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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 (2016Q3)
Portfolio Summary: 69 Institutional holders with a total value of $161,095,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 STATE STREET CORP 163,793 18,269,000 11.34%
2 UBS Group AG 151,428 16,890,000 10.48%
3 Capital Advantage, Inc. 92,968 11,542,000 7.16%
4 AMERIPRISE FINANCIAL INC 82,471 9,127,000 5.67%
5 WELLS FARGO & COMPANY/MN 64,751 7,223,000 4.48%
6 PNC FINANCIAL SERVICES GROUP, INC. 55,238 6,161,000 3.82%
7 Stadion Money Management, LLC 48,849 5,449,000 3.38%
8 CITADEL ADVISORS LLC 48,341 5,392,000 3.35%
9 OLD DOMINION CAPITAL MANAGEMENT INC 46,633 5,201,000 3.23%
10 Commonwealth Equity Services, Inc 44,426 4,955,000 3.08%
11 HighTower Advisors, LLC 42,803 4,776,000 2.96%
12 ROYAL BANK OF CANADA 33,415 3,727,000 2.31%
13 MORGAN STANLEY 32,704 3,647,000 2.26%
14 ARS Investment Partners, LLC 32,253 3,597,000 2.23%
15 Asset Management Group, Inc. 31,735 3,540,000 2.20%
16 BANK OF AMERICA CORP /DE/ 31,027 3,461,000 2.15%
17 BAIRD FINANCIAL GROUP, INC. 30,611 3,414,000 2.12%
18 LPL Financial LLC 28,346 3,137,000 1.95%
19 SUSQUEHANNA INTERNATIONAL GROUP, LLP 27,688 3,088,000 1.92%
20 RAYMOND JAMES & ASSOCIATES 23,798 2,654,000 1.65%
21 Whitegate Investment Counselors, Inc. 22,767 2,539,000 1.58%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 22,425 2,501,000 1.55%
23 D.A. DAVIDSON & CO. 22,349 2,492,000 1.55%
24 J.P. Morgan Private Wealth Advisors LLC 22,034 2,458,000 1.53%
25 Bank of New York Mellon Corp 21,310 2,377,000 1.48%
26 Raymond James Financial Services Advisors, Inc. 18,154 2,025,000 1.26%
27 SUNTRUST BANKS INC 17,148 1,911,000 1.19%
28 Private Advisor Group, LLC 17,008 1,882,000 1.17%
29 Carnegie Investment Counsel 14,473 1,569,000 0.97%
30 ADVISOR GROUP, INC. 12,183 1,358,000 0.84%
31 JPMORGAN CHASE & CO 11,967 1,335,000 0.83%
32 MSI Financial Services Inc 11,577 1,291,000 0.80%
33 WHALEROCK POINT PARTNERS, LLC 5,710 1,222,000 0.76%
34 Mirae Asset Global Investments Co., Ltd. 10,600 1,182,000 0.73%
35 Northeast Financial Consultants Inc 9,874 1,101,000 0.68%
36 Legacy Private Trust Co. 7,841 875,000 0.54%
37 Cambridge Investment Research Advisors, Inc. 6,277 700,000 0.43%
38 CITIGROUP INC 4,909 548,000 0.34%
39 ENVESTNET ASSET MANAGEMENT INC 4,024 449,000 0.28%
40 B. Riley Wealth Advisors, Inc. 6,367 438,000 0.27%
41 GOFEN & GLOSSBERG LLC /IL/ 3,578 399,000 0.25%
42 IFP ADVISORS, INC 3,523 393,000 0.24%
43 Moors & Cabot, Inc. 3,457 385,000 0.24%
44 BB&T SECURITIES, LLC 3,414 380,000 0.24%
45 HIGH FALLS ADVISORS, INC 2,800 312,000 0.19%
46 NEXT Financial Group, Inc 2,510 280,000 0.17%
47 Carlson Capital Management 2,469 275,000 0.17%
48 Bridgewater Wealth & Financial Management, LLC 2,459 274,000 0.17%
49 WASHINGTON TRUST Co 2,452 273,000 0.17%
50 WELCH & FORBES LLC 2,450 273,000 0.17%
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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.