|Security||SGDM / Sprott Gold Miners ETF (00162Q643)|
|Form N-Q Owners||1|
|Institutional Shares||1,218,627 (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 Date||Form||Investor||Opt||Prev Shares||Current Shares||Change
|Prev Value (x$1000)||Current Value (x$1000)||Change|
|Cetera Advisor Networks LLC||17,923||18,280||1.99||370||379||2.43|
|Tradewinds Capital Management, LLC||95||95||0.00||2||2||0.00|
|FIRST INTERSTATE BANK||872||0||-100.00||17||0||-100.00|
|Parallax Volatility Advisers, L.P.||1||1||0.00||0||0|
|BANK OF MONTREAL /CAN/||480||480||0.00||10||10||0.00|
|Jacobi Capital Management LLC||2,000||2,012||0.60||43||42||-2.33|
|National Planning Corp||29,270||58||-99.80||604||1,201||98.84|
|WELLS FARGO & COMPANY/MN||244,466||240,850||-1.48||5,041||4,988||-1.05|
|Bertolet Capital Trust (see advisory)|
|IFP Advisors, Inc||2,055||2,055||0.00||42||43||2.38|
|Edge Wealth Management LLC||500||500||0.00||10||10||0.00|
|BANK OF AMERICA CORP /DE/||13,215||18,913||43.12||273||392||43.59|
|Virtu Financial LLC||52,744||67,863||28.66||1,088||1,405||29.14|
|STIFEL FINANCIAL CORP||27,150||27,150||0.00||557||559||0.36|
|Prospera Financial Services||23,070||18,935||-17.92||486||402||-17.28|
|Portfolio Solutions, LLC||447||447||0.00||9||9||0.00|
|SII INVESTMENTS INC/WI||12,800||0||-100.00||264||0||-100.00|
|MACROVIEW INVESTMENT MANAGEMENT LLC||400||400||0.00||8||8||0.00|
|UBS Group AG||92,051||98,633||7.15||1,898||2,043||7.64|
|Ninepoint Partners Lp||95,100||0||-100.00||1,961||0||-100.00|
|RAYMOND JAMES & ASSOCIATES||67,808||67,217||-0.87||1,398||1,392||-0.43|
|LADENBURG THALMANN FINANCIAL SERVICES INC||52,458||57,074||8.80||1,082||1,182||9.24|
|Private Advisor Group, LLC||35,529||19,473||-45.19||737||404||-45.18|
|WESPAC Advisors SoCal, LLC||311||0||-100.00||6||0||-100.00|
|Raymond James Financial Services Advisors, Inc.||132,233||133,124||0.67||2,727||2,757||1.10|
|ROYAL BANK OF CANADA||91,402||89,915||-1.63||1,885||1,862||-1.22|
|Independence Advisors, LLC||30,306||0||-100.00||1,009||0||-100.00|
|Harel Insurance Investments & Financial Services Ltd.||600||13||12||-7.69|
|LPL Financial LLC||39,237||36,411||-7.20||809||754||-6.80|
|WEALTHSOURCE PARTNERS, LLC||30,089||32,002||6.36||620||663||6.94|
|Harfst & Associates, Inc.||100||0||-100.00||1||0||-100.00|
|First Allied Advisory Services, Inc.||0||5,602||0||115|
|WFG Advisors, LP||401||401||0.00||8||8||0.00|
|SEI INVESTMENTS CO||319||319||0.00||7||7||0.00|
|JANE STREET GROUP, LLC||153,225||13,742||-91.03||3,159||285||-90.98|
|Almanack Investment Partners, LLC.||5,512||0||-100.00||107||0||-100.00|
|Ballew Advisors, Inc||20,000||414|
|Advisor Group, Inc.||820||820||0.00||17||17||0.00|
|KELLY LAWRENCE W & ASSOCIATES INC/CA||400||400||0.00||8||8||0.00|
|USCA RIA LLC||25,700||532|
|Sloane Robinson LLP||50,086||39,242||-21.65||1,211||945||-21.97|
|D.A. DAVIDSON & CO.||910||0||-100.00||17||0||-100.00|
|SUSQUEHANNA INTERNATIONAL GROUP, LLP||26,143||27,108||3.69||539||561||4.08|
|Advisory Services Network, LLC||16,579||16,603||0.14||342||344||0.58|
|Atlantic Trust Group, LLC||500||10|
|IHT Wealth Management, LLC||1,840||1,840||0.00||39||38||-2.56|
|SCOTIA CAPITAL INC.||56,620||56,620||0.00||1,168||1,173||0.43|
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.
- 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!