Vault-13

SCHWAB STRATEGIC TR SCHM

US MID-CAP ETF · ETP · CUSIP 808524508

784 institutional holders +5 vs Q4 2022
88,668,44988.7m shares reported held*
$6.0bnreported value*
43 new 282 added 326 reduced 36 sold out net sold ≈ $9.5m (+250.9k 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 ($12.0m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $67.52. Options: 4 managers hold calls ($8.3m notional), 1 hold puts ($74.6k).

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

05001kQ3 22: 722Q4 22: 779Q1 23: 784784Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022722
Q4 2022779
Q1 2023784

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q4 22: 376 bought or addedQ4 22: 289 cut or sold outQ4 22Q1 23: 325 bought or addedQ1 23: 362 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022376289
Q1 2023325362

Calls vs puts

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

CallsPuts
$0$5m$10m$15mQ3 22 calls: $10.1mQ3 22 puts: $424.0kQ3 22P/C 0.04Q4 22 calls: $10.9mQ4 22 puts: $223.1kQ4 22P/C 0.02Q1 23 calls: $8.3mQ1 23 puts: $74.6kQ1 23P/C 0.01
Numbers
QuarterCallsPutsP/C
Q3 2022$10.1m$424.0k0.04
Q4 2022$10.9m$223.1k0.02
Q1 2023$8.3m$74.6k0.01

Biggest buyers

Financial Engines Advisors L.L.C. Added +1,073,616+1.1m
HighTower Advisors, LLC Added +435,368+435.4k
MONETA GROUP INVESTMENT ADVISORS LLC Added +389,418+389.4k
MONEY CONCEPTS CAPITAL CORP Added +369,447+369.4k
MORGAN STANLEY Added +203,156+203.2k
Simplicity Solutions, LLC New +158,109+158.1k
Vantage Financial Partners, LLC New +121,890+121.9k
Corient Private Wealth LP Added +105,332+105.3k
CHOREO, LLC New +103,365+103.4k
Dynamic Advisor Solutions LLC Added +89,087+89.1k

Biggest sellers

BLB&B Advisors, LLC Reduced -793,818-793.8k
HBK Sorce Advisory LLC Reduced -645,833-645.8k
Thrivent Financial for Lutherans Reduced -352,311-352.3k
Creative Planning Reduced -294,677-294.7k
AMERIPRISE FINANCIAL INC Reduced -259,224-259.2k
OneDigital Investment Advisors LLC Reduced -141,581-141.6k
Nadler Financial Group, Inc. Reduced -112,002-112.0k
Berger Financial Group, Inc Reduced -109,644-109.6k
Bank of New York Mellon Corp Reduced -85,738-85.7k
Prime Capital Investment Advisors, LLC Reduced -80,904-80.9k

Biggest calls

SIMPLEX TRADING, LLC Reduced $7.5m110.9k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $610.6k9.0k shares
CITADEL ADVISORS LLC Reduced $190.0k2.8k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CITADEL ADVISORS LLC New $74.6k1.1k 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 Financial Engines Advisors L.L.C. 3.21% of their portfolio SANTA CLARA, CA 17,837,25217.8m $1.2bn $1.2bn 3.21% Added +1.1m +1,073,616
2 Creative Planning 1.02% of their portfolio OVERLAND PARK, KS 10,469,11210.5m $710.3m $710.3m 1.02% Reduced -294.7k -294,677
3 HighTower Advisors, LLC 0.50% of their portfolio CHICAGO, IL 3,385,5863.4m $229.6m $229.6m 0.50% Added +435.4k +435,368
4 Prime Capital Investment Advisors, LLC 4.55% of their portfolio OVERLAND PARK, KS 1,630,4241.6m $110.6m $110.6m 4.55% Reduced -80.9k -80,904
5 UBS Group AG 0.05% of their portfolio ZURICH, V8 1,620,2141.6m $109.9m $109.9m 0.05% Reduced -35.2k -35,166
6 MONETA GROUP INVESTMENT ADVISORS LLC 2.55% of their portfolio ST LOUIS, MO 1,565,3011.6m $106.2m $106.2m 2.55% Added +389.4k +389,418
7 Legacy Wealth Management, LLC 8.14% of their portfolio MEMPHIS, TN 1,341,1831.3m $91.0m $91.0m 8.14% Reduced -2.9k -2,867
8 Advisory Alpha, LLC 5.61% of their portfolio HOLLAND, MI 1,301,0261.3m $88.3m $88.3m 5.61% Reduced -72.8k -72,776
9 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.12% of their portfolio MILWAUKEE, WI 1,240,0381.2m $84.1m $84.1m 0.12% Reduced -46.9k -46,853
10 Gradient Investments LLC 1.85% of their portfolio ARDEN HILLS, MN 1,001,8691.0m $68.0m $68.0m 1.85% Reduced -27.6k -27,636
11 JMG Financial Group, Ltd. 3.45% of their portfolio DOWNERS GROVE, IL 1,001,5731.0m $68.0m $68.0m 3.45% Reduced -13.4k -13,391
12 Cerity Partners LLC 0.18% of their portfolio NEW YORK, NY 977,641977.6k $67.7m $67.7m 0.18% Added +14.2k +14,224
13 Raymond James Financial Services Advisors, Inc. 0.13% of their portfolio ST. PETERSBURG, FL 971,944971.9k $65.9m $65.9m 0.13% Added +8.8k +8,841
14 Fragasso Financial Advisors Inc 7.44% of their portfolio SEWICKLEY, PA 963,205963.2k $65.4m $65.4m 7.44% Added +16.9k +16,932
15 ENVESTNET ASSET MANAGEMENT INC 0.03% of their portfolio Berwyn, PA 937,504937.5k $63.6m $63.6m 0.03% Reduced -27.1k -27,129
16 AJ WEALTH STRATEGIES, LLC 2.95% of their portfolio NEW YORK, NY 834,498834.5k $56.6m $56.6m 2.95% Added +30.2k +30,214
17 AMERIPRISE FINANCIAL INC 0.02% of their portfolio MINNEAPOLIS, MN 798,684798.7k $54.2m $54.2m 0.02% Reduced -259.2k -259,224
18 OneDigital Investment Advisors LLC 1.18% of their portfolio OVERLAND PARK, KS 744,624744.6k $50.5m $50.5m 1.18% Reduced -141.6k -141,581
19 BLB&B Advisors, LLC 3.54% of their portfolio MONTGOMERYVILLE, PA 701,165701.2k $47.6m $47.6m 3.54% Reduced -793.8k -793,818
20 LPL Financial LLC 0.04% of their portfolio FORT MILL, SC 685,785685.8k $46.5m $46.5m 0.04% Added +32.5k +32,475
21 HBK Sorce Advisory LLC 2.04% of their portfolio ERIE, PA 662,429662.4k $44.9m $44.9m 2.04% Reduced -645.8k -645,833
22 MERCER GLOBAL ADVISORS INC /ADV 0.20% of their portfolio DENVER, CO 641,189641.2k $43.5m $43.5m 0.20% Reduced -45.1k -45,059
23 Mariner, LLC 0.12% of their portfolio Overland Park, KS 614,807614.8k $41.7m $41.7m 0.12% Reduced -5.9k -5,867
24 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 593,398593.4k $40.3m $40.3m 0.00% Added +203.2k +203,156
25 RKL Wealth Management LLC 4.99% of their portfolio LANCASTER, PA 581,890581.9k $39.5m $39.5m 4.99% Added +356 +356
26 Summit Financial Strategies, Inc. 7.26% of their portfolio Columbus, OH 543,308543.3k $36.9m $36.9m 7.26% Added +63.3k +63,311
27 HHM Wealth Advisors, LLC 7.38% of their portfolio CHATTANOOGA, TN 532,677532.7k $36.1m $36.1m 7.38% Added +27.1k +27,082
28 Thrivent Financial for Lutherans 0.09% of their portfolio Minneapolis, MN 532,450532.5k $35.6m $35.6m 0.09% Reduced -352.3k -352,311
29 Beacon Pointe Advisors, LLC 0.61% of their portfolio NEWPORT BEACH, CA 525,316525.3k $35.6m $35.6m 0.61% Added +48.1k +48,122
30 MONEY CONCEPTS CAPITAL CORP 0.31% of their portfolio PALM BEACH GARDENS, FL 468,089468.1k $5.5m $5.5m 0.31% Added +369.4k +369,447
31 Cetera Advisor Networks LLC 0.22% of their portfolio EL SEGUNDO, CA 431,224431.2k $29.3m $29.3m 0.22% Added +7.9k +7,905
32 Gemmer Asset Management LLC 4.24% of their portfolio WALNUT CREEK, CA 427,492427.5k $29.0m $29.0m 4.24% Added +15.0k +14,979
33 Brookstone Capital Management 0.52% of their portfolio WHEATON, IL 397,112397.1k $26.9m $26.9m 0.52% Reduced -52.8k -52,779
34 Nadler Financial Group, Inc. 4.13% of their portfolio DEERFIELD, IL 382,134382.1k $25.9m $25.9m 4.13% Reduced -112.0k -112,002
35 DAVENPORT & Co LLC 0.20% of their portfolio RICHMOND, VA 377,509377.5k $25.6m $25.6m 0.20% Added +32.8k +32,802
36 Buckingham Capital Management, Inc. 3.95% of their portfolio DAYTON, OH 364,066364.1k $24.7m $24.7m 3.95% Added +24.0k +23,993
37 Curi Wealth Management, LLC 3.45% of their portfolio Raleigh, NC 353,160353.2k $24.0m $24.0m 3.45% Added +21.2k +21,211
38 Parsec Financial Management, Inc. 1.01% of their portfolio ASHEVILLE, NC 352,206352.2k $23.9m $23.9m 1.01% Reduced -12.6k -12,649
39 Summit Asset Management, LLC 6.45% of their portfolio MEMPHIS, TN 345,207345.2k $23.4m $23.4m 6.45% Added +1.3k +1,256
40 ProVise Management Group, LLC 2.15% of their portfolio CLEARWATER, FL 331,217331.2k $22.5m $22.5m 2.15% Reduced -35.0k -35,033
41 Noble Family Wealth, LLC 7.60% of their portfolio Clearwater, FL 328,419328.4k $22.3m $22.3m 7.60% First filing
42 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.25% of their portfolio PLYMOUTH, MN 315,334315.3k $21.4m $21.4m 0.25% Reduced -16.4k -16,436
43 Elwood & Goetz Wealth Advisory Group, LLC 4.99% of their portfolio ATHENS, GA 308,147308.1k $20.9m $20.9m 4.99% Added +24.2k +24,154
44 Moisand Fitzgerald Tamayo, LLC 4.35% of their portfolio ORLANDO, FL 300,010300.0k $20.4m $20.4m 4.35% Added +2.4k +2,410
45 OSAIC HOLDINGS, INC. 0.04% of their portfolio SCOTTSDALE, AZ 292,980293.0k $19.8m $19.8m 0.04% Added +25.4k +25,416
46 Mokosak Advisory Group, LLC 8.42% of their portfolio URBANDALE, IA 291,229291.2k $19.8m $19.8m 8.42% Added +2.1k +2,127
47 MONEYWISE, INC. 12.51% of their portfolio FOREST, VA 285,100285.1k $19.3m $19.3m 12.51% Added +14.0k +14,017
48 MANCHESTER FINANCIAL INC 5.60% of their portfolio Westlake Village, CA 284,964285.0k $19.3m $19.3m 5.60% Added +4.6k +4,620
49 FINANCIAL CONSULATE, INC 6.32% of their portfolio HUNT VALLEY, MD 267,156267.2k $18.1m $18.1m 6.32% Added +34.2k +34,206
50 SALEM INVESTMENT COUNSELORS INC 0.71% of their portfolio WINSTON-SALEM, NC 259,629259.6k $17.6m $17.6m 0.71% Reduced -12.7k -12,699
51 Campbell Wealth Management 2.14% of their portfolio ALEXANDRIA, VA 252,079252.1k $17.1m $17.1m 2.14% Added +7.5k +7,517
52 BerganKDV Wealth Management, LLC 1.76% of their portfolio BLOOMINGTON, MN 251,390251.4k $17.1m $17.1m 1.76% Added +1.3k +1,345
53 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 237,801237.8k $16.1m $16.1m 0.01% Reduced -37.0k -36,961
54 CARY STREET PARTNERS INVESTMENT ADVISORY LLC 1.16% of their portfolio RICHMOND, VA 237,411237.4k $16.1m $16.1m 1.16% Reduced -13.5k -13,548
55 IFP Advisors, Inc 0.57% of their portfolio TAMPA, FL 236,052236.1k $13.0m $13.0m 0.57% Added +1.3k +1,333
56 Denver PWM, LLC 6.89% of their portfolio DENVER, CO 235,104235.1k $15.7m $15.7m 6.89% Added +12.3k +12,328
57 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 233,977234.0k $15.9m $15.9m 0.00% Reduced -6.2k -6,223
58 Corient Private Wealth LP 0.04% of their portfolio MIAMI, FL 233,384233.4k $15.8m $15.8m 0.04% Added +105.3k +105,332
59 EXENCIAL WEALTH ADVISORS, LLC 0.82% of their portfolio OKLAHOMA CITY, OK 232,301232.3k $15.8m $15.8m 0.82% Added +14.5k +14,540
60 Bangor Savings Bank 1.81% of their portfolio BANGOR, ME 225,928225.9k $15.3m $15.3m 1.81% Reduced -5.4k -5,361
61 SAGE FINANCIAL GROUP INC 1.63% of their portfolio W. CONSHOHOCKEN, PA 212,500212.5k $14.4m $14.4m 1.63% Added +25.3k +25,312
62 Newton One Investments LLC 8.57% of their portfolio NEWARK, DE 210,297210.3k $14.3m $14.3m 8.57% Reduced -2.4k -2,360
63 JONES FINANCIAL COMPANIES LLLP 0.02% of their portfolio DES PERES, MO 209,890209.9k $14.2m $14.2m 0.02% Reduced -13.9k -13,867
64 MARSHALL FINANCIAL GROUP INC /ADV 5.75% of their portfolio DOYLESTOWN, PA 208,612208.6k $14.2m $14.2m 5.75% Reduced -9.2k -9,197
65 COMMONWEALTH EQUITY SERVICES, LLC 0.03% of their portfolio WALTHAM, MA 207,510207.5k $14.1m $14.1m 0.03% Reduced -46 -46
66 J.P. Morgan Private Wealth Advisors LLC 0.03% of their portfolio SAN FRANCISCO, CA 205,908205.9k $14.0m $14.0m 0.03% Added +11.9k +11,933
67 Asset Management Group, Inc. 3.02% of their portfolio STAMFORD, CT 199,458199.5k $13.5m $13.5m 3.02% Reduced -575 -575
68 Asset Advisors Investment Management, LLC 1.74% of their portfolio AUGUSTA, GA 196,044196.0k $13.3m $13.3m 1.74% Reduced -1.8k -1,809
69 Cambridge Investment Research Advisors, Inc. 0.06% of their portfolio FAIRFIELD, IA 194,743194.7k $13.2m $13.2m 0.06% Added +1.1k +1,078
70 Focus Financial Network, Inc. 0.81% of their portfolio MINNEAPOLIS, MN 192,316192.3k $13.0m $13.0m 0.81% Added +225 +225
71 Milestone Investment Advisors LLC 4.01% of their portfolio MIDDLETON, WI 191,558191.6k $13.0m $13.0m 4.01% Reduced -4.2k -4,250
72 Lutz Financial Services LLC 1.44% of their portfolio OMAHA, NE 185,836185.8k $12.6m $12.6m 1.44% Added +11.7k +11,667
73 PATRIOT INVESTMENT MANAGEMENT GROUP, INC. 1.11% of their portfolio KNOXVILLE, TN 185,273185.3k $12.6m $12.6m 1.11% Reduced -635 -635
74 Koshinski Asset Management, Inc. 1.22% of their portfolio DECATUR, IL 184,264184.3k $12.5m $12.5m 1.22% Added +21.8k +21,769
75 Curbstone Financial Management Corp 3.02% of their portfolio MANCHESTER, NH 182,670182.7k $12.4m $12.4m 3.02% Added +1.9k +1,860
76 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 180,733180.7k $12.3m $12.3m 0.00% Added +2.5k +2,498
77 LEAVELL INVESTMENT MANAGEMENT, INC. 0.87% of their portfolio MOBILE, AL 179,128179.1k $12.2m $12.2m 0.87% Reduced -874 -874
78 FAS Wealth Partners, Inc. 1.31% of their portfolio LEAWOOD, KS 177,698177.7k $12.1m $12.1m 1.31% Added +936 +936
79 Opal Wealth Advisors, LLC 6.89% of their portfolio JERICHO, NY 173,939173.9k $11.8m $11.8m 6.89% Added +5.0k +5,011
80 Harbor Group, Inc. 7.03% of their portfolio BEDFORD, NH 173,862173.9k $11.8m $11.8m 7.03% Reduced -2.8k -2,752
81 FIRST NATIONAL CORP /MA/ /ADV 2.70% of their portfolio ROCKLAND, MA 167,248167.2k $11.3m $11.3m 2.70% Reduced -2.9k -2,905
82 Omega Financial Group, LLC 5.22% of their portfolio Santa Barbara, CA 166,697166.7k $11.3m $11.3m 5.22% Added +11.2k +11,224
83 Triangle Securities Wealth Management 3.99% of their portfolio RALEIGH, NC 164,582164.6k $11.2m $11.2m 3.99% Reduced -2.6k -2,580
84 Seneca Financial Advisors LLC 7.04% of their portfolio ROCHESTER, NY 161,522161.5k $11.0m $11.0m 7.04% Reduced -4.7k -4,734
85 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 160,240160.2k $10.9m $10.9m 0.00% Added +981 +981
86 Larson Financial Group LLC 1.17% of their portfolio ST LOUIS, MO 158,520158.5k $10.8m $10.8m 1.17% Reduced -3.6k -3,616
87 Bleakley Financial Group, LLC 0.36% of their portfolio PARSIPPANY, NJ 158,253158.3k $10.7m $10.7m 0.36% Added +10.4k +10,412
88 Simplicity Solutions, LLC 0.28% of their portfolio MINNEAPOLIS, MN 158,109158.1k $10.7m $10.7m 0.28% New
89 High Note Wealth, LLC 4.38% of their portfolio DEEPHAVEN, MN 156,617156.6k $10.6m $10.6m 4.38% Added +241 +241
90 Kohmann Bosshard Financial Services, LLC 1.98% of their portfolio FAIRLAWN, OH 155,193155.2k $10.5m $10.5m 1.98% Added +2.3k +2,336
91 Composition Wealth, LLC 0.34% of their portfolio LOS ANGELES, CA 153,448153.4k $10.4m $10.4m 0.34% Reduced -769 -769
92 TRUIST FINANCIAL CORP 0.02% of their portfolio CHARLOTTE, NC 151,858151.9k $10.3m $10.3m 0.02% Reduced -456 -456
93 IMA Advisory Services, Inc. 2.65% of their portfolio DENVER, CO 151,714151.7k $10.3m $10.3m 2.65% Added +473 +473
94 VALLEY NATIONAL ADVISERS INC 1.78% of their portfolio BETHLEHEM, PA 149,455149.5k $10.1m $10.1m 1.78% Reduced -9.4k -9,399
95 Alliance Wealth Management Group 3.32% of their portfolio FLEMINGTON, NJ 144,247144.2k $9.8m $9.8m 3.32% Reduced -2.2k -2,200
96 Towercrest Capital Management 2.04% of their portfolio NEWTOWN, PA 144,247144.2k $9.8m $9.8m 2.04% Reduced -2.2k -2,200
97 Pillar Wealth Advisors, LLC 9.61% of their portfolio WESTTOWN, PA 142,112142.1k $9.6m $9.6m 9.61% Reduced -1.7k -1,730
98 PITTENGER & ANDERSON INC 0.49% of their portfolio LINCOLN, NE 140,019140.0k $9.5m $9.5m 0.49% Added +4.7k +4,729
99 JOHNSON INVESTMENT COUNSEL INC 0.13% of their portfolio Cincinnati, OH 139,594139.6k $9.5m $9.5m 0.13% Reduced -9.5k -9,518
100 Fifth Third Securities, Inc. 1.08% of their portfolio Cincinnati, OH 138,274138.3k $9.4m $9.4m 1.08% Added +75.2k +75,197