BALI · Holdings ETF

$34.67 +0.16 (+0.46%)

Volume · Oct 20 314.31K Avg daily vol (3M) 302.2K

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 →

Institutional holdings are being reconciled with SEC filings. Holder totals and changes may be incomplete until reconciliation finishes.

Quarter:

Holders: 27

Total Value: $84,263,438

Total Shares: 2,445,254

Institutional Ownership Trend

13 quarters

Holder Concentration

Across 27 13F filers · Δ vs Jun 30, 2026

Top Holder

27.2%

+15.2 pts

Top 5

69.6%

+27.2 pts

Top 10

88.8%

+29.7 pts

HHI

1,316

Broadly held+828

Who Holds BALI

Last 8 quarters through Sep 30, 2026 (filing window open)

Each kind of 13F filer's share of the common shares 13F filers report. Holder type comes from regulatory records, never the filer's name; style, turnover and horizon are measured from each filer's own 13F book. The quarter selector does not change this card.

Jun 30, 2026, the newest closed quarter: 180 filers, like-for-like change +39.4%; actively managed books +39.2%; index-like books +46.8%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	44.2%	125	+54.8%	29	3
Exempt adviser	0.0%	1	new	1	0
Adviser	7.8%	2	+5.8%	0	0
Bank	12.7%	10	+38.4%	2	0
Broker-dealer	10.4%	1	+60.5%	0	0
Holding company	11.6%	5	-1.4%	0	0
Unknown	13.4%	36	+58.3%	12	3

Style	Share	Filers	Change	New	Exited
Index-like	2.5%	3	+46.8%	0	0
Systematic-like	0.0%	1	-95.3%	1	1
Concentrated	7.7%	48	+72.7%	18	1
Diversified active	89.9%	128	+37.1%	25	4
Not measured	0.0%	0	—	0	0
Unknown	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	90.3%	114	+35.2%	24	5
Medium turnover	6.2%	39	+96.9%	9	0
High turnover	0.5%	5	+25.4%	4	1
Unknown	3.0%	22	+118.0%	7	0
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	3.0%	21	+118.0%	7	0
Medium horizon	10.1%	40	+82.3%	9	0
Long horizon	85.2%	111	+32.6%	22	6
Unknown	1.6%	8	+226.0%	6	0
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	9.5%	69	+39.2%	22	1
$1B to $10B	15.5%	60	+33.6%	14	2
$10B to $100B	19.1%	34	+82.3%	8	1
$100B or more	55.9%	17	+30.5%	0	2
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	42.8%	112	+54.8%	24	2
Registered funds and BDCs	0.0%	1	new	1	0
Pension and profit sharing plans	0.2%	3	+85.2%	1	0
Insurance companies	0.1%	1	+79.5%	0	0
Charitable organizations	0.0%	1	new	1	0
Other investment advisers	0.3%	3	+396.9%	2	0
Diversified	0.7%	4	+20.2%	0	0
Pooled investment vehicles	0.0%	0	-100.0%	0	1
Unknown	55.8%	55	+29.2%	15	3

Private funds	Share	Filers	Change	New	Exited
Hedge funds	0.4%	4	+19.4%	2	1
Private equity funds	0.2%	4	+8.7%	0	0
Real estate funds	1.1%	3	+2360.2%	1	1
Securitized asset funds	0.4%	1	0.0%	0	0
Other private funds	0.8%	5	+24.7%	1	0
Mixed private funds	0.0%	0	—	0	0
No private funds	41.2%	109	+53.2%	26	1
Venture capital funds	0.0%	0	—	0	0
Unknown	55.8%	54	+29.2%	14	3

Location	Share	Filers	Change	New	Exited
United States	97.1%	175	+37.9%	43	6
Outside the US	2.9%	5	+121.8%	1	0

The Sep 30, 2026 filing window is still open, so its bar shows only the filers that have filed so far.

How the mix is measured

Shares are 13F common shares restated to today's split basis; options and principal amounts are left out. The change compares only filers with a 13F in both quarters and keeps each filer in its bucket of the later quarter on both sides; a filer that continues under a new CIK is compared through its successor. Holder type comes from each filer's current regulatory profile; client base and private funds come from the Form ADV roster current at each quarter end (rosters from December 2019, so an earlier quarter reads Unknown). Style, turnover, horizon and book size are measured from each filer's 13F book in the newest measured quarter, and Not measured means none was. Actively managed books are those measured systematic-like, concentrated or diversified active.

Excluded 3 holders with no observed 2026-03-31 13F and 4 holders with no observed 2026-06-30 13F.

Conviction and Crowding

180 13F filers, quarter ended Jun 30, 2026

Measured across every 13F filer's common-share book once the quarter's filing window closed. Crowding counts filers with high turnover or that advise private funds on Form ADV.

Conviction holders

39.4% of filers hold it in their top 10

Mar 31, 2026: 54

Holders above 5%

median weight 0.028%

Mar 31, 2026: 0

Crowding

—

shares outstanding is an issuer-wide count, not one listing's

Private-fund advisers

—

of shares outstanding

Institutional ownership

—

shares outstanding is an issuer-wide count, not one listing's

Top 10 holders

59.0%

of 13F shares, Herfindahl 0.049

Active holders

+39.2%

like-for-like share change of active filers

5% stakes on record

0 13D, 1 13G (1 institutional, 0 passive, 0 exempt)

How long holders have held it value-weighted 5.9 quarters

Under 1 year 17.7% 1 to 3 years 82.3% 3 years or more 0.000% Since coverage start 0.000%

Managers in the top fifth by current three-year FundScore alpha were net buyers of $0 (0 buying, 0 selling).

Estimated Holder Cost Basis

Quarter ended Jun 30, 2026, on that quarter's share basis

Estimated, never filed: each 13F buy is costed at its quarter's average traded price and each sale keeps the average cost, so this is what holders paid on average if they traded evenly through each quarter.

Estimated avg cost

$31.56

estimated per share

Mar 31, 2026: $30.87

Quarter-end price

$33.83

implied by 13F values

Estimated gain or loss

+7.2%

price against the estimated cost

Estimated at a loss

0.000%

of costed 13F value

Estimated cost covers 98.7% of the 13F shares; positions already held when a filer's 13F history starts, or bought in a quarter without a trusted average price, have no estimate.

Quarterly Activity

vs Jun 30, 2026

New

Increased

Decreased

Sold Out

Unchanged

New and Sold Out count only filers that reported a 13F for both quarters: a first-time filer's book is not a buy, and a fund that has not filed, or withheld its positions under confidential treatment, has not sold.

Holder count: -153

Institutional value: -91.2%

Shares held: -91.4%

Top Buyers

vs Jun 30, 2026

Institution	Added	Now Holds
Small RDA Financial Network	+18,985	39,898
Small Patriot Financial Group Insurance Agency, LLC	+15,537	336,973
Small Detalus Advisors, LLC	+14,114	47,302
Mid C2P Capital Advisory Group, LLC d.b.a. Prosperity Capital Advisors	+13,993	156,701
Mid INDEPENDENT FINANCIAL GROUP, LLC	+9,410	114,990

Top Sellers

vs Jun 30, 2026

Institution	Sold	Now Holds
Large Concurrent Investment Advisors, LLC	−25,958	10,670
Mid Avior Wealth Management, LLC	−15,017	665,889
Small SOUTHERN CAPITAL SERVICES INC /ADV	−5,387	219,058
Small Decker Wealth Management LLC	−3,964	302,884
Small Redhawk Wealth Advisors, Inc.	−2,301	6,646

Top New Positions

vs Jun 30, 2026

Institution	Acquired	Value (USD)	Open
Small UNIQUE WEALTH, LLC	9,170	$315,998
Small WETZEL INVESTMENT ADVISORS, INC.	6,704	$231,019

Top Sold-Out Positions

vs Jun 30, 2026

Institution	Previously Held	Last Value (USD)
Small Farmers & Merchants Trust Co of Chambersburg PA	300	$10,149
Small Cornerstone Planning Group LLC	195	$6,596
Mid CoreCap Advisors, LLC	12	$405

Filter: New 2 Increased 16 Reduced 8 Sold out 3 Unchanged 0

Holder type: Registered adviser 22 Unknown 5

Showing 27 of 27

All Common Calls Puts

Compact Export CSV

Holder	Value (USD)	% of 13F	Shares	Own %	Change	Type	Filed
Mid Avior Wealth Management, LLC Registered adviser BALI	$22,946,534	27.23%	665,889	—	-15,017 -2.2%	Shares	2026-10-13
Small Patriot Financial Group Insurance Agency, LLC Registered adviser BALI	$11,612,089	13.78%	336,973	—	+15,537 +4.8%	Shares	2026-10-14
Small Decker Wealth Management LLC Registered adviser BALI	$10,437,382	12.39%	302,884	—	-3,964 -1.3%	Shares	2026-10-09
Small SOUTHERN CAPITAL SERVICES INC /ADV Registered adviser BALI	$7,548,738	8.96%	219,058	—	-5,387 -2.4%	Shares	2026-10-19
Mid JB Capital LLC Registered adviser BALI	$6,078,675	7.21%	176,398	—	+8,017 +4.8%	Shares	2026-10-19
Mid C2P Capital Advisory Group, LLC d.b.a. Prosperity Capital Advisors Registered adviser BALI	$5,399,916	6.41%	156,701	—	+13,993 +9.8%	Shares	2026-10-14
Mid INDEPENDENT FINANCIAL GROUP, LLC Registered adviser BALI	$3,962,555	4.70%	114,990	—	+9,410 +8.9%	Shares	2026-10-13
Small BEACON FINANCIAL GROUP Registered adviser BALI	$2,958,494	3.51%	85,853	—	+3,322 +4.0%	Shares	2026-10-19
Small ShoreHaven Wealth Partners, LLC Registered adviser BALI	$2,189,691	2.60%	63,543	—	+747 +1.2%	Shares	2026-10-16
Small STACKSTONE WEALTH, LLC BALI	$1,668,691	1.98%	48,424	—	—	Shares	2026-10-19
Small Detalus Advisors, LLC Registered adviser BALI	$1,630,026	1.93%	47,302	—	+14,114 +42.5%	Shares	2026-10-15
Small RDA Financial Network BALI	$1,374,885	1.63%	39,898	—	+18,985 +90.8%	Shares	2026-10-15
Small SHEETS SMITH WEALTH MANAGEMENT Registered adviser BALI	$1,361,652	1.62%	39,514	—	-575 -1.4%	Shares	2026-10-16
Mid SigFig Wealth Management, LLC Registered adviser BALI	$738,408	0.88%	21,428	—	+2,567 +13.6%	Shares	2026-10-07
Micro PMG Family Office LLC Registered adviser BALI	$717,284	0.85%	20,815	—	+771 +3.8%	Shares	2026-10-19
Small Two West Capital Advisors LLC Registered adviser BALI	$455,664	0.54%	13,223	—	+328 +2.5%	Shares	2026-10-15
Small Onyx Bridge Wealth Group LLC Registered adviser BALI	$426,028	0.51%	12,363	—	-2 -0.0%	Shares	2026-10-16
Small Encompass More Asset Management Registered adviser BALI	$415,070	0.49%	12,045	—	-1,734 -12.6%	Shares	2026-10-16
Large Concurrent Investment Advisors, LLC Registered adviser BALI	$367,688	0.44%	10,670	—	-25,958 -70.9%	Shares	2026-10-16
Small LifeGoal Investments, LLC BALI	$345,771	0.41%	10,034	—	+35 +0.4%	Shares	2026-10-09
Micro LOCKERMAN FINANCIAL GROUP, INC. Registered adviser BALI	$319,788	0.38%	9,280	—	+2,508 +37.0%	Shares	2026-10-19
Small UNIQUE WEALTH, LLC BALI	$315,998	0.38%	9,170	—	New	Shares	2026-10-16
Small West Wealth Group, LLC Registered adviser BALI	$284,501	0.34%	8,256	—	+2 +0.0%	Shares	2026-10-14
Small WETZEL INVESTMENT ADVISORS, INC. BALI	$231,019	0.27%	6,704	—	New	Shares	2026-10-13
Small Redhawk Wealth Advisors, Inc. Registered adviser BALI	$229,021	0.27%	6,646	—	-2,301 -25.7%	Shares	2026-10-14
Large Farther Finance Advisors, LLC Registered adviser BALI	$173,161	0.21%	5,025	—	+631 +14.4%	Shares	2026-10-08
Mid IFP Advisors, Inc Registered adviser BALI	$74,709	0.09%	2,168	—	+1,338 +161.2%	Shares	2026-10-16
Small Farmers & Merchants Trust Co of Chambersburg PA BALI	$10,149	0.01%	300	—	Sold Out	Shares	2026-07-24
Small Cornerstone Planning Group LLC Registered adviser BALI	$6,596	0.01%	195	—	Sold Out	Shares	2026-07-29
Mid CoreCap Advisors, LLC Registered adviser BALI	$405	0.00%	12	—	Sold Out	Shares	2026-07-06
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