USMC · Principal U.S. Mega-Cap ETF ETF

$76.75 -0.36 (-0.46%) 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: 14

Total Value: $48,091,947

Total Shares: 801,132

Institutional Ownership Trend

20 quarters

Holder Concentration

Across 14 13F filers · Δ vs Sep 30, 2024

Top Holder

58.5%

−13.6 pts

Top 5

88.2%

−5.3 pts

Top 10

98.0%

+1.0 pts

HHI

3,774

Highly concentrated−1,611

Quarterly Activity

vs Sep 30, 2024

New

Increased

Decreased

Sold Out

Unchanged

Holder count: -37

Institutional value: -98.2%

Shares held: -98.3%

Top Buyers

vs Sep 30, 2024

Institution	Added	Now Holds
Mega MORGAN STANLEY	+50,546	469,036
Large Cambridge Investment Research Advisors, Inc.	+7,598	33,543
Mega CITADEL ADVISORS LLC	+4,356	9,520
Mega ROYAL BANK OF CANADA	+4,080	50,830
Mega UBS Group AG	+3,309	18,815

Top Sellers

vs Sep 30, 2024

Institution	Sold	Now Holds	Open
Large EP Wealth Advisors, LLC	−2,845	128,565
Large Baird Financial Group, Inc.	−620	5,272

Top New Positions

vs Sep 30, 2024

Institution	Acquired	Value (USD)
Small AMERIFLEX GROUP, INC.	24,308	$1,459,209
Mega TWO SIGMA INVESTMENTS, LP	21,700	$1,302,651
Micro Richmond Investment Services, LLC	15,443	$927,043
Mid CARY STREET PARTNERS FINANCIAL LLC	13,100	$786,393
Mega JANE STREET GROUP, LLC	5,400	$324,162

Top Sold-Out Positions

vs Sep 30, 2024

Institution	Previously Held	Last Value (USD)
Mega PRINCIPAL FINANCIAL GROUP INC	33,692,392	$1,920,129,419
Mid PRINCIPAL SECURITIES, INC.	4,411,268	$251,398,163
Mega ENVESTNET ASSET MANAGEMENT INC	4,284,744	$244,187,560
Micro O'Brien Wealth Partners LLC	830,932	$47,354,814
Mega LPL Financial LLC	441,908	$25,184,336

Filter: New 5 Increased 6 Reduced 2 Sold out 42 Unchanged 1

Showing 14 of 14

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

MORGAN STANLEY USMC

$28,156,230

58.55%

469,036

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	1,560	$93,646	0.3%	Defined
MORGAN STANLEY SMITH BARNEY LLC	467,040	$28,036,411	99.6%	Defined
PARAMETRIC PORTFOLIO ASSOCIATES LLC	436	$26,173	0.1%	Defined

EP Wealth Advisors, LLC USMC

$7,717,756

16.05%

128,565

ROYAL BANK OF CANADA USMC

$3,051,324

6.34%

50,830

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	50,830	$3,051,324	100.0%	Defined

Cambridge Investment Research Advisors, Inc. USMC

$2,013,586

4.19%

33,543

AMERIFLEX GROUP, INC. USMC

$1,459,209

3.03%

24,308

TWO SIGMA INVESTMENTS, LP USMC

$1,302,651

2.71%

21,700

UBS Group AG USMC

$1,129,464

2.35%

18,815

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	18,507	$1,110,975	98.4%	Defined
UBS AG	308	$18,489	1.6%	Defined

Richmond Investment Services, LLC USMC

$927,043

1.93%

15,443

CARY STREET PARTNERS FINANCIAL LLC USMC

$786,393

1.64%

13,100

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	13,100	$786,393	100.0%	Defined

CITADEL ADVISORS LLC USMC

$571,485

1.19%

9,520

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	9,520	$571,485	100.0%	Defined

JANE STREET GROUP, LLC USMC

$324,162

0.67%

5,400

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	5,400	$324,162	100.0%	Defined

Baird Financial Group, Inc. USMC

$316,478

0.66%

5,272

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/	5,272	$316,478	100.0%	Defined

BANK OF AMERICA CORP /DE/ USMC

$220,369

0.46%

3,671

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	3,606	$216,468	98.2%	Defined
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.	3	$180	0.1%	Defined
MANAGED ACCOUNT ADVISORS LLC	62	$3,721	1.7%	Defined

COMERICA BANK USMC

$115,797

0.24%

1,929

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	61,205	$3,488,072	31.1%	Defined
WELLS FARGO CLEARING SERVICES, LLC	135,631	$7,729,610	68.9%	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	15,442	$880,039	77.0%	Defined
G1 EXECUTION SERVICES, LLC	4,613	$262,894	23.0%	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.	14,450	$823,505	96.7%	Defined
American Portfolios Advisors	488	$27,811	3.3%	Sole

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

Manager	Shares	Value (USD)	% of position	Discretion
CARY STREET PARTNERS FINANCIAL LLC	13,100	$746,569	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
GOLDMAN SACHS & CO. LLC	8,928	$508,806	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\	4,150	$236,508	100.0%	Defined

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	632	$36,017	100.0%	Defined