SecuritySGDM / Sprott Gold Miners ETF (00162Q643)
Institutional Owners42
Form N-Q Owners1
Institutional Shares1,218,627 (ex. N-Q)
Institutional Value$ 26,587,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

Sprott Gold Miners ETF (NYSE:SGDM) has 42 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 1,218,627 shares. Largest shareholders include Wells Fargo & Company/mn, Raymond James Financial Services Advisors, Inc., UBS Group AG, Royal Bank Of Canada, Morgan Stanley, Virtu Financial LLC, Raymond James & Associates, Ladenburg Thalmann Financial Services Inc, Scotia Capital Inc., and Sloane Robinson LLP.

Sprott Gold Miners ETF (NYSE:SGDM) ownership summary shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.

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File DateFormInvestor Opt Prev Shares Current Shares Change
(Percent)
Prev Value (x$1000) Current Value (x$1000) Change
(Percent)
2018-02-08 13F-HR Cetera Advisor Networks LLC 17,923 18,280 1.99 370 379 2.43
2018-02-01 13F-HR Tradewinds Capital Management, LLC 95 95 0.00 2 2 0.00
2017-11-08 13F-HR FIRST INTERSTATE BANK 872 0 -100.00 17 0 -100.00
2018-02-14 13F-HR Parallax Volatility Advisers, L.P. 1 1 0.00 0 0
2018-01-16 13F-HR BANK OF MONTREAL /CAN/ 480 480 0.00 10 10 0.00
2018-02-05 13F-HR Jacobi Capital Management LLC 2,000 2,012 0.60 43 42 -2.33
2018-02-14 13F-HR National Planning Corp 29,270 58 -99.80 604 1,201 98.84
2018-02-14 13F-HR BARCLAYS PLC 792 792 0.00 16 16 0.00
2018-02-08 13F-HR WELLS FARGO & COMPANY/MN 244,466 240,850 -1.48 5,041 4,988 -1.05
2017-10-04 N-Q Bertolet Capital Trust (see advisory)
2018-01-24 13F-HR IFP Advisors, Inc 2,055 2,055 0.00 42 43 2.38
2018-01-17 13F-HR Edge Wealth Management LLC 500 500 0.00 10 10 0.00
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ 13,215 18,913 43.12 273 392 43.59
2018-02-09 13F-HR Virtu Financial LLC 52,744 67,863 28.66 1,088 1,405 29.14
2018-02-14 13F-HR STIFEL FINANCIAL CORP 27,150 27,150 0.00 557 559 0.36
2018-01-23 13F-HR Prospera Financial Services 23,070 18,935 -17.92 486 402 -17.28
2018-02-14 13F-HR SPROTT INC. 11,145 0 -100.00 230 0 -100.00
2018-01-16 13F-HR Portfolio Solutions, LLC 447 447 0.00 9 9 0.00
2018-02-14 13F-HR MORGAN STANLEY 95,565 73,050 -23.56 1,970 1,512 -23.25
2018-02-09 13F-HR SII INVESTMENTS INC/WI 12,800 0 -100.00 264 0 -100.00
2018-01-25 13F-HR MACROVIEW INVESTMENT MANAGEMENT LLC 400 400 0.00 8 8 0.00
2018-02-14 13F-HR UBS Group AG 92,051 98,633 7.15 1,898 2,043 7.64
2018-02-12 13F-HR Ninepoint Partners Lp 95,100 0 -100.00 1,961 0 -100.00
2018-02-14 13F-HR RAYMOND JAMES & ASSOCIATES 67,808 67,217 -0.87 1,398 1,392 -0.43
2018-02-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 52,458 57,074 8.80 1,082 1,182 9.24
2018-02-07 13F-HR Private Advisor Group, LLC 35,529 19,473 -45.19 737 404 -45.18
2017-10-17 13F-HR Creative Planning 2,006 0 -100.00 39 0 -100.00
2018-02-12 13F-HR CITIGROUP INC 4,000 4,000 0.00 82 83 1.22
2018-02-13 13F-HR WESPAC Advisors SoCal, LLC 311 0 -100.00 6 0 -100.00
2018-02-09 13F-HR Raymond James Financial Services Advisors, Inc. 132,233 133,124 0.67 2,727 2,757 1.10
2018-02-14 13F-HR ROYAL BANK OF CANADA 91,402 89,915 -1.63 1,885 1,862 -1.22
2017-10-16 13F-HR Independence Advisors, LLC 30,306 0 -100.00 1,009 0 -100.00
2018-02-01 13F-HR Harel Insurance Investments & Financial Services Ltd. 600 13 12 -7.69
2018-02-14 13F-HR LPL Financial LLC 39,237 36,411 -7.20 809 754 -6.80
2018-02-16 13F-HR WEALTHSOURCE PARTNERS, LLC 30,089 32,002 6.36 620 663 6.94
2017-11-07 13F-HR Harfst & Associates, Inc. 100 0 -100.00 1 0 -100.00
2018-02-08 13F-HR First Allied Advisory Services, Inc. 0 5,602 0 115
2017-08-18 13F-HR WFG Advisors, LP 401 401 0.00 8 8 0.00
2018-02-08 13F-HR SEI INVESTMENTS CO 319 319 0.00 7 7 0.00
2018-02-15 13F-HR JANE STREET GROUP, LLC 153,225 13,742 -91.03 3,159 285 -90.98
2017-11-13 13F-HR Almanack Investment Partners, LLC. 5,512 0 -100.00 107 0 -100.00
2018-01-30 13F-HR Ballew Advisors, Inc 20,000 414
2018-02-14 13F-HR Advisor Group, Inc. 820 820 0.00 17 17 0.00
2018-02-14 13F-HR KELLY LAWRENCE W & ASSOCIATES INC/CA 400 400 0.00 8 8 0.00
2018-02-09 13F-HR USCA RIA LLC 25,700 532
2018-02-12 13F-HR Sloane Robinson LLP 50,086 39,242 -21.65 1,211 945 -21.97
2017-11-08 13F-HR D.A. DAVIDSON & CO. 910 0 -100.00 17 0 -100.00
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 26,143 27,108 3.69 539 561 4.08
2018-02-08 13F-HR Advisory Services Network, LLC 16,579 16,603 0.14 342 344 0.58
2018-02-12 13F-HR Atlantic Trust Group, LLC 500 10
2018-02-14 13F-HR IHT Wealth Management, LLC 1,840 1,840 0.00 39 38 -2.56
2018-02-13 13F-HR SCOTIA CAPITAL INC. 56,620 56,620 0.00 1,168 1,173 0.43

Form N-Q Advisory - Experimental Feature Here!

We have recently started to include coverage of N-Q filers in our ownership database. N-Q forms are unstructured and difficult for machines to parse into accurate financial data.

However, Because of the large number of these institutions and this difficulty in tracking their positions, they represent a significant, yet hidden, market force. In an effort to widen our ownership coverage and provide greater transparency, we are testing various ways to expose these owners in an accurate manner. This early version of the crawler simply identifies mentions of companies in the N-Q forms.

Limitations:

  • We only list underlying securities (the ordinary shares), even though the actual security held might be a derivative or a related bond issue. For example, although the institution is shown on this security page ( SGDM / Sprott Gold Miners ETF ), the institution may actually own a related security such as a preferred share or a bond. To find out the exact security, click on the institution link and then follow the link to the actual "N-Q".
  • We only list fund sponsors as institutions, even though the security might be held within a fund operated by the listed institution.. For example, the institution listed in the table as the owner is probably a sponsor of a family of ETFs or mutual funds. If so, then this security is owned by a fund or several funds within the family, and not directly owned by the listed institution. The crawler is not yet able to place these holdings within the individual funds. Atain, you must review the actual filing to see the detail.

These limitations are significant but we believe that the increased transparency outweights the limitations. Future revisions of the crawler will resolve these limitations. Use this information at your own risk!

CUSIP: 00162Q643