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A stated mandate tells you what a firm says it's interested in. A 13F filing tells you what they're actually holding, which is a very different, and far more reliable, prospecting signal.
In this article, we'll walk through how 13F and ETF data in Dakota Marketplace turns public filing data into an actionable list, and how to use it to prioritize outreach based on real positions instead of stated preferences.
What the 13F Tab in Dakota Marketplace Actually Shows You
The 13F tab houses everything sourced from RIAs' and investment firms' quarterly SEC 13F filings, over 2.6 million holdings, filterable by account name, investment strategy, ticker, asset class, sub-asset class, product structure, fund balance range, and filing period, with a By Investor/By Fund toggle.
A set of new fields now apply across all 13F holdings, not just ETFs: Previous No. of Shares, Previous Quarter Value, and Status (New, Increased, Decreased, Equal Shares, or Sold-Out), giving you a quarter-over-quarter read on any holding without opening the individual filing or doing the math yourself.
Within that same dataset, ETF holdings get their own dedicated fields: ETF AUM, ETF AUM %, Active ETF AUM, and Passive ETF AUM. Because this data is sourced from an external feed, it lives in a list-view format on the 13F tab, with Create a List, My Lists, and Excel export all available so you can build, save, and share your own curated lists directly.
4 Use Cases for 13F Holdings
Use It to Identify Who Holds a Competitor's Fund
Knowing which RIAs currently hold a competing fund is one of the clearest signals available for where to focus a switch campaign. Filtering the 13F tab by ticker or fund lets you see exactly who's holding a specific product today, rather than guessing which firms might be a fit based on asset class alone.
Book a demo of Dakota Marketplace to see 13F holdings for the tickers and firms you're tracking.
Use It to Prioritize Based on Real Holdings, Not Stated Mandates
The Status field turns a single snapshot into a trend. Seeing that a firm is increasing a position, rather than just holding one, is a stronger signal than a stated interest in an asset class. One team raved about the 13F mapping functionality on account and contact pages, using Dakota Joe to quickly build a custom holder list across their territory based specifically on this kind of quarter-over-quarter detail.
Use It to Target Accounts Based on Their Active/Passive ETF Split
ETFs are one of the fastest-growing parts of the RIA book, and knowing which RIAs lean active versus passive, and how much of their book is in ETFs at all, lets asset managers with ETF products, or managers competing against ETFs, target the right accounts instead of guessing. Surfacing ETF AUM and the active/passive split directly on the account page means you don't have to build a separate report just to answer whether a given RIA uses ETFs and how heavily.
Use It Instead of a Less Accurate or Harder-to-Use Alternative
If you've used a different 13F or ETF data source before, it's worth comparing directly. One team described Dakota's 13F data as more accurate than a competing provider they'd used previously, while another said Dakota's ETF interface was easier to use than a tool they'd relied on at a prior firm, also noting how much the underlying data had grown since they'd last used it.
Prospect on What Firms Are Actually Holding
A stated mandate is a starting point. A 13F filing is proof. Filter by ticker, asset class, or Status to build a list grounded in what firms are actually doing with their capital right now, then save and export that list directly from the 13F tab.
Book a demo of Dakota Marketplace to see 13F and ETF data for the tickers and strategies you cover.
FAQs
How many 13F holdings does Dakota Marketplace track? 2.6 million+ total 13F filing investments, including 938,000+ ETF holdings.
What does the Status field show? Whether a holding is New, Increased, Decreased, Equal Shares, or Sold-Out compared to the previous quarter.
Can I see a firm's active vs. passive ETF split? Yes. ETF AUM, ETF AUM %, Active ETF AUM, and Passive ETF AUM are all available as dedicated fields.
