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SPDR SER TR S&P 600 SML CAP
SPDR SER TR S&P 600 SML CAP. Institutional holdings reported to the SEC.

Institutional Holders (2015Q4)
Portfolio Summary: 63 Institutional holders with a total value of $117,347,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 UBS Group AG 141,065 13,965,000 11.90%
2 STATE STREET CORP 136,995 13,546,000 11.54%
3 Capital Advantage, Inc. 90,139 9,925,000 8.46%
4 MORGAN STANLEY 93,290 9,236,000 7.87%
5 LPL Financial LLC 54,423 5,270,000 4.49%
6 Legacy Private Trust Co. 49,118 4,863,000 4.14%
7 OLD DOMINION CAPITAL MANAGEMENT INC 47,489 4,701,000 4.01%
8 BANK OF AMERICA CORP /DE/ 43,193 4,276,000 3.64%
9 Commonwealth Equity Services, Inc 41,155 4,074,000 3.47%
10 STIFEL FINANCIAL CORP 40 4,011,000 3.42%
11 AMERIPRISE FINANCIAL INC 38,153 3,777,000 3.22%
12 WELLS FARGO & COMPANY/MN 35,154 3,480,000 2.97%
13 ARS Investment Partners, LLC 32,370 3,205,000 2.73%
14 Asset Management Group, Inc. 31,810 3,149,000 2.68%
15 PNC FINANCIAL SERVICES GROUP, INC. 26,727 2,645,000 2.25%
16 Bank of New York Mellon Corp 19,691 1,949,000 1.66%
17 D.A. DAVIDSON & CO. 19,342 1,914,000 1.63%
18 SUSQUEHANNA INTERNATIONAL GROUP, LLP 18,882 1,867,000 1.59%
19 ROYAL BANK OF CANADA 18,379 1,819,000 1.55%
20 SCOTIA CAPITAL INC. 18,344 1,789,000 1.52%
21 Private Advisor Group, LLC 17,519 1,734,000 1.48%
22 J.P. Morgan Private Wealth Advisors LLC 15,042 1,489,000 1.27%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 13,733 1,359,000 1.16%
24 Raymond James Financial Services Advisors, Inc. 12,649 1,252,000 1.07%
25 JANE STREET GROUP, LLC 12,533 1,241,000 1.06%
26 BAIRD FINANCIAL GROUP, INC. 11,549 1,143,000 0.97%
27 Carnegie Investment Counsel 9,615 894,000 0.76%
28 FINANCIAL COUNSELORS INC 7,608 753,000 0.64%
29 WHITTIER TRUST CO 6,124 606,000 0.52%
30 MSI Financial Services Inc 6,041 598,000 0.51%
31 COMERICA SECURITIES INC 5,816 576,000 0.49%
32 WHALEROCK POINT PARTNERS, LLC 5,710 565,000 0.48%
33 B. Riley Wealth Advisors, Inc. 5,615 556,000 0.47%
34 CITIGROUP INC 5,602 554,000 0.47%
35 Northeast Financial Consultants Inc 3,679 364,000 0.31%
36 IFP ADVISORS, INC 3,443 341,000 0.29%
37 SII INVESTMENTS INC/WI 3,345 332,000 0.28%
38 WASHINGTON TRUST Co 3,200 317,000 0.27%
39 HIGH FALLS ADVISORS, INC 2,800 277,000 0.24%
40 NATIONAL PLANNING CORP 2,827 253,000 0.22%
41 Concert Wealth Management Inc. 2,565 252,000 0.21%
42 Carlson Capital Management 2,488 246,000 0.21%
43 Janney Montgomery Scott LLC 2,450 243,000 0.21%
44 Cambridge Investment Research Advisors, Inc. 2,318 229,000 0.20%
45 CORRADO ADVISORS, LLC 2,293 227,000 0.19%
46 EXENCIAL WEALTH ADVISORS, LLC 2,394 220,000 0.19%
47 NEXT Financial Group, Inc 2,183 216,000 0.18%
48 Bridgewater Wealth & Financial Management, LLC 2,154 213,000 0.18%
49 Creative Planning 2,028 201,000 0.17%
50 SG Americas Securities, LLC 1,806 179,000 0.15%
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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.