Vault-13

SCHWAB STRATEGIC TR SCHM

US MID-CAP ETF · ETP · CUSIP 808524508

856 institutional holders +77 vs Q3 2023
110,432,207110.4m shares reported held*
$7.0bnreported value*
55 new 306 added 324 reduced 30 sold out net bought ≈ $21.3m (+17.7m 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 ($1.2m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $63.55. Options: 5 managers hold calls ($21.3m notional), 1 hold puts ($233.5k).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

05001kQ3 22: 722Q4 22: 779Q1 23: 784Q2 23: 785Q3 23: 779Q4 23: 856856Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022722
Q4 2022779
Q1 2023784
Q2 2023785
Q3 2023779
Q4 2023856

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 23Q4 23: 361 bought or addedQ4 23: 354 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022376289
Q1 2023325362
Q2 2023356353
Q3 2023338342
Q4 2023361354

Calls vs puts

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

CallsPuts
$0$10m$20m$30mQ1 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 0.00Q4 23 calls: $21.3mQ4 23 puts: $233.5kQ4 23P/C 0.01
Numbers
QuarterCallsPutsP/C
Q1 2023$8.3m$74.6k0.01
Q2 2023$9.4m$376.5k0.04
Q3 2023$14.6m$13.5k0.00
Q4 2023$21.3m$233.5k0.01

Biggest buyers

Cerity Partners LLC Added +17,766,110+17.8m
Financial Engines Advisors L.L.C. Added +641,494+641.5k
SHEETS SMITH WEALTH MANAGEMENT Added +425,228+425.2k
JPMORGAN CHASE & CO Added +371,841+371.8k
Advocacy Wealth Management, LLC New +357,116+357.1k
MORGAN STANLEY Added +343,156+343.2k
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO Added +316,042+316.0k
MONETA GROUP INVESTMENT ADVISORS LLC Added +154,062+154.1k
KAVAR CAPITAL PARTNERS GROUP, LLC Added +80,366+80.4k
WHITTIER TRUST CO Added +72,778+72.8k

Biggest sellers

HBK Sorce Advisory LLC Reduced -453,756-453.8k
Raymond James Financial Services Advisors, Inc. Reduced -352,587-352.6k
Lido Advisors, LLC Sold out -331,156-331.2k
Thrivent Financial for Lutherans Reduced -304,518-304.5k
Brookstone Capital Management Reduced -277,107-277.1k
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC Reduced -254,537-254.5k
Strategic Investment Solutions, Inc. /IL Reduced -233,040-233.0k
OneDigital Investment Advisors LLC Reduced -174,973-175.0k
Koshinski Asset Management, Inc. Reduced -153,738-153.7k
IMA Advisory Services, Inc. Sold out -150,000-150.0k

Biggest calls

SIMPLEX TRADING, LLC Added $20.7m294.8k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $406.7k5.4k shares
CITADEL ADVISORS LLC Reduced $218.4k2.9k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares
Cutler Group LLC / CA New $0300 shares

Biggest puts

CITADEL ADVISORS LLC Added $233.5k3.1k 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, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Financial Engines Advisors L.L.C. 3.75% of their portfolio SANTA CLARA, CA 21,134,06521.1m $1.6bn $1.6bn 3.75% Added +641.5k +641,494
2 Cerity Partners LLC 0.49% of their portfolio NEW YORK, NY 18,943,31918.9m $145.2m $145.2m 0.49% Added +17.8m +17,766,110
3 Creative Planning 1.43% of their portfolio OVERLAND PARK, KS 10,259,22810.3m $772.7m $772.7m 1.43% Added +25.8k +25,791
4 HighTower Advisors, LLC 0.46% of their portfolio CHICAGO, IL 3,635,5153.6m $273.9m $273.9m 0.46% Added +59.3k +59,301
5 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.48% of their portfolio PLYMOUTH, MN 2,190,2082.2m $165.0m $165.0m 0.48% Reduced -254.5k -254,537
6 MONETA GROUP INVESTMENT ADVISORS LLC 2.97% of their portfolio ST LOUIS, MO 1,995,8652.0m $150.3m $150.3m 2.97% Added +154.1k +154,062
7 Prime Capital Investment Advisors, LLC 1.95% of their portfolio OVERLAND PARK, KS 1,718,7781.7m $129.5m $129.5m 1.95% Added +5.8k +5,820
8 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.13% of their portfolio MILWAUKEE, WI 1,586,5591.6m $119.5m $119.5m 0.13% Added +316.0k +316,042
9 UBS Group AG 0.05% of their portfolio ZURICH, V8 1,570,9811.6m $118.3m $118.3m 0.05% Reduced -37.4k -37,437
10 Advisory Alpha, LLC 5.28% of their portfolio HOLLAND, MI 1,530,1601.5m $115.3m $115.3m 5.28% Added +47.4k +47,415
11 Legacy Wealth Management, LLC 8.36% of their portfolio MEMPHIS, TN 1,401,2841.4m $105.5m $105.5m 8.36% Added +30.2k +30,241
12 JMG Financial Group, Ltd. 3.17% of their portfolio DOWNERS GROVE, IL 1,003,6451.0m $75.6m $75.6m 3.17% Added +54.4k +54,379
13 Fragasso Financial Advisors Inc 6.56% of their portfolio SEWICKLEY, PA 956,470956.5k $72.0m $72.0m 6.56% Reduced -59.7k -59,669
14 ENVESTNET ASSET MANAGEMENT INC 0.02% of their portfolio Berwyn, PA 736,006736.0k $55.4m $55.4m 0.02% Reduced -21.2k -21,192
15 LPL Financial LLC 0.03% of their portfolio FORT MILL, SC 704,723704.7k $53.1m $53.1m 0.03% Reduced -33.2k -33,230
16 AMERIPRISE FINANCIAL INC 0.02% of their portfolio MINNEAPOLIS, MN 688,651688.7k $51.9m $51.9m 0.02% Reduced -91.0k -91,019
17 Mariner, LLC 0.12% of their portfolio Overland Park, KS 678,733678.7k $51.1m $51.1m 0.12% Added +4.4k +4,391
18 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 678,064678.1k $51.1m $51.1m 0.00% Added +343.2k +343,156
19 Raymond James Financial Services Advisors, Inc. 0.08% of their portfolio ST. PETERSBURG, FL 635,622635.6k $47.9m $47.9m 0.08% Reduced -352.6k -352,587
20 Summit Financial Strategies, Inc. 6.99% of their portfolio Columbus, OH 607,323607.3k $45.7m $45.7m 6.99% Added +21.0k +21,030
21 RKL Wealth Management LLC 4.78% of their portfolio LANCASTER, PA 587,211587.2k $44.2m $44.2m 4.78% Reduced -1.8k -1,774
22 Beacon Pointe Advisors, LLC 0.52% of their portfolio NEWPORT BEACH, CA 571,417571.4k $43.0m $43.0m 0.52% Reduced -6.9k -6,881
23 BLB&B Advisors, LLC 2.67% of their portfolio MONTGOMERYVILLE, PA 562,315562.3k $42.4m $42.4m 2.67% Reduced -43.3k -43,274
24 HHM Wealth Advisors, LLC 7.26% of their portfolio CHATTANOOGA, TN 553,938553.9k $41.7m $41.7m 7.26% Reduced -20.1k -20,081
25 MERCER GLOBAL ADVISORS INC /ADV 0.12% of their portfolio DENVER, CO 519,919519.9k $39.2m $39.2m 0.12% Reduced -4.1k -4,126
26 Gemmer Asset Management LLC 4.31% of their portfolio WALNUT CREEK, CA 466,500466.5k $35.1m $35.1m 4.31% Added +7.0k +6,996
27 SHEETS SMITH WEALTH MANAGEMENT 0.25% of their portfolio WINSTON-SALEM, NC 448,039448.0k $1.8m $1.8m 0.25% Added +425.2k +425,228
28 Thrivent Financial for Lutherans 0.07% of their portfolio Minneapolis, MN 441,159441.2k $33.2m $33.2m 0.07% Reduced -304.5k -304,518
29 OneDigital Investment Advisors LLC 0.58% of their portfolio OVERLAND PARK, KS 436,738436.7k $32.9m $32.9m 0.58% Reduced -175.0k -174,973
30 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 394,936394.9k $29.7m $29.7m 0.00% Added +371.8k +371,841
31 DAVENPORT & Co LLC 0.20% of their portfolio RICHMOND, VA 391,936391.9k $29.5m $29.5m 0.20% Added +20.2k +20,161
32 Buckingham Capital Management, Inc. 3.63% of their portfolio DAYTON, OH 360,194360.2k $27.1m $27.1m 3.63% Reduced -8.5k -8,476
33 Moisand Fitzgerald Tamayo, LLC 4.68% of their portfolio ORLANDO, FL 358,869358.9k $27.0m $27.0m 4.68% Added +51.2k +51,216
34 Advocacy Wealth Management, LLC 2.55% of their portfolio ATLANTA, GA 357,116357.1k $26.9m $26.9m 2.55% New
35 Summit Asset Management, LLC 6.39% of their portfolio MEMPHIS, TN 354,576354.6k $26.7m $26.7m 6.39% Added +6.0k +6,002
36 Noble Family Wealth, LLC 7.69% of their portfolio Clearwater, FL 336,980337.0k $25.4m $25.4m 7.69% Reduced -1.7k -1,704
37 Curi Wealth Management, LLC 3.43% of their portfolio Raleigh, NC 329,941329.9k $24.9m $24.9m 3.43% Added +21.9k +21,946
38 Modera Wealth Management, LLC 0.41% of their portfolio WESTWOOD, NJ 325,109325.1k $24.5m $24.5m 0.41% Reduced -7.3k -7,299
39 Mokosak Advisory Group, LLC 8.49% of their portfolio URBANDALE, IA 314,229314.2k $23.7m $23.7m 8.49% Added +7.4k +7,376
40 Elwood & Goetz Wealth Advisory Group, LLC 4.86% of their portfolio ATHENS, GA 305,047305.0k $23.0m $23.0m 4.86% Reduced -925 -925
41 EXENCIAL WEALTH ADVISORS, LLC 0.93% of their portfolio OKLAHOMA CITY, OK 303,421303.4k $22.9m $22.9m 0.93% Added +24.1k +24,115
42 MANCHESTER FINANCIAL INC 6.11% of their portfolio Westlake Village, CA 290,168290.2k $21.9m $21.9m 6.11% Reduced -2.4k -2,398
43 Dynamic Advisor Solutions LLC 0.76% of their portfolio PHOENIX, AZ 277,080277.1k $20.4m $20.4m 0.76% Added +27.9k +27,939
44 HBK Sorce Advisory LLC 0.80% of their portfolio ERIE, PA 276,158276.2k $20.8m $20.8m 0.80% Reduced -453.8k -453,756
45 SAGE FINANCIAL GROUP INC 1.92% of their portfolio W. CONSHOHOCKEN, PA 261,837261.8k $19.7m $19.7m 1.92% Added +31.2k +31,161
46 Campbell Wealth Management 2.33% of their portfolio ALEXANDRIA, VA 260,978261.0k $19.7m $19.7m 2.33% Added +4.9k +4,886
47 ProVise Management Group, LLC 1.66% of their portfolio CLEARWATER, FL 259,651259.7k $19.6m $19.6m 1.66% Reduced -23.9k -23,933
48 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 258,608258.6k $19.5m $19.5m 0.00% Added +33.0k +32,957
49 IFP Advisors, Inc 0.91% of their portfolio TAMPA, FL 257,070257.1k $19.4m $19.4m 0.91% Added +10.9k +10,883
50 Cetera Advisor Networks LLC 0.11% of their portfolio EL SEGUNDO, CA 253,891253.9k $19.1m $19.1m 0.11% Reduced -600 -600
51 SALEM INVESTMENT COUNSELORS INC 0.65% of their portfolio WINSTON-SALEM, NC 252,976253.0k $19.1m $19.1m 0.65% Reduced -6.8k -6,809
52 Corient Private Wealth LP 0.03% of their portfolio MIAMI, FL 231,075231.1k $17.4m $17.4m 0.03% Added +5.4k +5,389
53 Newton One Investments LLC 7.86% of their portfolio NEWARK, DE 226,931226.9k $17.1m $17.1m 7.86% Added +9.5k +9,497
54 COMMONWEALTH EQUITY SERVICES, LLC 0.03% of their portfolio WALTHAM, MA 225,298225.3k $17.0m $17.0m 0.03% Reduced -2.6k -2,585
55 Cambridge Investment Research Advisors, Inc. 0.07% of their portfolio FAIRFIELD, IA 222,770222.8k $16.8m $16.8m 0.07% Reduced -6.2k -6,199
56 TRUST POINT INC. 1.37% of their portfolio LA CROSSE, WI 220,517220.5k $16.6m $16.6m 1.37% First filing
57 Bangor Savings Bank 1.79% of their portfolio BANGOR, ME 218,506218.5k $16.5m $16.5m 1.79% Added +424 +424
58 JONES FINANCIAL COMPANIES LLLP 0.02% of their portfolio DES PERES, MO 216,743216.7k $16.3m $16.3m 0.02% Added +3.7k +3,716
59 Denver PWM, LLC 7.12% of their portfolio DENVER, CO 209,736209.7k $15.4m $15.4m 7.12% Added +37.5k +37,542
60 Northeast Financial Group, Inc. 7.72% of their portfolio Allentown, PA 209,045209.0k $15.7m $15.7m 7.72% Added +23.4k +23,381
61 MARSHALL FINANCIAL GROUP INC /ADV 5.59% of their portfolio DOYLESTOWN, PA 207,761207.8k $15.6m $15.6m 5.59% Added +1.4k +1,367
62 MONEYWISE, INC. 8.87% of their portfolio FOREST, VA 205,185205.2k $15.5m $15.5m 8.87% Reduced -32.7k -32,704
63 Lutz Financial Services LLC 1.44% of their portfolio OMAHA, NE 203,372203.4k $15.3m $15.3m 1.44% Added +20.7k +20,746
64 Bleakley Financial Group, LLC 0.47% of their portfolio PARSIPPANY, NJ 197,017197.0k $14.8m $14.8m 0.47% Added +9.5k +9,479
65 Simplicity Solutions, LLC 0.41% of their portfolio MINNEAPOLIS, MN 196,912196.9k $14.8m $14.8m 0.41% Added +9.5k +9,533
66 Asset Management Group, Inc. 2.93% of their portfolio STAMFORD, CT 194,039194.0k $14.6m $14.6m 2.93% Reduced -1.4k -1,435
67 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 188,409188.4k $14.2m $14.2m 0.00% Reduced -54.6k -54,599
68 Asset Advisors Investment Management, LLC 1.71% of their portfolio AUGUSTA, GA 186,006186.0k $14.0m $14.0m 1.71% Reduced -4.8k -4,759
69 Savant Capital, LLC 0.18% of their portfolio ROCKFORD, IL 184,769184.8k $13.9m $13.9m 0.18% Reduced -12.5k -12,537
70 Curbstone Financial Management Corp 3.13% of their portfolio MANCHESTER, NH 182,977183.0k $13.8m $13.8m 3.13% Reduced -320 -320
71 FAS Wealth Partners, Inc. 1.27% of their portfolio LEAWOOD, KS 178,151178.2k $13.4m $13.4m 1.27% Added +1.2k +1,205
72 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 176,816176.8k $13.3m $13.3m 0.01% Reduced -60.6k -60,612
73 FOCUS FINANCIAL NETWORK INC /ADV 0.48% of their portfolio Minneapolis, MN 170,868170.9k $12.9m $12.9m 0.48% First filing
74 FIRST NATIONAL CORP /MA/ /ADV 3.14% of their portfolio ROCKLAND, MA 169,812169.8k $12.8m $12.8m 3.14% Reduced -3.1k -3,108
75 Chicago Partners Investment Group LLC 0.58% of their portfolio CHICAGO, IL 169,101169.1k $12.6m $12.6m 0.58% Added +17.6k +17,563
76 BERKSHIRE ASSET MANAGEMENT LLC/PA 0.73% of their portfolio WILKES BARRE, PA 168,945168.9k $12.7m $12.7m 0.73% Added +23.4k +23,427
77 Larson Financial Group LLC 1.11% of their portfolio ST LOUIS, MO 168,186168.2k $12.7m $12.7m 1.11% Added +14.6k +14,551
78 Harbor Group, Inc. 3.61% of their portfolio BEDFORD, NH 167,453167.5k $12.6m $12.6m 3.61% Reduced -1.7k -1,748
79 FINANCIAL CONSULATE, INC 4.14% of their portfolio HUNT VALLEY, MD 167,178167.2k $12.6m $12.6m 4.14% Reduced -120.4k -120,369
80 Opal Wealth Advisors, LLC 4.95% of their portfolio JERICHO, NY 166,975167.0k $12.6m $12.6m 4.95% Reduced -4.1k -4,057
81 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 165,934165.9k $12.5m $12.5m 0.00% Added +5.7k +5,694
82 PITTENGER & ANDERSON INC 0.55% of their portfolio LINCOLN, NE 164,404164.4k $12.4m $12.4m 0.55% Reduced -605 -605
83 Kohmann Bosshard Financial Services, LLC 1.88% of their portfolio FAIRLAWN, OH 163,714163.7k $12.3m $12.3m 1.88% Reduced -2.5k -2,515
84 Omega Financial Group, LLC 5.22% of their portfolio Santa Barbara, CA 161,863161.9k $12.2m $12.2m 5.22% Reduced -2.0k -1,969
85 Triangle Securities Wealth Management 3.77% of their portfolio RALEIGH, NC 161,000161.0k $12.1m $12.1m 3.77% Reduced -551 -551
86 High Note Wealth, LLC 4.53% of their portfolio DEEPHAVEN, MN 159,992160.0k $12.1m $12.1m 4.53% Added +3.0k +2,961
87 BLUE SQUARE ASSET MANAGEMENT, LLC 8.02% of their portfolio NEW YORK, NY 159,905159.9k $12.0m $12.0m 8.02% Added +38.4k +38,369
88 JOHNSON INVESTMENT COUNSEL INC 0.14% of their portfolio Cincinnati, OH 159,206159.2k $12.0m $12.0m 0.14% Added +386 +386
89 LEAVELL INVESTMENT MANAGEMENT, INC. 0.76% of their portfolio MOBILE, AL 159,052159.1k $12.0m $12.0m 0.76% Reduced -4.5k -4,452
90 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 158,907158.9k $12.0m $12.0m 0.02% Reduced -29.3k -29,326
91 Essex LLC 2.95% of their portfolio DEER PARK, IL 157,631157.6k $11.9m $11.9m 2.95% Added +54.6k +54,559
92 Milestone Investment Advisors LLC 3.41% of their portfolio MIDDLETON, WI 155,807155.8k $11.7m $11.7m 3.41% Reduced -8.7k -8,692
93 Trinity Legacy Partners, LLC 3.66% of their portfolio HOUSTON, TX 154,069154.1k $11.6m $11.6m 3.66% Added +21.0k +20,960
94 MML INVESTORS SERVICES, LLC 0.05% of their portfolio SPRINGFIELD, MA 152,828152.8k $11.5m $11.5m 0.05% Added +4.7k +4,744
95 Seneca Financial Advisors LLC 6.65% of their portfolio ROCHESTER, NY 152,295152.3k $11.5m $11.5m 6.65% Reduced -1.2k -1,211
96 KAVAR CAPITAL PARTNERS GROUP, LLC 1.27% of their portfolio LEAWOOD, KS 150,482150.5k $11.3m $11.3m 1.27% Added +80.4k +80,366
97 Fifth Third Securities, Inc. 1.13% of their portfolio Cincinnati, OH 144,840144.8k $10.9m $10.9m 1.13% Added +3.9k +3,939
98 VALLEY NATIONAL ADVISERS INC 1.72% of their portfolio BETHLEHEM, PA 144,075144.1k $10.9m $10.9m 1.72% Added +1.0k +1,033
99 Vantage Financial Partners, LLC 3.18% of their portfolio ELM GROVE, WI 143,900143.9k $10.8m $10.8m 3.18% Added +17.7k +17,724
100 CAPTRUST FINANCIAL ADVISORS 0.04% of their portfolio RALEIGH, NC 143,705143.7k $10.8m $10.8m 0.04% Reduced -17.6k -17,570