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INDEXIQ ETF TR
INDEXIQ ETF TR. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 43 Institutional holders with a total value of $50,162,983.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Stonehearth Capital Management, LLC 304,923 8,934,000 17.81%
2 MORGAN STANLEY 243,145 7,124,000 14.20%
3 BANK OF STOCKTON 202,430 5,931,000 11.82%
4 AVIANCE CAPITAL MANAGEMENT, LLC 91,716 2,687,000 5.36%
5 Carroll Financial Associates, Inc. 89,589 2,624,000 5.23%
6 FUSION FAMILY WEALTH, LLC 82,126 2,412,000 4.81% SH
7 BANK OF AMERICA CORP /DE/ 76,307 2,236,000 4.46%
8 AMERIPRISE FINANCIAL INC 64,468 1,889,000 3.77%
9 Cetera Advisor Networks LLC 61,503 1,801,000 3.59%
10 Hilltop Holdings Inc. 52,469 1,537,000 3.06%
11 AXA S.A. 43,790 1,283,000 2.56%
12 LEVEL FOUR ADVISORY SERVICES, LLC 40,694 1,192,000 2.38%
13 First Allied Advisory Services, Inc. 38,569 1,130,000 2.25%
14 Commonwealth Equity Services, Inc 35,764 1,048,000 2.09%
15 TOWER SQUARE INVESTMENT MANAGEMENT, LLC 34,088 999,000 1.99%
16 SG Americas Securities, LLC 27,853 816,000 1.63%
17 Cambridge Investment Research Advisors, Inc. 26,572 779,000 1.55%
18 LPL Financial LLC 25,899 761,000 1.52%
19 UBS Group AG 25,747 755,000 1.51%
20 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 24,030 704,000 1.40%
21 RAYMOND JAMES & ASSOCIATES 20,876 612,000 1.22%
22 Virtu KCG Holdings LLC 20,228 593,000 1.18%
23 ENVESTNET ASSET MANAGEMENT INC 15,951 467,000 0.93%
24 Argent Trust Co 12,925 379,000 0.76%
25 JANE STREET GROUP, LLC 8,958 262,000 0.52%
26 PROFICIO CAPITAL PARTNERS LLC 8,719 255,000 0.51%
27 MSI Financial Services Inc 8,264 242,000 0.48%
28 Transamerica Financial Advisors, LLC 8,207 241,000 0.48%
29 ROYAL BANK OF CANADA 5,749 168,000 0.33%
30 Orion Porfolio Solutions, LLC 2,855 84,000 0.17%
31 ADVISOR GROUP, INC. 1,545 45,000 0.09%
32 NEWFOUND RESEARCH LLC 1,183 35,000 0.07%
33 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,023 30,000 0.06%
34 Ancora Advisors LLC 804 24,000 0.05%
35 BANK OF MONTREAL /CAN/ 795 23,000 0.05%
36 Creative Planning 531 16,000 0.03%
37 VALLEY NATIONAL ADVISERS INC 538 16,000 0.03%
38 MANUFACTURERS LIFE INSURANCE COMPANY, THE 400 12,000 0.02%
39 RPG FAMILY WEALTH ADVISORY, LLC 409 11,983 0.02%
40 SEI INVESTMENTS CO 100 3,000 0.01%
41 Gradient Investments LLC 39 1,000 0.00%
42 WELLS FARGO & COMPANY/MN 34 1,000 0.00%
43 Parallax Volatility Advisers, L.P. 1 0 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.