Vault-13

SPROTT ETF TRUST SGDM

GOLD MINERS ETF · ETP · CUSIP 85210B102

57 institutional holders -5 vs Q2 2023
2,416,7952.4m shares reported held*
$55.3mreported value*
3 new 8 added 27 reduced 8 sold out net sold ≈ $8.4m (-368.8k 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 ≈ $22.87. Options: 1 managers hold calls ($0 notional), 1 hold puts ($0).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0255075Q3 22: 56Q4 22: 59Q1 23: 70Q2 23: 62Q3 23: 5757Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 202256
Q4 202259
Q1 202370
Q2 202362
Q3 202357

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q4 22: 28 bought or addedQ4 22: 24 cut or sold outQ4 22Q1 23: 33 bought or addedQ1 23: 26 cut or sold outQ1 23Q2 23: 27 bought or addedQ2 23: 32 cut or sold outQ2 23Q3 23: 11 bought or addedQ3 23: 35 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20222824
Q1 20233326
Q2 20232732
Q3 20231135

Calls vs puts

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

CallsPuts
$0$1k$2k$3kQ4 22 calls: $0Q4 22 puts: $2.5kQ4 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: $0Q3 23P/C —
Numbers
QuarterCallsPutsP/C
Q4 2022$0$2.5k—
Q1 2023$0$0—
Q2 2023$0$0—
Q3 2023$0$0—

Biggest buyers

Stratos Wealth Partners, LTD. Added +7,666+7.7k
MORGAN STANLEY Added +6,063+6.1k
OSAIC HOLDINGS, INC. Added +4,655+4.7k
BANK OF MONTREAL /CAN/ New +3,916+3.9k
CAPTRUST FINANCIAL ADVISORS Added +3,072+3.1k
OLD MISSION CAPITAL LLC Added +2,517+2.5k
JPMORGAN CHASE & CO New +2,500+2.5k
COMERICA BANK New +2,079+2.1k
ADE, LLC Added +507+507
AMERIPRISE FINANCIAL INC Added +419+419

Biggest sellers

JANE STREET GROUP, LLC Reduced -171,046-171.0k
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO Sold out -97,467-97.5k
LPL Financial LLC Reduced -21,521-21.5k
Cetera Advisor Networks LLC Reduced -19,543-19.5k
Capital Wealth Alliance, LLC Sold out -14,825-14.8k
BANK OF AMERICA CORP /DE/ Reduced -12,624-12.6k
Barry Investment Advisors, LLC Sold out -10,647-10.6k
CITADEL ADVISORS LLC Sold out -9,069-9.1k
FREEDOM WEALTH ALLIANCE, LLC Sold out -7,879-7.9k
Pekin Hardy Strauss, Inc. Reduced -4,631-4.6k

Biggest calls

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 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 CAPTRUST FINANCIAL ADVISORS 0.02% of their portfolio RALEIGH, NC 278,851278.9k $6.4m $6.4m 0.02% Added +3.1k +3,072
2 Cetera Advisor Networks LLC 0.03% of their portfolio EL SEGUNDO, CA 236,082236.1k $5.4m $5.4m 0.03% Reduced -19.5k -19,543
3 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 217,537217.5k $5.0m $5.0m 0.00% Added +6.1k +6,063
4 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 176,635176.6k $4.0m $4.0m 0.01% Added +4.7k +4,655
5 UBS Group AG 0.00% of their portfolio ZURICH, V8 172,020172.0k $3.9m $3.9m 0.00% Reduced -4.0k -3,998
6 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 169,797169.8k $3.9m $3.9m 0.00% Reduced -12.6k -12,624
7 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 147,420147.4k $3.4m $3.4m 0.01% Reduced -1.1k -1,129
8 Auxano Advisors, LLC 1.03% of their portfolio BELLEVUE, WA 109,737109.7k $2.5m $2.5m 1.03% Reduced -4.6k -4,581
9 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 107,045107.0k $2.4m $2.4m 0.00% Reduced -171.0k -171,046
10 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 80,81580.8k $1.8m $1.8m 0.00% Reduced -3.4k -3,411
11 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 52,71752.7k $1.2m $1.2m 0.00% Reduced -21.5k -21,521
12 CW Advisors, LLC 0.02% of their portfolio BOSTON, MA 47,86147.9k $1.1m $1.1m 0.02% Reduced -569 -569
13 INDEPENDENT FINANCIAL GROUP, LLC 0.07% of their portfolio SAN DIEGO, CA 44,68244.7k $1.0m $1.0m 0.07% Reduced -2.9k -2,857
14 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 44,26544.3k $1.0m $1.0m 0.00% Reduced -1.1k -1,126
15 EVERGREEN CAPITAL MANAGEMENT LLC 0.04% of their portfolio Bellevue, WA 42,88042.9k $980.7k $980.7k 0.04% Unchanged
16 Bridge Advisory, LLC 0.32% of their portfolio PASADENA, CA 39,32339.3k $899.3k $899.3k 0.32% Reduced -275 -275
17 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 36,72636.7k $840.0k $840.0k 0.00% Reduced -774 -774
18 HC Advisors, LLC 0.47% of their portfolio SANDY SPRINGS, GA 34,48434.5k $788.7k $788.7k 0.47% Reduced -1.4k -1,395
19 U.S. Capital Wealth Advisors, LLC 0.03% of their portfolio AUSTIN, TX 31,72731.7k $725.6k $725.6k 0.03% Reduced -1.5k -1,475
20 Pekin Hardy Strauss, Inc. 0.11% of their portfolio CHICAGO, IL 30,01330.0k $686.4k $686.4k 0.11% Reduced -4.6k -4,631
21 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 25,48325.5k $582.8k $582.8k 0.01% Reduced -133 -133
22 Stratos Wealth Partners, LTD. 0.01% of their portfolio BEACHWOOD, OH 25,22925.2k $577.0k $577.0k 0.01% Added +7.7k +7,666
23 ADE, LLC 0.43% of their portfolio BALTIMORE, MD 24,97925.0k $571.3k $571.3k 0.43% Added +507 +507
24 Federation des caisses Desjardins du Quebec 0.01% of their portfolio LEVIS, A8 22,50022.5k $514.6k $514.6k 0.01% Reduced -435 -435
25 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 22,13622.1k $506.3k $506.3k 0.00% Added +419 +419
26 WEALTHSOURCE PARTNERS, LLC 0.03% of their portfolio SAN LUIS OBISPO, CA 19,57419.6k $447.7k $447.7k 0.03% Reduced -27 -27
27 Wealthcare Advisory Partners LLC 0.02% of their portfolio WEST CHESTER, PA 19,11619.1k $437.2k $437.2k 0.02% Reduced -2.3k -2,335
28 Kovack Advisors, Inc. 0.06% of their portfolio FT. LAUDERDALE, FL 18,50018.5k $423.1k $423.1k 0.06% Reduced -1.6k -1,600
29 OLD MISSION CAPITAL LLC 0.01% of their portfolio CHICAGO, IL 16,30416.3k $372.9k $372.9k 0.01% Added +2.5k +2,517
30 SPROTT INC. 0.03% of their portfolio TORONTO, A6 15,21315.2k $347.9k $347.9k 0.03% Reduced -585 -585
31 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 13,48013.5k $308.3k $308.3k 0.01% Reduced -80 -80
32 Cutter & CO Brokerage, Inc. 0.09% of their portfolio Ballwin, MO 13,00513.0k $297.4k $297.4k 0.09% Reduced -950 -950
33 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 12,44512.4k $285.0k $285.0k 0.00% Reduced -2.3k -2,312
34 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 11,70511.7k $267.7k $267.7k 0.00% Unchanged
35 SCOTIA CAPITAL INC. 0.00% of their portfolio TORONTO, A6 11,64811.6k $266.4k $266.4k 0.00% Unchanged
36 PFG Investments, LLC 0.05% of their portfolio WOODBURY, NY 10,73210.7k $245.5k $245.5k 0.05% Reduced -133 -133
37 OPTIMUM INVESTMENT ADVISORS 0.09% of their portfolio Chicago, IL 8,0508.1k $184.1k $184.1k 0.09% Unchanged
38 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 6,4756.5k $142.6k $142.6k 0.00% Reduced -59 -59
39 Geneos Wealth Management Inc. 0.01% of their portfolio ENGLEWOOD, CO 5,1705.2k $118.2k $118.2k 0.01% Unchanged
40 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 3,9163.9k $101.6k $101.6k 0.00% New
41 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 2,5002.5k $57.2k $57.2k 0.00% New
42 COMERICA BANK 0.00% of their portfolio DALLAS, TX 2,0792.1k $47.5k $47.5k 0.00% New
43 MACROVIEW INVESTMENT MANAGEMENT LLC 0.04% of their portfolio BETHESDA, MD 1,3241.3k $30.3k $30.3k 0.04% Unchanged
44 Tradition Wealth Management, LLC 0.00% of their portfolio EDINA, MN 1,2891.3k $29.0k $29.0k 0.00% Unchanged
45 CWM, LLC 0.00% of their portfolio OMAHA, NE 1,0801.1k $25.0k $25.0k 0.00% Added +127 +127
46 Stonehage Fleming Financial Services Holdings Ltd 0.00% of their portfolio ST. HELIER, Y9 644644 $14.7k $14.7k 0.00% Unchanged
47 WR Wealth Planners, LLC 0.00% of their portfolio COLUMBIA, MO 547547 $12.5k $12.5k 0.00% Unchanged
48 West Branch Capital LLC 0.00% of their portfolio AMHERST, MA 260260 $5.9k $5.9k 0.00% Unchanged
49 Avior Wealth Management, LLC 0.00% of their portfolio OMAHA, NE 162162 $3.7k $3.7k 0.00% Unchanged
50 GPS Wealth Strategies Group, LLC 0.00% of their portfolio CENTENNIAL, CO 151151 $3.5k $3.5k 0.00% Unchanged
51 Versant Capital Management, Inc 0.00% of their portfolio PHOENIX, AZ 119119 $2.7k $2.7k 0.00% Unchanged
52 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 115115 $2.6k $2.6k 0.00% Unchanged
53 HARBOR INVESTMENT ADVISORY, LLC 0.00% of their portfolio LUTHERVILLE, MD 100100 $2.3k $2.3k 0.00% Unchanged
54 Parallel Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 8888 $2.0k $2.0k 0.00% Unchanged
55 TCTC Holdings, LLC 0.00% of their portfolio DALLAS, TX 4040 $915 $915 0.00% Unchanged
56 West Oak Capital, LLC 0.00% of their portfolio WESTLAKE VILLAGE, CA 2020 $0 $0 0.00% Unchanged
57 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged