Vault-13

SCHWAB STRATEGIC TR SCHM

US MID-CAP ETF · ETP · CUSIP 808524508

779 institutional holders -6 vs Q2 2023
91,302,19191.3m shares reported held*
$6.2bnreported value*
34 new 304 added 304 reduced 38 sold out net bought ≈ $288.7m (+4.1m 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 ($4.3m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $67.67. Options: 4 managers hold calls ($14.6m notional), 1 hold puts ($13.5k).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

05001kQ3 22: 722Q4 22: 779Q1 23: 784Q2 23: 785Q3 23: 779779Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022722
Q4 2022779
Q1 2023784
Q2 2023785
Q3 2023779

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 23Q2 23: 356 bought or addedQ2 23: 353 cut or sold outQ2 23Q3 23: 338 bought or addedQ3 23: 342 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022376289
Q1 2023325362
Q2 2023356353
Q3 2023338342

Calls vs puts

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

CallsPuts
$0$5m$10m$15mQ4 22 calls: $10.9mQ4 22 puts: $223.1kQ4 22P/C 0.02Q1 23 calls: $8.3mQ1 23 puts: $74.6kQ1 23P/C 0.01Q2 23 calls: $9.4mQ2 23 puts: $376.5kQ2 23P/C 0.04Q3 23 calls: $14.6mQ3 23 puts: $13.5kQ3 23P/C 0.00
Numbers
QuarterCallsPutsP/C
Q4 2022$10.9m$223.1k0.02
Q1 2023$8.3m$74.6k0.01
Q2 2023$9.4m$376.5k0.04
Q3 2023$14.6m$13.5k0.00

Biggest buyers

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC Added +2,130,408+2.1m
Financial Engines Advisors L.L.C. Added +1,714,519+1.7m
Thrivent Financial for Lutherans Added +237,185+237.2k
Strategic Investment Solutions, Inc. /IL Added +233,054+233.1k
Lido Advisors, LLC Added +195,868+195.9k
HighTower Advisors, LLC Added +119,381+119.4k
AMERIPRISE FINANCIAL INC Added +111,400+111.4k
Advisory Alpha, LLC Added +107,636+107.6k
MONETA GROUP INVESTMENT ADVISORS LLC Added +97,614+97.6k
Beacon Pointe Advisors, LLC Added +94,769+94.8k

Biggest sellers

Gradient Investments LLC Reduced -980,232-980.2k
IFP Advisors, Inc Reduced -232,191-232.2k
Prostatis Group LLC Sold out -162,527-162.5k
ENVESTNET ASSET MANAGEMENT INC Reduced -100,144-100.1k
Procyon Advisors, LLC Reduced -77,947-77.9k
Reitz Capital Advisors LLC Reduced -77,173-77.2k
PATRIOT INVESTMENT MANAGEMENT GROUP, INC. Reduced -73,864-73.9k
Denver PWM, LLC Reduced -66,039-66.0k
Nadler Financial Group, Inc. Reduced -55,579-55.6k
SkyView Investment Advisors, LLC Sold out -52,007-52.0k

Biggest calls

SIMPLEX TRADING, LLC Added $13.4m192.4k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $886.6k13.1k shares
CITADEL ADVISORS LLC Added $304.6k4.5k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CITADEL ADVISORS LLC Reduced $13.5k200 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 Financial Engines Advisors L.L.C. 3.64% of their portfolio SANTA CLARA, CA 20,492,57120.5m $1.4bn $1.4bn 3.64% Added +1.7m +1,714,519
2 Creative Planning 0.92% of their portfolio OVERLAND PARK, KS 10,233,43710.2m $692.6m $692.6m 0.92% Reduced -34.5k -34,452
3 HighTower Advisors, LLC 0.45% of their portfolio CHICAGO, IL 3,576,2143.6m $242.0m $242.0m 0.45% Added +119.4k +119,381
4 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.54% of their portfolio PLYMOUTH, MN 2,444,7452.4m $165.5m $165.5m 0.54% Added +2.1m +2,130,408
5 MONETA GROUP INVESTMENT ADVISORS LLC 2.83% of their portfolio ST LOUIS, MO 1,841,8031.8m $124.7m $124.7m 2.83% Added +97.6k +97,614
6 Prime Capital Investment Advisors, LLC 2.37% of their portfolio OVERLAND PARK, KS 1,712,9581.7m $115.9m $115.9m 2.37% Reduced -38.9k -38,897
7 UBS Group AG 0.05% of their portfolio ZURICH, V8 1,608,4181.6m $108.9m $108.9m 0.05% Reduced -4.1k -4,140
8 Advisory Alpha, LLC 5.17% of their portfolio HOLLAND, MI 1,482,7451.5m $100.4m $100.4m 5.17% Added +107.6k +107,636
9 Legacy Wealth Management, LLC 8.11% of their portfolio MEMPHIS, TN 1,371,0431.4m $92.8m $92.8m 8.11% Added +8.8k +8,753
10 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.11% of their portfolio MILWAUKEE, WI 1,270,5171.3m $86.0m $86.0m 0.11% Added +29.2k +29,214
11 Cerity Partners LLC 0.39% of their portfolio NEW YORK, NY 1,177,2091.2m $79.7m $79.7m 0.39% Reduced -43.8k -43,836
12 Fragasso Financial Advisors Inc 7.23% of their portfolio SEWICKLEY, PA 1,016,1391.0m $68.8m $68.8m 7.23% Added +12.7k +12,738
13 Raymond James Financial Services Advisors, Inc. 0.12% of their portfolio ST. PETERSBURG, FL 988,209988.2k $66.9m $66.9m 0.12% Added +11.1k +11,095
14 JMG Financial Group, Ltd. 3.10% of their portfolio DOWNERS GROVE, IL 949,266949.3k $64.2m $64.2m 3.10% Reduced -16.8k -16,840
15 AMERIPRISE FINANCIAL INC 0.02% of their portfolio MINNEAPOLIS, MN 779,670779.7k $52.8m $52.8m 0.02% Added +111.4k +111,400
16 ENVESTNET ASSET MANAGEMENT INC 0.02% of their portfolio Berwyn, PA 757,198757.2k $51.2m $51.2m 0.02% Reduced -100.1k -100,144
17 Thrivent Financial for Lutherans 0.12% of their portfolio Minneapolis, MN 745,677745.7k $50.6m $50.6m 0.12% Added +237.2k +237,185
18 LPL Financial LLC 0.04% of their portfolio FORT MILL, SC 737,953738.0k $49.9m $49.9m 0.04% Added +32.1k +32,051
19 HBK Sorce Advisory LLC 2.18% of their portfolio ERIE, PA 729,914729.9k $49.4m $49.4m 2.18% Added +15.6k +15,600
20 Mariner, LLC 0.12% of their portfolio Overland Park, KS 674,342674.3k $45.6m $45.6m 0.12% Added +65.5k +65,549
21 OneDigital Investment Advisors LLC 0.90% of their portfolio OVERLAND PARK, KS 611,711611.7k $41.4m $41.4m 0.90% Reduced -51.2k -51,237
22 BLB&B Advisors, LLC 2.93% of their portfolio MONTGOMERYVILLE, PA 605,589605.6k $41.0m $41.0m 2.93% Reduced -29.2k -29,156
23 RKL Wealth Management LLC 4.88% of their portfolio LANCASTER, PA 588,985589.0k $39.9m $39.9m 4.88% Added +2.9k +2,920
24 Summit Financial Strategies, Inc. 7.56% of their portfolio Columbus, OH 586,293586.3k $39.7m $39.7m 7.56% Added +17.5k +17,525
25 Beacon Pointe Advisors, LLC 0.49% of their portfolio NEWPORT BEACH, CA 578,298578.3k $39.1m $39.1m 0.49% Added +94.8k +94,769
26 HHM Wealth Advisors, LLC 7.59% of their portfolio CHATTANOOGA, TN 574,019574.0k $38.8m $38.8m 7.59% Added +23.4k +23,422
27 MERCER GLOBAL ADVISORS INC /ADV 0.13% of their portfolio DENVER, CO 524,045524.0k $35.5m $35.5m 0.13% Reduced -14.7k -14,708
28 Gemmer Asset Management LLC 4.20% of their portfolio WALNUT CREEK, CA 459,504459.5k $31.1m $31.1m 4.20% Added +7.4k +7,388
29 DAVENPORT & Co LLC 0.19% of their portfolio RICHMOND, VA 371,775371.8k $25.2m $25.2m 0.19% Added +17.1k +17,128
30 Buckingham Capital Management, Inc. 3.80% of their portfolio DAYTON, OH 368,670368.7k $25.0m $25.0m 3.80% Reduced -4.8k -4,780
31 Summit Asset Management, LLC 6.41% of their portfolio MEMPHIS, TN 348,574348.6k $23.6m $23.6m 6.41% Added +4.0k +3,985
32 Brookstone Capital Management 0.49% of their portfolio WHEATON, IL 338,720338.7k $22.2m $22.2m 0.49% Reduced -38.8k -38,758
33 Noble Family Wealth, LLC 7.73% of their portfolio Clearwater, FL 338,684338.7k $22.9m $22.9m 7.73% Reduced -1.1k -1,112
34 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 334,908334.9k $22.7m $22.7m 0.00% Added +278 +278
35 Modera Wealth Management, LLC 0.42% of their portfolio WESTWOOD, NJ 332,408332.4k $22.5m $22.5m 0.42% Reduced -13.3k -13,321
36 Lido Advisors, LLC 0.25% of their portfolio Los Angeles, CA 331,156331.2k $22.4m $22.4m 0.25% Added +195.9k +195,868
37 Curi Wealth Management, LLC 3.20% of their portfolio Raleigh, NC 307,995308.0k $20.8m $20.8m 3.20% Reduced -47.4k -47,433
38 Moisand Fitzgerald Tamayo, LLC 4.39% of their portfolio ORLANDO, FL 307,653307.7k $20.8m $20.8m 4.39% Reduced -1.2k -1,236
39 Mokosak Advisory Group, LLC 8.45% of their portfolio URBANDALE, IA 306,853306.9k $20.8m $20.8m 8.45% Added +5.3k +5,302
40 Elwood & Goetz Wealth Advisory Group, LLC 4.80% of their portfolio ATHENS, GA 305,972306.0k $20.7m $20.7m 4.80% Reduced -12.2k -12,199
41 MANCHESTER FINANCIAL INC 5.82% of their portfolio Westlake Village, CA 292,566292.6k $19.8m $19.8m 5.82% Added +3.9k +3,906
42 FINANCIAL CONSULATE, INC 8.59% of their portfolio HUNT VALLEY, MD 287,547287.5k $19.5m $19.5m 8.59% Added +6.0k +6,031
43 ProVise Management Group, LLC 1.78% of their portfolio CLEARWATER, FL 283,584283.6k $19.2m $19.2m 1.78% Reduced -27.6k -27,572
44 EXENCIAL WEALTH ADVISORS, LLC 0.92% of their portfolio OKLAHOMA CITY, OK 279,306279.3k $18.9m $18.9m 0.92% Added +23.7k +23,684
45 SALEM INVESTMENT COUNSELORS INC 0.67% of their portfolio WINSTON-SALEM, NC 259,785259.8k $17.6m $17.6m 0.67% Added +195 +195
46 Campbell Wealth Management 2.11% of their portfolio ALEXANDRIA, VA 256,092256.1k $17.3m $17.3m 2.11% Reduced -5.9k -5,863
47 Cetera Advisor Networks LLC 0.11% of their portfolio EL SEGUNDO, CA 254,491254.5k $17.2m $17.2m 0.11% Added +14.7k +14,738
48 Dynamic Advisor Solutions LLC 0.80% of their portfolio PHOENIX, AZ 249,141249.1k $16.9m $16.9m 0.80% Added +34.7k +34,711
49 IFP Advisors, Inc 0.75% of their portfolio TAMPA, FL 246,187246.2k $16.7m $16.7m 0.75% Reduced -232.2k -232,191
50 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 243,008243.0k $16.4m $16.4m 0.01% Added +5.8k +5,806
51 MONEYWISE, INC. 10.10% of their portfolio FOREST, VA 237,889237.9k $16.1m $16.1m 10.10% Reduced -23.1k -23,072
52 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 237,428237.4k $16.1m $16.1m 0.01% Reduced -9.7k -9,652
53 Strategic Investment Solutions, Inc. /IL 0.21% of their portfolio ORLAND PARK, IL 236,793236.8k $16.8m $16.8m 0.21% Added +233.1k +233,054
54 SAGE FINANCIAL GROUP INC 1.73% of their portfolio W. CONSHOHOCKEN, PA 230,676230.7k $15.6m $15.6m 1.73% Added +6.8k +6,797
55 Cambridge Investment Research Advisors, Inc. 0.07% of their portfolio FAIRFIELD, IA 228,969229.0k $15.5m $15.5m 0.07% Added +21.3k +21,263
56 COMMONWEALTH EQUITY SERVICES, LLC 0.03% of their portfolio WALTHAM, MA 227,883227.9k $15.4m $15.4m 0.03% Added +9.9k +9,914
57 Corient Private Wealth LP 0.04% of their portfolio MIAMI, FL 225,686225.7k $15.3m $15.3m 0.04% Reduced -3.1k -3,136
58 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 225,651225.7k $15.3m $15.3m 0.00% Added +35.7k +35,686
59 Bangor Savings Bank 1.76% of their portfolio BANGOR, ME 218,082218.1k $14.8m $14.8m 1.76% Reduced -1.7k -1,720
60 Newton One Investments LLC 8.76% of their portfolio NEWARK, DE 217,434217.4k $14.7m $14.7m 8.76% Added +3.2k +3,248
61 JONES FINANCIAL COMPANIES LLLP 0.02% of their portfolio DES PERES, MO 213,027213.0k $14.4m $14.4m 0.02% Added +141 +141
62 MARSHALL FINANCIAL GROUP INC /ADV 5.69% of their portfolio DOYLESTOWN, PA 206,394206.4k $14.0m $14.0m 5.69% Reduced -2.9k -2,859
63 Savant Capital, LLC 0.20% of their portfolio ROCKFORD, IL 197,306197.3k $13.4m $13.4m 0.20% Added +84.3k +84,277
64 Focus Financial Network, Inc. 0.75% of their portfolio MINNEAPOLIS, MN 196,427196.4k $13.3m $13.3m 0.75% Added +2.3k +2,297
65 Asset Management Group, Inc. 2.91% of their portfolio STAMFORD, CT 195,474195.5k $13.2m $13.2m 2.91% Reduced -3.5k -3,461
66 Asset Advisors Investment Management, LLC 1.74% of their portfolio AUGUSTA, GA 190,765190.8k $12.9m $12.9m 1.74% Reduced -1.2k -1,161
67 J.P. Morgan Private Wealth Advisors LLC 0.04% of their portfolio SAN FRANCISCO, CA 189,695189.7k $12.8m $12.8m 0.04% Reduced -3.0k -2,962
68 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 188,233188.2k $12.7m $12.7m 0.02% Reduced -30.6k -30,625
69 Bleakley Financial Group, LLC 0.45% of their portfolio PARSIPPANY, NJ 187,538187.5k $12.7m $12.7m 0.45% Added +20.2k +20,240
70 Simplicity Solutions, LLC 0.41% of their portfolio MINNEAPOLIS, MN 187,379187.4k $12.7m $12.7m 0.41% Added +20.2k +20,239
71 Northeast Financial Group, Inc. 7.72% of their portfolio Allentown, PA 185,664185.7k $12.6m $12.6m 7.72% Added +38.5k +38,518
72 Curbstone Financial Management Corp 3.07% of their portfolio MANCHESTER, NH 183,297183.3k $12.4m $12.4m 3.07% Added +1.3k +1,270
73 Lutz Financial Services LLC 1.35% of their portfolio OMAHA, NE 182,626182.6k $12.4m $12.4m 1.35% Added +346 +346
74 FAS Wealth Partners, Inc. 1.28% of their portfolio LEAWOOD, KS 176,946176.9k $12.0m $12.0m 1.28% Reduced -119 -119
75 FIRST NATIONAL CORP /MA/ /ADV 3.14% of their portfolio ROCKLAND, MA 172,920172.9k $11.7m $11.7m 3.14% Added +5.1k +5,105
76 Denver PWM, LLC 4.81% of their portfolio DENVER, CO 172,194172.2k $11.5m $11.5m 4.81% Reduced -66.0k -66,039
77 Opal Wealth Advisors, LLC 6.77% of their portfolio JERICHO, NY 171,032171.0k $11.6m $11.6m 6.77% Reduced -7.3k -7,265
78 Harbor Group, Inc. 6.45% of their portfolio BEDFORD, NH 169,201169.2k $11.5m $11.5m 6.45% Reduced -1.3k -1,296
79 Koshinski Asset Management, Inc. 1.30% of their portfolio DECATUR, IL 167,723167.7k $11.4m $11.4m 1.30% Added +9.8k +9,803
80 Kohmann Bosshard Financial Services, LLC 1.94% of their portfolio FAIRLAWN, OH 166,229166.2k $11.3m $11.3m 1.94% Added +4.5k +4,512
81 PITTENGER & ANDERSON INC 0.56% of their portfolio LINCOLN, NE 165,009165.0k $11.2m $11.2m 0.56% Added +22.9k +22,940
82 Milestone Investment Advisors LLC 3.17% of their portfolio MIDDLETON, WI 164,499164.5k $11.1m $11.1m 3.17% Reduced -1.4k -1,434
83 Omega Financial Group, LLC 5.42% of their portfolio Santa Barbara, CA 163,832163.8k $11.1m $11.1m 5.42% Reduced -3.0k -2,955
84 LEAVELL INVESTMENT MANAGEMENT, INC. 0.77% of their portfolio MOBILE, AL 163,504163.5k $11.1m $11.1m 0.77% Reduced -6.6k -6,567
85 Triangle Securities Wealth Management 3.89% of their portfolio RALEIGH, NC 161,551161.6k $10.9m $10.9m 3.89% Added +323 +323
86 CAPTRUST FINANCIAL ADVISORS 0.04% of their portfolio RALEIGH, NC 161,275161.3k $10.9m $10.9m 0.04% Added +46.2k +46,172
87 Meridian Wealth Management, LLC 0.67% of their portfolio LEXINGTON, KY 161,036161.0k $10.9m $10.9m 0.67% Added +84.2k +84,190
88 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 160,240160.2k $10.8m $10.8m 0.00% Unchanged
89 JOHNSON INVESTMENT COUNSEL INC 0.14% of their portfolio Cincinnati, OH 158,820158.8k $10.7m $10.7m 0.14% Added +12.8k +12,845
90 High Note Wealth, LLC 4.39% of their portfolio DEEPHAVEN, MN 157,031157.0k $10.6m $10.6m 4.39% Added +3.6k +3,592
91 Larson Financial Group LLC 1.02% of their portfolio ST LOUIS, MO 153,635153.6k $10.4m $10.4m 1.02% Reduced -97 -97
92 Seneca Financial Advisors LLC 7.11% of their portfolio ROCHESTER, NY 153,506153.5k $10.4m $10.4m 7.11% Added +271 +271
93 Chicago Partners Investment Group LLC 0.52% of their portfolio CHICAGO, IL 151,538151.5k $9.7m $9.7m 0.52% Added +8.9k +8,936
94 IMA Advisory Services, Inc. 2.62% of their portfolio DENVER, CO 150,000150.0k $10.2m $10.2m 2.62% Reduced -826 -826
95 MML INVESTORS SERVICES, LLC 0.06% of their portfolio SPRINGFIELD, MA 148,084148.1k $10.0m $10.0m 0.06% Added +2.3k +2,295
96 BERKSHIRE ASSET MANAGEMENT LLC/PA 0.61% of their portfolio WILKES BARRE, PA 145,518145.5k $9.8m $9.8m 0.61% Added +10.6k +10,647
97 VALLEY NATIONAL ADVISERS INC 1.69% of their portfolio BETHLEHEM, PA 143,042143.0k $9.7m $9.7m 1.69% Reduced -1.6k -1,606
98 Fifth Third Securities, Inc. 1.07% of their portfolio Cincinnati, OH 140,901140.9k $9.5m $9.5m 1.07% Added +1.9k +1,876
99 Clearstead Advisors, LLC 0.28% of their portfolio CLEVELAND, OH 140,085140.1k $9.5m $9.5m 0.28% Added +71.7k +71,732
100 Towercrest Capital Management 1.82% of their portfolio NEWTOWN, PA 138,504138.5k $9.4m $9.4m 1.82% Reduced -6.2k -6,221