Vault-13

ISHARES TR IWC

MICRO-CAP ETF · ETP · CUSIP 464288869

210 institutional holders +18 vs Q3 2023
4,475,1004.5m shares reported held*
$519.2mreported value*
24 new 48 added 69 reduced 12 sold out net sold ≈ $4.9m (-42.2k 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 ≈ $116.03. Options: 3 managers hold calls ($1.8m notional), 3 hold puts ($748.6k).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 195Q4 22: 197Q1 23: 189Q2 23: 194Q3 23: 192Q4 23: 210210Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022195
Q4 2022197
Q1 2023189
Q2 2023194
Q3 2023192
Q4 2023210

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 23Q4 23: 72 bought or addedQ4 23: 81 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20227568
Q1 20235789
Q2 20237472
Q3 20236187
Q4 20237281

Calls vs puts

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

CallsPuts
$0$2m$4m$6mQ1 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 0.24Q4 23 calls: $1.8mQ4 23 puts: $748.6kQ4 23P/C 0.41
Numbers
QuarterCallsPutsP/C
Q1 2023$418.0k$294.6k0.70
Q2 2023$5.0m$218.6k0.04
Q3 2023$460.5k$111.0k0.24
Q4 2023$1.8m$748.6k0.41

Biggest buyers

MORGAN STANLEY Added +70,628+70.6k
JPMORGAN CHASE & CO Added +51,929+51.9k
AXXCESS WEALTH MANAGEMENT, LLC New +45,645+45.6k
Heck Capital Advisors, LLC New +41,730+41.7k
LVZ, Inc. New +18,849+18.8k
TWO SIGMA INVESTMENTS, LP Added +14,400+14.4k
RICE HALL JAMES & ASSOCIATES, LLC New +13,980+14.0k
MUTUAL OF AMERICA CAPITAL MANAGEMENT LLC Added +12,882+12.9k
HALBERT HARGROVE GLOBAL ADVISORS, LLC Added +9,859+9.9k
Kingsview Wealth Management, LLC Added +9,645+9.6k

Biggest sellers

GOLDMAN SACHS GROUP INC Reduced -54,313-54.3k
CHARLES SCHWAB INVESTMENT MANAGEMENT INC Sold out -52,060-52.1k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Sold out -45,367-45.4k
OSAIC HOLDINGS, INC. Reduced -32,107-32.1k
CITADEL ADVISORS LLC Sold out -25,955-26.0k
1832 Asset Management L.P. Reduced -23,675-23.7k
One Capital Management, LLC Reduced -20,331-20.3k
ARKANSAS FINANCIAL GROUP, INC. Reduced -19,487-19.5k
ROYAL BANK OF CANADA Reduced -17,596-17.6k
SENTINEL TRUST CO LBA Reduced -13,197-13.2k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $1.6m13.8k shares
CITADEL ADVISORS LLC Added $197.3k1.7k shares
Cutler Group LLC / CA Added $10.0k1.4k shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP New $498.9k4.3k shares
CITADEL ADVISORS LLC Added $243.7k2.1k shares
Cutler Group LLC / CA Reduced $6.0k6.2k 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, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 1832 Asset Management L.P. 0.12% of their portfolio TORONTO, A6 559,276559.3k $64.9m $64.9m 0.12% Reduced -23.7k -23,675
2 One Capital Management, LLC 1.39% of their portfolio WESTLAKE VILLAGE, CA 302,340302.3k $35.1m $35.1m 1.39% Reduced -20.3k -20,331
3 Corient Private Wealth LP 0.05% of their portfolio MIAMI, FL 237,158237.2k $27.5m $27.5m 0.05% Added +3.0k +2,961
4 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 191,682191.7k $22.2m $22.2m 0.00% Reduced -4.1k -4,130
5 Alesco Advisors, LLC, An ESL Co 0.73% of their portfolio Pittsford, NY 179,920179.9k $20.9m $20.9m 0.73% Added +7.3k +7,252
6 BANK OF MONTREAL /CAN/ 0.01% of their portfolio TORONTO, A6 158,186158.2k $18.8m $18.8m 0.01% Reduced -9.5k -9,544
7 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 158,060158.1k $18.3m $18.3m 0.00% Added +70.6k +70,628
8 AVANTAX ADVISORY SERVICES, INC. 0.17% of their portfolio DALLAS, TX 147,928147.9k $17.2m $17.2m 0.17% Reduced -3.6k -3,639
9 Sparta 24 Ltd. 15.84% of their portfolio Tirat Hacarmel, L3 138,467138.5k $16.1m $16.1m 15.84% Unchanged
10 HALBERT HARGROVE GLOBAL ADVISORS, LLC 0.97% of their portfolio LONG BEACH, CA 120,336120.3k $14.0m $14.0m 0.97% Added +9.9k +9,859
11 HighTower Advisors, LLC 0.02% of their portfolio CHICAGO, IL 106,106106.1k $12.3m $12.3m 0.02% Added +1.2k +1,212
12 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.40% of their portfolio Seattle, WA 102,403102.4k $11.9m $11.9m 0.40% Reduced -11.1k -11,086
13 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 95,96096.0k $11.1m $11.1m 0.00% Added +51.9k +51,929
14 ARKANSAS FINANCIAL GROUP, INC. 1.93% of their portfolio LITTLE ROCK, AR 90,05090.0k $10.4m $10.4m 1.93% Reduced -19.5k -19,487
15 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 83,27383.3k $9.7m $9.7m 0.00% Added +3.5k +3,494
16 Chicago Partners Investment Group LLC 0.39% of their portfolio CHICAGO, IL 74,79974.8k $8.4m $8.4m 0.39% Reduced -724 -724
17 Creative Planning 0.02% of their portfolio OVERLAND PARK, KS 72,61372.6k $8.4m $8.4m 0.02% Reduced -1.0k -1,024
18 UBS Group AG 0.00% of their portfolio ZURICH, V8 64,39464.4k $7.5m $7.5m 0.00% Reduced -1.7k -1,742
19 SACHEM HILL LLC 1.80% of their portfolio DENVER, CO 61,60961.6k $7.1m $7.1m 1.80% Reduced -11 -11
20 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 60,17960.2k $7.0m $7.0m 0.00% Reduced -17.6k -17,596
21 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 58,08258.1k $6.7m $6.7m 0.01% Reduced -32.1k -32,107
22 Frank, Rimerman Advisors LLC 1.20% of their portfolio Palo Alto, CA 49,45349.5k $5.7m $5.7m 1.20% Added +1.0k +1,029
23 Efficient Advisors, LLC 0.39% of their portfolio BEAVERTON, OR 49,22549.2k $5.7m $5.7m 0.39% Reduced -513 -513
24 AXXCESS WEALTH MANAGEMENT, LLC 0.16% of their portfolio CARLSBAD, CA 45,64545.6k $5.3m $5.3m 0.16% New
25 MUTUAL OF AMERICA CAPITAL MANAGEMENT LLC 0.06% of their portfolio New York, NY 45,25645.3k $5.3m $5.3m 0.06% Added +12.9k +12,882
26 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 43,92743.9k $5.1m $5.1m 0.00% Added +315 +315
27 SMITH, MOORE & CO. 0.58% of their portfolio CLAYTON, MO 42,32342.3k $4.9m $4.9m 0.58% Added +789 +789
28 Heck Capital Advisors, LLC 0.79% of their portfolio Rhinelander, WI 41,73041.7k $4.8m $4.8m 0.79% New
29 DUMONT & BLAKE INVESTMENT ADVISORS LLC 1.48% of their portfolio PRINCETON, NJ 41,19241.2k $4.8m $4.8m 1.48% Added +44 +44
30 CUMBERLAND ADVISORS INC 2.00% of their portfolio SARASOTA, FL 40,13640.1k $4.7m $4.7m 2.00% Reduced -3.2k -3,204
31 WealthShield Partners, LLC 0.70% of their portfolio CARY, NC 36,52636.5k $4.2m $4.2m 0.70% Added +1.3k +1,266
32 Michelson Medical Research Foundation, Inc. 2.71% of their portfolio Los Angeles, CA 35,38535.4k $4.1m $4.1m 2.71% Unchanged
33 CAMELOT TECHNOLOGY ADVISORS, INC. 4.20% of their portfolio SAN FRANCISCO, CA 35,30935.3k $4.1m $4.1m 4.20% First filing
34 PARK AVENUE SECURITIES LLC 0.05% of their portfolio NEW YORK, NY 34,04934.0k $4.0m $4.0m 0.05% Added +460 +460
35 JOHNSON INVESTMENT COUNSEL INC 0.04% of their portfolio Cincinnati, OH 30,32130.3k $3.5m $3.5m 0.04% Reduced -380 -380
36 Noble Family Wealth, LLC 1.00% of their portfolio Clearwater, FL 28,51228.5k $3.3m $3.3m 1.00% Reduced -338 -338
37 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 28,34728.3k $3.3m $3.3m 0.00% Reduced -1.3k -1,349
38 STEPHENS INC /AR/ 0.05% of their portfolio LITTLE ROCK, AR 26,72726.7k $3.1m $3.1m 0.05% Reduced -3.0k -2,986
39 AIRE ADVISORS, LLC 0.69% of their portfolio BEVERLY HILLS, CA 24,05124.1k $2.8m $2.8m 0.69% Reduced -231 -231
40 TWO SIGMA INVESTMENTS, LP 0.01% of their portfolio NEW YORK, NY 23,10023.1k $2.7m $2.7m 0.01% Added +14.4k +14,400
41 Regal Investment Advisors LLC 0.19% of their portfolio KENTWOOD, MI 22,10022.1k $2.6m $2.6m 0.19% Added +560 +560
42 Cetera Advisors LLC 0.03% of their portfolio DENVER, CO 21,41221.4k $2.5m $2.5m 0.03% Added +3 +3
43 Connective Capital Management, LLC 1.98% of their portfolio PALO ALTO, CA 20,06620.1k $2.3m $2.3m 1.98% Unchanged
44 LVZ, Inc. 0.31% of their portfolio Holland, MI 18,84918.8k $2.2m $2.2m 0.31% New
45 Rockbridge Investment Management, LCC 0.32% of their portfolio Syracuse, NY 17,92617.9k $2.1m $2.1m 0.32% Added +115 +115
46 Family Firm, Inc. 0.52% of their portfolio BETHESDA, MD 17,24017.2k $2.0m $2.0m 0.52% Added +851 +851
47 Kendall Capital Management 0.77% of their portfolio ROCKVILLE, MD 17,02717.0k $2.0m $2.0m 0.77% Reduced -4.4k -4,443
48 Dynamic Advisor Solutions LLC 0.07% of their portfolio PHOENIX, AZ 16,86916.9k $1.9m $1.9m 0.07% Reduced -867 -867
49 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 14,92514.9k $1.7m $1.7m 0.00% Added +524 +524
50 Indiana Trust & Investment Management Co 0.77% of their portfolio MISHAWAKA, IN 14,73014.7k $1.7m $1.7m 0.77% Unchanged
51 RICE HALL JAMES & ASSOCIATES, LLC 0.09% of their portfolio San Diego, CA 13,98014.0k $1.6m $1.6m 0.09% New
52 Evanson Asset Management, LLC 0.13% of their portfolio CARMEL, CA 13,48713.5k $1.6m $1.6m 0.13% Added +27 +27
53 WESCAP Management Group, Inc. 0.48% of their portfolio Glendale, CA 12,90312.9k $1.5m $1.5m 0.48% Reduced -1.4k -1,405
54 Texas Yale Capital Corp. 0.07% of their portfolio ST. PETERSBURG, FL 12,83012.8k $1.5m $1.5m 0.07% Reduced -3.5k -3,500
55 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 12,70812.7k $1.5m $1.5m 0.00% Reduced -54.3k -54,313
56 Physician Wealth Advisors, Inc. 0.32% of their portfolio MIDVALE, UT 12,60712.6k $1.4m $1.4m 0.32% Added +86 +86
57 Level Financial Advisors 0.71% of their portfolio EAST AMHERST, NY 12,45612.5k $1.4m $1.4m 0.71% Reduced -223 -223
58 GHP Investment Advisors, Inc. 0.08% of their portfolio Denver, CO 12,20912.2k $1.4m $1.4m 0.08% Reduced -33 -33
59 Kingsview Wealth Management, LLC 0.04% of their portfolio GRANTS PASS, OR 11,69111.7k $1.4m $1.4m 0.04% Added +9.6k +9,645
60 Private Advisory Group LLC 0.22% of their portfolio REDMOND, WA 11,00311.0k $1.3m $1.3m 0.22% Added +3.0k +3,016
61 Moisand Fitzgerald Tamayo, LLC 0.21% of their portfolio ORLANDO, FL 10,44010.4k $1.2m $1.2m 0.21% Unchanged
62 CERTUITY, LLC 0.12% of their portfolio NORTH PALM BEACH, FL 9,7909.8k $1.1m $1.1m 0.12% Added +74 +74
63 Koa Wealth Management, LLC 1.11% of their portfolio Encinitas, CA 9,6699.7k $1.1m $1.1m 1.11% First filing
64 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 9,2829.3k $1.1m $1.1m 0.00% Reduced -196 -196
65 CI INVESTMENTS INC. 0.01% of their portfolio TORONTO, Z4 9,2469.2k $1.1m $1.1m 0.01% Unchanged
66 FIL Ltd 0.00% of their portfolio HAMILTON, D0 9,2239.2k $1.1m $1.1m 0.00% Unchanged
67 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 9,1499.1k $1.1m $1.1m 0.00% Added +264 +264
68 O'SHAUGHNESSY ASSET MANAGEMENT, LLC 0.01% of their portfolio Stamford, CT 8,8948.9k $1.0m $1.0m 0.01% Added +988 +988
69 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 8,6838.7k $1.0m $1.0m 0.00% Reduced -31 -31
70 CAPSTONE INVESTMENT ADVISORS, LLC 0.02% of their portfolio NEW YORK, NY 8,0018.0k $928.4k $928.4k 0.02% New
71 Institute for Wealth Management, LLC. 0.15% of their portfolio DENVER, CO 7,7937.8k $904.2k $904.2k 0.15% Added +2.9k +2,921
72 O'Connor Financial Group LLC 0.55% of their portfolio QUINCY, IL 7,6007.6k $881.9k $881.9k 0.55% Added +289 +289
73 Capital Analysts, LLC 0.04% of their portfolio FORT WASHINGTON, PA 7,5997.6k $882.0k $882.0k 0.04% Reduced -1.2k -1,218
74 Urban Financial Advisory Corp 0.64% of their portfolio CHICAGO, IL 7,2937.3k $846.2k $846.2k 0.64% First filing
75 Mariner, LLC 0.00% of their portfolio Overland Park, KS 7,2757.3k $844.1k $844.1k 0.00% Reduced -3.0k -3,011
76 Biltmore Family Office, LLC 0.17% of their portfolio CHARLOTTE, NC 7,0337.0k $816.1k $816.1k 0.17% Added +1.8k +1,804
77 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 7,0307.0k $816.0k $816.0k 0.00% Reduced -45 -45
78 Ellis Investment Partners, LLC 0.18% of their portfolio Berwyn, PA 6,8176.8k $791.0k $791.0k 0.18% Reduced -7 -7
79 SENTINEL TRUST CO LBA 0.10% of their portfolio HOUSTON, TX 6,7606.8k $784.0k $784.0k 0.10% Reduced -13.2k -13,197
80 Endowment Wealth Management, Inc. 0.53% of their portfolio APPLETON, WI 5,5175.5k $640.1k $640.1k 0.53% Added +91 +91
81 TAP Consulting, LLC 0.15% of their portfolio KIRKWOOD, MO 5,4325.4k $630.3k $630.3k 0.15% Reduced -427 -427
82 Capital Investment Advisors, LLC 0.02% of their portfolio ATLANTA, GA 5,3105.3k $616.1k $616.1k 0.02% Reduced -10 -10
83 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 5,2715.3k $611.6k $611.6k 0.00% Unchanged
84 Peoples Bank/KS 0.48% of their portfolio PRATT, KS 5,1405.1k $596.4k $596.4k 0.48% Added +1.1k +1,140
85 Lido Advisors, LLC 0.01% of their portfolio Los Angeles, CA 5,0895.1k $590.4k $590.4k 0.01% Added +4 +4
86 Jackson, Grant Investment Advisers, Inc. 0.26% of their portfolio STAMFORD, CT 5,0655.1k $587.7k $587.7k 0.26% Added +426 +426
87 VISTA CAPITAL PARTNERS, INC. 0.08% of their portfolio PORTLAND, OR 5,0385.0k $584.6k $584.6k 0.08% Unchanged
88 TWO SIGMA ADVISERS, LP 0.00% of their portfolio NEW YORK, NY 5,0005.0k $580.1k $580.1k 0.00% Added +800 +800
89 Brand Asset Management Group, Inc. 0.26% of their portfolio CHESTERFIELD, MO 4,9875.0k $578.6k $578.6k 0.26% Unchanged
90 Focus Partners Advisor Solutions, LLC 0.03% of their portfolio SAINT LOUIS, MO 4,9194.9k $570.8k $570.8k 0.03% New
91 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 4,4554.5k $516.9k $516.9k 0.00% Reduced -874 -874
92 Tortoise Investment Management, LLC 0.06% of their portfolio WHITE PLAINS, NY 4,1054.1k $476.3k $476.3k 0.06% Unchanged
93 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 4,0844.1k $473.9k $473.9k 0.00% Reduced -90 -90
94 SILVERCREST ASSET MANAGEMENT GROUP LLC 0.00% of their portfolio NEW YORK, NY 4,0554.1k $470.5k $470.5k 0.00% Unchanged
95 FOUNDERS FINANCIAL SECURITIES LLC 0.05% of their portfolio TOWSON, MD 4,0374.0k $468.4k $468.4k 0.05% Added +67 +67
96 NTV Asset Management LLC 0.08% of their portfolio Charleston, WV 4,0104.0k $465.3k $465.3k 0.08% Reduced -100 -100
97 Portland Global Advisors LLC 0.07% of their portfolio PORTLAND, ME 4,0004.0k $464.1k $464.1k 0.07% Unchanged
98 Compass Ion Advisors, LLC 0.07% of their portfolio CONSHOHOCKEN, PA 3,9954.0k $463.5k $463.5k 0.07% Reduced -481 -481
99 Sepio Capital, LP 0.04% of their portfolio Salt Lake City, UT 3,9664.0k $460.1k $460.1k 0.04% Reduced -821 -821
100 BUCKINGHAM STRATEGIC WEALTH, LLC 0.01% of their portfolio CLAYTON, MO 3,9514.0k $458.5k $458.5k 0.01% Reduced -40 -40