Who owns Neuberger Berman Small-Mid Cap ETF?
Prices and market caps: Cboe delayed data, at least 15 minutes delayed. Not real-time. Fundamentals from company filings.
Institutional ownership of NBSM from SEC Form 13F filings across 23 reporting managers. All positions are from one synchronized reporting period — 2026-06-30 books, filed up to 45 days after quarter end — so every row is comparable.
As of the 2026-06-30 reporting period, 23 institutions disclosed 2.4M shares of Neuberger Berman Small-Mid Cap ETF worth $69.9M — about 30.7% of shares outstanding; the largest disclosed holder is NEUBERGER BERMAN GROUP LLC. Source: SEC Form 13F filings, parsed by EvidInvest.
23
13F holders
$69.9M
value, 2026 filers
30.7%
of shares outstanding (2.4M sh)
7
new positions (2026 filers)
Top institutional holders
ordered by shares owned · positions as of 2026-06-30 · % of fund = share of the manager's own book · % of co. = share of NBSM's shares outstanding
| # | Manager | Shares | Value | % of fund | % of co. | Δ shares QoQ |
|---|---|---|---|---|---|---|
| 1 | NEUBERGER BERMAN GROUP LLC | 747,128 | $21.5M | 0.0% | 9.4% | -85.5% |
| 2 | LPL Financial LLC | 269,987 | $7.8M | 0.0% | 3.4% | -15.7% |
| 3 | STAGE HARBOR FINANCIAL, LLC | 254,627 | $7.3M | 4.2% | 3.2% | +7.3% |
| 4 | RAYMOND JAMES FINANCIAL INC | 226,172 | $6.5M | 0.0% | 2.8% | +5.6% |
| 5 | BANK OF AMERICA CORP /DE/ | 199,777 | $5.7M | 0.0% | 2.5% | +9.5% |
| 6 | Cambridge Investment Research Advisors, Inc. | 142,596 | $4.1M | 0.0% | 1.8% | +24.6% |
| 7 | Broadway Wealth Solutions, Inc. | 129,898 | $3.7M | 1.7% | 1.6% | +6.9% |
| 8 | JONES FINANCIAL COMPANIES LLLP | 110,340 | $3.1M | 0.0% | 1.4% | +1.2% |
| 9 | EXCHANGE TRADED CONCEPTS, LLC | 107,783 | $3.1M | 0.0% | 1.4% | -18.4% |
| 10 | MORGAN STANLEYNEW | 53,175 | $1.5M | 0.0% | 0.7% | new |
| 11 | HighTower Advisors, LLC | 47,351 | $1.4M | 0.0% | 0.6% | +5.5% |
| 12 | Worth Financial Advisory Group, LLCNEW | 29,136 | $836,495 | 0.3% | 0.4% | new |
| 13 | FLOW TRADERS U.S. LLCNEW | 28,588 | $821,000 | 0.0% | 0.4% | new |
| 14 | ROYAL BANK OF CANADA | 25,229 | $724,000 | 0.0% | 0.3% | -50.6% |
| 15 | BARNES PETTEY FINANCIAL ADVISORS, LLC | 16,980 | $487,496 | 0.2% | 0.2% | +64.1% |
| 16 | SUSQUEHANNA INTERNATIONAL GROUP, LLPNEW | 13,873 | $398,294 | 0.0% | 0.2% | new |
| 17 | CITADEL ADVISORS LLCNEW | 12,358 | $354,798 | 0.0% | 0.2% | new |
| 18 | Pathstone Holdings, LLC | 11,570 | $332,187 | 0.0% | 0.1% | 0.0% |
| 19 | BARRETT & COMPANY, INC. | 3,814 | $109,500 | 0.0% | 0% | +14.7% |
| 20 | OSAIC HOLDINGS, INC. | 3,098 | $88,936 | 0.0% | 0% | -73.0% |
| 21 | Rockefeller Capital Management L.P.NEW | 1,499 | $43,036 | 0.0% | 0% | new |
| 22 | UBS Group AGNEW | 1,491 | $42,807 | 0.0% | 0% | new |
| 23 | HARBOUR INVESTMENTS, INC. | 75 | $2,153 | 0.0% | 0% | 0.0% |
Source: SEC Form 13F-HR filings (institutional managers over $100M in US-listed positions). 13Fs disclose long positions only, up to 45 days after quarter end; each manager's latest filed quarter is shown per row and dollar values are the manager's filed marks. Aggregates labeled "2026 filers" count only managers whose latest book is a 2026 quarter. Related: valuation · options positioning · supply chain. Research, not investment advice.