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Principal Spectrum Preferred and Income ETF

Name Holding Trade Value Shares
Change
Change in
Stake
Principal Financial Group
1
Principal Financial Group
Iowa
$40.5M – – –
Envestnet Asset Management
2
Envestnet Asset Management
Illinois
$14.4M +$4.28M +218,694 +42%
Principal Securities
3
Principal Securities
Iowa
$14.4M +$4.29M +219,061 +42%
Wealth Enhancement Advisory Services
4
Wealth Enhancement Advisory Services
Minnesota
$3.67M +$145K +7,411 +4%
Harbor Investment Advisory
5
Harbor Investment Advisory
Maryland
$616K +$28.3K +1,447 +5%
Jane Street
6
Jane Street
New York
$614K +$614K +31,383 New
Capital Investment Advisory Services
7
Capital Investment Advisory Services
North Carolina
$484K – – –
Cambridge Investment Research Advisors
8
Cambridge Investment Research Advisors
Iowa
$210K +$210K +10,725 New
Osaic Holdings
9
Osaic Holdings
Arizona
$49.4K +$49.3K +2,521 New
CoreCap Advisors
10
CoreCap Advisors
Michigan
$17.3K +$6.16K +315 +55%
AssetMark Inc
11
AssetMark Inc
California
$1.72K +$1.72K +88 New
UBS Group
12
UBS Group
Switzerland
$1.14K +$1.14K +58 New
Morgan Stanley
13
Morgan Stanley
New York
$37 – – –