SETM · Sprott Critical Materials ETF · Holdings ETF

$28.76 -0.54 (-1.84%) At close · Oct 1

Volume · Oct 1 202.9K Avg daily vol (3M) 156.92K

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 →

Some SEC filings for this period have not finished importing. Holder totals and changes may be incomplete; these filings remain queued for recovery.

Quarter:

Holders: 111

Total Value: $247,280,762

Total Shares: 7,990,150

Showing 1–100 of 111 holdings by value · page 1 of 2

Institutional Ownership Trend

14 quarters

Holder Concentration

Across 111 13F filers · Δ vs Mar 31, 2026

Top Holder

11.6%

−8.4 pts

Top 5

37.7%

−12.5 pts

Top 10

58.2%

−3.8 pts

HHI

441

Broadly held−289

Quarterly Activity

vs Mar 31, 2026

New

Increased

Decreased

Sold Out

Unchanged

Holder count: +14

Institutional value: +49.6%

Shares held: +59.9%

Top Buyers

vs Mar 31, 2026

Institution	Added	Now Holds
Mega NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO	+515,559	516,911
Mid GTS SECURITIES LLC	+103,768	121,089
Small Stegent Equity Advisors, Inc.	+80,280	116,747
Mid C2P Capital Advisory Group, LLC d.b.a. Prosperity Capital Advisors	+66,644	103,159
Mega LPL Financial LLC	+52,825	139,993

Top Sellers

vs Mar 31, 2026

Institution	Sold	Now Holds
Mega JANE STREET GROUP, LLC	−194,601	344,648
Small Paul R. Ried Financial Group, LLC	−79,972	923,972
Mega Cetera Investment Advisers	−73,229	43,449
Small Triton Wealth Management, PLLC	−23,767	43,000
Small WT Wealth Management	−12,017	38,606

Top New Positions

vs Mar 31, 2026

Institution	Acquired	Value (USD)
Large Treasurer of the State of North Carolina	642,839	$20,030,863
Mid Perigon Wealth Management, LLC	460,258	$14,341,639
Mid Atria Investments, Inc	444,813	$13,860,373
Mega Sumitomo Mitsui Trust Group, Inc.	266,991	$8,319,439
Large Baird Financial Group, Inc.	112,831	$3,515,813

Top Sold-Out Positions

vs Mar 31, 2026

Institution	Previously Held	Last Value (USD)
Micro Willow Financial LLC	53,761	$1,778,413
Mid OLD MISSION CAPITAL LLC	30,657	$1,014,133
Mid PFG Advisors	28,301	$936,197
Large Mariner, LLC	22,218	$734,970
Mid Apollon Wealth Management, LLC	19,938	$659,549

Filter: New 32 Increased 50 Reduced 13 Sold out 18 Unchanged 16

Showing 100 of 111

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

Paul R. Ried Financial Group, LLC

$28,790,967

11.64%

923,972

Treasurer of the State of North Carolina

$20,030,863

8.10%

642,839

NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO

$16,106,946

6.51%

516,911

Perigon Wealth Management, LLC

$14,341,639

5.80%

460,258

Atria Investments, Inc

$13,860,373

5.61%

444,813

Thrivent Financial for Lutherans

$13,346,233

5.40%

428,313

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

Manager	Shares	Value (USD)	% of position	Discretion
Thrivent Advisor Network, LLC	428,313	$13,346,233	100.0%	Sole

BFI Infinity Ltd.

$12,596,523

5.09%

404,253

JANE STREET GROUP, LLC

$10,739,231

4.34%

344,648

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	344,648	$10,739,231	100.0%	Defined

Sumitomo Mitsui Trust Group, Inc.

$8,319,439

3.36%

266,991

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

Manager	Shares	Value (USD)	% of position	Discretion
AHAM Asset Management Berhad	266,991	$8,319,439	100.0%	Defined

RAYMOND JAMES FINANCIAL INC

$5,765,004

2.33%

185,013

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

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	97,071	$3,024,732	52.5%	Defined
Raymond James Financial Services Advisors, Inc.	87,942	$2,740,272	47.5%	Defined

COMMONWEALTH EQUITY SERVICES, LLC

$4,389,633

1.78%

140,874

LPL Financial LLC

$4,362,181

1.76%

139,993

STIFEL FINANCIAL CORP

$3,837,416

1.55%

123,152

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\	123,152	$3,837,416	100.0%	Defined

GTS SECURITIES LLC

$3,773,133

1.53%

121,089

Fortis Advisors, LLC

$3,700,405

1.50%

118,755

Stegent Equity Advisors, Inc.

$3,637,836

1.47%

116,747

Baird Financial Group, Inc.

$3,515,813

1.42%

112,831

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

Manager	Shares	Value (USD)	% of position	Discretion
Robert W. Baird & Co. Inc	112,831	$3,515,813	100.0%	Defined

TKG Advisors, LLC

$3,301,495

1.34%

105,953

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

$3,214,434

1.30%

103,159

Inspire Advisors, LLC

$3,192,342

1.29%

102,450

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

Manager	Shares	Value (USD)	% of position	Discretion
Inspire Investing, LLC	102,450	$3,192,342	100.0%	Defined

OSAIC HOLDINGS, INC.

$3,063,026

1.24%

98,300

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

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	76,903	$2,396,297	78.2%	Defined
LADENBURG THALMANN ASSET MANAGEMENT	6,004	$187,084	6.1%	Sole
Osaic Advisory Services, LLC	15,393	$479,645	15.7%	Defined

Cambridge Investment Research Advisors, Inc.

$2,999,181

1.21%

96,251

Empirical Asset Management, LLC

$2,851,576

1.15%

91,514

Carnegie Investment Counsel

$2,785,485

1.13%

89,393

Savvy Advisors, Inc.

$2,687,986

1.09%

86,264

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$2,553,686

1.03%

81,954

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

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	81,954	$2,553,686	100.0%	Other

ROYAL BANK OF CANADA

$2,487,189

1.01%

79,820

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	5,604	$174,620	7.0%	Defined
RBC Dominion Securities Inc.	71,660	$2,232,925	89.8%	Defined
RBC Private Counsel (USA) Inc.	2,556	$79,644	3.2%	Defined

Steward Partners Investment Advisory, LLC

$2,369,063

0.96%

76,029

D. E. Shaw & Co., Inc.

$2,316,372

0.94%

74,338

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

Manager	Shares	Value (USD)	% of position	Discretion
D. E. SHAW & CO, L.P.	74,338	$2,316,372	100.0%	Defined

ASSETMARK, INC

$2,302,568

0.93%

73,895

G&S Capital LLC

$2,246,885

0.91%

72,108

Vise Technologies, Inc.

$2,209,617

0.89%

70,912

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

$2,164,498

0.88%

69,464

Beacon Pointe Advisors, LLC

$1,653,256

0.67%

53,057

LeClair Wealth Partners LLC

$1,490,663

0.60%

47,839

ENVESTNET ASSET MANAGEMENT INC

$1,418,216

0.57%

45,514

Cetera Investment Advisers

$1,353,870

0.55%

43,449

Triton Wealth Management, PLLC

$1,339,880

0.54%

43,000

HighTower Advisors, LLC

$1,293,015

0.52%

41,496

Brookstone Capital Management

$1,287,157

0.52%

41,308

SCOTIA CAPITAL INC.

$1,223,466

0.49%

39,264

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

Manager	Shares	Value (USD)	% of position	Discretion
BANK OF NOVA SCOTIA	39,264	$1,223,466	100.0%	Defined

WT Wealth Management

$1,202,962

0.49%

38,606

Visionary Wealth Advisors

$1,161,115

0.47%

37,263

Ethos Financial Group, LLC

$1,135,221

0.46%

36,432

Janney Montgomery Scott LLC

$1,082,716

0.44%

34,747

PRIVATE TRUST CO NA

$1,049,749

0.42%

33,689

UBS Group AG

$965,554

0.39%

30,987

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

Manager	Shares	Value (USD)	% of position	Discretion
UBS AG	23,860	$743,477	77.0%	Defined
UBS Switzerland AG	7,127	$222,077	23.0%	Defined

Allied Private Wealth LLC

$890,802

0.36%

28,588

HRT FINANCIAL LP

$851,353

0.34%

27,322

Arax Advisory Partners

$729,736

0.30%

23,419

Harfst & Associates, Inc.

$729,611

0.30%

23,415

Dakota Wealth Management

$729,455

0.29%

23,410

Secure Asset Management, LLC

$723,722

0.29%

23,226

Cambridge Advisors Inc.

$722,475

0.29%

23,186

CATHY PARETO & ASSOCIATES, INC

$718,611

0.29%

23,062

Federation des caisses Desjardins du Quebec

$585,028

0.24%

18,775

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

Manager	Shares	Value (USD)	% of position	Discretion
Desjardins Securities inc.	1,630	$50,790	8.7%	Defined
Held directly	17,145	$534,238	91.3%	Defined

CITADEL ADVISORS LLC

$579,513

0.23%

18,598

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	18,598	$579,513	100.0%	Defined

Lane Generational LLC

$561,191

0.23%

18,010

MML INVESTORS SERVICES, LLC

$512,488

0.21%

16,447

Brookwood Investment Group LLC

$426,237

0.17%

13,679

TCFG Investment Advisors, LLC

$397,788

0.16%

12,766

Belpointe Asset Management LLC

$385,791

0.16%

12,381

ASHTON THOMAS SECURITIES, LLC

$374,574

0.15%

12,021

Financial Security Advisor, Inc.

$351,547

0.14%

11,282

TWO SIGMA SECURITIES, LLC

$328,332

0.13%

10,537

UNITED CAPITAL FINANCIAL ADVISORS, LLC

$325,715

0.13%

10,453

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

Manager	Shares	Value (USD)	% of position	Discretion
United Capital Financial Partners, LLC	10,453	$325,715	100.0%	Defined

TD Waterhouse Canada Inc.

$322,132

0.13%

10,338

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

Manager	Shares	Value (USD)	% of position	Discretion
TORONTO DOMINION BANK	10,338	$322,132	100.0%	Defined

CIBC WORLD MARKET INC.

$311,444

0.13%

9,995

New England Private Wealth Advisors LLC

$300,133

0.12%

9,632

TRANSCEND CAPITAL ADVISORS, LLC

$298,699

0.12%

9,586

PFG Investments, LLC

$269,471

0.11%

8,648

Mezzasalma Advisors, LLC

$261,401

0.11%

8,389

AE Wealth Management LLC

$254,639

0.10%

8,172

Cerity Partners LLC

$234,292

0.09%

7,519

Ameritas Advisory Services, LLC

$233,700

0.09%

7,500

Concurrent Investment Advisors, LLC

$230,584

0.09%

7,400

Arrowroot Family Office, LLC

$229,306

0.09%

7,359

Creative Planning

$225,785

0.09%

7,246

Summit Financial, LLC

$214,598

0.09%

6,887

Waverly Advisors, LLC

$175,399

0.07%

5,629

EverSource Wealth Advisors, LLC

$140,001

0.06%

4,493

NATIONAL BANK OF CANADA /FI/

$129,407

0.05%

4,153

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

Manager	Shares	Value (USD)	% of position	Discretion
National Bank Financial Inc.	4,153	$129,407	100.0%	Defined

Crewe Advisors LLC

$124,795

0.05%

4,005

JTC Employer Solutions Trustee Ltd

$121,524

0.05%

3,900

AdvisorNet Financial, Inc

$113,110

0.05%

3,630

BANK OF MONTREAL /CAN/

$74,378

0.03%

2,387

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

Manager	Shares	Value (USD)	% of position	Discretion
BMO NESBITT BURNS INC.	1,808	$56,337	75.7%	Defined
BMO PRIVATE INVESTMENT COUNSEL INC.	579	$18,041	24.3%	Defined

CREATIVE FINANCIAL DESIGNS INC /ADV

$66,464

0.03%

2,133

US BANCORP \DE\

$65,436

0.03%

2,100

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	2,100	$65,436	100.0%	Other

GFS Advisors, LLC

$52,972

0.02%

55,989

Allworth Financial LP

$49,263

0.02%

1,581

Geneos Wealth Management Inc.

$46,740

0.02%

1,500

MORGAN STANLEY

$46,303

0.02%

1,486

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

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY SMITH BARNEY LLC	1,486	$46,303	100.0%	Defined

PENSION & WEALTH MANAGEMENT ADVISORS, INC.

$40,196

0.02%

1,290

Clearstead Advisors, LLC

$32,125

0.01%

1,031

BlackRock, Inc.

$29,383

0.01%

943

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

Manager	Shares	Value (USD)	% of position	Discretion
SpiderRock Advisors, LLC	943	$29,383	100.0%	Sole

FARMERS & MERCHANTS INVESTMENTS INC

$28,044

0.01%

900

Keating Financial Advisory Services, Inc.

$26,704

0.01%

857

EVOLUTION WEALTH MANAGEMENT INC.

$24,304

0.01%

780

NFSG Corp

$24,149

0.01%

775

Parallel Advisors, LLC

$10,906

0.00%

350