PRINCIPAL EXCHANGE TRADED FD

Ticker: PSC CUSIP: 74255Y607 Class: PRIN U S SMALL

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
PRINCIPAL FINANCIAL GROUP INC11,734,663$676,557
PRINCIPAL SECURITIES, INC.2,319,425$133,900
ENVESTNET ASSET MANAGEMENT INC2,287,125$132,036
AMERIPRISE FINANCIAL INC1,806,063$104,261
MORGAN STANLEY1,251,857$72,270
WELLS FARGO & COMPANY/MN1,030,728$59,504
RAYMOND JAMES FINANCIAL INC940,584$54,300
LPL Financial LLC810,402$46,785
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC796,011$47,530
ROYAL BANK OF CANADA382,276$22,069
TRUIST FINANCIAL CORP333,045$19,227
Veracity Capital LLC264,512$15,270
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO237,011$13,683
&PARTNERS199,854$11,537
Hudson Capital Management LLC182,891$10,558
STIFEL FINANCIAL CORP169,096$9,762
PSI Advisors, LLC134,848$7,785
RFG - Bristol Wealth Advisors, LLC128,134$7,397
OSAIC HOLDINGS, INC.125,427$7,243
Rockefeller Capital Management L.P.117,276$6,770
HRT FINANCIAL LP90,809$5
SUSQUEHANNA INTERNATIONAL GROUP, LLP87,836$5,071
Wealth Advisors of Tampa Bay, LLC75,577$4,363
GREAT VALLEY ADVISOR GROUP, INC.73,049$4,217
Thrivent Financial for Lutherans63,432$4
Arete Wealth Advisors, LLC62,400$4
360 Financial, Inc.54,467$3,144
Greenwich Wealth Management LLC43,169$2
CREATIVE FINANCIAL DESIGNS INC /ADV40,990$2,366
NewEdge Advisors, LLC37,277$2,152
COMMONWEALTH EQUITY SERVICES, LLC37,113$2,143
Kraft, Davis & Associates, LLC36,007$2,170
JANE STREET GROUP, LLC35,130$2,028
Northwest Wealth Advisors, LLC33,147$1,914
Integrity Financial Corp /WA32,626$1,883
Turning Point Benefit Group, Inc.32,173$1,857
Private Advisor Group, LLC31,744$1,833
Steward Partners Investment Advisory, LLC25,424$1,468
CITADEL ADVISORS LLC25,012$1,444
Capital Investment Advisory Services, LLC23,353$1,348
Sigma Planning Corp21,317$1,257
Global Retirement Partners, LLC21,299$1,230
MML INVESTORS SERVICES, LLC19,636$1,134
Smartleaf Asset Management LLC18,768$1,094
Cambridge Investment Research Advisors, Inc.17,505$1
Brookwood Investment Group LLC17,182$992
WealthCare Investment Partners, LLC16,994$986
Cornerstone Wealth Management, LLC16,135$931
Venture Visionary Partners LLC12,346$749
SHEETS SMITH WEALTH MANAGEMENT11,877$686
Kestra Advisory Services, LLC11,673$674
Stonebridge Financial Group, LLC / MO10,482$605
Gilliland Jeter Wealth Management LLC9,256$534
PRIVATE TRUST CO NA7,815$451
Advisory Services Network, LLC7,334$423
COMERICA BANK7,251$419
SeaCrest Wealth Management, LLC6,997$417
Farther Finance Advisors, LLC5,979$345
KPP Advisory Services LLC5,170$298
Round Rock Advisors, LLC4,739$274
Mariner, LLC4,689$271
Perennial Investment Advisors, LLC4,399$254
truNorth Financial Services, Inc.4,087$236
GOLDMAN SACHS GROUP INC4,002$231
Redwood Financial Network Corp3,775$218
PNC Financial Services Group, Inc.2,376$137
CWM, LLC1,875$0
Capital Analysts, LLC1,235$0
Cape Investment Advisory, Inc.812$47
ASSETMARK, INC234$14
CoreCap Advisors, LLC213$12
BANK OF AMERICA CORP /DE/164$9
Pinnacle Bancorp, Inc.117$7
Russell Investments Group, Ltd.114$7
SRS Capital Advisors, Inc.101$6
Larson Financial Group LLC100$6
EverSource Wealth Advisors, LLC47$3
Allworth Financial LP43$2
FMR LLC12$0
MCGUIRE CAPITAL ADVISORS INC8$0
Investment Research & Advisory Group, Inc.2$0
Global Wealth Strategies & Associates2$0
Total (82 institutions)26,470,125$1,512,820