PREF · Principal Spectrum Preferred Securities Active ETF ETF

Alerts for PREF

$18.78 +0.01 (+0.05%) 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: 1

Total Value: $759,731

Total Shares: 39,860

Institutional Ownership Trend

17 quarters

Holder Concentration

Across 1 13F filers · Δ vs Dec 31, 2023

Top Holder

100.0%

+78.2 pts

Top 5

100.0%

+29.3 pts

Top 10

100.0%

+15.4 pts

HHI

10,000

Highly concentrated+8,764

Quarterly Activity

vs Dec 31, 2023

New

1

Increased

0

Decreased

0

Sold Out

63

Unchanged

0

Holder count: -62

Institutional value: -99.9%

Shares held: -99.9%

Top New Positions

vs Dec 31, 2023

Institution	Acquired	Value (USD)	Open
Small CAPITAL & PLANNING, LLC	39,860	$759,731

Top Sold-Out Positions

vs Dec 31, 2023

Institution	Previously Held	Last Value (USD)	Open
Mega UBS Group AG	6,856,955	$120,065,281
Mega BANK OF AMERICA CORP /DE/	5,933,970	$103,903,813
Mega WELLS FARGO & COMPANY/MN	4,463,198	$78,150,596
Mega MORGAN STANLEY	3,609,985	$63,210,837
Mega ROYAL BANK OF CANADA	1,414,843	$24,773,900

Filter: New 1 Increased 0 Reduced 0 Sold out 63 Unchanged 0

Showing 1 of 1

All Common Calls Puts

Compact Export CSV

CAPITAL & PLANNING, LLC PREF

$759,731

100.00%

39,860

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	6,856,915	$120,064,581	100.0%	Defined
UBS AG	40	$700	0.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
BANK OF AMERICA NA	2,042,783	$35,769,130	34.4%	Defined
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.	1,735,317	$30,385,400	29.2%	Defined
U.S. TRUST Co OF DELAWARE	158,750	$2,779,712	2.7%	Defined
MANAGED ACCOUNT ADVISORS LLC	1,997,120	$34,969,571	33.7%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC	67,925	$1,189,366	1.5%	Defined
WELLS FARGO CLEARING SERVICES, LLC	4,395,273	$76,961,230	98.5%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY & CO. LLC	20,000	$350,200	0.6%	Defined
MORGAN STANLEY SMITH BARNEY LLC	3,589,985	$62,860,637	99.4%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
RBC Capital Markets, LLC	1,402,957	$24,565,777	99.2%	Defined
RBC Trust Co (Delaware) Ltd	11,886	$208,123	0.8%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
BAIRD ROBERT W & CO INC /WI/	363,234	$6,360,227	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
Mariner Independent Advisor Network, LLC	192,646	$3,373,231	100.0%	Other

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.	140,822	$2,465,793	100.0%	Defined

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\	34,345	$601,380	24.6%	Defined
Stifel Trust Company, N.A.	105,383	$1,845,256	75.4%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER FINANCIAL LLC	98,351	$1,722,126	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	6,044	$105,830	17.2%	Defined
WOODBURY FINANCIAL SERVICES, INC.	3,982	$69,724	11.4%	Defined
SECURITIES AMERICA ADVISORS INC	4,345	$76,080	12.4%	Defined
ARBOR POINT ADVISORS, LLC	313	$5,480	0.9%	Defined
TRIAD HYBRID SOLUTIONS, LLC	17,926	$313,884	51.1%	Defined
American Portfolios Advisors	1,255	$21,975	3.6%	Sole
VISION2020 WEALTH MANAGEMENT CORP.	1,197	$20,959	3.4%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
PITCAIRN TRUST COMPANY LLC joint	32,386	$567,078	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
Comerica Bank	32,042	$561,054	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
First Financial Trust & Asset Management Company, National Association	16,060	$281,210	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
SouthState Bank, National Association	4,259	$74,575	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
JOHNSON BANK	2,460	$43,074	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
PNC Bank, National Association	1,065	$18,648	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
Frost Bank - FWA	732	$12,817	100.0%	Defined