NBOS · Neuberger Option Strategy ETF ETF

$28.60 +0.03 (+0.12%) At close · Sep 4

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP →

Quarter:

Holders: 45

Total Value: $308,935,940

Total Shares: 11,551,599

Institutional Ownership Trend

9 quarters

Holder Concentration

Across 45 13F filers · Δ vs Dec 31, 2025

Top Holder

58.7%

+1.4 pts

Top 5

84.5%

+2.2 pts

Top 10

94.7%

+0.4 pts

HHI

3,649

Highly concentrated+165

Quarterly Activity

vs Dec 31, 2025

New

Increased

Decreased

Sold Out

Unchanged

Holder count: -10

Institutional value: -6.3%

Shares held: -4.4%

Top Buyers

vs Dec 31, 2025

Institution	Added	Now Holds
Mid Proficio Capital Partners LLC	+105,335	208,425
Mega RAYMOND JAMES FINANCIAL INC	+81,256	118,525
Small Fifth Third Securities, Inc.	+38,982	88,237
Mega JPMORGAN CHASE & CO	+33,165	68,593
Mega LPL Financial LLC	+17,522	601,378

Top Sellers

vs Dec 31, 2025

Institution	Sold	Now Holds
Large AE Wealth Management LLC	−493,804	7,707
Mega NEUBERGER BERMAN GROUP LLC	−143,079	6,778,333
Large MML INVESTORS SERVICES, LLC	−47,933	567,214
Large ASSETMARK, INC	−22,022	1,037,056
Micro Key Capital Management, INC	−21,111	175

Top New Positions

vs Dec 31, 2025

Institution	Acquired	Value (USD)
Large Cerity Partners LLC	20,455	$547,048
Large Cambridge Investment Research Advisors, Inc.	11,226	$300,228
Mid HARBOUR INVESTMENTS, INC.	8,971	$239,920
Mega ROYAL BANK OF CANADA	2,888	$77,236
Mid Advisory Services Network, LLC	994	$26,583

Top Sold-Out Positions

vs Dec 31, 2025

Institution	Previously Held	Last Value (USD)
Small Edge Financial Advisors LLC	23,798	$648,971
Large BROWN BROTHERS HARRIMAN & CO	21,066	$574,469
Mega ENVESTNET ASSET MANAGEMENT INC	20,344	$554,780
Mega BlackRock, Inc.	19,782	$539,455
Micro TFB Advisors LLC	16,511	$450,254

Filter: New 7 Increased 17 Reduced 13 Sold out 17 Unchanged 8

Showing 45 of 45

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

NEUBERGER BERMAN GROUP LLC NBOS

$181,279,737

58.68%

6,778,333

ASSETMARK, INC NBOS

$27,735,025

8.98%

1,037,056

CARY STREET PARTNERS FINANCIAL LLC NBOS

$20,934,373

6.78%

782,769

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
CARY STREET PARTNERS INVESTMENT ADVISORY LLC	2,796	$74,776	0.4%	Defined
CARY STREET PARTNERS ASSET MANAGEMENT LLC	779,973	$20,859,597	99.6%	Defined

LPL Financial LLC NBOS

$16,083,253

5.21%

601,378

MML INVESTORS SERVICES, LLC NBOS

$15,169,571

4.91%

567,214

MARQUETTE ASSOCIATES, INC. NBOS

$12,365,569

4.00%

462,368

Proficio Capital Partners LLC NBOS

$5,574,118

1.80%

208,425

Wealthspire Advisors, LLC NBOS

$5,561,040

1.80%

207,936

CWM, LLC NBOS

$4,706,783

1.52%

175,994

RAYMOND JAMES FINANCIAL INC NBOS

$3,169,832

1.03%

118,525

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	1,100	$29,418	0.9%	Defined
Raymond James Financial Services Advisors, Inc.	117,425	$3,140,414	99.1%	Defined

UBS Group AG NBOS

$2,445,391

0.79%

91,437

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Financial Services Inc	91,437	$2,445,391	100.0%	Defined

Fifth Third Securities, Inc. NBOS

$2,359,810

0.76%

88,237

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Fifth Third Bank, National Association	88,237	$2,359,810	100.0%	Defined

OSAIC HOLDINGS, INC. NBOS

$2,060,758

0.67%

77,055

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	77,055	$2,060,758	100.0%	Defined

JPMORGAN CHASE & CO NBOS

$1,834,450

0.59%

68,593

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
J.P. Morgan Securities LLC	13,917	$372,196	20.3%	Defined
55I, LLC	54,676	$1,462,254	79.7%	Other

CARY STREET PARTNERS INVESTMENT ADVISORY LLC NBOS

$1,509,217

0.49%

56,432

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
55I, LLC	56,432	$1,509,217	100.0%	Other

Janney Montgomery Scott LLC NBOS

$1,017,609

0.33%

38,050

HB Wealth Management, LLC NBOS

$935,959

0.30%

34,997

Equitable Holdings, Inc. NBOS

$651,002

0.21%

24,342

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
EQUITABLE ADVISORS, LLC	24,342	$651,002	100.0%	Defined

Cerity Partners LLC NBOS

$547,048

0.18%

20,455

OLD MISSION CAPITAL LLC NBOS

$494,362

0.16%

18,485

Cambridge Investment Research Advisors, Inc. NBOS

$300,228

0.10%

11,226

STIFEL FINANCIAL CORP NBOS

$293,622

0.10%

10,979

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
STIFEL NICOLAUS & CO INC \MO\	10,979	$293,622	100.0%	Defined

Steward Partners Investment Advisory, LLC NBOS

$284,288

0.09%

10,630

Savant Capital, LLC NBOS

$254,736

0.08%

9,525

HARBOUR INVESTMENTS, INC. NBOS

$239,920

0.08%

8,971

COMMONWEALTH EQUITY SERVICES, LLC NBOS

$236,176

0.08%

8,831

Concurrent Investment Advisors, LLC NBOS

$226,682

0.07%

8,476

AE Wealth Management LLC NBOS

$206,114

0.07%

7,707

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
B.O.S.S. Retirement Advisors, LLC	42	$1,123	0.5%	Other
Sterling Bridge Financial Group	803	$21,475	10.4%	Other
Lloyd Advisory Services, LLC.	190	$5,081	2.5%	Other
Held directly	6,672	$178,435	86.6%	Other

Allworth Financial LP NBOS

$79,242

0.03%

2,963

PNC FINANCIAL SERVICES GROUP, INC. NBOS

$77,263

0.03%

2,889

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
PNC Wealth Management LLC	2,889	$77,263	100.0%	Defined

ROYAL BANK OF CANADA NBOS

$77,236

0.03%

2,888

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
CITY NATIONAL ROCHDALE, LLC	2,888	$77,236	100.0%	Defined

Quest 10 Wealth Builders, Inc. NBOS

$52,391

0.02%

1,959

Farther Finance Advisors, LLC NBOS

$52,150

0.02%

1,950

NBC SECURITIES, INC. NBOS

$29,873

0.01%

1,117

Advisory Services Network, LLC NBOS

$26,583

0.01%

994

Cornerstone Wealth Partners, LLC NBOS

$17,517

0.01%

655

NFSG Corp NBOS

$14,976

0.00%

560

Triumph Capital Management NBOS

$12,409

0.00%

464

MORGAN STANLEY NBOS

$5,696

0.00%

213

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY SMITH BARNEY LLC	213	$5,696	100.0%	Defined

Geneos Wealth Management Inc. NBOS

$4,867

0.00%

182

Key Capital Management, INC NBOS

$4,680

0.00%

175

AMERIFLEX GROUP, INC. NBOS

$2,701

0.00%

101

Networth Advisors, LLC NBOS

$1,363

0.00%

Lloyd Advisory Services, LLC. NBOS

$160

0.00%

Kingdom Financial Group LLC. NBOS

$160

0.00%

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Aperio Group, LLC	19,782	$539,455	100.0%	Sole

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Truist Advisory Services, Inc.	13,025	$355,191	100.0%	Defined

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	9,320	$254,156	100.0%	Other

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
STRATEGIC ADVISERS LLC	32	$872	100.0%	Defined