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Nuveen ESG Small-Cap ETF

20 hedge funds and large institutions have $4.5M invested in Nuveen ESG Small-Cap ETF in 2018 Q1 according to their latest regulatory filings, with 11 funds opening new positions, 3 increasing their positions, 2 reducing their positions, and 2 closing their positions.

New
Increased
Maintained
Reduced
Closed

450% more first-time investments, than exits

New positions opened: 11 | Existing positions closed: 2

82% more funds holding

Funds holding: 1120 (+9)

50% more repeat investments, than reductions

Existing positions increased: 3 | Existing positions reduced: 2

64.79% less ownership

Funds ownership: 74.03%9.24% (-65%)

85% less capital invested

Capital invested by funds: $30.5M → $4.5M (-$26M)

Holders
20
Holders Change
+9
Holders Change %
+81.82%
% of All Funds
0.46%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
11
Increased
3
Reduced
2
Closed
2
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
UBS Group
1
UBS Group
Switzerland
$1.21M +$1.22M +42,301 +9,636%
LPL Financial
2
LPL Financial
California
$671K +$353K +12,273 +107%
TRCT
3
Tower Research Capital (TRC)
New York
$619K -$60.4K -2,097 -9%
Bank of America
4
Bank of America
North Carolina
$428K +$238K +8,248 +120%
FAAS
5
First Allied Advisory Services
California
$270K -$6.71K -233 -2%
Cambridge Investment Research Advisors
6
Cambridge Investment Research Advisors
Iowa
$221K +$225K +7,806 New
HCIA
7
Hochman Cole Investment Advisors
Illinois
$213K +$217K +7,538 New
SCM
8
Stordahl Capital Management
Colorado
$208K +$212K +7,361 New
Bessemer Group
9
Bessemer Group
New Jersey
$164K +$167K +5,782 New
CJA
10
C-J Advisory
California
$133K +$138K +4,795 New
AG
11
Advisor Group
Arizona
$122K
SFM
12
Signet Financial Management
New Jersey
$108K +$109K +3,800 New
HNB
13
Huntington National Bank
Ohio
$57K
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$50K +$50.7K +1,759 New
GRP
15
Global Retirement Partners
California
$16K +$16.4K +569 New
LTFS
16
Ladenburg Thalmann Financial Services
Florida
$7K +$7.26K +252 New
Citigroup
17
Citigroup
New York
$3K
SWP
18
Stratos Wealth Partners
Ohio
$2K +$1.99K +69 New
BlackRock
19
BlackRock
New York
$1K
CFA
20
Carroll Financial Associates
North Carolina
$1K
TIAAOA
21
Teachers Insurance & Annuity Association of America
New York
-$28.3M -993,000 Closed
Jane Street
22
Jane Street
New York
-$672K -23,607 Closed
BCI
23
Brinker Capital Investments
Pennsylvania
+$403 +14 New

NUSC Hedge Fund Activity: Q1 2018 in Review

20 of the 4,363 institutional investors tracked by Wall St. Rank reported a position in Nuveen ESG Small-Cap ETF (NUSC) for Q1 2018, worth a combined $4.5M — down 85% from $30.5M a quarter earlier.

Buyers outnumbered sellers: 11 funds opened new NUSC positions and 2 closed out — a net gain of 9 holders — while 3 added to existing stakes and 2 trimmed.

The largest buyer was UBS Group, adding an estimated $1.22M. The largest seller was Teachers Insurance & Annuity Association of America, exiting entirely with an estimated $28.3M sold.

  • 20 institutional investors held Nuveen ESG Small-Cap ETF (NUSC) as of Q1 2018, up from 11 in Q4 2017.
  • Funds reported $4.5M of Nuveen ESG Small-Cap ETF stock for Q1 2018, down 85% quarter-over-quarter.
  • 11 funds opened new Nuveen ESG Small-Cap ETF positions in Q1 2018 and 2 closed out, a net change of +9 holders.
  • The largest Nuveen ESG Small-Cap ETF buyer in Q1 2018 was UBS Group, an estimated $1.22M added.
  • The largest Nuveen ESG Small-Cap ETF seller in Q1 2018 was Teachers Insurance & Annuity Association of America, an estimated $28.3M sold.

Based on aggregated 13F filings for Q1 2018.