Vault-13

ISHARES TR IWC

MICRO-CAP ETF · ETP · CUSIP 464288869

192 institutional holders -2 vs Q2 2023
4,460,6624.5m shares reported held*
$446.8mreported value*
19 new 42 added 66 reduced 21 sold out net bought ≈ $635.7k (+6.4k 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 ≈ $100.15. Options: 3 managers hold calls ($460.5k notional), 2 hold puts ($111.0k).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 195Q4 22: 197Q1 23: 189Q2 23: 194Q3 23: 192192Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022195
Q4 2022197
Q1 2023189
Q2 2023194
Q3 2023192

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 23Q3 23: 61 bought or addedQ3 23: 87 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20227568
Q1 20235789
Q2 20237472
Q3 20236187

Calls vs puts

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

CallsPuts
$0$5m$10m$15mQ4 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 0.04Q3 23 calls: $460.5kQ3 23 puts: $111.0kQ3 23P/C 0.24
Numbers
QuarterCallsPutsP/C
Q4 2022$431.3k$10.9m25.23
Q1 2023$418.0k$294.6k0.70
Q2 2023$5.0m$218.6k0.04
Q3 2023$460.5k$111.0k0.24

Biggest buyers

CHARLES SCHWAB INVESTMENT MANAGEMENT INC New +52,060+52.1k
CUMBERLAND ADVISORS INC New +43,340+43.3k
1832 Asset Management L.P. Added +37,297+37.3k
Michelson Medical Research Foundation, Inc. New +35,385+35.4k
Sparta 24 Ltd. Added +27,701+27.7k
HighTower Advisors, LLC Added +26,397+26.4k
One Capital Management, LLC Added +24,672+24.7k
ROYAL BANK OF CANADA Added +21,951+22.0k
Indiana Trust & Investment Management Co New +14,730+14.7k
CITADEL ADVISORS LLC Added +10,869+10.9k

Biggest sellers

Janney Montgomery Scott LLC Sold out -95,087-95.1k
BARCLAYS PLC Reduced -51,710-51.7k
TD AMERITRADE INVESTMENT MANAGEMENT, LLC Reduced -48,748-48.7k
BANK OF AMERICA CORP /DE/ Reduced -27,959-28.0k
LVZ, Inc. Sold out -22,726-22.7k
MORGAN STANLEY Reduced -17,463-17.5k
BANK OF MONTREAL /CAN/ Reduced -10,628-10.6k
AIRE ADVISORS, LLC Reduced -5,532-5.5k
JOHNSON INVESTMENT COUNSEL INC Reduced -5,319-5.3k
Corient Private Wealth LP Reduced -4,592-4.6k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $410.4k4.1k shares
CITADEL ADVISORS LLC Reduced $50.0k500 shares
Cutler Group LLC / CA New $0400 shares

Biggest puts

Cutler Group LLC / CA New $71.0k8.8k shares
CITADEL ADVISORS LLC Reduced $40.0k400 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, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 1832 Asset Management L.P. 0.12% of their portfolio TORONTO, A6 582,951583.0k $58.4m $58.4m 0.12% Added +37.3k +37,297
2 One Capital Management, LLC 1.43% of their portfolio WESTLAKE VILLAGE, CA 322,671322.7k $32.3m $32.3m 1.43% Added +24.7k +24,672
3 Corient Private Wealth LP 0.05% of their portfolio MIAMI, FL 234,197234.2k $23.4m $23.4m 0.05% Reduced -4.6k -4,592
4 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 195,812195.8k $19.6m $19.6m 0.00% Reduced -28.0k -27,959
5 Alesco Advisors, LLC, An ESL Co 0.67% of their portfolio Pittsford, NY 172,668172.7k $17.3m $17.3m 0.67% Reduced -3.9k -3,927
6 BANK OF MONTREAL /CAN/ 0.01% of their portfolio TORONTO, A6 167,730167.7k $17.7m $17.7m 0.01% Reduced -10.6k -10,628
7 AVANTAX ADVISORY SERVICES, INC. 0.17% of their portfolio DALLAS, TX 151,567151.6k $15.2m $15.2m 0.17% Reduced -188 -188
8 Sparta 24 Ltd. 16.17% of their portfolio Tirat Hacarmel, L3 138,467138.5k $13.9m $13.9m 16.17% Added +27.7k +27,701
9 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.45% of their portfolio Seattle, WA 113,489113.5k $11.4m $11.4m 0.45% Reduced -3.7k -3,684
10 HALBERT HARGROVE GLOBAL ADVISORS, LLC 0.83% of their portfolio LONG BEACH, CA 110,477110.5k $11.1m $11.1m 0.83% Reduced -1.4k -1,442
11 ARKANSAS FINANCIAL GROUP, INC. 2.23% of their portfolio LITTLE ROCK, AR 109,537109.5k $11.0m $11.0m 2.23% Reduced -2.7k -2,657
12 HighTower Advisors, LLC 0.02% of their portfolio CHICAGO, IL 104,894104.9k $10.5m $10.5m 0.02% Added +26.4k +26,397
13 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 90,18990.2k $9.0m $9.0m 0.01% Added +4.1k +4,118
14 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 87,43287.4k $8.8m $8.8m 0.00% Reduced -17.5k -17,463
15 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 79,77979.8k $8.0m $8.0m 0.00% Reduced -726 -726
16 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 77,77577.8k $7.8m $7.8m 0.00% Added +22.0k +21,951
17 Chicago Partners Investment Group LLC 0.37% of their portfolio CHICAGO, IL 75,52375.5k $6.9m $6.9m 0.37% Added +10.5k +10,457
18 Creative Planning 0.01% of their portfolio OVERLAND PARK, KS 73,63773.6k $7.4m $7.4m 0.01% Reduced -3.5k -3,497
19 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 67,02167.0k $6.7m $6.7m 0.00% Added +3.2k +3,226
20 UBS Group AG 0.00% of their portfolio ZURICH, V8 66,13666.1k $6.6m $6.6m 0.00% Added +1.1k +1,147
21 SACHEM HILL LLC 1.74% of their portfolio DENVER, CO 61,62061.6k $6.2m $6.2m 1.74% Added +61 +61
22 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.00% of their portfolio SAN FRANCISCO, CA 52,06052.1k $5.2m $5.2m 0.00% New
23 Efficient Advisors, LLC 0.34% of their portfolio BEAVERTON, OR 49,73849.7k $5.0m $5.0m 0.34% Reduced -2.9k -2,932
24 Frank, Rimerman Advisors LLC 1.17% of their portfolio Palo Alto, CA 48,42448.4k $4.8m $4.8m 1.17% Reduced -1.9k -1,856
25 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.01% of their portfolio BALA CYNWYD, PA 45,36745.4k $4.5m $4.5m 0.01% Reduced -755 -755
26 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 44,03144.0k $4.4m $4.4m 0.00% Reduced -142 -142
27 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 43,61243.6k $4.4m $4.4m 0.00% Reduced -1.4k -1,449
28 CUMBERLAND ADVISORS INC 1.92% of their portfolio SARASOTA, FL 43,34043.3k $4.3m $4.3m 1.92% New
29 SMITH, MOORE & CO. 0.55% of their portfolio CLAYTON, MO 41,53441.5k $4.1m $4.1m 0.55% Reduced -5 -5
30 DUMONT & BLAKE INVESTMENT ADVISORS LLC 1.39% of their portfolio PRINCETON, NJ 41,14841.1k $4.1m $4.1m 1.39% Added +726 +726
31 Michelson Medical Research Foundation, Inc. 2.39% of their portfolio Los Angeles, CA 35,38535.4k $3.5m $3.5m 2.39% New
32 WealthShield Partners, LLC 0.53% of their portfolio CARY, NC 35,26035.3k $3.5m $3.5m 0.53% Reduced -508 -508
33 PARK AVENUE SECURITIES LLC 0.05% of their portfolio NEW YORK, NY 33,58933.6k $3.4m $3.4m 0.05% Added +3.2k +3,217
34 MUTUAL OF AMERICA CAPITAL MANAGEMENT LLC 0.04% of their portfolio New York, NY 32,37432.4k $3.2m $3.2m 0.04% Reduced -1.9k -1,929
35 JOHNSON INVESTMENT COUNSEL INC 0.04% of their portfolio Cincinnati, OH 30,70130.7k $3.1m $3.1m 0.04% Reduced -5.3k -5,319
36 STEPHENS INC /AR/ 0.06% of their portfolio LITTLE ROCK, AR 29,71329.7k $3.0m $3.0m 0.06% Reduced -4.1k -4,082
37 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 29,69629.7k $3.0m $3.0m 0.00% Added +2.2k +2,181
38 Noble Family Wealth, LLC 0.97% of their portfolio Clearwater, FL 28,85028.9k $2.9m $2.9m 0.97% Reduced -1.9k -1,915
39 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 25,95526.0k $2.6m $2.6m 0.00% Added +10.9k +10,869
40 AIRE ADVISORS, LLC 0.65% of their portfolio BEVERLY HILLS, CA 24,28224.3k $2.4m $2.4m 0.65% Reduced -5.5k -5,532
41 Regal Investment Advisors LLC 0.19% of their portfolio KENTWOOD, MI 21,54021.5k $2.2m $2.2m 0.19% Reduced -211 -211
42 Kendall Capital Management 0.95% of their portfolio ROCKVILLE, MD 21,47021.5k $2.1m $2.1m 0.95% Added +1.3k +1,291
43 Cetera Advisors LLC 0.03% of their portfolio DENVER, CO 21,40921.4k $2.1m $2.1m 0.03% Added +1.2k +1,188
44 Connective Capital Management, LLC 5.11% of their portfolio PALO ALTO, CA 20,06620.1k $2.0m $2.0m 5.11% Unchanged
45 SENTINEL TRUST CO LBA 0.28% of their portfolio HOUSTON, TX 19,95720.0k $2.0m $2.0m 0.28% Added +8.8k +8,797
46 Rockbridge Investment Management, LCC 0.32% of their portfolio Syracuse, NY 17,81117.8k $1.8m $1.8m 0.32% Reduced -137 -137
47 Dynamic Advisor Solutions LLC 0.08% of their portfolio PHOENIX, AZ 17,73617.7k $1.8m $1.8m 0.08% Reduced -513 -513
48 Family Firm, Inc. 0.46% of their portfolio BETHESDA, MD 16,38916.4k $1.6m $1.6m 0.46% Added +864 +864
49 Texas Yale Capital Corp. 0.07% of their portfolio ST. PETERSBURG, FL 16,33016.3k $1.6m $1.6m 0.07% Reduced -550 -550
50 Indiana Trust & Investment Management Co 0.74% of their portfolio MISHAWAKA, IN 14,73014.7k $1.5m $1.5m 0.74% New
51 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 14,40114.4k $1.4m $1.4m 0.00% Added +220 +220
52 WESCAP Management Group, Inc. 0.51% of their portfolio Glendale, CA 14,30814.3k $1.4m $1.4m 0.51% Reduced -218 -218
53 Evanson Asset Management, LLC 0.12% of their portfolio CARMEL, CA 13,46013.5k $1.3m $1.3m 0.12% Reduced -1 -1
54 Level Financial Advisors 0.71% of their portfolio EAST AMHERST, NY 12,67912.7k $1.3m $1.3m 0.71% Reduced -387 -387
55 Physician Wealth Advisors, Inc. 0.32% of their portfolio MIDVALE, UT 12,52112.5k $1.2m $1.2m 0.32% Reduced -183 -183
56 GHP Investment Advisors, Inc. 0.07% of their portfolio Denver, CO 12,24212.2k $1.2m $1.2m 0.07% Reduced -115 -115
57 Moisand Fitzgerald Tamayo, LLC 0.22% of their portfolio ORLANDO, FL 10,44010.4k $1.0m $1.0m 0.22% Reduced -18 -18
58 Mariner, LLC 0.00% of their portfolio Overland Park, KS 10,28610.3k $1.0m $1.0m 0.00% Reduced -1.1k -1,123
59 CERTUITY, LLC 0.12% of their portfolio NORTH PALM BEACH, FL 9,7169.7k $972.6k $972.6k 0.12% Unchanged
60 FLOW TRADERS U.S. LLC 0.05% of their portfolio NEW YORK, NY 9,6439.6k $965.0k $965.0k 0.05% Reduced -3.9k -3,884
61 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 9,4789.5k $948.7k $948.7k 0.00% Reduced -453 -453
62 CI INVESTMENTS INC. 0.01% of their portfolio TORONTO, Z4 9,2469.2k $926.0k $926.0k 0.01% Reduced -342 -342
63 FIL Ltd 0.00% of their portfolio HAMILTON, D0 9,2239.2k $923.2k $923.2k 0.00% Unchanged
64 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 9,0399.0k $904.8k $904.8k 0.00% Reduced -51.7k -51,710
65 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 8,8858.9k $889.0k $889.0k 0.00% Added +1.1k +1,092
66 Capital Analysts, LLC 0.05% of their portfolio FORT WASHINGTON, PA 8,8178.8k $883.0k $883.0k 0.05% Added +810 +810
67 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 8,7148.7k $872.0k $872.0k 0.00% Added +630 +630
68 TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio NEW YORK, NY 8,7008.7k $870.9k $870.9k 0.00% Reduced -2.9k -2,900
69 Jentner Corp 0.53% of their portfolio Akron, OH 8,5608.6k $856.9k $856.9k 0.53% Added +28 +28
70 Private Advisory Group LLC 0.16% of their portfolio REDMOND, WA 7,9878.0k $799.5k $799.5k 0.16% Added +139 +139
71 O'SHAUGHNESSY ASSET MANAGEMENT, LLC 0.01% of their portfolio Stamford, CT 7,9067.9k $791.4k $791.4k 0.01% Unchanged
72 O'Connor Financial Group LLC 0.50% of their portfolio QUINCY, IL 7,3117.3k $731.8k $731.8k 0.50% Reduced -768 -768
73 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 7,0757.1k $708.0k $708.0k 0.00% Reduced -2 -2
74 Ellis Investment Partners, LLC 0.18% of their portfolio Berwyn, PA 6,8246.8k $683.1k $683.1k 0.18% Added +146 +146
75 KEYBANK NATIONAL ASSOCIATION/OH 0.00% of their portfolio BROOKLYN, OH 6,0066.0k $601.2k $601.2k 0.00% Unchanged
76 TAP Consulting, LLC 0.15% of their portfolio KIRKWOOD, MO 5,8595.9k $586.5k $586.5k 0.15% Unchanged
77 Endowment Wealth Management, Inc. 0.49% of their portfolio APPLETON, WI 5,4265.4k $543.2k $543.2k 0.49% Added +553 +553
78 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 5,3295.3k $533.4k $533.4k 0.01% Added +1.1k +1,149
79 Capital Investment Advisors, LLC 0.01% of their portfolio ATLANTA, GA 5,3205.3k $532.5k $532.5k 0.01% Reduced -10 -10
80 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 5,2715.3k $527.6k $527.6k 0.00% New
81 Biltmore Family Office, LLC 0.12% of their portfolio CHARLOTTE, NC 5,2295.2k $525.6k $525.6k 0.12% Added +355 +355
82 Legacy Financial Group LLC 0.12% of their portfolio DES MOINES, IA 5,1165.1k $512.1k $512.1k 0.12% New
83 Lido Advisors, LLC 0.01% of their portfolio Los Angeles, CA 5,0855.1k $509.0k $509.0k 0.01% Added +2.1k +2,125
84 VISTA CAPITAL PARTNERS, INC. 0.08% of their portfolio PORTLAND, OR 5,0385.0k $504.3k $504.3k 0.08% Unchanged
85 Brand Asset Management Group, Inc. 0.26% of their portfolio CHESTERFIELD, MO 4,9875.0k $499.2k $499.2k 0.26% Reduced -78 -78
86 Institute for Wealth Management, LLC. 0.09% of their portfolio DENVER, CO 4,8724.9k $487.7k $487.7k 0.09% Added +1.9k +1,877
87 Sepio Capital, LP 0.04% of their portfolio Salt Lake City, UT 4,7874.8k $479.2k $479.2k 0.04% Unchanged
88 Jackson, Grant Investment Advisers, Inc. 0.22% of their portfolio STAMFORD, CT 4,6394.6k $464.3k $464.3k 0.22% Added +359 +359
89 Compass Ion Advisors, LLC 0.08% of their portfolio CONSHOHOCKEN, PA 4,4764.5k $448.0k $448.0k 0.08% New
90 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 4,3114.3k $431.5k $431.5k 0.00% Added +1.5k +1,539
91 Modera Wealth Management, LLC 0.01% of their portfolio WESTWOOD, NJ 4,2784.3k $428.2k $428.2k 0.01% Unchanged
92 Ancora Advisors LLC 0.01% of their portfolio Cleveland, OH 4,2424.2k $424.6k $424.6k 0.01% Reduced -470 -470
93 TWO SIGMA ADVISERS, LP 0.00% of their portfolio NEW YORK, NY 4,2004.2k $420.4k $420.4k 0.00% New
94 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 4,1744.2k $417.8k $417.8k 0.00% New
95 NTV Asset Management LLC 0.07% of their portfolio Charleston, WV 4,1104.1k $411.4k $411.4k 0.07% Unchanged
96 Tortoise Investment Management, LLC 0.06% of their portfolio WHITE PLAINS, NY 4,1054.1k $410.9k $410.9k 0.06% Reduced -277 -277
97 SILVERCREST ASSET MANAGEMENT GROUP LLC 0.00% of their portfolio NEW YORK, NY 4,0554.1k $405.9k $405.9k 0.00% Reduced -600 -600
98 Portland Global Advisors LLC 0.07% of their portfolio PORTLAND, ME 4,0004.0k $400.0k $400.0k 0.07% Unchanged
99 Peoples Bank/KS 0.34% of their portfolio PRATT, KS 4,0004.0k $400.4k $400.4k 0.34% First filing
100 BUCKINGHAM STRATEGIC WEALTH, LLC 0.01% of their portfolio CLAYTON, MO 3,9914.0k $399.5k $399.5k 0.01% Unchanged