Vault-13

ISHARES TR IWC

MICRO-CAP ETF · ETP · CUSIP 464288869

189 institutional holders -8 vs Q4 2022
4,453,9354.5m shares reported held*
$465.4mreported value*
9 new 48 added 70 reduced 19 sold out net sold ≈ $18.1m (-173.6k 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 ($486.6k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $104.50. Options: 2 managers hold calls ($418.0k notional), 3 hold puts ($294.6k).

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 195Q4 22: 197Q1 23: 189189Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022195
Q4 2022197
Q1 2023189

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 75 bought or addedQ4 22: 68 cut or sold outQ4 22Q1 23: 57 bought or addedQ1 23: 89 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 20227568
Q1 20235789

Calls vs puts

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

CallsPuts
$0$5m$10m$15mQ3 22 calls: $0Q3 22 puts: $538.0kQ3 22P/C —Q4 22 calls: $431.3kQ4 22 puts: $10.9mQ4 22P/C 25.23Q1 23 calls: $418.0kQ1 23 puts: $294.6kQ1 23P/C 0.70
Numbers
QuarterCallsPutsP/C
Q3 2022$0$538.0k—
Q4 2022$431.3k$10.9m25.23
Q1 2023$418.0k$294.6k0.70

Biggest buyers

Sparta 24 Ltd. New +33,482+33.5k
One Capital Management, LLC Added +17,402+17.4k
CITADEL ADVISORS LLC Added +9,447+9.4k
OSAIC HOLDINGS, INC. Added +8,476+8.5k
Balboa Wealth Partners New +7,941+7.9k
1832 Asset Management L.P. Added +7,045+7.0k
TWO SIGMA ADVISERS, LP New +4,000+4.0k
TWO SIGMA INVESTMENTS, LP Added +3,900+3.9k
ENVESTNET ASSET MANAGEMENT INC Added +3,572+3.6k
Alesco Advisors, LLC, An ESL Co Added +3,496+3.5k

Biggest sellers

AIRE ADVISORS, LLC Reduced -42,286-42.3k
ROYAL BANK OF CANADA Reduced -40,713-40.7k
RICE HALL JAMES & ASSOCIATES, LLC Sold out -23,651-23.7k
Crescent Grove Advisors, LLC Reduced -20,137-20.1k
BANK OF AMERICA CORP /DE/ Reduced -17,390-17.4k
Cambridge Investment Research Advisors, Inc. Reduced -16,240-16.2k
Janney Montgomery Scott LLC Reduced -14,085-14.1k
Naviter Wealth, LLC Reduced -13,332-13.3k
HANCOCK WHITNEY CORP Reduced -10,699-10.7k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Sold out -8,058-8.1k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $334.4k3.2k shares
CITADEL ADVISORS LLC Reduced $83.6k800 shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $219.5k2.1k shares
CITADEL ADVISORS LLC Added $73.2k700 shares
Cutler Group LLC / CA Reduced $2.0k200 shares

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, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 1832 Asset Management L.P. 0.12% of their portfolio TORONTO, A6 542,847542.8k $56.7m $56.7m 0.12% Added +7.0k +7,045
2 Corient Private Wealth LP 0.08% of their portfolio MIAMI, FL 272,446272.4k $28.5m $28.5m 0.08% Added +203 +203
3 One Capital Management, LLC 1.38% of their portfolio WESTLAKE VILLAGE, CA 269,231269.2k $28.1m $28.1m 1.38% Added +17.4k +17,402
4 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 253,347253.3k $26.5m $26.5m 0.00% Reduced -17.4k -17,390
5 HALBERT HARGROVE GLOBAL ADVISORS, LLC 1.42% of their portfolio LONG BEACH, CA 198,557198.6k $20.8m $20.8m 1.42% Reduced -1.6k -1,623
6 Alesco Advisors, LLC, An ESL Co 0.65% of their portfolio Pittsford, NY 168,920168.9k $17.7m $17.7m 0.65% Added +3.5k +3,496
7 BANK OF MONTREAL /CAN/ 0.01% of their portfolio TORONTO, A6 158,726158.7k $16.6m $16.6m 0.01% Reduced -5.5k -5,485
8 AVANTAX ADVISORY SERVICES, INC. 0.20% of their portfolio DALLAS, TX 153,591153.6k $16.1m $16.1m 0.20% Reduced -679 -679
9 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.55% of their portfolio Seattle, WA 120,320120.3k $12.6m $12.6m 0.55% Reduced -7.5k -7,546
10 ARKANSAS FINANCIAL GROUP, INC. 2.41% of their portfolio LITTLE ROCK, AR 110,965111.0k $11.6m $11.6m 2.41% Added +1.2k +1,207
11 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 97,54697.5k $10.2m $10.2m 0.02% Added +8.5k +8,476
12 Janney Montgomery Scott LLC 0.04% of their portfolio PHILADELPHIA, PA 94,96195.0k $9.9m $9.9m 0.04% Reduced -14.1k -14,085
13 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 94,02594.0k $9.8m $9.8m 0.00% Added +27 +27
14 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 92,79792.8k $9.7m $9.7m 0.00% Reduced -641 -641
15 HighTower Advisors, LLC 0.02% of their portfolio CHICAGO, IL 77,18477.2k $8.1m $8.1m 0.02% Added +497 +497
16 Creative Planning 0.01% of their portfolio OVERLAND PARK, KS 76,46976.5k $8.0m $8.0m 0.01% Reduced -1.5k -1,485
17 Chicago Partners Investment Group LLC 0.42% of their portfolio CHICAGO, IL 70,05370.1k $7.3m $7.3m 0.42% Reduced -4.9k -4,938
18 UBS Group AG 0.00% of their portfolio ZURICH, V8 66,96867.0k $7.0m $7.0m 0.00% Reduced -3.3k -3,264
19 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 63,79563.8k $6.7m $6.7m 0.00% Unchanged
20 SACHEM HILL LLC 1.87% of their portfolio DENVER, CO 62,16162.2k $6.5m $6.5m 1.87% Added +91 +91
21 STEPHENS INC /AR/ 0.12% of their portfolio LITTLE ROCK, AR 58,84658.8k $6.1m $6.1m 0.12% Reduced -4.0k -4,028
22 Efficient Advisors, LLC 0.40% of their portfolio BEAVERTON, OR 54,43854.4k $5.7m $5.7m 0.40% Reduced -3.5k -3,458
23 Frank, Rimerman Advisors LLC 1.45% of their portfolio Palo Alto, CA 50,26150.3k $5.3m $5.3m 1.45% Added +1.7k +1,727
24 TD AMERITRADE INVESTMENT MANAGEMENT, LLC 0.05% of their portfolio OMAHA, NE 48,59748.6k $5.1m $5.1m 0.05% Reduced -309 -309
25 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 44,43244.4k $4.6m $4.6m 0.00% Reduced -40.7k -40,713
26 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 43,83343.8k $4.6m $4.6m 0.00% Reduced -1.1k -1,061
27 SMITH, MOORE & CO. 0.60% of their portfolio CLAYTON, MO 42,04142.0k $4.4m $4.4m 0.60% Reduced -427 -427
28 DUMONT & BLAKE INVESTMENT ADVISORS LLC 1.42% of their portfolio PRINCETON, NJ 40,09140.1k $4.2m $4.2m 1.42% Added +217 +217
29 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 38,86038.9k $4.1m $4.1m 0.00% Added +3.6k +3,572
30 JOHNSON INVESTMENT COUNSEL INC 0.05% of their portfolio Cincinnati, OH 37,87237.9k $4.0m $4.0m 0.05% Reduced -1.7k -1,692
31 MUTUAL OF AMERICA CAPITAL MANAGEMENT LLC 0.05% of their portfolio New York, NY 36,92436.9k $3.9m $3.9m 0.05% Reduced -1.7k -1,702
32 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 36,92136.9k $3.9m $3.9m 0.00% Reduced -3.5k -3,519
33 O'Connor Financial Group LLC 2.69% of their portfolio QUINCY, IL 34,18434.2k $3.6m $3.6m 2.69% First filing
34 AIRE ADVISORS, LLC 0.99% of their portfolio BEVERLY HILLS, CA 33,97034.0k $3.5m $3.5m 0.99% Reduced -42.3k -42,286
35 Sparta 24 Ltd. 3.00% of their portfolio Tirat Hacarmel, L3 33,48233.5k $3.5m $3.5m 3.00% New
36 Noble Family Wealth, LLC 1.18% of their portfolio Clearwater, FL 32,98833.0k $3.4m $3.4m 1.18% First filing
37 Ancora Advisors LLC 0.10% of their portfolio Cleveland, OH 32,10532.1k $3.4m $3.4m 0.10% Reduced -31 -31
38 WealthShield Partners, LLC 0.53% of their portfolio CARY, NC 31,56131.6k $3.3m $3.3m 0.53% Added +72 +72
39 PARK AVENUE SECURITIES LLC 0.04% of their portfolio NEW YORK, NY 23,93623.9k $2.5m $2.5m 0.04% Added +2.3k +2,297
40 Texas Yale Capital Corp. 0.11% of their portfolio ST. PETERSBURG, FL 20,32320.3k $2.1m $2.1m 0.11% Reduced -2.0k -2,050
41 Regal Investment Advisors LLC 0.19% of their portfolio KENTWOOD, MI 20,32120.3k $2.1m $2.1m 0.19% Reduced -156 -156
42 Connective Capital Management, LLC 3.11% of their portfolio PALO ALTO, CA 20,06620.1k $2.1m $2.1m 3.11% Unchanged
43 Kendall Capital Management 0.99% of their portfolio ROCKVILLE, MD 19,76819.8k $2.1m $2.1m 0.99% Added +1.2k +1,249
44 HANCOCK WHITNEY CORP 0.08% of their portfolio GULFPORT, MS 19,70419.7k $2.1m $2.1m 0.08% Reduced -10.7k -10,699
45 Cetera Advisors LLC 0.03% of their portfolio DENVER, CO 19,36019.4k $2.0m $2.0m 0.03% Reduced -9 -9
46 Dynamic Advisor Solutions LLC 0.11% of their portfolio PHOENIX, AZ 17,83317.8k $1.9m $1.9m 0.11% Added +1.3k +1,339
47 Rockbridge Investment Management, LCC 0.34% of their portfolio Syracuse, NY 17,53517.5k $1.8m $1.8m 0.34% Added +22 +22
48 WESCAP Management Group, Inc. 0.61% of their portfolio Glendale, CA 16,63016.6k $1.7m $1.7m 0.61% Reduced -3.0k -3,018
49 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 16,61516.6k $1.7m $1.7m 0.00% Added +9.4k +9,447
50 CX Institutional 0.09% of their portfolio AUBURN, IN 15,49115.5k $1.6m $1.6m 0.09% Reduced -11 -11
51 Level Financial Advisors 0.89% of their portfolio EAST AMHERST, NY 14,23414.2k $1.5m $1.5m 0.89% Reduced -48 -48
52 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 13,93013.9k $1.5m $1.5m 0.00% Reduced -361 -361
53 Mariner, LLC 0.00% of their portfolio Overland Park, KS 13,74613.7k $1.4m $1.4m 0.00% Added +820 +820
54 Evanson Asset Management, LLC 0.14% of their portfolio CARMEL, CA 13,45213.5k $1.4m $1.4m 0.14% Added +10 +10
55 Family Firm, Inc. 0.39% of their portfolio BETHESDA, MD 13,30413.3k $1.4m $1.4m 0.39% Added +382 +382
56 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 12,93112.9k $1.4m $1.4m 0.00% Reduced -214 -214
57 Physician Wealth Advisors, Inc. 0.35% of their portfolio MIDVALE, UT 12,64912.6k $1.3m $1.3m 0.35% Reduced -131 -131
58 GHP Investment Advisors, Inc. 0.08% of their portfolio Denver, CO 12,45712.5k $1.3m $1.3m 0.08% Reduced -1 -1
59 TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio NEW YORK, NY 11,50011.5k $1.2m $1.2m 0.00% Added +3.9k +3,900
60 Moisand Fitzgerald Tamayo, LLC 0.24% of their portfolio ORLANDO, FL 10,58910.6k $1.1m $1.1m 0.24% Reduced -1.6k -1,603
61 CERTUITY, LLC 0.15% of their portfolio NORTH PALM BEACH, FL 10,00010.0k $1.0m $1.0m 0.15% Added +345 +345
62 CI INVESTMENTS INC. 0.01% of their portfolio TORONTO, Z4 9,5889.6k $1.0m $1.0m 0.01% Reduced -342 -342
63 FIL Ltd 0.00% of their portfolio HAMILTON, D0 9,2239.2k $963.9k $963.9k 0.00% Reduced -12 -12
64 J.P. Morgan Private Wealth Advisors LLC 0.00% of their portfolio SAN FRANCISCO, CA 9,0609.1k $946.9k $946.9k 0.00% Reduced -300 -300
65 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 8,8068.8k $920.3k $920.3k 0.00% Added +988 +988
66 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 8,4908.5k $887.0k $887.0k 0.00% Reduced -64 -64
67 Jentner Corp 0.60% of their portfolio Akron, OH 8,4688.5k $885.0k $885.0k 0.60% Added +442 +442
68 Balboa Wealth Partners 0.31% of their portfolio SCOTTSDALE, AZ 7,9417.9k $829.9k $829.9k 0.31% New
69 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 7,7797.8k $813.0k $813.0k 0.00% Reduced -80 -80
70 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 6,9336.9k $725.0k $725.0k 0.00% Reduced -16.2k -16,240
71 Ellis Investment Partners, LLC 0.18% of their portfolio Berwyn, PA 6,6426.6k $694.1k $694.1k 0.18% Added +40 +40
72 MML INVESTORS SERVICES, LLC 0.00% of their portfolio SPRINGFIELD, MA 6,5336.5k $683.0k $683.0k 0.00% Added +3.5k +3,470
73 KEYBANK NATIONAL ASSOCIATION/OH 0.00% of their portfolio BROOKLYN, OH 6,0066.0k $627.7k $627.7k 0.00% Unchanged
74 TAP Consulting, LLC 0.15% of their portfolio KIRKWOOD, MO 5,9405.9k $620.8k $620.8k 0.15% Reduced -629 -629
75 O'SHAUGHNESSY ASSET MANAGEMENT, LLC 0.01% of their portfolio Stamford, CT 5,8355.8k $609.8k $609.8k 0.01% Added +1.7k +1,733
76 Capital Analysts, LLC 0.03% of their portfolio FORT WASHINGTON, PA 5,5425.5k $579.0k $579.0k 0.03% Reduced -825 -825
77 Capital Investment Advisors, LLC 0.02% of their portfolio ATLANTA, GA 5,5155.5k $576.3k $576.3k 0.02% Unchanged
78 Acropolis Investment Management, LLC 0.05% of their portfolio ST. LOUIS, MO 5,2965.3k $553.5k $553.5k 0.05% Unchanged
79 Brand Asset Management Group, Inc. 0.27% of their portfolio CHESTERFIELD, MO 5,2015.2k $543.6k $543.6k 0.27% Reduced -620 -620
80 SILVERCREST ASSET MANAGEMENT GROUP LLC 0.00% of their portfolio NEW YORK, NY 5,1055.1k $533.5k $533.5k 0.00% Reduced -150 -150
81 VISTA CAPITAL PARTNERS, INC. 0.08% of their portfolio PORTLAND, OR 5,0385.0k $526.5k $526.5k 0.08% Unchanged
82 Sepio Capital, LP 0.05% of their portfolio Salt Lake City, UT 4,9444.9k $516.7k $516.7k 0.05% Added +13 +13
83 Endowment Wealth Management, Inc. 0.49% of their portfolio APPLETON, WI 4,7024.7k $491.4k $491.4k 0.49% Added +426 +426
84 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.00% of their portfolio IRVING, TX 4,6564.7k $486.6k $486.6k 0.00% Reduced -1.9k -1,871
85 Biltmore Family Office, LLC 0.10% of their portfolio CHARLOTTE, NC 4,5104.5k $471.3k $471.3k 0.10% Reduced -151 -151
86 Tortoise Investment Management, LLC 0.07% of their portfolio WHITE PLAINS, NY 4,3824.4k $458.0k $458.0k 0.07% Reduced -94 -94
87 Jackson, Grant Investment Advisers, Inc. 0.21% of their portfolio STAMFORD, CT 4,2934.3k $448.7k $448.7k 0.21% Reduced -612 -612
88 Spire Wealth Management 0.02% of their portfolio MCLEAN, VA 4,2814.3k $447.4k $447.4k 0.02% Added +1.2k +1,158
89 Modera Wealth Management, LLC 0.02% of their portfolio WESTWOOD, NJ 4,2784.3k $447.1k $447.1k 0.02% Unchanged
90 FOUNDERS FINANCIAL SECURITIES LLC 0.06% of their portfolio TOWSON, MD 4,2284.2k $441.9k $441.9k 0.06% Added +30 +30
91 NTV Asset Management LLC 0.08% of their portfolio Charleston, WV 4,1104.1k $429.5k $429.5k 0.08% Added +100 +100
92 TWO SIGMA ADVISERS, LP 0.00% of their portfolio NEW YORK, NY 4,0004.0k $418.0k $418.0k 0.00% New
93 Portland Global Advisors LLC 0.07% of their portfolio PORTLAND, ME 4,0004.0k $418.0k $418.0k 0.07% Reduced -100 -100
94 New England Capital Financial Advisors LLC 0.29% of their portfolio MERIDEN, CT 3,8853.9k $406.0k $406.0k 0.29% Added +75 +75
95 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 3,7923.8k $396.3k $396.3k 0.00% Reduced -489 -489
96 High Net Worth Advisory Group LLC 0.16% of their portfolio NAPLES, FL 3,7833.8k $395.4k $395.4k 0.16% Reduced -100 -100
97 BUCKINGHAM STRATEGIC WEALTH, LLC 0.01% of their portfolio CLAYTON, MO 3,5323.5k $380.9k $380.9k 0.01% Unchanged
98 First Western Trust Bank 0.02% of their portfolio Denver, CO 3,4243.4k $357.8k $357.8k 0.02% Unchanged
99 Caprock Group, LLC 0.03% of their portfolio BOISE, ID 3,3143.3k $346.3k $346.3k 0.03% Unchanged
100 Crescent Grove Advisors, LLC 0.04% of their portfolio LAKE FOREST, IL 3,3123.3k $346.1k $346.1k 0.04% Reduced -20.1k -20,137