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SPDR S&P 600 SMALL CAP GROWTH ETF
SPDR S&P 600 SMALL CAP GROWTH ETF. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 42 Institutional holders with a total value of $117,563,646.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Capital Directions Investment Advisors, LLC 197,702 35,339,000 30.06%
2 LPL Financial LLC 83,166 14,866,000 12.65%
3 MORGAN STANLEY 46,560 8,323,000 7.08%
4 ASSETMARK, INC 43,370 7,752,000 6.59%
5 BANK OF AMERICA CORP /DE/ 40,506 7,241,000 6.16%
6 HighTower Advisors, LLC 37,498 6,703,000 5.70%
7 JANE STREET GROUP, LLC 34,801 6,221,000 5.29%
8 UBS AG 31,468 5,625,000 4.78%
9 WELLS FARGO & COMPANY/MN 25,781 4,608,000 3.92%
10 Tradewinds Capital Management, LLC 20,946 3,744,000 3.18%
11 SUSQUEHANNA INTERNATIONAL GROUP, LLP 14,645 2,619,000 2.23%
12 Cetera Advisors LLC 13,642 2,436,000 2.07%
13 B. Riley Wealth Advisors, Inc. 10,460 1,870,000 1.59%
14 Citizens Business Bank 9,176 1,640,000 1.39%
15 Advisors Preferred, LLC 7,803 1,395,488 1.19%
16 COMERICA BANK 6,361 1,137,000 0.97%
17 Commonwealth Equity Services, Inc 5,435 972,000 0.83%
18 PINNACLE FINANCIAL PARTNERS INC 5,007 895,000 0.76%
19 NEW ENGLAND SECURITIES CORP /MA/ 4,561 815,000 0.69%
20 BAROMETER CAPITAL MANAGEMENT INC. 3,000 536,000 0.46%
21 Freedom Investment Management, Inc. 2,762 494,000 0.42%
22 AMERICAN INTERNATIONAL GROUP, INC. 2,763 493,887 0.42%
23 ROYAL BANK OF CANADA 2,276 407,000 0.35%
24 MSI Financial Services Inc 2,199 393,000 0.33%
25 NEW ENGLAND ASSET MANAGEMENT INC 1,115 199,000 0.17%
26 Joel Isaacson & Co., LLC 1,000 179,000 0.15%
27 ARROW FINANCIAL CORP 625 112,000 0.10%
28 LADENBURG THALMANN FINANCIAL SERVICES INC. 544 97,000 0.08%
29 CT Financial Advisors LLC 463 87,271 0.07%
30 OPTIMUM INVESTMENT ADVISORS 400 72,000 0.06%
31 WFG Advisors, LP 400 72,000 0.06%
32 Tower Research Capital LLC (TRC) 300 54,000 0.05%
33 GLENMEDE TRUST CO NA 207 37,000 0.03%
34 Corbenic Partners LLC 157 28,000 0.02%
35 B. Riley Wealth Management, Inc. 159 28,000 0.02%
36 COLONY GROUP LLC 100 18,000 0.02%
37 TD AMERITRADE INVESTMENT MANAGEMENT, LLC 90 16,000 0.01%
38 SIGNATUREFD, LLC 70 13,000 0.01%
39 BANK OF MONTREAL /CAN/ 50 9,000 0.01%
40 MYCIO WEALTH PARTNERS, LLC 40 7,000 0.01%
41 CITIGROUP INC 34 6,000 0.01%
42 Vantage Investment Advisors, LLC 25 4,000 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.