Welcome to our dedicated page for DoubleLine Multi-Sector Income ETF SEC filings (Ticker: DMX), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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On 28 Jul 2025, Foundations Investment Advisors, LLC filed Amendment No. 2 to Schedule 13G disclosing that it beneficially owns 134,630 shares of DoubleLine Multi-Sector Income ETF (CUSIP 25861R709), representing 14.6 % of the outstanding class as of 30 Jun 2025.
The Arizona-based registered investment adviser reports:
- Sole voting power: 0
- Shared voting power: 0
- Sole dispositive power: 134,630
- Shared dispositive power: 0
Because its ownership exceeds the 5 % threshold, the firm is required to disclose its position under Section 13(d). The filing is informational only; it contains no purchase prices, transaction dates, or stated activist intentions. Lack of voting authority suggests Foundations manages the position on behalf of clients rather than seeking to influence ETF governance.
Schedule 13G/A (Amendment No. 5) for DoubleLine ETF Trust (CUSIP 25861R600) discloses that Foundations Investment Advisors, LLC, an Arizona-based registered investment adviser, held 229,267 units of the referenced exchange-traded product as of 30 June 2025. The position represents 42.5 % of the outstanding class, making the filer a highly concentrated beneficial owner.
The adviser reports sole dispositive power over all 229,267 units but no voting power, indicating it can sell or transfer the securities on clients’ behalf yet does not exercise proxy voting rights. The filing is made pursuant to Rule 13d-1(b) as an institutional investment adviser and is signed by CCO Marc Pugsley on 28 July 2025.
Foundations Investment Advisors, LLC has filed Amendment No. 3 to Schedule 13G disclosing its beneficial ownership position in DoubleLine Multi-Sector Income ETF (CUSIP 25861R501, symbol DMX) as of 30 June 2025.
- Shares owned: 608,483.
- Percent of class: 80.1%.
- Power: Sole dispositive authority over all shares; no voting power reported (both sole and shared voting power = 0).
- Filer status: Registered Investment Adviser (IA) organized in Arizona.
- Signature: Marc Pugsley, CCO, dated 08 July 2025.
The filing indicates that a single investment adviser controls a dominant share of the ETF’s outstanding units. Such concentration can materially affect float availability and secondary-market liquidity, even though the filer retains no formal voting influence over fund governance. Investors should monitor any future changes that could alter the ETF’s ownership structure or market dynamics.
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