DaveManuel.com · Institutional Ownership · Who Owns It
PRINCIPAL CPTL APPREC S3 ETF (LCAP)
Institutional ownership reported to the SEC as of Q2 2026, across 13 quarters.
15
Reporting holders
$2.0B
Reported value
0.0%
Calls
0.0%
Puts
+6
Holder change
Calls and puts are the parts of reported value carried in derivative lines rather than shares, and they point in opposite directions: a manager holding calls is positioned for the security, one holding puts against it - or hedging shares they already own, which is why index funds carry so many. Most sites add the two together and report one figure, which averages away the only interesting part.
Holders
| Filer | Value | Shares | Their book | Held | Change |
|---|---|---|---|---|---|
| PRINCIPAL FINANCIAL GROUP INC | $1.6B | 48,561,966 | 0.79% | 6q | +1573.5%+$1.5B |
| PRINCIPAL SECURITIES, INC. | $192.3M | 5,804,126 | 2.32% | 5q | +20.4%+$32.6M |
| ENVESTNET ASSET MANAGEMENT INC | $190.4M | 5,746,819 | 0.04% | 5q | +20.1%+$31.9M |
| NewEdge Advisors, LLC | $9.0M | 270,115 | 0.03% | new | NEW |
| AMERIPRISE FINANCIAL INC | $2.2M | 66,357 | 0.00% | new | NEW |
| MORGAN STANLEY | $1.3M | 37,799 | 0.00% | 4q | -37.5%-$751.8K |
| GOLDMAN SACHS GROUP INC | $1.1M | 34,054 | 0.00% | new | NEW |
| LPL Financial LLC | $890.3K | 26,866 | 0.00% | new | NEW |
| Simplicity Wealth,LLC | $543.4K | 16,397 | 0.02% | 3q | +4.1%+$21.6K |
| JANE STREET GROUP, LLC | $434.3K | 13,105 | 0.00% | 3q | -60.5%-$665.1K |
| JPMORGAN CHASE & CO | $136.6K | 4,162 | 0.00% | new | NEW |
| CoreCap Advisors, LLC | $57.4K | 1,733 | 0.00% | 3q | HELD |
| CITIGROUP INC | $17.0K | 513 | 0.00% | new | NEW |
| Pinnacle Bancorp, Inc. | $7.3K | 220 | 0.00% | 2q | +29.4%+$1.7K |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | $1.7K | 50 | 0.00% | 2q | +100.0% |
Quarter by quarter
Coverage begins with the quarter ending 2018-12-31. Earlier filings exist only as occasional late amendments, too sparse to describe a market, so they are not shown.
| Quarter | Holders | Value | Shares | New | Added | Trimmed | Options |
|---|---|---|---|---|---|---|---|
| Q3 2026 | 4 | $578.2K | 17,178 | 1 | 0 | 2 | 0.0% |
| Q2 2026 | 15 | $2.0B | 60,584,282 | 6 | 6 | 2 | 0.0% |
| Q1 2026 | 9 | $365.8M | 12,617,327 | 2 | 4 | 1 | 0.0% |
| Q4 2025 | 8 | $265.8M | 8,999,060 | 4 | 3 | 1 | 0.0% |
| Q3 2025 | 5 | $57.6M | 1,985,217 | 1 | 3 | 0 | 0.0% |
| Q2 2025 | 6 | $32.5M | 1,209,215 | 5 | 0 | 0 | 0.0% |
| Q1 2025 | 1 | $9.8M | 398,247 | 1 | 0 | 0 | 0.0% |
| Q1 2022 | 31 | $118.5M | 11,598,681 | 6 | 4 | 13 | 0.0% |
| Q4 2021 | 64 | $222.1M | 22,309,461 | 2 | 20 | 9 | 0.0% |
| Q3 2021 | 67 | $212.9M | 21,470,946 | 17 | 17 | 18 | 0.0% |
| Q2 2021 | 73 | $2.1B | 213,623,642 | 11 | 14 | 8 | 0.0% |
| Q1 2021 | 71 | $2.1B | 212,896,766 | 28 | 16 | 18 | 0.0% |
| Q4 2020 | 50 | $137.8M | 13,640,486 | 47 | 0 | 0 | 0.2% |