Vault-13

ISHARES TR ISCV

MRNING SM CP ETF · ETP · CUSIP 464288703

112 institutional holders +9 vs Q3 2023
3,562,2623.6m shares reported held*
$210.5mreported value*
12 new 36 added 30 reduced 8 sold out net bought ≈ $30.8m (+521.0k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once ($35.2k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $59.08. Options: 9 managers hold calls ($4.5bn notional), 0 hold puts (—).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 96Q4 22: 99Q1 23: 98Q2 23: 98Q3 23: 103Q4 23: 112112Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202296
Q4 202299
Q1 202398
Q2 202398
Q3 2023103
Q4 2023112

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
50050Q4 22: 40 bought or addedQ4 22: 32 cut or sold outQ4 22Q1 23: 38 bought or addedQ1 23: 33 cut or sold outQ1 23Q2 23: 37 bought or addedQ2 23: 41 cut or sold outQ2 23Q3 23: 39 bought or addedQ3 23: 31 cut or sold outQ3 23Q4 23: 48 bought or addedQ4 23: 38 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20224032
Q1 20233833
Q2 20233741
Q3 20233931
Q4 20234838

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$2bn$4bn$6bnQ1 23 calls: $2.5bnQ1 23 puts: $0Q1 23P/C 0.00Q2 23 calls: $1.8bnQ2 23 puts: $16.1kQ2 23P/C 0.00Q3 23 calls: $1.6bnQ3 23 puts: $0Q3 23P/C 0.00Q4 23 calls: $4.5bnQ4 23 puts: $0Q4 23P/C 0.00
Numbers
QuarterCallsPutsP/C
Q1 2023$2.5bn$00.00
Q2 2023$1.8bn$16.1k0.00
Q3 2023$1.6bn$00.00
Q4 2023$4.5bn$00.00

Biggest buyers

MORGAN STANLEY Added +455,017+455.0k
CAPTRUST FINANCIAL ADVISORS New +55,005+55.0k
BANK OF AMERICA CORP /DE/ Added +45,230+45.2k
AMERIPRISE FINANCIAL INC Added +17,112+17.1k
COMMONWEALTH EQUITY SERVICES, LLC Added +10,666+10.7k
VAUGHAN & Co SECURITIES, INC. Added +10,487+10.5k
Merit Financial Group, LLC Added +9,300+9.3k
JPMORGAN CHASE & CO Added +8,976+9.0k
Dynamic Advisor Solutions LLC New +8,817+8.8k
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO Added +7,827+7.8k

Biggest sellers

CITADEL ADVISORS LLC Sold out -35,391-35.4k
ROYAL BANK OF CANADA Reduced -22,579-22.6k
WELLS FARGO & COMPANY/MN Reduced -22,102-22.1k
Merriman Wealth Management, LLC Reduced -16,091-16.1k
Tower Research Capital LLC (TRC) Reduced -13,229-13.2k
FLOW TRADERS U.S. LLC Sold out -7,757-7.8k
Perennial Investment Advisors, LLC Reduced -4,588-4.6k
EisnerAmper Wealth Management Corporate Benefits, LLC Reduced -4,271-4.3k
JANE STREET GROUP, LLC Sold out -3,935-3.9k
UBS Group AG Reduced -3,336-3.3k

Biggest calls

JPMORGAN CHASE & CO Added $2.1bn27.3m shares
CTC LLC Added $1.1bn138.2k shares
JANE STREET GROUP, LLC Added $696.9m9.0m shares
PICTON MAHONEY ASSET MANAGEMENT Added $464.3m6.0m shares
Optiver Holding B.V. Reduced $96.0m1.2m shares
Bracebridge Capital, LLC Reduced $36.4m4.7k shares
IMC-Chicago, LLC Added $26.6m343.2k shares
Maven Securities LTD Added $21.1m272.1k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

None

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 920,682920.7k $54.5m $54.5m 0.00% Added +455.0k +455,017
2 VAUGHAN & Co SECURITIES, INC. 9.99% of their portfolio Ridgewood, NJ 251,515251.5k $14.9m $14.9m 9.99% Added +10.5k +10,487
3 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 206,474206.5k $12.2m $12.2m 0.00% Added +45.2k +45,230
4 Steele Capital Management, Inc. 0.75% of their portfolio DUBUQUE, IA 195,420195.4k $11.6m $11.6m 0.75% First filing
5 Matrix Trust Co 2.69% of their portfolio DENVER, CO 194,223194.2k $11.5m $11.5m 2.69% Added +1.1k +1,113
6 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 131,184131.2k $7.8m $7.8m 0.01% Reduced -3.3k -3,304
7 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 116,846116.8k $6.9m $6.9m 0.00% Reduced -22.1k -22,102
8 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 111,891111.9k $6.6m $6.6m 0.00% Reduced -22.6k -22,579
9 UBS Group AG 0.00% of their portfolio ZURICH, V8 97,23497.2k $5.8m $5.8m 0.00% Reduced -3.3k -3,336
10 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 94,83194.8k $5.6m $5.6m 0.00% Added +5.4k +5,377
11 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 91,10991.1k $5.4m $5.4m 0.01% Added +7.8k +7,827
12 Merriman Wealth Management, LLC 0.24% of their portfolio SEATTLE, WA 82,18282.2k $4.9m $4.9m 0.24% Reduced -16.1k -16,091
13 AVANTAX ADVISORY SERVICES, INC. 0.04% of their portfolio DALLAS, TX 70,90770.9k $4.2m $4.2m 0.04% Added +3.8k +3,752
14 CAPTRUST FINANCIAL ADVISORS 0.01% of their portfolio RALEIGH, NC 55,00555.0k $3.3m $3.3m 0.01% New
15 Chicago Partners Investment Group LLC 0.14% of their portfolio CHICAGO, IL 52,70152.7k $3.0m $3.0m 0.14% Added +59 +59
16 EisnerAmper Wealth Management Corporate Benefits, LLC 1.11% of their portfolio ISELIN, NJ 51,46051.5k $3.0m $3.0m 1.11% Reduced -4.3k -4,271
17 Viewpoint Capital Management LLC 1.91% of their portfolio SEATTLE, WA 46,09846.1k $2.7m $2.7m 1.91% Unchanged
18 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 43,42043.4k $2.6m $2.6m 0.00% Unchanged
19 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 37,68037.7k $2.2m $2.2m 0.00% Added +17.1k +17,112
20 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 35,47035.5k $2.1m $2.1m 0.00% Added +10.7k +10,666
21 Kestra Advisory Services, LLC 0.02% of their portfolio AUSTIN, TX 34,85834.9k $2.1m $2.1m 0.02% Added +2.8k +2,828
22 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 34,61034.6k $2.0m $2.0m 0.01% Added +1.6k +1,615
23 Rodgers & Associates, LTD 0.25% of their portfolio Lancaster, PA 31,51931.5k $1.9m $1.9m 0.25% Added +235 +235
24 Hyperion Capital Advisors LP 0.88% of their portfolio New York, NY 27,40027.4k $1.6m $1.6m 0.88% Unchanged
25 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 24,46424.5k $1.4m $1.4m 0.00% Added +7.5k +7,487
26 MB Generational Wealth, LLC 1.30% of their portfolio SPOKANE, WA 23,41523.4k $1.4m $1.4m 1.30% First filing
27 Jackson Creek Investment Advisors LLC 0.39% of their portfolio CASTLE ROCK, CO 22,51222.5k $1.0m $1.0m 0.39% Added +1.0k +1,027
28 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 21,91921.9k $1.3m $1.3m 0.00% Added +347 +347
29 Kohmann Bosshard Financial Services, LLC 0.18% of their portfolio FAIRLAWN, OH 20,33120.3k $1.2m $1.2m 0.18% Unchanged
30 IHT Wealth Management, LLC 0.05% of their portfolio Chicago, IL 20,11720.1k $1.2m $1.2m 0.05% Added +13 +13
31 Cetera Advisors LLC 0.02% of their portfolio DENVER, CO 19,76519.8k $1.2m $1.2m 0.02% Reduced -1.1k -1,122
32 M Holdings Securities, Inc. 0.12% of their portfolio PORTLAND, OR 18,43518.4k $1.1m $1.1m 0.12% Reduced -1.7k -1,740
33 Merit Financial Group, LLC 0.03% of their portfolio ALPHARETTA, GA 17,35017.4k $1.0m $1.0m 0.03% Added +9.3k +9,300
34 COMERICA BANK 0.00% of their portfolio DALLAS, TX 17,28317.3k $1.0m $1.0m 0.00% Reduced -534 -534
35 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 17,27217.3k $1.0m $1.0m 0.00% Added +9.0k +8,976
36 Mariner, LLC 0.00% of their portfolio Overland Park, KS 16,42716.4k $972.6k $972.6k 0.00% Added +4.0k +3,970
37 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 16,31416.3k $965.9k $965.9k 0.01% Added +2.3k +2,339
38 D.A. DAVIDSON & CO. 0.01% of their portfolio GREAT FALLS, MT 15,92615.9k $943.0k $943.0k 0.01% Added +25 +25
39 MONECO ADVISORS, LLC 0.18% of their portfolio FAIRFIELD, CT 15,68515.7k $928.7k $928.7k 0.18% Reduced -6 -6
40 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 14,88814.9k $882.0k $882.0k 0.00% Reduced -1.1k -1,102
41 PANORAMIC INVESTMENT ADVISORS, LLC 0.69% of their portfolio DENVER, CO 13,52313.5k $800.7k $800.7k 0.69% Reduced -781 -781
42 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 12,40312.4k $734.4k $734.4k 0.00% Reduced -1.0k -1,009
43 Pacific Sun Financial Corp 0.45% of their portfolio LOS ANGELES, CA 12,11212.1k $717.2k $717.2k 0.45% Reduced -335 -335
44 Black Diamond Financial, LLC 0.17% of their portfolio TOWSON, MD 10,87910.9k $644.1k $644.1k 0.17% Added +579 +579
45 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 10,74610.7k $636.0k $636.0k 0.00% Reduced -1.0k -1,023
46 Courage Miller Partners, LLC 0.24% of their portfolio NORFOLK, VA 10,53610.5k $623.8k $623.8k 0.24% Reduced -1.2k -1,219
47 Mill Creek Capital Advisors, LLC 0.02% of their portfolio Conshohocken, PA 9,4329.4k $558.5k $558.5k 0.02% Unchanged
48 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 9,1149.1k $539.6k $539.6k 0.00% Added +1.4k +1,354
49 Dynamic Advisor Solutions LLC 0.02% of their portfolio PHOENIX, AZ 8,8178.8k $507.4k $507.4k 0.02% New
50 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 7,0367.0k $416.6k $416.6k 0.00% Added +66 +66
51 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 6,4966.5k $384.6k $384.6k 0.00% Added +6 +6
52 Ruane, Cunniff & Goldfarb L.P. 0.01% of their portfolio New York, NY 6,3806.4k $377.8k $377.8k 0.01% Unchanged
53 LINCOLN NATIONAL CORP 0.01% of their portfolio RADNOR, PA 6,0266.0k $356.8k $356.8k 0.01% Reduced -1.7k -1,671
54 TRANSCEND CAPITAL ADVISORS, LLC 0.03% of their portfolio MADISON, NJ 5,9135.9k $350.1k $350.1k 0.03% Added +1.7k +1,671
55 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 5,8035.8k $343.6k $343.6k 0.00% Reduced -1.1k -1,149
56 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 5,6825.7k $336.4k $336.4k 0.00% Reduced -1 -1
57 Towerpoint Wealth, LLC 0.18% of their portfolio SACRAMENTO, CA 5,6755.7k $336.0k $336.0k 0.18% Added +1 +1
58 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 5,5495.5k $328.0k $328.0k 0.00% Reduced -100 -100
59 Madison Wealth Partners, Inc 0.13% of their portfolio MADISON, WI 5,5325.5k $327.6k $327.6k 0.13% Added +313 +313
60 Perennial Investment Advisors, LLC 0.05% of their portfolio Los Angeles, CA 5,3805.4k $318.6k $318.6k 0.05% Reduced -4.6k -4,588
61 Equitable Holdings, Inc. 0.00% of their portfolio NEW YORK, NY 4,9084.9k $290.6k $290.6k 0.00% Added +68 +68
62 Argent Trust Co 0.01% of their portfolio NASHVILLE, TN 4,8894.9k $289.5k $289.5k 0.01% Unchanged
63 LANARK FINANCIAL, INC. 0.03% of their portfolio BIRMINGHAM, AL 4,6694.7k $276.0k $276.0k 0.03% Reduced -712 -712
64 Essex Financial Services, Inc. 0.03% of their portfolio ESSEX, CT 4,6574.7k $275.7k $275.7k 0.03% New
65 Sensible Money, LLC 0.16% of their portfolio SCOTTSDALE, AZ 4,6284.6k $274.0k $274.0k 0.16% New
66 DFPG INVESTMENTS, LLC 0.02% of their portfolio SANDY, UT 4,6214.6k $265.7k $265.7k 0.02% Reduced -217 -217
67 Sigma Planning Corp 0.02% of their portfolio ANN ARBOR, MI 4,4014.4k $260.6k $260.6k 0.02% Reduced -51 -51
68 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 4,1034.1k $242.9k $242.9k 0.00% Added +5 +5
69 Geneos Wealth Management Inc. 0.01% of their portfolio ENGLEWOOD, CO 4,0624.1k $240.5k $240.5k 0.01% Unchanged
70 CWM, LLC 0.00% of their portfolio OMAHA, NE 3,6953.7k $219.0k $219.0k 0.00% Unchanged
71 RMR Capital Management, LLC 0.25% of their portfolio Tustin, CA 3,6653.7k $217.0k $217.0k 0.25% First filing
72 SAGE FINANCIAL GROUP INC 0.02% of their portfolio W. CONSHOHOCKEN, PA 3,4133.4k $202.1k $202.1k 0.02% New
73 BARRETT & COMPANY, INC. 0.10% of their portfolio PROVIDENCE, RI 3,0933.1k $183.2k $183.2k 0.10% Reduced -1.1k -1,148
74 FMR LLC 0.00% of their portfolio BOSTON, MA 2,7202.7k $161.0k $161.0k 0.00% Added +801 +801
75 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 2,7002.7k $159.9k $159.9k 0.01% Reduced -300 -300
76 City State Bank 0.07% of their portfolio NORWALK, IA 2,1962.2k $130.0k $130.0k 0.07% Unchanged
77 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.01% of their portfolio BIRMINGHAM, AL 2,0292.0k $120.1k $120.1k 0.01% Reduced -1.8k -1,780
78 Smartleaf Asset Management LLC 0.03% of their portfolio BOSTON, MA 1,8311.8k $109.7k $109.7k 0.03% First filing
79 Global Financial Private Client, LLC 0.05% of their portfolio Sarasota, FL 1,8001.8k $106.6k $106.6k 0.05% Unchanged
80 PRIVATE TRUST CO NA 0.01% of their portfolio CLEVELAND, OH 1,4051.4k $83.2k $83.2k 0.01% Unchanged
81 Capital Investment Advisory Services, LLC 0.01% of their portfolio RALEIGH, NC 1,2001.2k $71.1k $71.1k 0.01% Unchanged
82 HARBOR INVESTMENT ADVISORY, LLC 0.01% of their portfolio LUTHERVILLE, MD 1,1551.2k $68.4k $68.4k 0.01% New
83 Bartlett & Co. LLC 0.00% of their portfolio CINCINNATI, OH 882882 $53.0k $53.0k 0.00% New
84 BARTLETT & CO. WEALTH MANAGEMENT LLC 0.00% of their portfolio CINCINNATI, OH 882882 $52.9k $52.9k 0.00% New
85 Laurel Wealth Advisors LLC 0.01% of their portfolio CHARLOTTE, NC 840840 $49.7k $49.7k 0.01% Unchanged
86 Cedar Mountain Advisors, LLC 0.01% of their portfolio LAKE OSWEGO, OR 831831 $49.2k $49.2k 0.01% Unchanged
87 Key Financial Inc 0.01% of their portfolio WEST CHESTER, PA 797797 $47.2k $47.2k 0.01% Unchanged
88 Tower Research Capital LLC (TRC) 0.00% of their portfolio NEW YORK, NY 683683 $40.4k $40.4k 0.00% Reduced -13.2k -13,229
89 Rise Advisors, LLC 0.03% of their portfolio ROCHESTER, NY 641641 $37.9k $37.9k 0.03% Added +9 +9
90 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 594594 $35.2k $35.2k 0.00% New
91 PRINCIPAL SECURITIES, INC. 0.00% of their portfolio DES MOINES, IA 500500 $29.6k $29.6k 0.00% First filing
92 AdvisorNet Financial, Inc 0.00% of their portfolio MINNETONKA, MN 477477 $28.3k $28.3k 0.00% Added +6 +6
93 Archer Investment Corp 0.01% of their portfolio Carmel, IN 468468 $27.7k $27.7k 0.01% Unchanged
94 Sunbelt Securities, Inc. 0.00% of their portfolio HOUSTON, TX 434434 $25.7k $25.7k 0.00% Unchanged
95 ST GERMAIN D J CO INC 0.00% of their portfolio SPRINGFIELD, MA 351351 $20.8k $20.8k 0.00% Unchanged
96 Retirement Group, LLC 0.01% of their portfolio SAN DIEGO, CA 279279 $16.5k $16.5k 0.01% Unchanged
97 O'SHAUGHNESSY ASSET MANAGEMENT, LLC 0.00% of their portfolio Stamford, CT 270270 $16.0k $16.0k 0.00% Unchanged
98 New England Capital Financial Advisors LLC 0.01% of their portfolio MERIDEN, CT 264264 $15.6k $15.6k 0.01% Unchanged
99 MACROVIEW INVESTMENT MANAGEMENT LLC 0.02% of their portfolio BETHESDA, MD 222222 $13.1k $13.1k 0.02% New
100 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 222222 $13.1k $13.1k 0.00% Unchanged