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Neuberger Small-Mid Cap ETF (NBSM)

Q2 2026 vs Q3 2026

Comparing institutional holders between quarters

Quarters

Q3 2026Q2 2026Q1 2026Q4 2025Q3 2025
CompareDetailedHistoricalFundsOptions13D/13GPeersTargetingTrading SummaryProfile
Stage Harbor Financial, LLC
INCREASED
Shares260,684 from 254,627
Change+6,057 (+2%)
Value$7.1M (-$198.9K)
Filed 2026-11-03
LPL Financial LLC
DECREASED
Shares224,574 from 269,987
Change-45,413 (-17%)
Value$6.1M (-$1.6M)
Filed 2026-11-06
Cambridge Investment Research Advisors, Inc.
INCREASED
Shares151,210 from 142,596
Change+8,614 (+6%)
Value$4.1K (-$4.1M)
Filed 2026-11-02
Broadway Wealth Solutions, Inc.
INCREASED
Shares135,787 from 129,898
Change+5,889 (+5%)
Value$3.7M (-$25.1K)
Filed 2026-10-21
Exchange Traded Concepts, LLC
DECREASED
Shares100,849 from 107,783
Change-6,934 (-6%)
Value$2.8M (-$343.3K)
Filed 2026-10-28
Worth Financial Advisory Group, LLC
INCREASED
Shares30,034 from 29,136
Change+898 (+3%)
Value$819.3K (-$17.2K)
Filed 2026-10-19
Barrett & Company, Inc.
UNCHANGED
Shares3,814 from 3,814
Change0 (0%)
Value$104.0K (-$5.5K)
Filed 2026-10-22
CX Institutional
NEW
Shares2,631
Change+2,631
Value$72
Filed 2026-10-02
Neuberger Berman Group LLC
N/A
Shares— from 747,128
Change-747,128 (-100%)
Value—
Raymond James Financial Inc
N/A
Shares— from 226,172
Change-226,172 (-100%)
Value—
Bank of America Corp
N/A
Shares— from 199,777
Change-199,777 (-100%)
Value—
Jones Financial Companies Lllp
N/A
Shares— from 110,340
Change-110,340 (-100%)
Value—
Morgan Stanley
N/A
Shares— from 53,175
Change-53,175 (-100%)
Value—
HighTower Advisors, LLC
N/A
Shares— from 47,351
Change-47,351 (-100%)
Value—
Flow Traders U.S. LLC
N/A
Shares— from 28,588
Change-28,588 (-100%)
Value—
Royal Bank of Canada
N/A
Shares— from 25,229
Change-25,229 (-100%)
Value—
Barnes Pettey Financial Advisors, LLC
N/A
Shares— from 16,980
Change-16,980 (-100%)
Value—
Susquehanna International Group, LLP
N/A
Shares— from 13,873
Change-13,873 (-100%)
Value—
Citadel Advisors LLC
N/A
Shares— from 12,358
Change-12,358 (-100%)
Value—
Pathstone Holdings, LLC
N/A
Shares— from 11,570
Change-11,570 (-100%)
Value—
Osaic Holdings, Inc.
N/A
Shares— from 3,098
Change-3,098 (-100%)
Value—
Rockefeller Capital Management L.P.
N/A
Shares— from 1,499
Change-1,499 (-100%)
Value—
UBS Group AG
N/A
Shares— from 1,491
Change-1,491 (-100%)
Value—
Harbour Investments, Inc.
N/A
Shares— from 75
Change-75 (-100%)
Value—
Status
Stage Harbor Financial, LLC
INCREASED260,684254,627+6,057+2%$7.3M$7.1M-$198.9K2026-11-03
LPL Financial LLC
DECREASED224,574269,987-45,413-17%$7.8M$6.1M-$1.6M2026-11-06
Cambridge Investment Research Advisors, Inc.
INCREASED151,210142,596+8,614+6%$4.1M$4.1K-$4.1M2026-11-02
Broadway Wealth Solutions, Inc.
INCREASED135,787129,898+5,889+5%$3.7M$3.7M-$25.1K2026-10-21
Exchange Traded Concepts, LLC
DECREASED100,849107,783-6,934-6%$3.1M$2.8M-$343.3K2026-10-28
Worth Financial Advisory Group, LLC
INCREASED30,03429,136+898+3%$836.5K$819.3K-$17.2K2026-10-19
Barrett & Company, Inc.
UNCHANGED3,8143,81400%$109.5K$104.0K-$5.5K2026-10-22
CX Institutional
NEW2,631—+2,631——$72—2026-10-02
Neuberger Berman Group LLC
N/A—747,128-747,128-100%$21.5M———
Raymond James Financial Inc
N/A—226,172-226,172-100%$6.5M———
Bank of America Corp
N/A—199,777-199,777-100%$5.7M———
Jones Financial Companies Lllp
N/A—110,340-110,340-100%$3.1M———
Morgan Stanley
N/A—53,175-53,175-100%$1.5M———
HighTower Advisors, LLC
N/A—47,351-47,351-100%$1.4M———
Flow Traders U.S. LLC
N/A—28,588-28,588-100%$821.0K———
Royal Bank of Canada
N/A—25,229-25,229-100%$724.0K———
Barnes Pettey Financial Advisors, LLC
N/A—16,980-16,980-100%$487.5K———
Susquehanna International Group, LLP
N/A—13,873-13,873-100%$398.3K———
Citadel Advisors LLC
N/A—12,358-12,358-100%$354.8K———
Pathstone Holdings, LLC
N/A—11,570-11,570-100%$332.2K———
Osaic Holdings, Inc.
N/A—3,098-3,098-100%$88.9K———
Rockefeller Capital Management L.P.
N/A—1,499-1,499-100%$43.0K———
UBS Group AG
N/A—1,491-1,491-100%$42.8K———
Harbour Investments, Inc.
N/A—75-75-100%$2.2K———
Showing 24 of 24 institutions