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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 (2014Q3)
Portfolio Summary: 49 Institutional holders with a total value of $117,249,944.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Capital Directions Investment Advisors, LLC 204,630 37,056,000 31.60%
2 LPL Financial LLC 67,629 11,270,000 9.61%
3 BANK OF AMERICA CORP /DE/ 60,145 10,232,000 8.73%
4 MORGAN STANLEY 53,787 9,151,000 7.80%
5 SUSQUEHANNA INTERNATIONAL GROUP, LLP 49,519 8,384,000 7.15%
6 HighTower Advisors, LLC 39,652 6,746,000 5.75%
7 ROYAL BANK OF CANADA 29,569 5,031,000 4.29%
8 ASSETMARK, INC 28,870 4,912,000 4.19%
9 UBS AG 28,250 4,806,000 4.10%
10 WELLS FARGO & COMPANY/MN 19,185 3,264,000 2.78%
11 Cetera Advisors LLC 14,523 2,471,000 2.11%
12 B. Riley Wealth Advisors, Inc. 12,208 2,077,000 1.77%
13 Citizens Business Bank 8,306 1,413,000 1.21%
14 JANE STREET GROUP, LLC 7,553 1,285,000 1.10%
15 Commonwealth Equity Services, Inc 7,388 1,257,000 1.07%
16 COMERICA BANK 6,361 1,082,000 0.92%
17 NEW ENGLAND SECURITIES CORP /MA/ 5,373 914,000 0.78%
18 ATHERTON LANE ADVISERS, LLC 5,300 902,000 0.77%
19 PINNACLE FINANCIAL PARTNERS INC 5,107 869,000 0.74%
20 Tradewinds Capital Management, LLC 3,988 678,000 0.58%
21 AMERICAN INTERNATIONAL GROUP, INC. 3,732 634,944 0.54%
22 SG Americas Securities, LLC 2,823 480,000 0.41%
23 Freedom Investment Management, Inc. 2,486 423,000 0.36%
24 Virtu KCG Holdings LLC 2,271 385,000 0.33%
25 MSI Financial Services Inc 1,398 238,000 0.20%
26 SouthState Bank Corp 1,253 213,000 0.18%
27 Joel Isaacson & Co., LLC 1,000 170,000 0.14%
28 NEW ENGLAND ASSET MANAGEMENT INC 905 154,000 0.13%
29 ARROW FINANCIAL CORP 625 106,000 0.09%
30 LADENBURG THALMANN FINANCIAL SERVICES INC. 544 93,000 0.08%
31 WFG Advisors, LP 400 68,000 0.06%
32 OPTIMUM INVESTMENT ADVISORS 400 68,000 0.06%
33 M Holdings Securities, Inc. 372 63,000 0.05%
34 One Capital Management, LLC 315 54,000 0.05%
35 GLENMEDE TRUST CO NA 207 35,000 0.03%
36 Financial Architects, Inc 190 32,000 0.03%
37 Creative Planning 185 31,000 0.03%
38 NEXT Financial Group, Inc 174 30,000 0.03%
39 BANK OF MONTREAL /CAN/ 170 29,000 0.02%
40 Corbenic Partners LLC 157 27,000 0.02%
41 B. Riley Wealth Management, Inc. 155 26,000 0.02%
42 DEUTSCHE BANK AG\ 140 23,000 0.02%
43 Vantage Investment Advisors, LLC 81 14,000 0.01%
44 COLONY GROUP LLC 75 13,000 0.01%
45 Private Advisor Group, LLC 72 12,000 0.01%
46 SIGNATUREFD, LLC 70 12,000 0.01%
47 MYCIO WEALTH PARTNERS, LLC 40 7,000 0.01%
48 CITIGROUP INC 34 6,000 0.01%
49 ENVESTNET ASSET MANAGEMENT INC 15 3,000 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.