST CHESTER, PA 375,860375.9k $17.4m $17.4m 0.80% Reduced -9.6k -9,603
28 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 352,131352.1k $16.3m $16.3m 0.00% Reduced -6.5k -6,489
29 Ackerman Capital Advisors, LLC 4.28% of their portfolio DALLAS, TX 332,114332.1k $15.4m $15.4m 4.28% Reduced -15.4k -15,445
30 TRUSTMARK BANK TRUST DEPARTMENT 1.48% of their portfolio JACKSON, MS 325,585325.6k $15.1m $15.1m 1.48% Reduced -28.2k -28,192
31 Allworth Financial LP 0.11% of their portfolio FOLSOM, CA 273,229273.2k $12.6m $12.6m 0.11% Added +10.5k +10,528
32 CITIGROUP INC 0.02% of their portfolio NEW YORK, NY 271,274271.3k $12.5m $12.5m 0.02% Reduced -36.7k -36,719
33 Symmetry Partners, LLC 0.57% of their portfolio GLASTONBURY, CT 226,121226.1k $10.5m $10.5m 0.57% Added +13.3k +13,282
34 ASSETMARK, INC 0.04% of their portfolio CONCORD, CA 224,754224.8k $10.4m $10.4m 0.04% Added +489 +489
35 Gerber Kawasaki Wealth & Investment Management 0.62% of their portfolio SANTA MONICA, CA 197,869197.9k $9.1m $9.1m 0.62% Added +40.6k +40,643
36 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.36% of their portfolio Seattle, WA 197,723197.7k $9.1m $9.1m 0.36% Added +2.6k +2,637
37 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 189,895189.9k $8.8m $8.8m 0.02% Reduced -17.0k -16,980
38 Cetera Investment Advisers 0.08% of their portfolio SCHAUMBURG, IL 189,823189.8k $8.8m $8.8m 0.08% Added +1.8k +1,822
39 NewEdge Advisors, LLC 0.09% of their portfolio NEW ORLEANS, LA 174,587174.6k $8.1m $8.1m 0.09% Reduced -29 -29
40 PrairieView Partners, LLC 1.08% of their portfolio ST. PAUL, MN 172,190172.2k $8.0m $8.0m 1.08% Reduced -284 -284
41 Beacon Pointe Advisors, LLC 0.10% of their portfolio NEWPORT BEACH, CA 171,218171.2k $7.9m $7.9m 0.10% Reduced -47.3k -47,265
42 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 170,979171.0k $7.9m $7.9m 0.00% Reduced -59.1k -59,089
43 TD PRIVATE CLIENT WEALTH LLC 0.34% of their portfolio NEW YORK, NY 170,230170.2k $7.9m $7.9m 0.34% Reduced -11.2k -11,214
44 WEALTHSOURCE PARTNERS, LLC 0.54% of their portfolio SAN LUIS OBISPO, CA 169,837169.8k $7.9m $7.9m 0.54% Added +18.7k +18,663
45 COLONY GROUP LLC 0.12% of their portfolio Boston, MA 166,631166.6k $7.7m $7.7m 0.12% Reduced -5.5k -5,506
46 Mariner, LLC 0.02% of their portfolio Overland Park, KS 152,144152.1k $7.0m $7.0m 0.02% Added +72.4k +72,368
47 CHATHAM CAPITAL GROUP, INC. 1.54% of their portfolio SAVANNAH, GA 149,278149.3k $6.9m $6.9m 1.54% Reduced -31.5k -31,500
48 Kades & Cheifetz LLC 5.08% of their portfolio Berwyn, PA 138,823138.8k $6.4m $6.4m 5.08% New
49 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 138,795138.8k $6.4m $6.4m 0.01% Added +1.3k +1,288
50 Brio Consultants, LLC 1.15% of their portfolio SAN FRANCISCO, CA 132,507132.5k $6.1m $6.1m 1.15% Added +101.6k +101,591
51 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.00% of their portfolio SAN FRANCISCO, CA 130,580130.6k $6.0m $6.0m 0.00% Reduced -4.1k -4,137
52 Apella Capital, LLC 0.43% of their portfolio WEST HARTFORD, CT 130,458130.5k $6.0m $6.0m 0.43% Reduced -17.6k -17,639
53 DAVIDSON INVESTMENT ADVISORS 0.37% of their portfolio GREAT FALLS, MT 125,094125.1k $5.8m $5.8m 0.37% Reduced -922 -922
54 Transamerica Financial Advisors, LLC 0.77% of their portfolio CEDAR RAPIDS, IA 122,826122.8k $5.7m $5.7m 0.77% Added +10.1k +10,054
55 Strategies Wealth Advisors, LLC 1.11% of their portfolio GRAND RAPIDS, MI 122,326122.3k $5.7m $5.7m 1.11% Added +3.8k +3,757
56 HUNTER ASSOCIATES INVESTMENT MANAGEMENT LLC 1.13% of their portfolio PITTSBURGH, PA 120,907120.9k $5.6m $5.6m 1.13% Unchanged
57 Leisure Capital Management 3.21% of their portfolio COSTA MESA, CA 120,703120.7k $5.6m $5.6m 3.21% Reduced -1.3k -1,266
58 Cullen/Frost Bankers, Inc. 0.10% of their portfolio San Antonio, TX 119,560119.6k $5.5m $5.5m 0.10% Added +1.1k +1,132
59 CWM, LLC 0.03% of their portfolio OMAHA, NE 118,208118.2k $5.5m $5.5m 0.03% Added +8.6k +8,576
60 MONEYWISE, INC. 3.33% of their portfolio FOREST, VA 114,736114.7k $5.3m $5.3m 3.33% Added +21.8k +21,846
61 Gateway Advisory, LLC 1.08% of their portfolio WESTFIELD, NJ 114,596114.6k $5.3m $5.3m 1.08% Added +3.7k +3,721
62 COMERICA BANK 0.03% of their portfolio DALLAS, TX 112,678112.7k $5.2m $5.2m 0.03% New
63 HANCOCK WHITNEY CORP 0.21% of their portfolio GULFPORT, MS 109,943109.9k $5.1m $5.1m 0.21% Added +16.6k +16,601
64 M&T Bank Corp 0.02% of their portfolio BUFFALO, NY 108,023108.0k $5.0m $5.0m 0.02% Reduced -5.0k -4,961
65 Eagle Strategies LLC 1.22% of their portfolio NEW YORK, NY 107,258107.3k $5.0m $5.0m 1.22% Added +20.5k +20,506
66 Orion Porfolio Solutions, LLC 0.06% of their portfolio OMAHA, NE 107,218107.2k $5.0m $5.0m 0.06% Reduced -6.4k -6,394
67 Orion Portfolio Solutions, LLC 0.06% of their portfolio Omaha, NE 107,218107.2k $5.0m $5.0m 0.06% Reduced -6.4k -6,394
68 STUDIO INVESTMENT MANAGEMENT LLC 1.37% of their portfolio CHICAGO, IL 105,994106.0k $4.9m $4.9m 1.37% Reduced -27.3k -27,291
69 One Capital Management, LLC 0.22% of their portfolio WESTLAKE VILLAGE, CA 105,102105.1k $4.9m $4.9m 0.22% Reduced -80.0k -80,001
70 Parkside Investments, LLC 0.88% of their portfolio DEERFIELD, IL 103,864103.9k $4.8m $4.8m 0.88% Reduced -5.7k -5,650
71 AUA CAPITAL MANAGEMENT, LLC 3.43% of their portfolio MECHANICSBURG, PA 102,428102.4k $4.7m $4.7m 3.43% Reduced -3.3k -3,253
72 Aaron Wealth Advisors LLC 0.61% of their portfolio Chicago, IL 102,420102.4k $4.7m $4.7m 0.61% Unchanged
73 RW Investment Management LLC 0.83% of their portfolio Eagle, ID 99,19599.2k $4.6m $4.6m 0.83% Added +966 +966
74 Cetera Advisor Networks LLC 0.03% of their portfolio EL SEGUNDO, CA 98,94998.9k $4.6m $4.6m 0.03% Added +15.7k +15,698
75 Smithfield Trust Co 0.28% of their portfolio PITTSBURGH, PA 97,16597.2k $4.5m $4.5m 0.28% Added +10.5k +10,540
76 Thrivent Financial for Lutherans 0.01% of their portfolio Minneapolis, MN 96,97497.0k $4.5m $4.5m 0.01% Added +12.5k +12,483
77 Aquire Wealth Advisors, LLC 1.84% of their portfolio Salt Lake City, UT 95,48395.5k $4.4m $4.4m 1.84% Reduced -2.4k -2,371
78 Paulson Wealth Management Inc. 1.53% of their portfolio West Palm Beach, FL 94,50394.5k $4.4m $4.4m 1.53% Reduced -9.4k -9,450
79 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 90,57490.6k $4.2m $4.2m 0.01% Added +28.3k +28,257
80 GenTrust, LLC 0.29% of their portfolio MIAMI, FL 90,02690.0k $4.2m $4.2m 0.29% Added +25 +25
81 Chesley Taft & Associates LLC 0.26% of their portfolio CHICAGO, IL 86,48486.5k $4.0m $4.0m 0.26% Reduced -235 -235
82 Capital Analysts, LLC 0.22% of their portfolio FORT WASHINGTON, PA 85,08685.1k $3.9m $3.9m 0.22% Reduced -20.9k -20,910
83 Detalus Advisors, LLC 1.83% of their portfolio ST. LOUIS, MO 84,43284.4k $3.9m $3.9m 1.83% Reduced -198 -198
84 JAMES INVESTMENT RESEARCH, INC. 0.51% of their portfolio ALPHA, OH 83,20983.2k $3.8m $3.8m 0.51% Added +300 +300
85 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 77,96478.0k $3.6m $3.6m 0.00% Added +2.7k +2,698
86 ST GERMAIN D J CO INC 0.19% of their portfolio SPRINGFIELD, MA 74,44674.4k $3.4m $3.4m 0.19% Reduced -22.6k -22,611
87 KWMG, LLC 0.43% of their portfolio OVERLAND PARK, KS 74,31774.3k $3.4m $3.4m 0.43% Added +3.5k +3,477
88 Freedom Investment Management, Inc. 0.41% of their portfolio SOUTH WINDSOR, CT 71,70171.7k $3.3m $3.3m 0.41% Reduced -4.9k -4,895
89 Whitegate Investment Counselors, Inc. 1.10% of their portfolio CONCORD, NH 70,94270.9k $3.3m $3.3m 1.10% Reduced -5.3k -5,255
90 LJI Wealth Management, LLC 0.93% of their portfolio INDIANAPOLIS, IN 69,55369.6k $3.2m $3.2m 0.93% Reduced -5.9k -5,872
91 Tilson Financial Group, Inc. 2.49% of their portfolio NEW PROVIDENCE, NJ 68,57868.6k $3.2m $3.2m 2.49% Added +4.6k +4,624
92 AE Wealth Management LLC 0.02% of their portfolio TOPEKA, KS 67,74867.7k $3.1m $3.1m 0.02% Reduced -798 -798
93 Private Advisor Group, LLC 0.03% of their portfolio MORRISTOWN, NJ 67,62967.6k $3.1m $3.1m 0.03% Added +3.1k +3,075
94 Karpus Management, Inc. 0.10% of their portfolio Pittsford, NY 66,43066.4k $3.1m $3.1m 0.10% Added +51.4k +51,371
95 Ameraudi Asset Management, Inc. 1.45% of their portfolio New York, NY 65,71265.7k $3.0m $3.0m 1.45% Unchanged
96 Janney Capital Management LLC 0.23% of their portfolio PITTSBURGH, PA 65,48265.5k $3.0m $3.0m 0.23% Reduced -2.6k -2,566
97 First International Bank & Trust 1.06% of their portfolio WATFORD CITY, ND 63,59063.6k $2.9m $2.9m 1.06% Added +15.9k +15,893
98 Cerity Partners LLC 0.01% of their portfolio NEW YORK, NY 58,70458.7k $2.7m $2.7m 0.01% Added +9.4k +9,404
99 Bragg Financial Advisors, Inc 0.14% of their portfolio CHARLOTTE, NC 57,87257.9k $2.7m $2.7m 0.14% Added +23.1k +23,100
100 Ironwood Wealth Management, LLC. 1.08% of their portfolio CHANDLER, AZ 57,10257.1k $2.6m $2.6m 1.08% Reduced -46.4k -46,441