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Nuveen ESG Small-Cap ETF
NUSC

181 hedge funds and large institutions have $583M invested in Nuveen ESG Small-Cap ETF in 2022 Q3 according to their latest regulatory filings, with 16 funds opening new positions, 83 increasing their positions, 51 reducing their positions, and 20 closing their positions.

New
Increased
Maintained
Reduced
Closed

63% more repeat investments, than reductions

Existing positions increased: 83 | Existing positions reduced: 51

3% less funds holding

Funds holding: 187 → 181 (-6)

7.09% less ownership

Funds ownership: 76.57% → 69.48% (-7.1%)

11% less capital invested

Capital invested by funds: $656M → $583M (-$73.3M)

20% less first-time investments, than exits

New positions opened: 16 | Existing positions closed: 20

33% less funds holding in top 10

Funds holding in top 10: 3 → 2 (-1)

Holders
181
Holders Change
-6
Holders Change %
-3.21%
% of All Funds
3.12%
Holding in Top 10
2
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-33.33%
% of All Funds
0.03%
New
16
Increased
83
Reduced
51
Closed
20
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Creative Planning
Creative Planning
Kansas
+$3.42M
2
Morgan Stanley
Morgan Stanley
New York
+$3.02M
3
AWP
Abacus Wealth Partners
California
+$2.6M
4
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
+$1.86M
5
LPL Financial
LPL Financial
California
+$1.57M

Top Sellers

1
Bank of America
Bank of America
North Carolina
-$55.4M
2
CIA
Compass Ion Advisors
Pennsylvania
-$22.3M
3
Wells Fargo
Wells Fargo
California
-$3.07M
4
HIF
Hill Island Financial
Michigan
-$2.14M
5
OMC
Old Mission Capital
Illinois
-$1.96M
Name Holding Trade Value Shares
Change 		Change in
Stake
PFO
76
Pathstone Family Office
New Jersey
$630K +$346K +9,819 +100%
EH
77
Equitable Holdings
New York
$624K -$17.1K -485 -2%
OAM
78
Oppenheimer Asset Management
New York
$622K +$32.9K +935 +5%
V
79
Veritable
Delaware
$598K – – –
SFP
80
Sandbox Financial Partners
Maryland
$559K +$116K +3,284 +23%
3LCM
81
3D/L Capital Management
Connecticut
$553K +$563 +16 +0.1%
KPWS
82
Kestra Private Wealth Services
Texas
$552K -$289K -8,202 -32%
SWP
83
Stratos Wealth Partners
Ohio
$550K +$86.8K +2,464 +17%
BWM
84
BerganKDV Wealth Management
Minnesota
$547K +$60.4K +1,715 +11%
RJA
85
Raymond James & Associates
Florida
$534K +$4.61K +131 +0.8%
NCM
86
Neumann Capital Management
California
$532K -$52.8K -1,500 -8%
RFA
87
RTD Financial Advisors
Pennsylvania
$515K -$4.33K -123 -0.8%
NYLIM
88
New York Life Investment Management
New York
$508K -$268K -7,607 -32%
AAS
89
Avantax Advisory Services
Texas
$474K +$53.1K +1,508 +11%
CI
90
CX Institutional
Indiana
$465K +$118K +3,357 +30%
Northwestern Mutual Wealth Management
91
Northwestern Mutual Wealth Management
Wisconsin
$454K -$129K -3,670 -21%
DC
92
DeDora Capital
California
$454K +$499K +14,171 New
GEA
93
Glen Eagle Advisors
New Jersey
$430K – – –
EA
94
Evolution Advisers
Virginia
$425K -$18.9K -537 -4%
WLIM
95
White Lighthouse Investment Management
Massachusetts
$415K -$2.11K -60 -0.5%
SC
96
Savant Capital
Illinois
$409K +$23.3K +662 +5%
Baird Financial Group
97
Baird Financial Group
Wisconsin
$403K -$422 -12 -0.1%
TWM
98
TriaGen Wealth Management
California
$402K +$6.34K +180 +1%
WI
99
WrapManager Inc
California
$386K +$246 +7 +0.1%
FANJ
100
Financial Architects (New Jersey)
New Jersey
$382K +$420K +11,929 New
2 3
4
5 6

NUSC Hedge Fund Activity: Q3 2022 in Review

181 of the 5,805 institutional investors tracked by Wall St. Rank reported a position in Nuveen ESG Small-Cap ETF (NUSC) for Q3 2022, worth a combined $583M — down 11% from $656M a quarter earlier.

Sellers outnumbered buyers: 20 funds closed out of NUSC and 16 opened new positions — a net loss of 4 holders — while 51 trimmed existing stakes and 83 added.

The largest buyer was Creative Planning, adding an estimated $3.42M. The largest seller was Bank of America, cutting an estimated $55.4M.

  • 181 institutional investors held Nuveen ESG Small-Cap ETF (NUSC) as of Q3 2022, down from 187 in Q2 2022.
  • Funds reported $583M of Nuveen ESG Small-Cap ETF stock for Q3 2022, down 11% quarter-over-quarter.
  • 16 funds opened new Nuveen ESG Small-Cap ETF positions in Q3 2022 and 20 closed out, a net change of -4 holders.
  • The largest Nuveen ESG Small-Cap ETF buyer in Q3 2022 was Creative Planning, an estimated $3.42M added.
  • The largest Nuveen ESG Small-Cap ETF seller in Q3 2022 was Bank of America, an estimated $55.4M sold.

Based on aggregated 13F filings for Q3 2022.