SHLD · Global X Defense Tech ETF · Holdings ETF

$61.33 +0.02 (+0.03%) At close · Oct 20

Volume · Oct 20 996.01K Avg daily vol (3M) 1.16M

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: 129

Total Value: $0

Total Shares: 5,124,659

Showing 1–100 of 129 holdings by value · page 1 of 2

Institutional Ownership Trend

27 quarters

Who Holds SHLD

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: 614 filers, like-for-like change +10.9%; actively managed books +11.3%; index-like books +4.4%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	31.7%	408	+17.0%	49	51
Exempt adviser	0.1%	2	new	2	0
Adviser	0.1%	6	+4.7%	2	1
Bank	24.6%	17	+8.3%	2	1
Insurer	0.1%	1	+4.8%	0	0
Broker-dealer	6.7%	2	+6.3%	0	0
Non-US	0.0%	2	-33.0%	0	0
Holding company	6.2%	9	+6.6%	1	0
Unknown	30.5%	167	+8.9%	25	29

Style	Share	Filers	Change	New	Exited
Index-like	5.0%	7	+4.4%	2	0
Systematic-like	0.4%	10	+32.3%	6	1
Concentrated	13.0%	201	-4.9%	24	37
Diversified active	81.5%	395	+14.3%	48	44
Unknown	0.0%	1	new	1	0
Not measured	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	72.6%	376	+11.7%	42	45
Medium turnover	23.3%	151	+13.2%	24	26
High turnover	2.3%	24	-6.9%	9	5
Unknown	1.8%	63	-16.0%	6	6
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	1.9%	67	-8.9%	11	7
Medium horizon	17.5%	169	+9.4%	18	36
Long horizon	78.7%	357	+11.6%	46	34
Unknown	1.9%	21	+20.5%	6	5
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	13.1%	305	+8.3%	42	54
$1B to $10B	15.3%	190	+15.0%	26	20
$10B to $100B	27.5%	85	+12.4%	8	6
$100B or more	44.1%	34	+9.4%	5	2
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	27.8%	367	+19.8%	45	43
Pooled investment vehicles	0.2%	6	-59.6%	2	5
Registered funds and BDCs	0.0%	4	-62.0%	0	2
Pension and profit sharing plans	1.9%	7	+26.7%	1	0
Charitable organizations	0.0%	1	-27.4%	0	0
Corporations	0.4%	4	+10.2%	0	0
Other investment advisers	0.2%	7	-23.5%	0	1
Other	0.6%	1	-19.8%	0	0
Diversified	0.6%	11	+15.2%	1	0
Unknown	68.3%	206	+8.3%	32	31

Private funds	Share	Filers	Change	New	Exited
Hedge funds	0.4%	17	-25.2%	6	8
Private equity funds	1.0%	15	-6.2%	0	1
Venture capital funds	0.2%	4	+30.6%	1	0
Real estate funds	1.0%	7	+123.6%	0	0
Securitized asset funds	0.0%	1	0.0%	0	0
Other private funds	1.8%	17	+29.9%	0	2
Mixed private funds	0.1%	2	+24.0%	1	1
Private funds, type not stated	0.0%	2	-1.9%	0	1
No private funds	27.3%	345	+16.5%	43	38
Unknown	68.2%	204	+8.2%	30	31

Location	Share	Filers	Change	New	Exited
United States	77.4%	576	+12.2%	68	75
Outside the US	22.6%	38	+6.7%	13	7

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 9 holders with no observed 2026-03-31 13F and 11 holders with no observed 2026-06-30 13F.

Conviction and Crowding

614 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

6.84% of filers hold it in their top 10

Mar 31, 2026: 56

Holders above 5%

median weight 0.568%

Mar 31, 2026: 4

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

52.5%

of 13F shares, Herfindahl 0.041

Active holders

+11.3%

like-for-like share change of active filers

5% stakes on record

0 13D, 0 13G

How long holders have held it value-weighted 4.1 quarters

Under 1 year 31.2% 1 to 3 years 68.8% 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

$69.30

estimated per share

Mar 31, 2026: $72.05

Quarter-end price

$59.71

implied by 13F values

Estimated gain or loss

-13.8%

price against the estimated cost

Estimated at a loss

100.0%

of costed 13F value

Estimated cost covers 9.77% 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.

Fund Ownership of SHLD by Fund Type

Registered funds' Form N-PORT reports for the quarter ended Jun 30, 2026

Index funds and index ETFs hold 0 shares.

Fund type	Shares	Funds
Index funds	0	0
Index ETFs	0	0
Active ETFs	6,559	1
Active funds	0	0
Unclassified	0	0
All registered funds	6,559	1

How fund types are measured

Each fund series counts once, with its latest Form N-PORT report dated inside the quarter; only long share positions count, restated to today's split basis. The fund type is the series' latest Form N-CEN answer on or before the quarter end (the index-fund box and the exchange-traded flag), never its name. Unclassified funds have no usable N-CEN; unit investment trusts are among them, so index ownership is a floor. Funds sit inside their advisers' 13F reports, so these shares overlap the 13F figures and are never added to them.

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: -487

Institutional value: -100.0%

Shares held: -93.5%

Top Buyers

vs Jun 30, 2026

Institution	Added	Now Holds
Small PREVAIL INNOVATIVE WEALTH ADVISORS, LLC	+36,794	163,202
Small Apeiron RIA LLC	+26,211	73,119
Mid Diversify Advisory Services, LLC	+23,317	28,173
Mid DIVERSIFY WEALTH MANAGEMENT, LLC	+23,317	28,173
Small NOVEM GROUP	+19,528	28,741

Top Sellers

vs Jun 30, 2026

Institution	Sold	Now Holds
Small HBW ADVISORY SERVICES LLC	−60,437	16,652
Large Concurrent Investment Advisors, LLC	−52,721	48,486
Micro Tepp RIA, LLC	−46,306	9,461
Small Foguth Wealth Management, LLC.	−46,090	84,988
Small EHRLICH FINANCIAL GROUP	−43,795	58,138

Top New Positions

vs Jun 30, 2026

Institution	Acquired	Value (USD)
Small Clayton Financial Group LLC	10	$0
Micro Newport Capital Group, LLC	62,341	$0
Small Mosley Wealth Management	50	$0
Small Legacy Advisory Services, LLC	19,594	$0
Mid TRAPHAGEN INVESTMENT ADVISORS LLC	4,003	$0

Top Sold-Out Positions

vs Jun 30, 2026

Institution	Previously Held	Last Value (USD)
Mid CONFLUENCE INVESTMENT MANAGEMENT LLC	262,921	$15,699,012
Small WT Wealth Management	35,235	$2,103,881
Small BAM Wealth Management, LLC	4,711	$281,292
Mid Relyea Zuckerberg Hanson LLC	3,372	$201,342
Mid Retirement Planning Group, LLC	4,032	$0

Filter: New 15 Increased 46 Reduced 57 Sold out 18 Unchanged 9

Holder type: Registered adviser 92 Exempt adviser 1 Unknown 36

Showing 100 of 129

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

West Wealth Group, LLC SHLD

—

209,693

Maia Wealth LLC SHLD

—

39,783

Midwest Financial Network, LLC SHLD

—

4,403

Foguth Wealth Management, LLC. SHLD

—

84,988

Lifelong Wealth Advisors, Inc. SHLD

—

54,302

Integrated Wealth Management SHLD

—

8,800

VALLEY WEALTH MANAGERS, INC. SHLD

—

259,995

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

Manager	Shares	Value (USD)	% of position	Discretion
Valley National Bank	3,026	$0	—	Defined
Held directly	256,969	$0	—	Sole

TRAPHAGEN INVESTMENT ADVISORS LLC SHLD

—

4,003

Beacon Financial Advisory LLC SHLD

—

10,239

NVWM, LLC SHLD

—

7,940

Walker Asset Management, LLC SHLD

—

8,998

GK Wealth Management LLC SHLD

—

525

OAK FAMILY ADVISORS, LLC SHLD

—

80,175

Apeiron RIA LLC SHLD

—

73,119

B. Riley Wealth Advisors, Inc. SHLD

—

5,461

Legacy Advisory Services, LLC SHLD

—

19,594

Atria Investments, Inc SHLD

—

46,701

Physician Wealth Advisors, Inc. SHLD

—

144,478

Braun-Bostich & Associates Inc. SHLD

—

31,934

E&G Advisors, LP SHLD

—

3,960

15 Wealth Advisors LLC SHLD

—

8,317

Sowell Financial Services LLC SHLD

—

10,888

Accel Wealth Management SHLD

—

37,728

Goldstein Advisors, LLC SHLD

—

294,213

Focus Financial Network, Inc. SHLD

—

62,218

Pacifica Partners Inc. SHLD

—

360

CFS Investment Advisory Services, LLC SHLD

—

176,189

Clayton Financial Group LLC SHLD

—

IFS Advisors, LLC SHLD

—

Cassilly Financial Group LLC SHLD

—

8,822

MKT Advisors LLC SHLD

—

8,803

Castleview Partners, LLC SHLD

—

8,303

HBW ADVISORY SERVICES LLC SHLD

—

16,652

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC SHLD

—

28,009

HIGHLINE WEALTH PARTNERS LLC SHLD

—

14,360

MATHER GROUP, LLC. SHLD

—

23,349

PINNACLE ASSOCIATES LTD SHLD

—

9,835

Bison Wealth, LLC SHLD

—

37,164

DIVERSIFY WEALTH MANAGEMENT, LLC SHLD

—

28,173

ELEVATION WEALTH PARTNERS, LLC SHLD

—

1,904

PFG Advisors SHLD

—

45,301

FIRST COMMUNITY TRUST NA SHLD

—

Archford Capital Strategies, LLC SHLD

—

8,574

Family Office Research LLC SHLD

—

3,578

Integrated Advisors Network LLC SHLD

—

42,157

CoreCap Advisors, LLC SHLD

—

18,492

RDA Financial Network SHLD

—

11,280

TD Waterhouse Canada Inc. SHLD

—

38,910

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

Manager	Shares	Value (USD)	% of position	Discretion
TORONTO DOMINION BANK	38,910	$0	—	Defined

KWB Wealth SHLD

—

161,467

CX Institutional SHLD

—

POM Investment Strategies, LLC SHLD

—

933

Balefire, LLC SHLD

—

21,052

Triumph Capital Management SHLD

—

552

Advisory Solutions Group, LLC SHLD

—

10,131

DAVENPORT & Co LLC SHLD

—

3,708

C2P Capital Advisory Group, LLC d.b.a. Prosperity Capital Advisors SHLD

—

334,229

Emergent Wealth Advisors, LLC SHLD

—

48,464

Portside Wealth Group, LLC SHLD

—

4,171

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

Manager	Shares	Value (USD)	% of position	Discretion
TOWNSQUARE CAPITAL LLC	2,501	$0	—	Other
Held directly	1,670	$0	—	Sole

Patriot Financial Group Insurance Agency, LLC SHLD

—

14,681

Financial Partners Group, Inc SHLD

—

21,745

First PREMIER Bank SHLD

—

650

GILPIN WEALTH MANAGEMENT, LLC SHLD

—

Pettinga Financial Advisors LLC SHLD

—

133,889

Blue Trust, Inc. SHLD

—

2,152

Parkway Wealth Management Group, LLC SHLD

—

19,173

Sound Income Strategies, LLC SHLD

—

4,635

PRIVATE TRUST CO NA SHLD

—

5,419

Forvis Mazars Wealth Advisors, LLC SHLD

—

3,624

ShoreHaven Wealth Partners, LLC SHLD

—

94,637

PREVAIL INNOVATIVE WEALTH ADVISORS, LLC SHLD

—

163,202

CASCADE INVESTMENT GROUP, INC. SHLD

—

4,366

Diversify Advisory Services, LLC SHLD

—

28,173

TCFG Investment Advisors, LLC SHLD

—

3,973

Avidian Wealth Enterprises, LLC SHLD

—

34,159

Midwest Financial Group LLC SHLD

—

9,520

Strategic Advisors LLC SHLD

—

4,561

Farther Finance Advisors, LLC SHLD

—

142,860

BEACON FINANCIAL GROUP SHLD

—

127,324

HERBST GROUP, LLC SHLD

—

36,215

IFP Advisors, Inc SHLD

—

33,436

INDEPENDENT FINANCIAL GROUP, LLC SHLD

—

96,837

Decker Wealth Management LLC SHLD

—

193,024

A4 Wealth Advisors LLC SHLD

—

50,835

Tempus Wealth Planning, LLC SHLD

—

17,170

ADIRONDACK TRUST CO SHLD

—

634

Activest Wealth Management SHLD

—

7,112

Buttonwood Financial Group, LLC SHLD

—

87,358

Bridgelight Financial Advisors, Inc. SHLD

—

111,700

UMB Private Wealth Management, LLC SHLD

—

645

COURIER CAPITAL LLC SHLD

—

13,101

Terra Nova Asset Management LLC SHLD

—

25,925

Retirement Wealth Solutions LLC SHLD

—

1,903

APS Management Group, Inc. SHLD

—

4,224

SWEENEY & MICHEL, LLC SHLD

—

5,017

NOVEM GROUP SHLD

—

28,741

SIGNATURE ESTATE & INVESTMENT ADVISORS LLC SHLD

—

4,182

CHATHAM CAPITAL GROUP, INC. SHLD

—

11,255

Balboa Wealth Partners SHLD

—

18,639

Emerald Advisors, LLC SHLD

—

11,394

XY Planning Network, Inc. SHLD

—

20,690

Showing the top 100 of 129 holders. Create a free account to see every holder, past quarters, search, filters and CSV export.