Vault-13

SCHWAB STRATEGIC TR SCHA

US SML CAP ETF · ETP · CUSIP 808524607

945 institutional holders +74 vs Q3 2022
195,688,642195.7m shares reported held*
$8.0bnreported value*
87 new 383 added 317 reduced 49 sold out net bought ≈ $182.6m (+4.5m 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 ($51.7m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $40.64. Options: 4 managers hold calls ($1.8m notional), 2 hold puts ($267.4k).

Trends to Q4 2022

Institutional holders

Managers reporting a position, each quarter

05001kQ3 22: 871Q4 22: 945945Q3 22Q4 22
Numbers
QuarterHolders
Q3 2022871
Q4 2022945

Calls vs puts

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

CallsPuts
$0$500k$1m$1.5m$2mQ3 22 calls: $1.8mQ3 22 puts: $348.0kQ3 22P/C 0.20Q4 22 calls: $1.8mQ4 22 puts: $267.4kQ4 22P/C 0.15
Numbers
QuarterCallsPutsP/C
Q3 2022$1.8m$348.0k0.20
Q4 2022$1.8m$267.4k0.15

Biggest buyers

GOLDMAN SACHS GROUP INC Added +2,273,391+2.3m
Tradewinds Capital Management, LLC Added +669,179+669.2k
Charles Schwab Investment Advisory, Inc. Added +608,202+608.2k
PERSONAL CAPITAL ADVISORS CORP Added +505,277+505.3k
AMERIPRISE FINANCIAL INC Added +420,701+420.7k
Bogart Wealth, LLC Added +355,294+355.3k
CHARLES SCHWAB INVESTMENT MANAGEMENT INC Added +305,365+305.4k
US BANCORP \DE\ Added +293,846+293.8k
HighTower Advisors, LLC Added +269,126+269.1k
BANK OF AMERICA CORP /DE/ Added +237,593+237.6k

Biggest sellers

UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC Sold out -2,346,319-2.3m
MUFG Americas Holdings Corp Sold out -309,155-309.2k
SEI INVESTMENTS CO Reduced -277,314-277.3k
Johnson Financial Group, LLC Sold out -234,784-234.8k
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC Reduced -214,958-215.0k
Thrivent Financial for Lutherans Reduced -188,283-188.3k
WNY Asset Management, LLC Reduced -145,548-145.5k
Aspire Capital Advisors LLC Reduced -139,441-139.4k
JFG Wealth Management, LLC Sold out -137,614-137.6k
Savant Capital, LLC Reduced -107,049-107.0k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $964.1k23.8k shares
CITADEL ADVISORS LLC Added $875.0k21.6k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares
Cutler Group LLC / CA Added $01.7k shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $267.4k6.6k shares
Cutler Group LLC / CA Reduced $0100 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 2022

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Charles Schwab Investment Advisory, Inc. 5.04% of their portfolio SAN FRANCISCO, CA 73,765,11973.8m $3.0bn $3.0bn 5.04% Added +608.2k +608,202
2 PERSONAL CAPITAL ADVISORS CORP 2.07% of their portfolio Redwood City, CA 10,519,30210.5m $426.1m $426.1m 2.07% Added +505.3k +505,277
3 BANK OF AMERICA CORP /DE/ 0.04% of their portfolio CHARLOTTE, NC 8,721,4698.7m $353.3m $353.3m 0.04% Added +237.6k +237,593
4 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.10% of their portfolio SAN FRANCISCO, CA 7,554,4547.6m $306.0m $306.0m 0.10% Added +305.4k +305,365
5 SEI INVESTMENTS CO 0.67% of their portfolio OAKS, PA 7,398,1777.4m $299.7m $299.7m 0.67% Reduced -277.3k -277,314
6 ENVESTNET ASSET MANAGEMENT INC 0.07% of their portfolio Berwyn, PA 3,550,7323.6m $143.8m $143.8m 0.07% Added +93.6k +93,620
7 GOLDMAN SACHS GROUP INC 0.04% of their portfolio NEW YORK, NY 3,209,5233.2m $130.0m $130.0m 0.04% Added +2.3m +2,273,391
8 MERCER GLOBAL ADVISORS INC /ADV 0.62% of their portfolio DENVER, CO 3,060,1843.1m $124.0m $124.0m 0.62% Reduced -106.6k -106,575
9 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 1.56% of their portfolio PLYMOUTH, MN 2,782,5592.8m $121.6m $121.6m 1.56% Reduced -215.0k -214,958
10 Financial Engines Advisors L.L.C. 0.32% of their portfolio SANTA CLARA, CA 2,766,1822.8m $112.1m $112.1m 0.32% Added +175.9k +175,930
11 OSAIC HOLDINGS, INC. 0.18% of their portfolio SCOTTSDALE, AZ 2,198,4052.2m $89.1m $89.1m 0.18% Added +76.4k +76,411
12 HighTower Advisors, LLC 0.17% of their portfolio CHICAGO, IL 1,878,5641.9m $76.0m $76.0m 0.17% Added +269.1k +269,126
13 Advisory Alpha, LLC 5.34% of their portfolio HOLLAND, MI 1,861,0931.9m $75.4m $75.4m 5.34% Added +161.0k +161,019
14 Creative Planning 0.11% of their portfolio OVERLAND PARK, KS 1,796,7061.8m $72.8m $72.8m 0.11% Added +75.6k +75,607
15 UBS Group AG 0.03% of their portfolio ZURICH, V8 1,529,1101.5m $61.9m $61.9m 0.03% Reduced -2.1k -2,146
16 Mariner, LLC 0.20% of their portfolio Overland Park, KS 1,499,9521.5m $60.8m $60.8m 0.20% Added +78.7k +78,737
17 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 1,339,6421.3m $54.3m $54.3m 0.01% Reduced -15.4k -15,352
18 AJ WEALTH STRATEGIES, LLC 2.79% of their portfolio NEW YORK, NY 1,311,0331.3m $53.1m $53.1m 2.79% Reduced -16.0k -16,012
19 Marcum Wealth, LLC 6.95% of their portfolio CLEVELAND, OH 1,293,0661.3m $52.4m $52.4m 6.95% Added +46.3k +46,318
20 Savant Capital, LLC 1.18% of their portfolio ROCKFORD, IL 1,222,5221.2m $48.5m $48.5m 1.18% Reduced -107.0k -107,049
21 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.07% of their portfolio MILWAUKEE, WI 1,185,7581.2m $48.0m $48.0m 0.07% Added +46.1k +46,126
22 LPL Financial LLC 0.04% of their portfolio FORT MILL, SC 1,046,4091.0m $42.4m $42.4m 0.04% Added +58.8k +58,751
23 AMERIPRISE FINANCIAL INC 0.01% of their portfolio MINNEAPOLIS, MN 975,213975.2k $39.5m $39.5m 0.01% Added +420.7k +420,701
24 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.22% of their portfolio IRVING, TX 958,828958.8k $38.8m $38.8m 0.22% Reduced -16.8k -16,785
25 Financial Advisors, LLC 9.99% of their portfolio ANDOVER, MA 902,524902.5k $36.6m $36.6m 9.99% Added +24.7k +24,730
26 Gemmer Asset Management LLC 5.75% of their portfolio WALNUT CREEK, CA 896,439896.4k $36.3m $36.3m 5.75% Reduced -63.0k -62,969
27 Prime Capital Investment Advisors, LLC 1.20% of their portfolio OVERLAND PARK, KS 778,907778.9k $31.6m $31.6m 1.20% Added +38.8k +38,841
28 BerganKDV Wealth Management, LLC 3.31% of their portfolio BLOOMINGTON, MN 753,349753.3k $30.5m $30.5m 3.31% Added +208.0k +207,995
29 KLINGENSTEIN FIELDS & CO LP 1.52% of their portfolio NEW YORK, NY 720,579720.6k $29.2m $29.2m 1.52% Reduced -6.9k -6,912
30 Tradewinds Capital Management, LLC 12.73% of their portfolio BELLINGHAM, WA 674,955675.0k $27.3m $27.3m 12.73% Added +669.2k +669,179
31 RAINEY & RANDALL WEALTH ADVISORS INC. 9.51% of their portfolio Celebration, FL 667,293667.3k $27.0m $27.0m 9.51% Added +15.9k +15,874
32 Visionary Wealth Advisors 2.25% of their portfolio O'FALLON, IL 600,926600.9k $24.3m $24.3m 2.25% Reduced -17.0k -17,019
33 RKL Wealth Management LLC 3.21% of their portfolio LANCASTER, PA 593,095593.1k $24.0m $24.0m 3.21% Added +20.4k +20,430
34 Legacy Wealth Management, LLC 2.24% of their portfolio MEMPHIS, TN 577,334577.3k $23.4m $23.4m 2.24% Added +15.2k +15,206
35 HoyleCohen, LLC 2.30% of their portfolio SAN DIEGO, CA 570,753570.8k $23.1m $23.1m 2.30% Added +11.3k +11,267
36 American Trust 1.95% of their portfolio LEXINGTON, KY 514,008514.0k $21.0m $21.0m 1.95% Reduced -3.0k -2,969
37 New York Life Investment Management LLC 0.24% of their portfolio New York, NY 509,015509.0k $20.6m $20.6m 0.24% Added +35.6k +35,629
38 Corient Private Wealth LP 0.07% of their portfolio MIAMI, FL 508,671508.7k $20.6m $20.6m 0.07% First filing
39 Beacon Pointe Advisors, LLC 0.39% of their portfolio NEWPORT BEACH, CA 498,787498.8k $20.2m $20.2m 0.39% Reduced -51.4k -51,393
40 MERIDIAN MANAGEMENT CO 7.17% of their portfolio LITTLE ROCK, AR 484,468484.5k $19.6m $19.6m 7.17% Added +14.3k +14,291
41 Mokosak Advisory Group, LLC 8.46% of their portfolio URBANDALE, IA 466,674466.7k $18.9m $18.9m 8.46% Added +11.6k +11,571
42 1832 Asset Management L.P. 0.04% of their portfolio TORONTO, A6 455,810455.8k $18.5m $18.5m 0.04% Reduced -58.3k -58,330
43 Summit Financial Strategies, Inc. 3.80% of their portfolio Columbus, OH 436,122436.1k $17.7m $17.7m 3.80% Added +12.2k +12,189
44 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 405,643405.6k $16.4m $16.4m 0.01% Reduced -1.5k -1,481
45 MONEYWISE, INC. 11.94% of their portfolio FOREST, VA 394,148394.1k $16.0m $16.0m 11.94% Reduced -26.9k -26,874
46 MARSHALL FINANCIAL GROUP INC /ADV 6.76% of their portfolio DOYLESTOWN, PA 388,413388.4k $15.7m $15.7m 6.76% Added +17.4k +17,386
47 Bogart Wealth, LLC 1.09% of their portfolio MCLEAN, VA 386,101386.1k $15.6m $15.6m 1.09% Added +355.3k +355,294
48 BlueSky Wealth Advisors, LLC 3.16% of their portfolio New Bern, NC 352,939352.9k $14.3m $14.3m 3.16% Added +15.2k +15,214
49 JANICZEK WEALTH MANAGEMENT, LLC 4.21% of their portfolio DENVER, CO 346,150346.1k $14.9m $14.9m 4.21% Added +8.4k +8,417
50 FIDELIS iM, LLC 8.97% of their portfolio MEDFORD, OR 339,480339.5k $13.8m $13.8m 8.97% Added +9.6k +9,632
51 MONETA GROUP INVESTMENT ADVISORS LLC 0.41% of their portfolio ST LOUIS, MO 334,309334.3k $15.0m $15.0m 0.41% Added +20.0k +20,023
52 J.P. Morgan Private Wealth Advisors LLC 0.03% of their portfolio SAN FRANCISCO, CA 329,911329.9k $13.4m $13.4m 0.03% Added +11.5k +11,455
53 OneDigital Investment Advisors LLC 0.39% of their portfolio OVERLAND PARK, KS 327,785327.8k $13.3m $13.3m 0.39% Reduced -25.5k -25,461
54 CAPTRUST FINANCIAL ADVISORS 0.07% of their portfolio RALEIGH, NC 326,408326.4k $13.2m $13.2m 0.07% Reduced -84.9k -84,898
55 MML INVESTORS SERVICES, LLC 0.09% of their portfolio SPRINGFIELD, MA 324,706324.7k $13.2m $13.2m 0.09% Added +70.9k +70,911
56 Bangor Savings Bank 1.54% of their portfolio BANGOR, ME 318,435318.4k $12.9m $12.9m 1.54% Reduced -3.6k -3,582
57 Bouchey Financial Group, Ltd. 1.79% of their portfolio TROY, NY 306,593306.6k $12.4m $12.4m 1.79% Reduced -33.4k -33,376
58 US BANCORP \DE\ 0.02% of their portfolio MINNEAPOLIS, MN 305,989306.0k $12.4m $12.4m 0.02% Added +293.8k +293,846
59 Cambridge Investment Research Advisors, Inc. 0.06% of their portfolio FAIRFIELD, IA 305,274305.3k $12.4m $12.4m 0.06% Added +2.6k +2,643
60 Burt Wealth Advisors 4.10% of their portfolio North Bethesda, MD 302,405302.4k $12.3m $12.3m 4.10% Reduced -7.3k -7,258
61 Curi Wealth Management, LLC 1.68% of their portfolio Raleigh, NC 294,894294.9k $11.9m $11.9m 1.68% Added +39.2k +39,216
62 Strategic Financial Planning, Inc. 11.53% of their portfolio PLANO, TX 293,893293.9k $11.9m $11.9m 11.53% Reduced -2.9k -2,948
63 Waterford Advisors, LLC 6.68% of their portfolio ORCHARD PARK, NY 282,976283.0k $11.5m $11.5m 6.68% First filing
64 FIRST NATIONAL CORP /MA/ /ADV 2.83% of their portfolio ROCKLAND, MA 282,437282.4k $11.4m $11.4m 2.83% Added +6.3k +6,349
65 Integrated Wealth Concepts LLC 0.30% of their portfolio WALTHAM, MA 268,341268.3k $10.9m $10.9m 0.30% Added +169.1k +169,051
66 Revolve Wealth Partners, LLC 3.03% of their portfolio Hackensack, NJ 261,642261.6k $10.6m $10.6m 3.03% Reduced -14.8k -14,789
67 Clearwater Capital Advisors, LLC 1.38% of their portfolio HOFFMAN ESTATES, IL 260,901260.9k $10.6m $10.6m 1.38% Reduced -494 -494
68 Cerity Partners LLC 0.07% of their portfolio NEW YORK, NY 254,603254.6k $10.3m $10.3m 0.07% Added +19.5k +19,527
69 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 251,964252.0k $10.2m $10.2m 0.02% Reduced -18.3k -18,262
70 SAGE FINANCIAL GROUP INC 1.23% of their portfolio W. CONSHOHOCKEN, PA 248,871248.9k $10.1m $10.1m 1.23% Reduced -566 -566
71 Ascension Capital Advisors, Inc. 9.67% of their portfolio Houston, TX 246,970247.0k $10.0m $10.0m 9.67% Reduced -2.4k -2,372
72 HHM Wealth Advisors, LLC 2.27% of their portfolio CHATTANOOGA, TN 245,015245.0k $9.9m $9.9m 2.27% Added +13.4k +13,401
73 NORTHWEST INVESTMENT COUNSELORS, LLC 2.82% of their portfolio Lake Oswego, OR 240,879240.9k $9.8m $9.8m 2.82% Reduced -880 -880
74 Sequoia Financial Advisors, LLC 0.23% of their portfolio Akron, OH 233,952234.0k $9.5m $9.5m 0.23% Reduced -10.5k -10,511
75 IFP Advisors, Inc 0.46% of their portfolio TAMPA, FL 233,393233.4k $17.3m $17.3m 0.46% Added +66.5k +66,514
76 Alliance Wealth Management Group 3.42% of their portfolio FLEMINGTON, NJ 230,866230.9k $9.4m $9.4m 3.42% Reduced -468 -468
77 Towercrest Capital Management 2.07% of their portfolio NEWTOWN, PA 230,866230.9k $9.4m $9.4m 2.07% Reduced -468 -468
78 NORTH STAR ASSET MANAGEMENT INC 0.58% of their portfolio NEENAH, WI 230,569230.6k $9.3m $9.3m 0.58% Added +6.5k +6,451
79 AE Wealth Management LLC 0.07% of their portfolio TOPEKA, KS 229,540229.5k $9.3m $9.3m 0.07% Added +22.8k +22,761
80 Tradition Wealth Management, LLC 1.30% of their portfolio EDINA, MN 227,379227.4k $9.2m $9.2m 1.30% Added +2.7k +2,741
81 Buckingham Capital Management, Inc. 1.57% of their portfolio DAYTON, OH 222,182222.2k $9.0m $9.0m 1.57% Added +6.4k +6,444
82 Orgel Wealth Management, LLC 0.35% of their portfolio ALTOONA, WI 221,755221.8k $9.0m $9.0m 0.35% Added +8.0k +7,957
83 FDx Advisors, Inc. 0.39% of their portfolio BERWYN, PA 218,801218.8k $8.9m $8.9m 0.39% Added +4.7k +4,744
84 CoreCap Advisors, LLC 0.63% of their portfolio SOUTHFIELD, MI 216,664216.7k $8.8m $8.8m 0.63% Added +205.4k +205,369
85 TRUIST FINANCIAL CORP 0.02% of their portfolio CHARLOTTE, NC 216,395216.4k $8.8m $8.8m 0.02% Reduced -5.1k -5,068
86 Sweet Financial Partners, LLC 2.57% of their portfolio FAIRMONT, MN 215,806215.8k $8.7m $8.7m 2.57% Added +5.9k +5,895
87 PATRIOT INVESTMENT MANAGEMENT GROUP, INC. 0.83% of their portfolio KNOXVILLE, TN 214,705214.7k $9.5m $9.5m 0.83% Added +5.9k +5,931
88 BUCKINGHAM STRATEGIC WEALTH, LLC 0.15% of their portfolio CLAYTON, MO 209,638209.6k $8.5m $8.5m 0.15% Added +10.0k +10,032
89 JOHNSON INVESTMENT COUNSEL INC 0.11% of their portfolio Cincinnati, OH 205,440205.4k $8.3m $8.3m 0.11% Added +10.5k +10,484
90 Pacific Sage Partners, LLC 2.74% of their portfolio EDMONDS, WA 203,899203.9k $8.3m $8.3m 2.74% First filing
91 Asset Advisors Investment Management, LLC 1.09% of their portfolio AUGUSTA, GA 203,461203.5k $8.2m $8.2m 1.09% Reduced -40.8k -40,754
92 RIVERSEDGE ADVISORS, LLC 2.62% of their portfolio Wilmington, DE 199,873199.9k $8.1m $8.1m 2.62% Added +5.1k +5,113
93 SUMMIT WEALTH & RETIREMENT PLANNING, INC. 3.27% of their portfolio EAGLE, ID 198,577198.6k $8.0m $8.0m 3.27% Reduced -17.1k -17,110
94 Main Street Financial Solutions, LLC 1.25% of their portfolio NEWTOWN, PA 196,200196.2k $7.9m $7.9m 1.25% Added +4.3k +4,287
95 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.37% of their portfolio Seattle, WA 195,421195.4k $7.9m $7.9m 0.37% Reduced -1.1k -1,134
96 Berger Financial Group, Inc 1.04% of their portfolio PLYMOUTH, MN 194,810194.8k $7.9m $7.9m 1.04% Added +2.3k +2,319
97 ForthRight Wealth Management, LLC 4.04% of their portfolio ALPHARETTA, GA 194,771194.8k $7.9m $7.9m 4.04% Added +6.2k +6,235
98 St. Johns Investment Management Company, LLC 4.63% of their portfolio JACKSONVILLE, FL 191,468191.5k $7.8m $7.8m 4.63% Added +2.4k +2,438
99 APPLETON PARTNERS INC/MA 0.73% of their portfolio BOSTON, MA 189,977190.0k $7.7m $7.7m 0.73% Added +3.8k +3,801
100 IMA Advisory Services, Inc. 1.94% of their portfolio DENVER, CO 180,952181.0k $7.3m $7.3m 1.94% Added +5.7k +5,740