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SPDR PORTFOLIO SMALL CAP ETF
SPDR PORTFOLIO SMALL CAP ETF. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 27 Institutional holders with a total value of $78,380,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ASSETMARK, INC 373,744 29,757,000 37.97%
2 STATE STREET CORP 280,972 22,372,000 28.54%
3 HARVARD MANAGEMENT CO INC 72,864 5,801,000 7.40%
4 LPL Financial LLC 56,101 4,485,000 5.72%
5 ROYAL BANK OF CANADA 38,382 3,056,000 3.90%
6 SHEPHERD FINANCIAL PARTNERS LLC 36,410 2,914,000 3.72%
7 Commonwealth Equity Services, Inc 28,809 2,294,000 2.93%
8 UBS Group AG 19,295 1,536,000 1.96%
9 RAYMOND JAMES & ASSOCIATES 15,520 1,236,000 1.58%
10 MORGAN STANLEY 10,882 866,000 1.10%
11 SEI INVESTMENTS CO 8,765 698,000 0.89%
12 BANK OF AMERICA CORP /DE/ 7,736 616,000 0.79%
13 IFP ADVISORS, INC 7,388 588,000 0.75%
14 CITIGROUP INC 6,179 492,000 0.63%
15 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,147 330,000 0.42%
16 STIFEL FINANCIAL CORP 3,590 288,000 0.37%
17 First Allied Advisory Services, Inc. 3,169 252,000 0.32%
18 NORRIS PERNE & FRENCH LLP/MI 2,950 235,000 0.30%
19 Janney Montgomery Scott LLC 2,892 230,000 0.29%
20 BALASA DINVERNO & FOLTZ LLC 2,592 206,000 0.26%
21 ADVISOR GROUP, INC. 625 50,000 0.06%
22 MSI Financial Services Inc 434 35,000 0.04%
23 WELLS FARGO & COMPANY/MN 428 34,000 0.04%
24 PNC FINANCIAL SERVICES GROUP, INC. 79 6,000 0.01%
25 STEWARD PARTNERS INVESTMENT ADVISORY, LLC 40 3,000 0.00%
26 Parallax Volatility Advisers, L.P. 1 0 0.00%
27 MINICHMACGREGOR WEALTH MANAGEMENT, LLC 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.