Vault-13

ISHARES TR IWC

MICRO-CAP ETF · ETP · CUSIP 464288869

208 institutional holders -2 vs Q4 2023
4,324,9314.3m shares reported held*
$523.4mreported value*
20 new 43 added 73 reduced 21 sold out net sold ≈ $18.3m (-151.3k 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 ≈ $121.01. Options: 2 managers hold calls ($509.0k notional), 3 hold puts ($399.9k).

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 195Q4 22: 197Q1 23: 189Q2 23: 194Q3 23: 192Q4 23: 210Q1 24: 208208Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 2022195
Q4 2022197
Q1 2023189
Q2 2023194
Q3 2023192
Q4 2023210
Q1 2024208

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 23Q1 24: 63 bought or addedQ1 24: 94 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 20227568
Q1 20235789
Q2 20237472
Q3 20236187
Q4 20237281
Q1 20246394

Calls vs puts

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

CallsPuts
$0$2m$4m$6mQ2 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 0.41Q1 24 calls: $509.0kQ1 24 puts: $399.9kQ1 24P/C 0.79
Numbers
QuarterCallsPutsP/C
Q2 2023$5.0m$218.6k0.04
Q3 2023$460.5k$111.0k0.24
Q4 2023$1.8m$748.6k0.41
Q1 2024$509.0k$399.9k0.79

Biggest buyers

MORGAN STANLEY Added +100,495+100.5k
GOLDMAN SACHS GROUP INC Added +35,000+35.0k
Clark Capital Management Group, Inc. New +33,993+34.0k
SENTINEL TRUST CO LBA Added +32,400+32.4k
Cetera Investment Advisers Added +27,300+27.3k
SUSQUEHANNA INTERNATIONAL GROUP, LLP New +24,852+24.9k
ROYAL BANK OF CANADA Added +19,123+19.1k
ENVESTNET ASSET MANAGEMENT INC Added +18,235+18.2k
BANK OF AMERICA CORP /DE/ Added +17,623+17.6k
Nicholas Investment Partners, LP New +15,251+15.3k

Biggest sellers

Sparta 24 Ltd. Sold out -138,467-138.5k
HighTower Advisors, LLC Reduced -93,402-93.4k
AVANTAX ADVISORY SERVICES, INC. Reduced -48,509-48.5k
AXXCESS WEALTH MANAGEMENT, LLC Sold out -45,645-45.6k
CUMBERLAND ADVISORS INC Sold out -40,136-40.1k
1832 Asset Management L.P. Reduced -22,698-22.7k
Cetera Advisors LLC Sold out -21,412-21.4k
LVZ, Inc. Sold out -18,849-18.8k
RICE HALL JAMES & ASSOCIATES, LLC Sold out -13,980-14.0k
HALBERT HARGROVE GLOBAL ADVISORS, LLC Reduced -13,252-13.3k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $472.6k3.9k shares
CITADEL ADVISORS LLC Reduced $36.4k300 shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $351.5k2.9k shares
CITADEL ADVISORS LLC Reduced $48.5k400 shares
Cutler Group LLC / CA Reduced $02.3k 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 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 1832 Asset Management L.P. 0.12% of their portfolio TORONTO, A6 536,578536.6k $65.0m $65.0m 0.12% Reduced -22.7k -22,698
2 One Capital Management, LLC 1.39% of their portfolio WESTLAKE VILLAGE, CA 316,337316.3k $38.3m $38.3m 1.39% Added +14.0k +13,997
3 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 258,555258.6k $31.3m $31.3m 0.00% Added +100.5k +100,495
4 Corient Private Wealth LP 0.05% of their portfolio MIAMI, FL 232,120232.1k $28.1m $28.1m 0.05% Reduced -5.0k -5,038
5 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 209,305209.3k $25.4m $25.4m 0.00% Added +17.6k +17,623
6 Alesco Advisors, LLC, An ESL Co 0.72% of their portfolio Pittsford, NY 179,598179.6k $21.8m $21.8m 0.72% Reduced -322 -322
7 BANK OF MONTREAL /CAN/ 0.01% of their portfolio TORONTO, A6 158,265158.3k $19.2m $19.2m 0.01% Added +79 +79
8 HALBERT HARGROVE GLOBAL ADVISORS, LLC 0.86% of their portfolio LONG BEACH, CA 107,084107.1k $13.0m $13.0m 0.86% Reduced -13.3k -13,252
9 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.38% of their portfolio Seattle, WA 101,851101.9k $12.3m $12.3m 0.38% Reduced -552 -552
10 AVANTAX ADVISORY SERVICES, INC. 0.11% of their portfolio DALLAS, TX 99,41999.4k $12.0m $12.0m 0.11% Reduced -48.5k -48,509
11 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 94,06894.1k $11.4m $11.4m 0.00% Reduced -1.9k -1,892
12 ARKANSAS FINANCIAL GROUP, INC. 1.80% of their portfolio LITTLE ROCK, AR 84,20984.2k $10.2m $10.2m 1.80% Reduced -5.8k -5,841
13 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 80,39980.4k $9.7m $9.7m 0.00% Reduced -2.9k -2,874
14 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 79,30279.3k $9.6m $9.6m 0.00% Added +19.1k +19,123
15 Chicago Partners Investment Group LLC 0.37% of their portfolio CHICAGO, IL 78,07478.1k $8.8m $8.8m 0.37% Added +3.3k +3,275
16 Creative Planning 0.01% of their portfolio OVERLAND PARK, KS 70,83170.8k $8.6m $8.6m 0.01% Reduced -1.8k -1,782
17 UBS Group AG 0.00% of their portfolio ZURICH, V8 65,08065.1k $7.9m $7.9m 0.00% Added +686 +686
18 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 62,16262.2k $7.5m $7.5m 0.00% Added +18.2k +18,235
19 SACHEM HILL LLC 1.73% of their portfolio DENVER, CO 60,99861.0k $7.4m $7.4m 1.73% Reduced -611 -611
20 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 57,29757.3k $6.9m $6.9m 0.02% Reduced -785 -785
21 Frank, Rimerman Advisors LLC 1.15% of their portfolio Palo Alto, CA 49,15149.2k $6.0m $6.0m 1.15% Reduced -302 -302
22 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 47,70847.7k $5.8m $5.8m 0.00% Added +35.0k +35,000
23 MUTUAL OF AMERICA CAPITAL MANAGEMENT LLC 0.06% of their portfolio New York, NY 47,11647.1k $5.7m $5.7m 0.06% Added +1.9k +1,860
24 SMITH, MOORE & CO. 0.56% of their portfolio CLAYTON, MO 43,29343.3k $5.2m $5.2m 0.56% Added +970 +970
25 Efficient Advisors, LLC 0.33% of their portfolio BEAVERTON, OR 43,04543.0k $5.2m $5.2m 0.33% Reduced -6.2k -6,180
26 Heck Capital Advisors, LLC 0.76% of their portfolio Rhinelander, WI 41,35941.4k $5.0m $5.0m 0.76% Reduced -371 -371
27 DUMONT & BLAKE INVESTMENT ADVISORS LLC 1.43% of their portfolio PRINCETON, NJ 40,96641.0k $5.0m $5.0m 1.43% Reduced -226 -226
28 SENTINEL TRUST CO LBA 0.61% of their portfolio HOUSTON, TX 39,16039.2k $4.7m $4.7m 0.61% Added +32.4k +32,400
29 PARK AVENUE SECURITIES LLC 0.06% of their portfolio NEW YORK, NY 36,42436.4k $4.4m $4.4m 0.06% Added +2.4k +2,375
30 Michelson Medical Research Foundation, Inc. 2.60% of their portfolio Los Angeles, CA 35,38535.4k $4.3m $4.3m 2.60% Unchanged
31 CAMELOT TECHNOLOGY ADVISORS, INC. 3.93% of their portfolio SAN FRANCISCO, CA 34,94934.9k $4.2m $4.2m 3.93% Reduced -360 -360
32 Clark Capital Management Group, Inc. 0.03% of their portfolio PHILADELPHIA, PA 33,99334.0k $4.1m $4.1m 0.03% New
33 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 30,63530.6k $3.7m $3.7m 0.01% Added +27.3k +27,300
34 WealthShield Partners, LLC 0.60% of their portfolio CARY, NC 30,41830.4k $3.7m $3.7m 0.60% Reduced -6.1k -6,108
35 JOHNSON INVESTMENT COUNSEL INC 0.04% of their portfolio Cincinnati, OH 30,03130.0k $3.6m $3.6m 0.04% Reduced -290 -290
36 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 27,91127.9k $3.4m $3.4m 0.00% Reduced -436 -436
37 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 24,85224.9k $3.0m $3.0m 0.00% New
38 AIRE ADVISORS, LLC 0.65% of their portfolio BEVERLY HILLS, CA 23,71423.7k $2.9m $2.9m 0.65% Reduced -337 -337
39 Noble Family Wealth, LLC 0.80% of their portfolio Clearwater, FL 23,31623.3k $2.8m $2.8m 0.80% Reduced -5.2k -5,196
40 STEPHENS INC /AR/ 0.04% of their portfolio LITTLE ROCK, AR 23,18923.2k $2.8m $2.8m 0.04% Reduced -3.5k -3,538
41 Regal Investment Advisors LLC 0.19% of their portfolio KENTWOOD, MI 22,38822.4k $2.7m $2.7m 0.19% Added +288 +288
42 Kendall Capital Management 0.86% of their portfolio ROCKVILLE, MD 20,64920.6k $2.5m $2.5m 0.86% Added +3.6k +3,622
43 Connective Capital Management, LLC 3.84% of their portfolio PALO ALTO, CA 20,06620.1k $2.4m $2.4m 3.84% Unchanged
44 TWO SIGMA INVESTMENTS, LP 0.01% of their portfolio NEW YORK, NY 18,80018.8k $2.3m $2.3m 0.01% Reduced -4.3k -4,300
45 Rockbridge Investment Management, LCC 0.31% of their portfolio Syracuse, NY 17,53117.5k $2.1m $2.1m 0.31% Reduced -395 -395
46 Family Firm, Inc. 0.50% of their portfolio BETHESDA, MD 16,94116.9k $2.1m $2.1m 0.50% Reduced -299 -299
47 Dynamic Advisor Solutions LLC 0.07% of their portfolio PHOENIX, AZ 16,18016.2k $2.0m $2.0m 0.07% Reduced -689 -689
48 Nicholas Investment Partners, LP 0.19% of their portfolio RANCHO SANTA FE, CA 15,25115.3k $1.8m $1.8m 0.19% New
49 Indiana Trust & Investment Management Co 0.72% of their portfolio MISHAWAKA, IN 14,73014.7k $1.8m $1.8m 0.72% Unchanged
50 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 14,60514.6k $1.8m $1.8m 0.00% Reduced -320 -320
51 Private Advisory Group LLC 0.25% of their portfolio REDMOND, WA 14,48814.5k $1.8m $1.8m 0.25% Added +3.5k +3,485
52 Evanson Asset Management, LLC 0.12% of their portfolio CARMEL, CA 13,49513.5k $1.6m $1.6m 0.12% Added +8 +8
53 Texas Yale Capital Corp. 0.07% of their portfolio ST. PETERSBURG, FL 13,28013.3k $1.6m $1.6m 0.07% Added +450 +450
54 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 12,70412.7k $1.5m $1.5m 0.00% Reduced -93.4k -93,402
55 WESCAP Management Group, Inc. 0.45% of their portfolio Glendale, CA 12,67812.7k $1.5m $1.5m 0.45% Reduced -225 -225
56 Level Financial Advisors 0.66% of their portfolio EAST AMHERST, NY 12,06712.1k $1.5m $1.5m 0.66% Reduced -389 -389
57 Physician Wealth Advisors, Inc. 0.28% of their portfolio MIDVALE, UT 12,02212.0k $1.3m $1.3m 0.28% Reduced -585 -585
58 GHP Investment Advisors, Inc. 0.07% of their portfolio Denver, CO 11,58711.6k $1.4m $1.4m 0.07% Reduced -622 -622
59 Moisand Fitzgerald Tamayo, LLC 0.19% of their portfolio ORLANDO, FL 10,41910.4k $1.3m $1.3m 0.19% Reduced -21 -21
60 CERTUITY, LLC 0.11% of their portfolio NORTH PALM BEACH, FL 9,7999.8k $1.2m $1.2m 0.11% Added +9 +9
61 Koa Wealth Management, LLC 1.05% of their portfolio Encinitas, CA 9,6529.7k $1.2m $1.2m 1.05% Reduced -17 -17
62 O'SHAUGHNESSY ASSET MANAGEMENT, LLC 0.01% of their portfolio Stamford, CT 9,3399.3k $1.1m $1.1m 0.01% Added +445 +445
63 CI INVESTMENTS INC. 0.00% of their portfolio TORONTO, Z4 9,2469.2k $1.1m $1.1m 0.00% Unchanged
64 FIL Ltd 0.00% of their portfolio HAMILTON, D0 9,2239.2k $1.1m $1.1m 0.00% Unchanged
65 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 9,0619.1k $1.1m $1.1m 0.00% Reduced -221 -221
66 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 8,9118.9k $1.1m $1.1m 0.00% Reduced -238 -238
67 Biltmore Family Office, LLC 0.21% of their portfolio CHARLOTTE, NC 8,9058.9k $1.1m $1.1m 0.21% Added +1.9k +1,872
68 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 8,1398.1k $986.0k $986.0k 0.00% Reduced -544 -544
69 Capital Analysts, LLC 0.05% of their portfolio FORT WASHINGTON, PA 8,0028.0k $970.0k $970.0k 0.05% Added +403 +403
70 CAPSTONE INVESTMENT ADVISORS, LLC 0.02% of their portfolio NEW YORK, NY 8,0018.0k $969.6k $969.6k 0.02% Unchanged
71 Urban Financial Advisory Corp 0.56% of their portfolio CHICAGO, IL 7,5027.5k $909.2k $909.2k 0.56% Added +209 +209
72 Mariner, LLC 0.00% of their portfolio Overland Park, KS 7,3587.4k $891.7k $891.7k 0.00% Added +83 +83
73 Institute for Wealth Management, LLC. 0.11% of their portfolio DENVER, CO 7,0577.1k $855.2k $855.2k 0.11% Reduced -736 -736
74 FLOW TRADERS U.S. LLC 0.05% of their portfolio NEW YORK, NY 7,0067.0k $849.0k $849.0k 0.05% New
75 Ellis Investment Partners, LLC 0.18% of their portfolio Berwyn, PA 6,7836.8k $822.1k $822.1k 0.18% Reduced -34 -34
76 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 6,5216.5k $790.3k $790.3k 0.00% Added +1.2k +1,250
77 Endowment Wealth Management, Inc. 0.57% of their portfolio APPLETON, WI 6,3086.3k $764.5k $764.5k 0.57% Added +791 +791
78 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 6,2776.3k $761.0k $761.0k 0.00% Reduced -753 -753
79 TAP Consulting, LLC 0.15% of their portfolio KIRKWOOD, MO 5,4445.4k $659.7k $659.7k 0.15% Added +12 +12
80 Jackson, Grant Investment Advisers, Inc. 0.27% of their portfolio STAMFORD, CT 5,4275.4k $657.7k $657.7k 0.27% Added +362 +362
81 Capital Investment Advisors, LLC 0.01% of their portfolio ATLANTA, GA 5,3105.3k $643.5k $643.5k 0.01% Unchanged
82 Lido Advisors, LLC 0.01% of their portfolio Los Angeles, CA 5,0905.1k $616.8k $616.8k 0.01% Added +1 +1
83 VISTA CAPITAL PARTNERS, INC. 0.08% of their portfolio PORTLAND, OR 5,0385.0k $610.6k $610.6k 0.08% Unchanged
84 Brand Asset Management Group, Inc. 0.26% of their portfolio CHESTERFIELD, MO 4,9494.9k $599.8k $599.8k 0.26% Reduced -38 -38
85 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 4,9334.9k $597.8k $597.8k 0.00% New
86 Legacy Financial Group LLC 0.11% of their portfolio DES MOINES, IA 4,6364.6k $561.8k $561.8k 0.11% New
87 FOUNDERS FINANCIAL SECURITIES LLC 0.06% of their portfolio TOWSON, MD 4,3434.3k $526.3k $526.3k 0.06% Added +306 +306
88 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 4,2774.3k $518.3k $518.3k 0.00% Reduced -178 -178
89 Compass Ion Advisors, LLC 0.07% of their portfolio CONSHOHOCKEN, PA 4,0974.1k $496.6k $496.6k 0.07% Added +102 +102
90 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 4,0854.1k $495.1k $495.1k 0.00% Added +1 +1
91 Bromfield Sneider Wealth Advisors 0.30% of their portfolio WESTWOOD, MA 4,0604.1k $492.0k $492.0k 0.30% Added +900 +900
92 SILVERCREST ASSET MANAGEMENT GROUP LLC 0.00% of their portfolio NEW YORK, NY 4,0554.1k $491.4k $491.4k 0.00% Unchanged
93 Peoples Bank/KS 0.38% of their portfolio PRATT, KS 4,0504.0k $490.8k $490.8k 0.38% Reduced -1.1k -1,090
94 NTV Asset Management LLC 0.07% of their portfolio Charleston, WV 4,0104.0k $486.0k $486.0k 0.07% Unchanged
95 Tortoise Investment Management, LLC 0.06% of their portfolio WHITE PLAINS, NY 3,9854.0k $482.9k $482.9k 0.06% Reduced -120 -120
96 Sepio Capital, LP 0.04% of their portfolio Salt Lake City, UT 3,9744.0k $481.6k $481.6k 0.04% Added +8 +8
97 BUCKINGHAM STRATEGIC WEALTH, LLC 0.01% of their portfolio CLAYTON, MO 3,9514.0k $478.9k $478.9k 0.01% Unchanged
98 Portland Global Advisors LLC 0.07% of their portfolio PORTLAND, ME 3,9504.0k $478.7k $478.7k 0.07% Reduced -50 -50
99 TWO SIGMA ADVISERS, LP 0.00% of their portfolio NEW YORK, NY 3,9003.9k $472.6k $472.6k 0.00% Reduced -1.1k -1,100
100 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 3,7123.7k $449.8k $449.8k 0.01% Added +3.6k +3,637