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

20 quarters

Holder Concentration

Across 1 13F filers · Δ vs Sep 30, 2024

Top Holder

100.0%

+78.1 pts

Top 5

100.0%

+27.5 pts

Top 10

100.0%

+15.0 pts

HHI

10,000

Highly concentrated+8,743

Quarterly Activity

vs Sep 30, 2024

New

1

Increased

0

Decreased

0

Sold Out

76

Unchanged

0

Holder count: -75

Institutional value: -99.9%

Shares held: -99.9%

Top New Positions

vs Sep 30, 2024

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

Top Sold-Out Positions

vs Sep 30, 2024

Institution	Previously Held	Last Value (USD)	Open
Mega BANK OF AMERICA CORP /DE/	7,998,860	$150,458,555
Mega UBS Group AG	6,516,291	$122,571,433
Mega MORGAN STANLEY	5,285,085	$99,412,447
Mega WELLS FARGO & COMPANY/MN	4,975,198	$93,583,473
Mega ROYAL BANK OF CANADA	1,742,074	$32,768,411

Filter: New 1 Increased 0 Reduced 0 Sold out 76 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
BANK OF AMERICA NA	2,730,394	$51,358,711	34.1%	Defined
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.	2,269,537	$42,689,990	28.4%	Defined
U.S. TRUST Co OF DELAWARE	7,000	$131,670	0.1%	Defined
MANAGED ACCOUNT ADVISORS LLC	2,991,929	$56,278,184	37.4%	Defined

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	6,516,291	$122,571,433	100.0%	Sole

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

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY CAPITAL SERVICES, LLC	258	$4,852	0.0%	Defined
MORGAN STANLEY SMITH BARNEY LLC	5,284,827	$99,407,595	100.0%	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	215,566	$4,054,796	4.3%	Defined
WELLS FARGO CLEARING SERVICES, LLC	4,759,632	$89,528,677	95.7%	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	1,723,198	$32,413,354	98.9%	Defined
RBC Trust Co (Delaware) Ltd	14,189	$266,895	0.8%	Defined
ENVESTNET ASSET MANAGEMENT INC joint	4,687	$88,162	0.3%	Other

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

Manager	Shares	Value (USD)	% of position	Discretion
BENJAMIN F. EDWARDS & COMPANY, INC.	663,049	$12,471,951	89.1%	Defined
Benjamin F. Edwards Wealth Management, LLC	81,256	$1,528,425	10.9%	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	335,023	$6,301,782	100.0%	Other

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/	302,635	$5,692,564	100.0%	Defined

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.	113,303	$2,131,229	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\	48,926	$920,298	46.5%	Defined
Stifel Trust Company, N.A.	56,389	$1,060,677	53.5%	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	93,979	$1,767,744	100.0%	Defined

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	59,504	$1,119,270	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.	48,265	$907,864	81.6%	Defined
American Portfolios Advisors	10,878	$204,615	18.4%	Sole

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	40,903	$769,385	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
BNY Mellon Advisors, Inc.	36,851	$693,167	100.0%	Defined
Held directly	2	$37	0.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
Pinnacle Bank	36,406	$684,796	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
CIBC Private Wealth Advisors, Inc. joint	2,666	$50,147	100.0%	Sole

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	1,600	$30,096	100.0%	Defined