SETM · Sprott Critical Materials ETF ETF

$33.96 -0.33 (-0.96%) 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: 70

Total Value: $146,384,326

Total Shares: 4,752,118

Institutional Ownership Trend

14 quarters

Holder Concentration

Across 70 13F filers · Δ vs Mar 31, 2026

Top Holder

13.7%

−6.4 pts

Top 5

50.9%

+0.8 pts

Top 10

65.6%

+3.6 pts

HHI

632

Broadly held−99

Quarterly Activity

vs Mar 31, 2026

New

Increased

Decreased

Sold Out

Unchanged

Holder count: -27

Institutional value: -11.5%

Shares held: -4.9%

Top Buyers

vs Mar 31, 2026

Institution	Added	Now Holds
Large NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO	+515,559	516,911
Mid GTS SECURITIES LLC	+103,768	121,089
Mega LPL Financial LLC	+52,825	139,993
Mega D. E. Shaw & Co., Inc.	+52,025	74,338
Mega SUSQUEHANNA INTERNATIONAL GROUP, LLP	+46,709	81,954

Top Sellers

vs Mar 31, 2026

Institution	Sold	Now Holds
Mega JANE STREET GROUP, LLC	−194,601	344,648
Large Cetera Investment Advisers	−73,229	43,449
Small Triton Wealth Management, PLLC	−23,767	43,000
Micro Fortis Advisors, LLC	−303	118,755
Mega WELLS FARGO & COMPANY/MN	−300	0

Top New Positions

vs Mar 31, 2026

Institution	Acquired	Value (USD)
Large Treasurer of the State of North Carolina	642,839	$20,030,863
Mid Perigon Wealth Management, LLC	460,258	$14,341,639
Large Baird Financial Group, Inc.	112,831	$3,515,813
Small Empirical Asset Management, LLC	91,514	$2,851,576
Mid Vise Technologies, Inc.	70,912	$2,209,617

Top Sold-Out Positions

vs Mar 31, 2026

Institution	Previously Held	Last Value (USD)
Micro Paul R. Ried Financial Group, LLC	1,003,944	$33,210,467
Small BFI Infinity Ltd.	392,919	$12,997,760
Large COMMONWEALTH EQUITY SERVICES, LLC	138,999	$4,598,086
Small TKG Advisors, LLC	103,392	$3,420,207
Mid Carnegie Investment Counsel	85,312	$2,822,120

Filter: New 23 Increased 32 Reduced 9 Sold out 50 Unchanged 6

Showing 70 of 70

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

Treasurer of the State of North Carolina

$20,030,863

13.68%

642,839

NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO

$16,106,946

11.00%

516,911

Perigon Wealth Management, LLC

$14,341,639

9.80%

460,258

Thrivent Financial for Lutherans

$13,346,233

9.12%

428,313

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

Manager	Shares	Value (USD)	% of position	Discretion
Thrivent Advisor Network, LLC	428,313	$13,346,233	100.0%	Sole

JANE STREET GROUP, LLC

$10,739,231

7.34%

344,648

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

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	344,648	$10,739,231	100.0%	Defined

RAYMOND JAMES FINANCIAL INC

$5,765,004

3.94%

185,013

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

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	97,071	$3,024,732	52.5%	Defined
Raymond James Financial Services Advisors, Inc.	87,942	$2,740,272	47.5%	Defined

LPL Financial LLC

$4,362,181

2.98%

139,993

STIFEL FINANCIAL CORP

$3,837,416

2.62%

123,152

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\	123,152	$3,837,416	100.0%	Defined

GTS SECURITIES LLC

$3,773,133

2.58%

121,089

Fortis Advisors, LLC

$3,700,405

2.53%

118,755

Baird Financial Group, Inc.

$3,515,813

2.40%

112,831

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

Manager	Shares	Value (USD)	% of position	Discretion
Robert W. Baird & Co. Inc	112,831	$3,515,813	100.0%	Defined

Inspire Advisors, LLC

$3,192,342

2.18%

102,450

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

Manager	Shares	Value (USD)	% of position	Discretion
Inspire Investing, LLC	102,450	$3,192,342	100.0%	Defined

OSAIC HOLDINGS, INC.

$3,063,026

2.09%

98,300

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

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	76,903	$2,396,297	78.2%	Defined
LADENBURG THALMANN ASSET MANAGEMENT	6,004	$187,084	6.1%	Sole
Osaic Advisory Services, LLC	15,393	$479,645	15.7%	Defined

Empirical Asset Management, LLC

$2,851,576

1.95%

91,514

Savvy Advisors, Inc.

$2,687,986

1.84%

86,264

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$2,553,686

1.74%

81,954

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

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	81,954	$2,553,686	100.0%	Other

ROYAL BANK OF CANADA

$2,487,189

1.70%

79,820

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	5,604	$174,620	7.0%	Defined
RBC Dominion Securities Inc.	71,660	$2,232,925	89.8%	Defined
RBC Private Counsel (USA) Inc.	2,556	$79,644	3.2%	Defined

Steward Partners Investment Advisory, LLC

$2,369,063

1.62%

76,029

D. E. Shaw & Co., Inc.

$2,316,372

1.58%

74,338

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

Manager	Shares	Value (USD)	% of position	Discretion
D. E. SHAW & CO, L.P.	74,338	$2,316,372	100.0%	Defined

Vise Technologies, Inc.

$2,209,617

1.51%

70,912

Beacon Pointe Advisors, LLC

$1,653,256

1.13%

53,057

LeClair Wealth Partners LLC

$1,490,663

1.02%

47,839

ENVESTNET ASSET MANAGEMENT INC

$1,418,216

0.97%

45,514

Cetera Investment Advisers

$1,353,870

0.92%

43,449

Triton Wealth Management, PLLC

$1,339,880

0.92%

43,000

HighTower Advisors, LLC

$1,293,015

0.88%

41,496

SCOTIA CAPITAL INC.

$1,223,466

0.84%

39,264

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

Manager	Shares	Value (USD)	% of position	Discretion
BANK OF NOVA SCOTIA	39,264	$1,223,466	100.0%	Defined

Visionary Wealth Advisors

$1,161,115

0.79%

37,263

Ethos Financial Group, LLC

$1,135,221

0.78%

36,432

Janney Montgomery Scott LLC

$1,082,716

0.74%

34,747

UBS Group AG

$965,554

0.66%

30,987

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

Manager	Shares	Value (USD)	% of position	Discretion
UBS AG	23,860	$743,477	77.0%	Defined
UBS Switzerland AG	7,127	$222,077	23.0%	Defined

HRT FINANCIAL LP

$851,353

0.58%

27,322

Arax Advisory Partners

$729,736

0.50%

23,419

Dakota Wealth Management

$729,455

0.50%

23,410

Federation des caisses Desjardins du Quebec

$585,028

0.40%

18,775

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

Manager	Shares	Value (USD)	% of position	Discretion
Desjardins Securities inc.	1,630	$50,790	8.7%	Defined
Held directly	17,145	$534,238	91.3%	Defined

CITADEL ADVISORS LLC

$579,513

0.40%

18,598

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

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	18,598	$579,513	100.0%	Defined

Lane Generational LLC

$561,191

0.38%

18,010

MML INVESTORS SERVICES, LLC

$512,488

0.35%

16,447

Financial Security Advisor, Inc.

$351,547

0.24%

11,282

TWO SIGMA SECURITIES, LLC

$328,332

0.22%

10,537

UNITED CAPITAL FINANCIAL ADVISORS, LLC

$325,715

0.22%

10,453

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

Manager	Shares	Value (USD)	% of position	Discretion
United Capital Financial Partners, LLC	10,453	$325,715	100.0%	Defined

CIBC WORLD MARKET INC.

$311,444

0.21%

9,995

New England Private Wealth Advisors LLC

$300,133

0.21%

9,632

TRANSCEND CAPITAL ADVISORS, LLC

$298,699

0.20%

9,586

Mezzasalma Advisors, LLC

$261,401

0.18%

8,389

AE Wealth Management LLC

$254,639

0.17%

8,172

Cerity Partners LLC

$234,292

0.16%

7,519

Ameritas Advisory Services, LLC

$233,700

0.16%

7,500

Arrowroot Family Office, LLC

$229,306

0.16%

7,359

Creative Planning

$225,785

0.15%

7,246

Summit Financial, LLC

$214,598

0.15%

6,887

Waverly Advisors, LLC

$175,399

0.12%

5,629

NATIONAL BANK OF CANADA /FI/

$129,407

0.09%

4,153

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

Manager	Shares	Value (USD)	% of position	Discretion
National Bank Financial Inc.	4,153	$129,407	100.0%	Defined

Integrated Wealth Concepts LLC

$84,194

0.06%

2,702

BANK OF MONTREAL /CAN/

$74,378

0.05%

2,387

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

Manager	Shares	Value (USD)	% of position	Discretion
BMO NESBITT BURNS INC.	1,808	$56,337	75.7%	Defined
BMO PRIVATE INVESTMENT COUNSEL INC.	579	$18,041	24.3%	Defined

US BANCORP \DE\

$65,436

0.04%

2,100

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

Manager	Shares	Value (USD)	% of position	Discretion
US BANK NATIONAL ASSOCIATION	2,100	$65,436	100.0%	Other

GFS Advisors, LLC

$52,972

0.04%

55,989

Allworth Financial LP

$49,263

0.03%

1,581

Geneos Wealth Management Inc.

$46,740

0.03%

1,500

MORGAN STANLEY

$46,303

0.03%

1,486

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	1,486	$46,303	100.0%	Defined

PENSION & WEALTH MANAGEMENT ADVISORS, INC.

$40,196

0.03%

1,290

Clearstead Advisors, LLC

$32,125

0.02%

1,031

BlackRock, Inc.

$29,383

0.02%

943

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

Manager	Shares	Value (USD)	% of position	Discretion
SpiderRock Advisors, LLC	943	$29,383	100.0%	Sole

Keating Financial Advisory Services, Inc.

$26,704

0.02%

857

NFSG Corp

$24,149

0.02%

775

Parallel Advisors, LLC

$10,906

0.01%

350

HARBOUR INVESTMENTS, INC.

$6,574

0.00%

211

Coston, McIsaac & Partners

$4,237

0.00%

136

TUCKER ASSET MANAGEMENT LLC

$903

0.00%

WELLS FARGO & COMPANY/MN

0.00%

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

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO CLEARING SERVICES, LLC	0	$0	0.0%	Defined