Vault-13

ISHARES TR IWC

MICRO-CAP ETF · ETP · CUSIP 464288869

194 institutional holders +5 vs Q1 2023
4,453,5134.5m shares reported held*
$487.5mreported value*
19 new 55 added 58 reduced 14 sold out net sold ≈ $555.0k (-5.1k 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. Holder counts are more reliable. Implied quarter-end price ≈ $109.46. Options: 2 managers hold calls ($5.0m notional), 1 hold puts ($218.6k).

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 195Q4 22: 197Q1 23: 189Q2 23: 194194Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022195
Q4 2022197
Q1 2023189
Q2 2023194

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 23Q2 23: 74 bought or addedQ2 23: 72 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20227568
Q1 20235789
Q2 20237472

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 0.70Q2 23 calls: $5.0mQ2 23 puts: $218.6kQ2 23P/C 0.04
Numbers
QuarterCallsPutsP/C
Q3 2022$0$538.0k—
Q4 2022$431.3k$10.9m25.23
Q1 2023$418.0k$294.6k0.70
Q2 2023$5.0m$218.6k0.04

Biggest buyers

Sparta 24 Ltd. Added +77,284+77.3k
BARCLAYS PLC New +60,749+60.7k
SUSQUEHANNA INTERNATIONAL GROUP, LLP New +46,122+46.1k
One Capital Management, LLC Added +28,768+28.8k
LVZ, Inc. New +22,726+22.7k
BANK OF MONTREAL /CAN/ Added +19,632+19.6k
FLOW TRADERS U.S. LLC New +13,527+13.5k
ROYAL BANK OF CANADA Added +11,392+11.4k
SENTINEL TRUST CO LBA New +11,160+11.2k
MORGAN STANLEY Added +10,870+10.9k

Biggest sellers

HALBERT HARGROVE GLOBAL ADVISORS, LLC Reduced -86,638-86.6k
Corient Private Wealth LP Reduced -33,657-33.7k
BANK OF AMERICA CORP /DE/ Reduced -29,576-29.6k
Ancora Advisors LLC Reduced -27,393-27.4k
O'Connor Financial Group LLC Reduced -26,105-26.1k
STEPHENS INC /AR/ Reduced -25,051-25.1k
HANCOCK WHITNEY CORP Sold out -19,704-19.7k
CX Institutional Sold out -15,491-15.5k
WELLS FARGO & COMPANY/MN Reduced -12,292-12.3k
OSAIC HOLDINGS, INC. Reduced -11,475-11.5k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $4.3m38.9k shares
CITADEL ADVISORS LLC Added $787.0k7.2k shares

Biggest puts

CITADEL ADVISORS LLC Added $218.6k2.0k 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, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 1832 Asset Management L.P. 0.12% of their portfolio TORONTO, A6 545,654545.7k $59.6m $59.6m 0.12% Added +2.8k +2,807
2 One Capital Management, LLC 1.47% of their portfolio WESTLAKE VILLAGE, CA 297,999298.0k $32.6m $32.6m 1.47% Added +28.8k +28,768
3 Corient Private Wealth LP 0.06% of their portfolio MIAMI, FL 238,789238.8k $26.1m $26.1m 0.06% Reduced -33.7k -33,657
4 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 223,771223.8k $24.5m $24.5m 0.00% Reduced -29.6k -29,576
5 BANK OF MONTREAL /CAN/ 0.01% of their portfolio TORONTO, A6 178,358178.4k $20.0m $20.0m 0.01% Added +19.6k +19,632
6 Alesco Advisors, LLC, An ESL Co 0.69% of their portfolio Pittsford, NY 176,595176.6k $19.3m $19.3m 0.69% Added +7.7k +7,675
7 AVANTAX ADVISORY SERVICES, INC. 0.19% of their portfolio DALLAS, TX 151,755151.8k $16.6m $16.6m 0.19% Reduced -1.8k -1,836
8 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.52% of their portfolio Seattle, WA 117,173117.2k $12.8m $12.8m 0.52% Reduced -3.1k -3,147
9 ARKANSAS FINANCIAL GROUP, INC. 2.45% of their portfolio LITTLE ROCK, AR 112,194112.2k $12.3m $12.3m 2.45% Added +1.2k +1,229
10 HALBERT HARGROVE GLOBAL ADVISORS, LLC 0.90% of their portfolio LONG BEACH, CA 111,919111.9k $12.2m $12.2m 0.90% Reduced -86.6k -86,638
11 Sparta 24 Ltd. 17.42% of their portfolio Tirat Hacarmel, L3 110,766110.8k $12.1m $12.1m 17.42% Added +77.3k +77,284
12 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 104,895104.9k $11.5m $11.5m 0.00% Added +10.9k +10,870
13 Janney Montgomery Scott LLC 0.04% of their portfolio PHILADELPHIA, PA 95,08795.1k $10.4m $10.4m 0.04% Added +126 +126
14 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 86,07186.1k $9.4m $9.4m 0.02% Reduced -11.5k -11,475
15 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 80,50580.5k $8.8m $8.8m 0.00% Reduced -12.3k -12,292
16 HighTower Advisors, LLC 0.02% of their portfolio CHICAGO, IL 78,49778.5k $8.6m $8.6m 0.02% Added +1.3k +1,313
17 Creative Planning 0.01% of their portfolio OVERLAND PARK, KS 77,13477.1k $8.4m $8.4m 0.01% Added +665 +665
18 Chicago Partners Investment Group LLC 0.38% of their portfolio CHICAGO, IL 65,06665.1k $7.4m $7.4m 0.38% Reduced -5.0k -4,987
19 UBS Group AG 0.00% of their portfolio ZURICH, V8 64,98965.0k $7.1m $7.1m 0.00% Reduced -2.0k -1,979
20 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 63,79563.8k $7.0m $7.0m 0.00% Unchanged
21 SACHEM HILL LLC 1.85% of their portfolio DENVER, CO 61,55961.6k $6.7m $6.7m 1.85% Reduced -602 -602
22 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 60,74960.7k $6.6m $6.6m 0.00% New
23 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 55,82455.8k $6.1m $6.1m 0.00% Added +11.4k +11,392
24 Efficient Advisors, LLC 0.38% of their portfolio BEAVERTON, OR 52,67052.7k $5.8m $5.8m 0.38% Reduced -1.8k -1,768
25 Frank, Rimerman Advisors LLC 1.31% of their portfolio Palo Alto, CA 50,28050.3k $5.5m $5.5m 1.31% Added +19 +19
26 TD AMERITRADE INVESTMENT MANAGEMENT, LLC 0.06% of their portfolio OMAHA, NE 48,74848.7k $5.3m $5.3m 0.06% Added +151 +151
27 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.01% of their portfolio BALA CYNWYD, PA 46,12246.1k $5.0m $5.0m 0.01% New
28 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 45,06145.1k $4.9m $4.9m 0.00% Added +6.2k +6,201
29 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 44,17344.2k $4.8m $4.8m 0.00% Added +340 +340
30 SMITH, MOORE & CO. 0.58% of their portfolio CLAYTON, MO 41,53941.5k $4.5m $4.5m 0.58% Reduced -502 -502
31 DUMONT & BLAKE INVESTMENT ADVISORS LLC 1.44% of their portfolio PRINCETON, NJ 40,42240.4k $4.4m $4.4m 1.44% Added +331 +331
32 JOHNSON INVESTMENT COUNSEL INC 0.05% of their portfolio Cincinnati, OH 36,02036.0k $3.9m $3.9m 0.05% Reduced -1.9k -1,852
33 WealthShield Partners, LLC 0.59% of their portfolio CARY, NC 35,76835.8k $3.9m $3.9m 0.59% Added +4.2k +4,207
34 MUTUAL OF AMERICA CAPITAL MANAGEMENT LLC 0.04% of their portfolio New York, NY 34,30334.3k $3.7m $3.7m 0.04% Reduced -2.6k -2,621
35 STEPHENS INC /AR/ 0.07% of their portfolio LITTLE ROCK, AR 33,79533.8k $3.7m $3.7m 0.07% Reduced -25.1k -25,051
36 Noble Family Wealth, LLC 1.09% of their portfolio Clearwater, FL 30,76530.8k $3.4m $3.4m 1.09% Reduced -2.2k -2,223
37 PARK AVENUE SECURITIES LLC 0.05% of their portfolio NEW YORK, NY 30,37230.4k $3.3m $3.3m 0.05% Added +6.4k +6,436
38 AIRE ADVISORS, LLC 0.85% of their portfolio BEVERLY HILLS, CA 29,81429.8k $3.2m $3.2m 0.85% Reduced -4.2k -4,156
39 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 27,51527.5k $3.0m $3.0m 0.00% Reduced -9.4k -9,406
40 LVZ, Inc. 0.35% of their portfolio Holland, MI 22,72622.7k $2.5m $2.5m 0.35% New
41 Regal Investment Advisors LLC 0.20% of their portfolio KENTWOOD, MI 21,75121.8k $2.4m $2.4m 0.20% Added +1.4k +1,430
42 Cetera Advisors LLC 0.03% of their portfolio DENVER, CO 20,22120.2k $2.2m $2.2m 0.03% Added +861 +861
43 Kendall Capital Management 0.97% of their portfolio ROCKVILLE, MD 20,17920.2k $2.2m $2.2m 0.97% Added +411 +411
44 Connective Capital Management, LLC 2.55% of their portfolio PALO ALTO, CA 20,06620.1k $2.2m $2.2m 2.55% Unchanged
45 Dynamic Advisor Solutions LLC 0.10% of their portfolio PHOENIX, AZ 18,24918.2k $2.0m $2.0m 0.10% Added +416 +416
46 Rockbridge Investment Management, LCC 0.34% of their portfolio Syracuse, NY 17,94817.9k $2.0m $2.0m 0.34% Added +413 +413
47 Texas Yale Capital Corp. 0.09% of their portfolio ST. PETERSBURG, FL 16,88016.9k $1.8m $1.8m 0.09% Reduced -3.4k -3,443
48 Family Firm, Inc. 0.45% of their portfolio BETHESDA, MD 15,52515.5k $1.7m $1.7m 0.45% Added +2.2k +2,221
49 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 15,08615.1k $1.6m $1.6m 0.00% Reduced -1.5k -1,529
50 WESCAP Management Group, Inc. 0.55% of their portfolio Glendale, CA 14,52614.5k $1.6m $1.6m 0.55% Reduced -2.1k -2,104
51 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 14,18114.2k $1.6m $1.6m 0.00% Added +251 +251
52 FLOW TRADERS U.S. LLC 0.06% of their portfolio NEW YORK, NY 13,52713.5k $1.5m $1.5m 0.06% New
53 Evanson Asset Management, LLC 0.13% of their portfolio CARMEL, CA 13,46113.5k $1.5m $1.5m 0.13% Added +9 +9
54 Level Financial Advisors 0.80% of their portfolio EAST AMHERST, NY 13,06613.1k $1.4m $1.4m 0.80% Reduced -1.2k -1,168
55 Physician Wealth Advisors, Inc. 0.35% of their portfolio MIDVALE, UT 12,70412.7k $1.4m $1.4m 0.35% Added +55 +55
56 GHP Investment Advisors, Inc. 0.08% of their portfolio Denver, CO 12,35712.4k $1.4m $1.4m 0.08% Reduced -100 -100
57 TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio NEW YORK, NY 11,60011.6k $1.3m $1.3m 0.00% Added +100 +100
58 Mariner, LLC 0.00% of their portfolio Overland Park, KS 11,40911.4k $1.2m $1.2m 0.00% Reduced -2.3k -2,337
59 SENTINEL TRUST CO LBA 0.17% of their portfolio HOUSTON, TX 11,16011.2k $1.2m $1.2m 0.17% New
60 Moisand Fitzgerald Tamayo, LLC 0.23% of their portfolio ORLANDO, FL 10,45810.5k $1.1m $1.1m 0.23% Reduced -131 -131
61 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 9,9319.9k $1.1m $1.1m 0.00% Reduced -3.0k -3,000
62 CERTUITY, LLC 0.12% of their portfolio NORTH PALM BEACH, FL 9,7169.7k $1.1m $1.1m 0.12% Reduced -284 -284
63 CI INVESTMENTS INC. 0.01% of their portfolio TORONTO, Z4 9,5889.6k $1.0m $1.0m 0.01% Unchanged
64 FIL Ltd 0.00% of their portfolio HAMILTON, D0 9,2239.2k $1.0m $1.0m 0.00% Unchanged
65 Jentner Corp 0.58% of their portfolio Akron, OH 8,5328.5k $932.5k $932.5k 0.58% Added +64 +64
66 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 8,0848.1k $884.0k $884.0k 0.00% Reduced -406 -406
67 O'Connor Financial Group LLC 0.61% of their portfolio QUINCY, IL 8,0798.1k $883.0k $883.0k 0.61% Reduced -26.1k -26,105
68 Capital Analysts, LLC 0.05% of their portfolio FORT WASHINGTON, PA 8,0078.0k $875.0k $875.0k 0.05% Added +2.5k +2,465
69 O'SHAUGHNESSY ASSET MANAGEMENT, LLC 0.01% of their portfolio Stamford, CT 7,9067.9k $864.1k $864.1k 0.01% Added +2.1k +2,071
70 Private Advisory Group LLC 0.17% of their portfolio REDMOND, WA 7,8487.8k $857.8k $857.8k 0.17% New
71 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 7,7937.8k $852.0k $852.0k 0.00% Added +14 +14
72 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 7,0777.1k $774.0k $774.0k 0.00% Added +144 +144
73 Ellis Investment Partners, LLC 0.18% of their portfolio Berwyn, PA 6,6786.7k $729.9k $729.9k 0.18% Added +36 +36
74 J.P. Morgan Private Wealth Advisors LLC 0.00% of their portfolio SAN FRANCISCO, CA 6,2026.2k $677.9k $677.9k 0.00% Reduced -2.9k -2,858
75 KEYBANK NATIONAL ASSOCIATION/OH 0.00% of their portfolio BROOKLYN, OH 6,0066.0k $656.5k $656.5k 0.00% Unchanged
76 TAP Consulting, LLC 0.16% of their portfolio KIRKWOOD, MO 5,8595.9k $640.4k $640.4k 0.16% Reduced -81 -81
77 Capital Investment Advisors, LLC 0.02% of their portfolio ATLANTA, GA 5,3305.3k $582.5k $582.5k 0.02% Reduced -185 -185
78 Brand Asset Management Group, Inc. 0.26% of their portfolio CHESTERFIELD, MO 5,0655.1k $553.6k $553.6k 0.26% Reduced -136 -136
79 VISTA CAPITAL PARTNERS, INC. 0.08% of their portfolio PORTLAND, OR 5,0385.0k $550.7k $550.7k 0.08% Unchanged
80 Biltmore Family Office, LLC 0.11% of their portfolio CHARLOTTE, NC 4,8744.9k $532.8k $532.8k 0.11% Added +364 +364
81 Endowment Wealth Management, Inc. 0.49% of their portfolio APPLETON, WI 4,8734.9k $532.6k $532.6k 0.49% Added +171 +171
82 Sepio Capital, LP 0.04% of their portfolio Salt Lake City, UT 4,7874.8k $523.2k $523.2k 0.04% Reduced -157 -157
83 Ancora Advisors LLC 0.01% of their portfolio Cleveland, OH 4,7124.7k $515.0k $515.0k 0.01% Reduced -27.4k -27,393
84 SILVERCREST ASSET MANAGEMENT GROUP LLC 0.00% of their portfolio NEW YORK, NY 4,6554.7k $508.8k $508.8k 0.00% Reduced -450 -450
85 Tortoise Investment Management, LLC 0.07% of their portfolio WHITE PLAINS, NY 4,3824.4k $479.0k $479.0k 0.07% Unchanged
86 Jackson, Grant Investment Advisers, Inc. 0.22% of their portfolio STAMFORD, CT 4,2804.3k $467.8k $467.8k 0.22% Reduced -13 -13
87 Modera Wealth Management, LLC 0.01% of their portfolio WESTWOOD, NJ 4,2784.3k $467.6k $467.6k 0.01% Unchanged
88 New England Capital Financial Advisors LLC 0.31% of their portfolio MERIDEN, CT 4,2634.3k $465.9k $465.9k 0.31% Added +378 +378
89 FOUNDERS FINANCIAL SECURITIES LLC 0.06% of their portfolio TOWSON, MD 4,2294.2k $462.2k $462.2k 0.06% Added +1 +1
90 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 4,1804.2k $456.9k $456.9k 0.00% Added +1.8k +1,806
91 NTV Asset Management LLC 0.08% of their portfolio Charleston, WV 4,1104.1k $449.2k $449.2k 0.08% Unchanged
92 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.00% of their portfolio IRVING, TX 4,0084.0k $438.1k $438.1k 0.00% Reduced -648 -648
93 Portland Global Advisors LLC 0.07% of their portfolio PORTLAND, ME 4,0004.0k $437.0k $437.0k 0.07% Unchanged
94 BUCKINGHAM STRATEGIC WEALTH, LLC 0.01% of their portfolio CLAYTON, MO 3,9914.0k $436.2k $436.2k 0.01% Added +459 +459
95 Spire Wealth Management 0.01% of their portfolio MCLEAN, VA 3,5573.6k $388.7k $388.7k 0.01% Reduced -724 -724
96 First Western Trust Bank 0.02% of their portfolio Denver, CO 3,4243.4k $374.2k $374.2k 0.02% Unchanged
97 Cerity Partners LLC 0.00% of their portfolio NEW YORK, NY 3,3433.3k $365.4k $365.4k 0.00% Added +415 +415
98 Crescent Grove Advisors, LLC 0.04% of their portfolio LAKE FOREST, IL 3,3123.3k $362.0k $362.0k 0.04% Unchanged
99 High Net Worth Advisory Group LLC 0.14% of their portfolio NAPLES, FL 3,2483.2k $355.1k $355.1k 0.14% Reduced -535 -535
100 Clarus Wealth Advisors 0.21% of their portfolio PEORIA, AZ 3,2203.2k $349.9k $349.9k 0.21% Added +88 +88