TAFI · AB Tax-Aware Short Duration Municipal ETF · Holdings ETF

$24.80 +0.02 (+0.08%) At close · Oct 21

Volume · Oct 21 1.24M Avg daily vol (3M) 696.41K

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: 22

Total Value: $24,105,081

Total Shares: 980,679

Institutional Ownership Trend

17 quarters

Holder Concentration

Across 22 13F filers · Δ vs Jun 30, 2026

Top Holder

22.1%

−33.9 pts

Top 5

62.1%

−14.9 pts

Top 10

83.1%

−0.9 pts

HHI

1,175

Broadly held−2,110

Who Holds TAFI

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: 97 filers, like-for-like change +15.7%; actively managed books +15.6%; index-like books +17.8%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	68.1%	58	+15.0%	9	4
Adviser	0.5%	1	new	1	0
Bank	9.1%	7	+62.6%	0	0
Broker-dealer	8.4%	1	+1.2%	0	0
Holding company	8.2%	2	+15.2%	0	0
Unknown	5.6%	28	-8.6%	3	6

Style	Share	Filers	Change	New	Exited
Index-like	7.0%	2	+17.8%	1	0
Systematic-like	0.2%	2	+3906.1%	1	0
Concentrated	4.5%	20	+19.0%	2	2
Diversified active	88.3%	73	+15.2%	9	8
Not measured	0.0%	0	—	0	0
Unknown	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	96.6%	74	+16.6%	7	6
Medium turnover	1.5%	10	-5.9%	2	1
High turnover	1.1%	6	+11.5%	2	2
Unknown	0.8%	7	-19.9%	2	1
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	1.0%	9	-17.2%	3	2
Medium horizon	5.9%	21	+28.3%	5	1
Long horizon	92.7%	65	+15.6%	5	7
Unknown	0.4%	2	+1.1%	0	0
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	4.2%	30	+11.3%	5	1
$1B to $10B	4.8%	25	+0.4%	4	6
$10B to $100B	7.8%	26	+16.5%	1	2
$100B or more	83.2%	16	+16.9%	3	1
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	11.7%	52	+24.9%	8	3
Pooled investment vehicles	0.3%	2	+94.0%	1	0
Insurance companies	0.0%	1	0.0%	0	0
Other investment advisers	0.0%	1	+2.4%	0	0
Diversified	56.1%	2	+13.0%	0	0
Pension and profit sharing plans	0.0%	0	-100.0%	0	1
Corporations	0.0%	0	—	0	0
Unknown	31.9%	39	+17.3%	4	6

Private funds	Share	Filers	Change	New	Exited
Hedge funds	0.5%	4	+88.9%	1	0
Private equity funds	0.1%	1	-84.3%	0	1
Real estate funds	0.2%	1	+185.0%	0	0
Other private funds	1.4%	4	+15.8%	0	0
Mixed private funds	56.0%	1	+13.1%	0	0
No private funds	9.9%	47	+28.6%	8	3
Unknown	31.9%	39	+17.3%	4	6

Location	Share	Filers	Change	New	Exited
United States	97.1%	95	+15.3%	13	10
Outside the US	2.9%	2	+34.0%	0	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 2026-06-30 13F.

Conviction and Crowding

97 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

4.12% of filers hold it in their top 10

Mar 31, 2026: 7

Holders above 5%

median weight 0.022%

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

84.0%

of 13F shares, Herfindahl 0.329

Active holders

+15.6%

like-for-like share change of active filers

5% stakes on record

0 13D, 0 13G

How long holders have held it value-weighted 13.1 quarters

Under 1 year 5.14% 1 to 3 years 23.1% 3 years or more 71.7% 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

$25.15

estimated per share

Mar 31, 2026: $25.15

Quarter-end price

$25.22

implied by 13F values

Estimated gain or loss

+0.3%

price against the estimated cost

Estimated at a loss

14.1%

of costed 13F value

Estimated cost covers 39.8% 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: -75

Institutional value: -97.9%

Shares held: -97.9%

Top Buyers

vs Jun 30, 2026

Institution	Added	Now Holds
Small Fluent Financial, LLC	+58,186	216,410
Small Tempo Wealth, LLC	+36,805	51,266
Large Concurrent Investment Advisors, LLC	+28,635	204,839
Small ENCOMPASS WEALTH ADVISORS, LLC	+17,700	35,400
Large MATHER GROUP, LLC.	+2,422	24,002

Top Sellers

vs Jun 30, 2026

Institution	Sold	Now Holds
Large DAVENPORT & Co LLC	−24,772	44,565
Mid Atria Investments, Inc	−7,629	8,725
Large WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	−7,150	44,972
Small KENNEDY INVESTMENT GROUP, INC.	−3,672	47,372
Micro TME FINANCIAL, INC.	−2,270	33,930

Top New Positions

vs Jun 30, 2026

Institution	Acquired	Value (USD)
Small Schear Investment Advisers, LLC	51,266	$1,260,118
Mid Dynamic Advisor Solutions LLC	23,100	$567,798
Small Three Magnolias Financial Advisors, LLC	12,999	$319,515
Mid CoreCap Advisors, LLC	10,983	$269,962
Large Farther Finance Advisors, LLC	5,293	$130,101

Top Sold-Out Positions

vs Jun 30, 2026

Institution	Previously Held	Last Value (USD)	Open
Small Detalus Advisors, LLC	9,805	$247,282
Large ASSETMARK, INC	13	$327

Filter: New 5 Increased 5 Reduced 7 Sold out 2 Unchanged 5

Holder type: Registered adviser 14 Unknown 8

Showing 22 of 22

All Common Calls Puts

Compact Export CSV

Holder	Value (USD)	% of 13F	Shares	Own %	Change	Type	Filed
Small Fluent Financial, LLC Registered adviser TAFI	$5,319,357	22.07%	216,410	—	+58,186 +36.8%	Shares	2026-10-13
Large Concurrent Investment Advisors, LLC Registered adviser TAFI	$5,034,942	20.89%	204,839	—	+28,635 +16.3%	Shares	2026-10-16
Small Whipplewood Advisors, LLC TAFI	$2,087,481	8.66%	84,926	—	-1,442 -1.7%	Shares	2026-10-20
Small Tempo Wealth, LLC TAFI	$1,260,118	5.23%	51,266	—	+36,805 +254.5%	Shares	2026-10-14
Small Schear Investment Advisers, LLC TAFI	$1,260,118	5.23%	51,266	—	New	Shares	2026-10-14
Small KENNEDY INVESTMENT GROUP, INC. TAFI	$1,164,403	4.83%	47,372	—	-3,672 -7.2%	Shares	2026-10-21
Large WEALTH ENHANCEMENT ADVISORY SERVICES, LLC TAFI	$1,105,411	4.59%	44,972	—	-7,150 -13.7%	Shares	2026-10-13
Large DAVENPORT & Co LLC Registered adviser TAFI	$1,095,407	4.54%	44,565	—	-24,772 -35.7%	Shares	2026-10-14
Small ENCOMPASS WEALTH ADVISORS, LLC Registered adviser TAFI	$870,132	3.61%	35,400	—	+17,700 +100.0%	Shares	2026-10-15
Micro TME FINANCIAL, INC. Registered adviser TAFI	$833,999	3.46%	33,930	—	-2,270 -6.3%	Shares	2026-10-14
Small Legacy Capital Wealth Partners, LLC Registered adviser TAFI	$735,703	3.05%	29,931	—	0 0.0%	Shares	2026-10-21
Large MATHER GROUP, LLC. Registered adviser TAFI	$589,969	2.45%	24,002	—	+2,422 +11.2%	Shares	2026-10-14
Mid Dynamic Advisor Solutions LLC TAFI	$567,798	2.36%	23,100	—	New	Shares	2026-10-13
Mid AlphaStar Capital Management, LLC Registered adviser TAFI	$491,600	2.04%	20,000	—	0 0.0%	Shares	2026-10-16
Small Three Magnolias Financial Advisors, LLC TAFI	$319,515	1.33%	12,999	—	New	Shares	2026-10-14
Small Worth Financial Advisory Group, LLC Registered adviser TAFI	$275,984	1.14%	11,228	—	0 0.0%	Shares	2026-10-19
Mid CoreCap Advisors, LLC Registered adviser TAFI	$269,962	1.12%	10,983	—	New	Shares	2026-10-08
Small Alliance Wealth Advisors, LLC Registered adviser TAFI	$240,884	1.00%	9,800	—	0 0.0%	Shares	2026-10-14
Mid Atria Investments, Inc Registered adviser TAFI	$214,460	0.89%	8,725	—	-7,629 -46.6%	Shares	2026-10-15
Large Farther Finance Advisors, LLC Registered adviser TAFI	$130,101	0.54%	5,293	—	New	Shares	2026-10-08
Mid PRIVATE TRUST CO NA TAFI	$126,685	0.53%	5,154	—	-764 -12.9%	Shares	2026-10-20
Small Princeton Global Asset Management LLC Registered adviser TAFI	$111,052	0.46%	4,518	—	0 0.0%	Shares	2026-10-21
Small Detalus Advisors, LLC Registered adviser TAFI	$247,282	1.03%	9,805	—	Sold Out	Shares	2026-07-27
Large ASSETMARK, INC Registered adviser TAFI	$327	0.00%	13	—	Sold Out	Shares	2026-07-30
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