SecuritySGDM / Sprott Gold Miners ETF (00162Q643)
Institutional Owners42 (2 N-Q Owners)
Institutional Shares1,085,869 (ex. N-Q)
Institutional Value$ 21,142,000 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 1,085,869 shares. Largest shareholders include Wells Fargo & Company/mn, Raymond James Financial Services Advisors, Inc., Royal Bank Of Canada, UBS Group AG, Raymond James & Associates, Morgan Stanley, Scotia Capital Inc., Ladenburg Thalmann Financial Services Inc, Sloane Robinson LLP, and LPL Financial LLC.
Sprott Gold Miners ETF (NYSE:SGDM) ownership structure 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.

File DateFormInvestor Opt Prev
Shares
Current
Shares
Change
(Percent)
Prev Value
($1000)
Current Value
($1000)
Change
(Percent)
2018-05-15 13F-HR LPL Financial LLC 36,411 36,719 0.85 754 720 -4.51
2018-05-15 13F-HR JANE STREET GROUP, LLC 13,742 27,326 98.85 285 536 88.07
2018-05-09 13F-HR IFP Advisors, Inc 2,055 1,555 -24.33 43 30 -30.23
2018-04-04 N-Q Bertolet Capital Trust (see advisory)
2018-04-05 13F-HR Edge Wealth Management LLC 500 500 0.00 10 10 0.00
2018-05-11 13F-HR SEI INVESTMENTS CO 319 144 -54.86 7 3 -57.14
2018-02-12 13F-HR Ninepoint Partners Lp 95,100 0 -100.00 1,961 0 -100.00
2018-05-15 13F-HR Advisor Group, Inc. 820 820 0.00 17 16 -5.88
2018-05-15 13F-HR BLAIR WILLIAM & CO/IL 2,300 45
2018-02-13 13F-HR WESPAC Advisors SoCal, LLC 311 0 -100.00 6 0 -100.00
2018-05-15 13F-HR Virtue Capital Management, Llc 75 1
2018-04-12 13F-HR Prospera Financial Services 18,935 15,570 -17.77 402 303 -24.63
2018-05-15 13F-HR TWO SIGMA SECURITIES, LLC 10,852 213
2018-05-07 13F-HR MACROVIEW INVESTMENT MANAGEMENT LLC 400 400 0.00 8 8 0.00
2018-05-07 13F-HR Strategic Wealth Advisors Group,Inc. 16,366 13,379 -18.25 342 262 -23.39
2018-04-16 13F-HR National Planning Corp 58 0 -100.00 1,201 0 -100.00
2018-05-14 13F-HR IHT Wealth Management, LLC 1,840 1,840 0.00 38 37 -2.63
2018-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 27,108 0 -100.00 561 0 -100.00
2018-05-14 13F-HR/A CITADEL ADVISORS LLC 0 15,030 0 295
2018-02-14 13F-HR SPROTT INC. 11,145 0 -100.00 230 0 -100.00
2018-05-15 13F-HR SCOTIA CAPITAL INC. 56,620 51,270 -9.45 1,173 1,005 -14.32
2018-05-14 13F-HR MORGAN STANLEY 73,050 57,308 -21.55 1,512 1,123 -25.73
2018-05-11 13F-HR CITIGROUP INC 4,000 4,000 0.00 83 78 -6.02
2018-04-11 13F-HR Portfolio Solutions, LLC 447 447 0.00 9 9 0.00
2018-05-03 13F-HR Jacobi Capital Management LLC 2,012 2,012 0.00 42 40 -4.76
2018-05-18 13F-HR/A ROYAL BANK OF CANADA 89,915 86,863 -3.39 1,862 1,703 -8.54
2018-05-15 13F-HR Parallax Volatility Advisers, L.P. 1 1 0.00 0 0
2018-04-30 13F-HR Harel Insurance Investments & Financial Services Ltd. 600 12 12 0.00
2018-05-15 13F-HR BARCLAYS PLC 792 792 0.00 16 16 0.00
2018-05-09 13F-HR Private Advisor Group, LLC 19,473 0 -100.00 404 0 -100.00
2018-05-07 13F-HR Ballew Advisors, Inc 20,000 20,000 0.00 414 392 -5.31
2018-05-15 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 57,074 43,767 -23.32 1,182 858 -27.41
2018-05-14 13F-HR Sloane Robinson LLP 39,242 39,242 0.00 945 863 -8.68
2018-04-16 13F-HR/A WEALTHSOURCE PARTNERS, LLC 32,002 33,723 5.38 663 661 -0.30
2018-05-17 13F-HR Atlantic Trust Group, LLC 500 500 0.00 10 10 0.00
2018-05-02 13F-HR Tradewinds Capital Management, LLC 95 95 0.00 2 2 0.00
2018-05-14 13F-HR RAYMOND JAMES & ASSOCIATES 67,217 76,660 14.05 1,392 1,503 7.97
2018-04-16 13F-HR Raymond James Financial Services Advisors, Inc. 133,124 144,400 8.47 2,757 2,832 2.72
2018-05-09 13F-HR Cetera Advisor Networks LLC 18,280 18,990 3.88 379 373 -1.58
2018-04-27 N-Q Alps Etf Trust (see advisory)
2018-05-15 13F-HR BANK OF AMERICA CORP /DE/ 18,913 22,026 16.46 392 432 10.20
2018-05-02 13F-HR WELLS FARGO & COMPANY/MN 240,850 161,188 -33.08 4,988 3,161 -36.63
2018-05-11 13F-HR STIFEL FINANCIAL CORP 27,150 26,200 -3.50 559 518 -7.33
2018-05-14 13F-HR Virtu Financial LLC 67,863 32,201 -52.55 1,405 631 -55.09
2018-05-09 13F-HR USCA RIA LLC 25,700 28,500 10.89 532 559 5.08
2018-02-09 13F-HR SII INVESTMENTS INC/WI 12,800 0 -100.00 264 0 -100.00
2018-05-11 13F-HR First Allied Advisory Services, Inc. 5,602 0 -100.00 115 0 -100.00
2018-05-15 13F-HR UBS Group AG 98,633 79,412 -19.49 2,043 1,558 -23.74
2018-04-13 13F-HR BANK OF MONTREAL /CAN/ 480 0 -100.00 10 0 -100.00
2018-04-23 13F-HR Advisory Services Network, LLC 16,603 16,084 -3.13 344 315 -8.43
2018-05-11 13F-HR Empirical Financial Services, LLC 13,078 9
2018-05-15 13F-HR KELLY LAWRENCE W & ASSOCIATES INC/CA 400 0 -100.00 8 0 -100.00

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!

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CUSIP: 00162Q643