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Disclosery

PREF PRINCIPAL EXCHANGE TRADED FD

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SPECTRUM PFD (fund)

124 managers (125 13F filers) reported a position in PREF shares at 2025-09-30, 53,714,112 shares in all. 11 filers opened a position and 12 filers sold out during the quarter.

Managers
124
13F filers
125
New
11
Added
60
Reduced
36
Sold out
12
Shares held by filers
53,714,112

Shares held by filers adds up every 13F filer's report, so a share reported by a parent and by its subsidiary counts twice (H9). Managers counts each filer group once.

13D and 13G filers

No 13D or 13G on this security in the data. Structured 13D/G data starts 2024-12-18.

Insider trades

No Form 4 transaction on this security in the data.

13F holders, Q3 2025

Filers in the available 13F reports with a share position at 2025-09-30, filer groups collapsed to one row (method), largest first. Options and principal amounts are left out. A group row states no % of portfolio, since each member reports its own portfolio: the members' percents are listed under it. A value about 1,000 times or 1/1,000 of the price other filers imply is shown as filed but neither ranks the row nor enters a sum.

HolderSharesValue% of portfolioChangeSource
BANK OF AMERICA CORP /DE/in group BANK OF AMERICA CORP /DE/10,746,893$206M0.02%+524,87013F-HR/ATimelineGroup
UBS Group AGin group UBS Group AG7,083,973$136M0.03%+162,00813F-HRTimelineGroup
MORGAN STANLEYin group MORGAN STANLEY6,594,391$126M0.01%+437,39813F-HR/ATimelineGroup
WELLS FARGO & COMPANY/MNin group WELLS FARGO & COMPANY/MN3,592,561$68.8M0.01%+342,53413F-HRTimelineGroup
ROYAL BANK OF CANADAin group ROYAL BANK OF CANADA3,106,603$59.5M0.01%+33,56413F-HRTimelineGroup
LPL Financial LLC2,721,869$52.1M0.02%-69,61413F-HRTimeline
IFC Advisors LLC2,622,964$50.2M9.2%-196,17813F-HRTimeline
RAYMOND JAMES FINANCIAL INCin group RAYMOND JAMES FINANCIAL INC1,684,126$32.2M0.01%+151,48513F-HRTimelineGroup
Permanens Capital L.P.1,468,514$28.1M4.19%-52,21513F-HRTimeline
WEALTH ENHANCEMENT ADVISORY SERVICES, L…1,209,282$23.1M0.03%-4,45713F-HRTimeline
AMERIPRISE FINANCIAL INCin group AMERIPRISE FINANCIAL INC1,080,140$20.7M<0.01%new13F-HRTimelineGroup
PRINCIPAL FINANCIAL GROUP INCgroup of 2 filers holding944,080$18.1M+230,698Timeline
BENJAMIN EDWARDS INCin group BENJAMIN EDWARDS INC708,716$13.6M0.15%+15,64713F-HRTimelineGroup
Bensler, LLC642,765$12.3M1.28%+60,68713F-HRTimeline
ENVESTNET ASSET MANAGEMENT INCin group ENVESTNET ASSET MANAGEMENT INC640,491$12.3M<0.01%+237,01513F-HRTimelineGroup
CORNERSTONE ADVISORS ASSET MANAGEMENT, …563,152$10.8M1.88%+37,20413F-HRTimeline
Mariner, LLCin group Mariner, LLC514,999$9.86M0.01%+10,24213F-HRTimelineGroup
Berger Financial Group, Inc430,277$8.24M0.49%+5,06013F-HRTimeline
Tyche Wealth Partners LLC401,701$7.69M1.35%-6,44713F-HRTimeline
ROGCO, LP383,703$7.34M2.58%+3,01913F-HRTimeline
NewEdge Advisors, LLC299,184$5.73M0.03%+140,50213F-HRTimeline
COMMONWEALTH EQUITY SERVICES, LLC287,794$5.51M0.01%-17,44213F-HRTimeline
PSI Advisors, LLC285,922$5.47M1.41%new13F-HRTimeline
L2 Asset Management, LLC261,442$5M0.72%new13F-HRTimeline
Kestra Advisory Services, LLCin group Kestra Advisory Services, LLC254,632$4.87M0.02%+18,68813F-HRTimelineGroup
Ocean Park Asset Management, LLC246,100$4.71M0.19%new13F-HRTimeline
Baird Financial Group, Inc.in group Baird Financial Group, Inc.245,873$4.71M0.01%-46,55113F-HRTimelineGroup
Focus Partners Wealthin group Focus Partners Wealth244,560$4.68M0.01%+1,64013F-HRTimelineGroup
Grey Ledge Advisors, LLC240,643$4.6M1.04%+16,36813F-HRTimeline
AXS Investments LLC192,568$3.69M1.16%-35,21013F-HR/ATimeline
Private Advisor Group, LLC187,379$3.59M0.02%+5,59213F-HRTimeline
Creative Planningin group Creative Planning140,577$2.69M<0.01%+2,19013F-HRTimelineGroup
MainStreet Investment Advisors LLC136,489$2.61M0.35%+5,44813F-HRTimeline
Meadow Creek Wealth Advisors LLC136,569$2.61M1.73%+6,13413F-HRTimeline
J.W. COLE ADVISORS, INC.136,138$2.61M0.05%-64813F-HRTimeline
MassMutual Private Wealth & Trust, FSB132,969$2.55M0.06%+3,78313F-HRTimeline
Legacy Bridge, LLC129,345$2.48M1.03%-1,01513F-HRTimeline
Rockefeller Capital Management L.P.in group Rockefeller Capital Managemen…119,039$2.28M<0.01%+1,65613F-HRTimelineGroup
Fiduciary Alliance LLC118,294$2.26M0.15%+15,19913F-HRTimeline
&PARTNERS104,577$2M0.01%+9,84413F-HRTimeline
INSIGNEO ADVISORY SERVICES, LLC102,881$1.97M0.14%+67,44713F-HRTimeline
Willis Johnson & Associates, Inc.101,442$1.94M0.12%-1,20313F-HRTimeline
INVESTMENT PARTNERS, LTD.99,541$1.91M0.67%013F-HRTimeline
COMERICA BANK95,318$1.82M0.01%+6,06213F-HRTimeline
IBEX WEALTH ADVISORS94,264$1.8M0.17%-1,35913F-HRTimeline
DEARBORN PARTNERS LLC90,032$1.72M0.08%+5,74813F-HRTimeline
STIFEL FINANCIAL CORPin group STIFEL FINANCIAL CORP86,416$1.65M<0.01%+57113F-HRTimelineGroup
OSAIC HOLDINGS, INC.in group OSAIC HOLDINGS, INC.85,213$1.63M<0.01%+6,67013F-HRTimelineGroup
Gilliland Jeter Wealth Management LLC78,848$1.51M0.47%+23313F-HRTimeline
Sanctuary Advisors, LLC74,564$1.43M0.01%+9,31913F-HR/ATimeline
Lifeworks Advisors, LLC71,789$1.37M0.18%-1,58613F-HRTimeline
Cerity Partners LLCin group Cerity Partners LLC67,243$1.29M<0.01%-11,10313F-HRTimelineGroup
TRUIST FINANCIAL CORPin group TRUIST FINANCIAL CORP66,150$1.27M<0.01%+9,91313F-HRTimelineGroup
FLAGSTAR SECURITIES, INCin group FLAGSTAR SECURITIES, INC66,118$1.27M0.39%-12,46013F-HRTimelineGroup
FourThought Financial Partners, LLC63,890$1.22M0.11%+7,61213F-HRTimeline
First Citizens Financial Corp59,335$1.14M0.56%+8,48813F-HRTimeline
Smartleaf Asset Management LLC59,095$1.13M0.07%-91513F-HRTimeline
Capital Investment Advisory Services, L…57,759$1.11M0.09%+2,15613F-HRTimeline
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC55,610$1.06M0.02%+11,72513F-HRTimeline
FLYNN ZITO CAPITAL MANAGEMENT, LLC54,209$1.04M0.38%-63,17713F-HRTimeline
MML INVESTORS SERVICES, LLC51,238$981K<0.01%+12,81213F-HRTimeline
Bank of New York Mellon Corpin group Bank of New York Mellon Corp48,153$922K<0.01%+10,12913F-HRTimelineGroup
Essex Financial Services, Inc.in group Essex Financial Services, Inc.47,378$907K0.05%013F-HRTimelineGroup
LexAurum Advisors, LLC44,477$851K0.12%+9,98913F-HRTimeline
Wealthcare Advisory Partners LLCin group Wealthcare Advisory Partners …44,476$851K0.02%-6713F-HRTimelineGroup
Mirae Asset Global Investments Co., Ltd.in group Mirae Asset Global Investment…43,829$839K<0.01%-59,00013F-HRTimelineGroup
CAPITAL & PLANNING, LLC38,565$738K0.46%+22513F-HRTimeline
Mechanics Financial Corp36,894$706K0.27%+20013F-HRTimeline
SCHNIEDERS CAPITAL MANAGEMENT, LLC.36,650$701K0.13%13F-HRTimeline
Waverly Advisors, LLC32,941$630K0.01%-1,30013F-HRTimeline
Activest Wealth Management32,306$618K0.13%-7,16813F-HRTimeline
Argent Trust Co30,673$587K0.02%-1,42313F-HRTimeline
U.S. Capital Wealth Advisors, LLC30,618$586K0.02%-5,53913F-HRTimeline
Coastal Bridge Advisors, LLC30,517$584K0.04%+4,85413F-HRTimeline
BTG Pactual Asset Management US LLCin group BTG Pactual Asset Management …30,136$572K0.07%+2,11113F-HRTimelineGroup
UMB Bank, n.a.28,933$554K0.01%-25,07213F-HRTimelineThe filing omitted confidential holdings, a later amendment may add them.
Pinnacle Financial Partners Inc27,460$526K0.01%-2,81213F-HRTimeline
CITADEL ADVISORS LLCin group CITADEL ADVISORS LLC26,385$505K<0.01%new13F-HRTimelineGroup
Heritage Wealth Management, Inc.25,882$495K0.15%+58213F-HRTimeline
EVERETT HARRIS & CO /CA/23,500$450K0.01%013F-HRTimeline
MBL Wealth, LLC23,000$440K0.04%new13F-HRTimeline
Cambridge Investment Research Advisors,…22,658$434K<0.01%+91913F-HRTimeline
Resurgent Financial Advisors LLC21,872$419K0.21%+11,60413F-HRTimeline
STEPHENS INC /AR/in group Stephens Investment Managemen…20,688$396K0.01%+27113F-HRTimelineGroup
FSC Wealth Advisors, LLC20,475$392K0.23%+2,80013F-HRTimeline
Whipplewood Advisors, LLC19,818$379K0.25%+23513F-HRTimeline
Platform Technology Partners19,000$364K0.09%013F-HRTimeline
XML Financial, LLC18,947$363K0.03%+22913F-HRTimeline
Boreal Capital Management LLC16,818$322K0.26%-50,07613F-HRTimeline
W.G. Shaheen & Associates DBA Whitney &…16,500$316K0.03%013F-HRTimeline
Jacobi Capital Management LLC15,914$305K0.02%-86913F-HRTimeline
Advisory Services Network, LLC15,712$301K<0.01%new13F-HRTimeline
EHRLICH FINANCIAL GROUP15,144$290K0.17%-1,45313F-HRTimeline
ADAPT WEALTH ADVISORS, LLC14,874$285K0.11%new13F-HRTimeline
VestGen Advisors, LLC14,694$281K0.01%013F-HRTimeline
AXXCESS WEALTH MANAGEMENT, LLC13,610$260K0.01%+813F-HRTimeline
Cetera Investment Advisers12,836$246K<0.01%new13F-HRTimeline
SOUTH PLAINS FINANCIAL, INC.11,787$225K0.14%013F-HRTimeline
Main Street Financial Solutions, LLC11,536$221K0.01%+14013F-HRTimeline
Griffith & Werner, Inc.11,392$218K0.11%13F-HRTimeline
PRIVATE TRUST CO NA10,868$208K0.02%+4,77413F-HRTimeline
WealthShield Partners, LLC10,837$207K0.02%+2313F-HRTimeline
CWM, LLCin group CWM, LLC10,827$207K<0.01%+29213F-HRTimelineGroup
DAVENPORT & Co LLC10,703$205K<0.01%-1,05013F-HRTimeline
FIDELIS CAPITAL PARTNERS, LLC10,111$194K0.02%013F-HRTimeline
2UniFi Bank9,700$186K0.09%-40013F-HRTimeline
Provenance Wealth Advisors, LLC8,205$157K0.02%013F-HRTimeline
Pinnacle Bancorp, Inc.6,135$117K0.03%013F-HRTimeline
HARBOR INVESTMENT ADVISORY, LLC5,000$95.7K0.01%013F-HRTimeline
IFP Advisors, Inc2,553$48.9K<0.01%-16,98713F-HR/ATimeline
ASSETMARK, INCin group ASSETMARK, INC2,390$45.7K<0.01%013F-HRTimelineGroup
US BANCORP \DE\in group US BANCORP \DE\1,600$30.6K<0.01%013F-HRTimelineGroup
CIBC Private Wealth Group LLCin group CIBC Bancorp USA Inc.1,500$28.7K<0.01%013F-HRTimelineGroup
Steward Partners Investment Advisory, L…1,340$25.6K<0.01%-1,23713F-HRTimeline
Farther Finance Advisors, LLC732$14K<0.01%-18313F-HRTimeline
FIFTH THIRD BANCORPin group FIFTH THIRD BANK, NATIONAL AS…502$9.61K<0.01%new13F-HRTimelineGroup
Rosenberg Matthew Hamilton495$9.47K<0.01%013F-HRTimeline
Quest 10 Wealth Builders, Inc.373$7.14K0.01%-5513F-HRTimeline
AE Wealth Management LLC293$5.61K<0.01%new13F-HRTimeline
AdvisorNet Financial, Inc287$5.5K<0.01%+213F-HRTimeline
Abich Financial Wealth Management LLC204$3.9K<0.01%13F-HRTimeline
JPMORGAN CHASE & COin group JPMORGAN CHASE & CO98$1.88K<0.01%-77,19713F-HR/ATimelineGroup
BNP PARIBAS FINANCIAL MARKETSin group BNP PARIBAS FINANCIAL MARKETS20$383<0.01%+1013F-HRTimelineGroup
FMR LLCin group FMR LLC42$80<0.01%+113F-HRTimelineGroup