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Public ownership evidence

Neuberger Small-Mid Cap ETF (NBSM) Ownership Disclosures

Read NBSM insider transactions, institutional 13F filings and Congressional disclosures with report dates, public availability and original receipts.

As of 2026-10-14T02:54:47.600Z

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Recent Form 4 activity

No matching purchases, sales or awards were returned in this 90-day public filing window.

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90-day public availability window, up to 50 records.

Recent institutional filing receipts

These are raw ticker-matched positions in recent 13F receipts, including amendments. They are not deduplicated current ownership totals. Open the manager profile to inspect its effective filing book.

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OSAIC HOLDINGS, INC.2026-06-302026-08-153,098$88,936None
FLOW TRADERS U.S. LLC2026-06-302026-08-1528,588$821,000None
SUSQUEHANNA INTERNATIONAL GROUP, LLP2026-06-302026-08-1513,873$398,294None
JONES FINANCIAL COMPANIES LLLP2026-06-302026-08-15110,340$3,144,690None
ROYAL BANK OF CANADA2026-06-302026-08-1525,229$724,000None
CITADEL ADVISORS LLC2026-06-302026-08-1512,358$354,798None
RAYMOND JAMES FINANCIAL INC2026-06-302026-08-1526,556$762,423None
RAYMOND JAMES FINANCIAL INC2026-06-302026-08-15199,616$5,730,975None
BANK OF AMERICA CORP /DE/2026-06-302026-08-1522,270$639,372None
BANK OF AMERICA CORP /DE/2026-06-302026-08-15177,507$5,096,226None
Pathstone Holdings, LLC2026-06-302026-08-1411,570$332,187None
Rockefeller Capital Management L.P.2026-06-302026-08-141,499$43,036None
UBS Group AG2026-06-302026-08-141,491$42,807None
NEUBERGER BERMAN GROUP LLC2026-06-302026-08-1457,502$1,650,882None
NEUBERGER BERMAN GROUP LLC2026-06-302026-08-14689,626$19,799,162None
MORGAN STANLEY2026-06-302026-08-1453,175$1,526,654None
HARBOUR INVESTMENTS, INC.2026-06-302026-08-1375$2,153None
EXCHANGE TRADED CONCEPTS, LLC2026-06-302026-08-12107,783$3,094,450None
STAGE HARBOR FINANCIAL, LLC2026-06-302026-08-08254,627$7,310,345None
LPL Financial LLC2026-06-302026-08-08269,987$7,751,313None
HighTower Advisors, LLC2026-06-302026-08-0647,351$1,359,459None
Worth Financial Advisory Group, LLC2026-06-302026-08-0129,136$836,495None
Cambridge Investment Research Advisors, Inc.2026-06-302026-07-31142,596$4,094,000None
BARNES PETTEY FINANCIAL ADVISORS, LLC2026-06-302026-07-2916,980$487,496None
Cambridge Investment Research Advisors, Inc.2026-06-302026-07-28142,596$4,094,000None
BARRETT & COMPANY, INC.2026-06-302026-07-253,814$109,500None
EXCHANGE TRADED CONCEPTS, LLC2026-06-302026-07-23107,783$3,094,450None

90-day public filing window, up to 50 source positions.

OSAIC HOLDINGS, INC. ↗FLOW TRADERS U.S. LLC ↗SUSQUEHANNA INTERNATIONAL GROUP, LLP ↗JONES FINANCIAL COMPANIES LLLP ↗ROYAL BANK OF CANADA ↗CITADEL ADVISORS LLC ↗RAYMOND JAMES FINANCIAL INC ↗RAYMOND JAMES FINANCIAL INC ↗BANK OF AMERICA CORP /DE/ ↗BANK OF AMERICA CORP /DE/ ↗

Recent Congressional disclosures

No matching Congressional transactions were returned in this source preview.

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How to read the disclosure dates

The tables report different things: insider transactions, institutional positions and Congressional transaction ranges. Read each table with its source dates and units. They cannot be added into a combined ownership percentage.

  1. Company insiders

    SEC Form 4 purchases, sales and awards report transactions and their public filing availability.

  2. Institutional managers

    13F reports disclose delayed quarter-end positions. They are not a record of trades between quarters.

  3. Congressional filers

    Periodic transaction reports disclose transaction dates and amount brackets. Public filing dates determine what researchers could know.

Institutional source directory ↗Congressional source directory ↗

Read the transaction codes

Awards use transaction code A, purchases P and sales S. An acquisition from an award is not the same as an open-market purchase. Joint filers may share a transaction. Use original receipts and availability dates to interpret the events.