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

Institutional Holders (2014Q3)
Portfolio Summary: 52 Institutional holders with a total value of $136,819,644.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Richard Bernstein Advisors LLC 608,886 34,591,000 25.28%
2 BANK OF AMERICA CORP /DE/ 385,907 21,923,000 16.02%
3 MORGAN STANLEY 187,734 10,665,000 7.79%
4 UBS AG 119,369 6,781,000 4.96%
5 BLACKROCK ADVISORS LLC 100,000 5,681,000 4.15%
6 Strategic Capital Alternatives LLC 95,354 5,417,000 3.96%
7 RAYMOND JAMES & ASSOCIATES 91,706 5,210,000 3.81%
8 MACKAY SHIELDS LLC 88,000 4,999,000 3.65%
9 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 72,287 4,107,000 3.00%
10 Horizon Investments, LLC 68,092 3,868,000 2.83%
11 BB&T SECURITIES, LLC 6,643 3,773,000 2.76%
12 Private Ocean, LLC 58,393 3,317,000 2.42%
13 Hudock, Inc. 54,957 3,122,000 2.28%
14 Bouchey Financial Group Ltd 50,157 2,849,000 2.08%
15 Argentus Capital Management, LLC 45,352 2,576,000 1.88%
16 SAGE FINANCIAL GROUP INC 34,040 1,934,000 1.41%
17 Stratos Wealth Partners, LTD. 32,096 1,823,000 1.33%
18 Visionary Asset Management, Inc. 28,160 1,600,000 1.17%
19 Live Your Vision, LLC 20,867 1,193,000 0.87%
20 ROYAL BANK OF CANADA 20,948 1,190,000 0.87%
21 Freedom Investment Management, Inc. 18,407 1,046,000 0.76%
22 ASPIRIANT, LLC 15,830 899,000 0.66%
23 SUSQUEHANNA INTERNATIONAL GROUP, LLP 12,836 729,000 0.53%
24 SUSQUEHANNA INTERNATIONAL GROUP, LLP 12,000 682,000 0.50% Put
25 Placemark Investments, Inc. 11,448 649,000 0.47%
26 LPL Financial LLC 10,991 625,000 0.46%
27 CITY NATIONAL BANK 8,727 496,000 0.36%
28 NATIONAL PLANNING CORP 8,648 490,000 0.36%
29 VSR Financial Services, Inc. 7,930 450,000 0.33%
30 Friedenthal Financial 7,847 446,000 0.33%
31 COLDSTREAM CAPITAL MANAGEMENT INC 7,792 443,000 0.32%
32 Commonwealth Equity Services, Inc 5,658 321,000 0.23%
33 WELLS FARGO & COMPANY/MN 5,028 286,000 0.21%
34 OARSMAN CAPITAL, INC. 4,698 267,000 0.20%
35 KMS FINANCIAL SERVICES, INC 4,349 247,000 0.18%
36 AMERIPRISE FINANCIAL INC 4,227 240,000 0.18%
37 SUSQUEHANNA INTERNATIONAL GROUP, LLP 4,200 239,000 0.17% Call
38 First Allied Advisory Services, Inc. 4,116 233,000 0.17%
39 GUGGENHEIM CAPITAL LLC 4,066 231,000 0.17%
40 SHEETS SMITH WEALTH MANAGEMENT 3,849 219,000 0.16%
41 B. Riley Wealth Management, Inc. 3,630 206,000 0.15%
42 BANK OF MONTREAL /CAN/ 2,862 163,000 0.12%
43 AMERICAN INTERNATIONAL GROUP, INC. 2,370 134,644 0.10%
44 NewSquare Capital LLC 2,160 123,000 0.09%
45 AXA S.A. 1,590 90,000 0.07%
46 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,400 80,000 0.06%
47 MSI Financial Services Inc 895 51,000 0.04%
48 Regal Investment Advisors LLC 791 45,000 0.03%
49 NEW ENGLAND SECURITIES CORP /MA/ 594 34,000 0.02%
50 TWIN FOCUS CAPITAL PARTNERS, LLC 408 23,000 0.02%
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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.