LPL Financial’s Neuberger Small-Mid Cap ETF NBSM Stock Holding History

LPL Financial’s Portfolio NBSM Stock Details NBSM Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2026 Q1	$8.07M	Sell	320,403 -77,762	-20%	-$2.04M	﹤0.01%	2177
2025 Q4	$10M	Sell	398,165 -5,419	-1%	-$137K	﹤0.01%	1923
2025 Q3	$10.2M	Buy	403,584 +108,915	+37%	+$2.79M	﹤0.01%	1840
2025 Q2	$7.38M	Buy	294,669 +186,748	+173%	+$4.47M	﹤0.01%	1986
2025 Q1	$2.58M	Buy	107,921 +88,678	+461%	+$2.22M	﹤0.01%	2720
2024 Q4	$488K	Buy	+19,243	New	+$514K	﹤0.01%	4112

Other funds holding NBSM

Neuberger Berman Group New York $131B AUM 28.36% 1-Year Est. Return

SHF

Stage Harbor Financial Westwood, Massachusetts $151M AUM 15.9% 1-Year Est. Return

Raymond James Financial St Petersburg, Florida $324B AUM 22.36% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

ETC

Exchange Traded Concepts Oklahoma City, Oklahoma $14.1B AUM 25.71% 1-Year Est. Return

BWS

Broadway Wealth Solutions San Antonio, Texas $214M AUM 16.06% 1-Year Est. Return

Cambridge Investment Research Advisors Fairfield, Iowa $38.8B AUM 21.88% 1-Year Est. Return

Jones Financial Companies Des Peres, Missouri $208B AUM 16.12% 1-Year Est. Return

MOTCO San Antonio, Texas $1.08B AUM 20.09% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

LPL Financial's NBSM Position: Q1 2026 in Review

LPL Financial reduced its Neuberger Small-Mid Cap ETF (NBSM) stake by 20% in Q1 2026, selling an estimated $2.04M and leaving 320,403 shares worth $8.07M. The position accounts for ﹤0.01% of the portfolio, ranked #2177.

LPL Financial first reported a position in NBSM in Q4 2024 and has held it in 6 quarters since. The position peaked at $10.2M in Q3 2025. 19 funds tracked by Wall St. Rank hold NBSM as of Q1 2026.

LPL Financial held 320,403 shares of Neuberger Small-Mid Cap ETF worth $8.07M as of Q1 2026.
LPL Financial sold 77,762 Neuberger Small-Mid Cap ETF shares in Q1 2026, an estimated $2.04M.
Neuberger Small-Mid Cap ETF made up ﹤0.01% of LPL Financial's portfolio in Q1 2026, its #2177 holding.
LPL Financial first reported a position in Neuberger Small-Mid Cap ETF in Q4 2024 and has held it in 6 quarters since.
LPL Financial's Neuberger Small-Mid Cap ETF position peaked at $10.2M in Q3 2025.
19 funds tracked by Wall St. Rank held Neuberger Small-Mid Cap ETF as of Q1 2026.

Based on LPL Financial's 13F filing for Q1 2026, filed 6 May 2026.