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State Street SPDR Dow Jones Industrial Average ETF Trust

267 hedge funds and large institutions have $4.4B invested in State Street SPDR Dow Jones Industrial Average ETF Trust in 2013 Q3 according to their latest regulatory filings, with 34 funds opening new positions, 77 increasing their positions, 96 reducing their positions, and 35 closing their positions.

New
Increased
Maintained
Reduced
Closed

45% more call options, than puts

Call options by funds: $1.91B | Put options by funds: $1.32B

3% less first-time investments, than exits

New positions opened: 34 | Existing positions closed: 35

2% less funds holding

Funds holding: 273267 (-6)

4.11% less ownership

Funds ownership: 45.44%41.34% (-4.1%)

20% less repeat investments, than reductions

Existing positions increased: 77 | Existing positions reduced: 96

20% less capital invested

Capital invested by funds: $5.51B → $4.4B (-$1.1B)

21% less funds holding in top 10

Funds holding in top 10: 3427 (-7)

Holders
267
Holders Change
-6
Holders Change %
-2.2%
% of All Funds
8.65%
Holding in Top 10
27
Holding in Top 10 Change
-7
Holding in Top 10 Change %
-20.59%
% of All Funds
0.88%
New
34
Increased
77
Reduced
96
Closed
35
Calls
$1.91B
Puts
$1.32B
Net Calls
+$592M
Net Calls Change
+$239M
Name Holding Trade Value Shares
Change
Change in
Stake
AA
26
Alesco Advisors
New York
$38.1M +$408K +2,671 +1%
KIM
27
Karpus Investment Management
New York
$36.8M -$5.56M -36,433 -13%
RCYC
28
Richard C. Young & Co
Rhode Island
$36.5M -$798K -5,227 -2%
FAG
29
Financial Advisory Group
Texas
$35.1M -$1.22M -7,974 -3%
LPL Financial
30
LPL Financial
California
$33.6M -$1.33M -8,691 -4%
BCI
31
Brinker Capital Investments
Pennsylvania
$30.2M +$1.96M +12,820 +7%
Barclays
32
Barclays
United Kingdom
$26.7M +$5.44M +35,675 +25%
Northern Trust
33
Northern Trust
Illinois
$26.6M +$2.76M +18,117 +11%
Bank of Montreal
34
Bank of Montreal
Ontario, Canada
$26.4M +$1.35M +8,842 +5%
WCM
35
Weston Capital Management
California
$17.5M -$141K -921 -0.8%
CA
36
Cumberland Advisors
Florida
$17.4M +$17.5M +114,950 New
KeyBank National Association
37
KeyBank National Association
Ohio
$15.5M -$36.2K -237 -0.2%
TRCT
38
Tower Research Capital (TRC)
New York
$14.3M +$14.4M +94,503 New
RJA
39
Raymond James & Associates
Florida
$14.1M -$1.78M -11,668 -11%
Nomura Holdings
40
Nomura Holdings
Japan
$12.2M -$157M -1,029,303 -93%
SCM
41
Steward Capital Management
Michigan
$11.7M
SFG
42
SNS Financial Group
Minnesota
$11.7M -$1.61M -10,559 -12%
LTFS
43
Ladenburg Thalmann Financial Services
Florida
$11.2M +$1.02M +6,656 +10%
NPC
44
National Planning Corporation
California
$11.1M +$592K +3,878 +6%
Cambridge Investment Research Advisors
45
Cambridge Investment Research Advisors
Iowa
$10.8M -$50.2K -329 -0.5%
Mitsubishi UFJ Trust & Banking
46
Mitsubishi UFJ Trust & Banking
Japan
$10.6M
CC
47
Curian Capital
Colorado
$10M +$1.05M +6,871 +12%
SB
48
Suntrust Banks
Georgia
$9.07M +$36.2K +237 +0.4%
N
49
Nuveen
North Carolina
$9.06M +$9.16M +60,000 New
Commonwealth Equity Services
50
Commonwealth Equity Services
Massachusetts
$8.97M -$802K -5,254 -8%

DIA Hedge Fund Activity: Q3 2013 in Review

267 of the 3,085 institutional investors tracked by Wall St. Rank reported a position in State Street SPDR Dow Jones Industrial Average ETF Trust (DIA) for Q3 2013, worth a combined $4.4B — down 20% from $5.51B a quarter earlier.

Sellers outnumbered buyers: 35 funds closed out of DIA and 34 opened new positions — a net loss of 1 holder — while 96 trimmed existing stakes and 77 added.

The largest buyer was Bank of America, adding an estimated $129M. The largest seller was MUFG Bank, exiting entirely with an estimated $523M sold.

  • 267 institutional investors held State Street SPDR Dow Jones Industrial Average ETF Trust (DIA) as of Q3 2013, down from 273 in Q2 2013.
  • Funds reported $4.4B of State Street SPDR Dow Jones Industrial Average ETF Trust stock for Q3 2013, down 20% quarter-over-quarter.
  • 34 funds opened new State Street SPDR Dow Jones Industrial Average ETF Trust positions in Q3 2013 and 35 closed out, a net change of -1 holder.
  • The largest State Street SPDR Dow Jones Industrial Average ETF Trust buyer in Q3 2013 was Bank of America, an estimated $129M added.
  • The largest State Street SPDR Dow Jones Industrial Average ETF Trust seller in Q3 2013 was MUFG Bank, an estimated $523M sold.

Based on aggregated 13F filings for Q3 2013.