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SPDR SERIES TRUST
SPDR SERIES TRUST. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 40 Institutional holders with a total value of $94,777,898.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 VestGen Investment Management 299,167 16,353,000 17.25%
2 BANK OF AMERICA CORP /DE/ 239,494 13,091,000 13.81%
3 MORGAN STANLEY 208,182 11,379,000 12.01%
4 Richard Bernstein Advisors LLC 170,426 9,315,000 9.83%
5 RAYMOND JAMES & ASSOCIATES 99,701 5,450,000 5.75%
6 Transamerica Financial Advisors, LLC 95,643 5,228,000 5.52%
7 Strategic Capital Group LLC 94,224 5,150,000 5.43%
8 UBS AG 66,253 3,622,000 3.82%
9 BB&T SECURITIES, LLC 6,520 3,563,000 3.76%
10 Private Ocean, LLC 59,733 3,265,000 3.44%
11 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 43,559 2,381,000 2.51%
12 Horizon Investments, LLC 42,269 2,310,000 2.44%
13 SAGE FINANCIAL GROUP INC 34,310 1,875,000 1.98%
14 Bouchey Financial Group Ltd 34,161 1,867,000 1.97%
15 Freedom Investment Management, Inc. 20,874 1,141,000 1.20%
16 SUSQUEHANNA INTERNATIONAL GROUP, LLP 19,049 1,041,000 1.10%
17 GUGGENHEIM CAPITAL LLC 18,014 985,000 1.04%
18 MACKAY SHIELDS LLC 18,000 984,000 1.04%
19 ASPIRIANT, LLC 15,204 831,000 0.88%
20 AVALON CAPITAL MANAGEMENT 14,374 786,000 0.83%
21 LPL Financial LLC 12,634 691,000 0.73%
22 KMS FINANCIAL SERVICES, INC 9,936 543,000 0.57%
23 COLDSTREAM CAPITAL MANAGEMENT INC 9,704 530,000 0.56%
24 CITY NATIONAL BANK 8,452 462,000 0.49%
25 NATIONAL PLANNING CORP 6,572 357,000 0.38%
26 WELLS FARGO & COMPANY/MN 4,750 260,000 0.27%
27 First Allied Advisory Services, Inc. 4,461 244,000 0.26%
28 Commonwealth Equity Services, Inc 4,385 240,000 0.25%
29 Placemark Investments, Inc. 4,312 236,000 0.25%
30 AMERICAN INTERNATIONAL GROUP, INC. 2,596 141,898 0.15%
31 BANK OF MONTREAL /CAN/ 2,000 109,000 0.12%
32 NewSquare Capital LLC 1,604 88,000 0.09%
33 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,400 77,000 0.08%
34 REILLY FINANCIAL ADVISORS, LLC 906 50,000 0.05%
35 MSI Financial Services Inc 769 42,000 0.04%
36 AMERIPRISE FINANCIAL INC 662 36,000 0.04%
37 ROYAL BANK OF CANADA 431 24,000 0.03%
38 NEW ENGLAND SECURITIES CORP /MA/ 309 17,000 0.02%
39 Madden Advisory Services, Inc. 220 12,000 0.01%
40 CITIGROUP INC 17 1,000 0.00%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.