USCA RIA’s IndexIQ ETF Trust IQ U.S. Small Cap ETF CSML Stock Holding History

USCA RIA’s Portfolio CSML Stock Details CSML Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2019 Q1	–	Sell	-100,314	Closed	-$2.24M	–	465
2018 Q4	$2.24M	Sell	100,314 -25,193	-20%	-$630K	0.3%	113
2018 Q3	$3.55M	Sell	125,507 -15,548	-11%	-$451K	0.36%	81
2018 Q2	$4.04M	Buy	141,055 +3,326	+2%	+$94.1K	0.43%	63
2018 Q1	$3.76M	Buy	+137,729	New	+$3.89M	0.41%	67

Other funds holding CSML

NYLIM

New York Life Investment Management New York $11.8B AUM 23.45% 1-Year Est. Return

Commonwealth Equity Services Waltham, Massachusetts $71.6B AUM 21.08% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

RJA

Raymond James & Associates St Petersburg, Florida $164B AUM 33.91% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return

Stifel Financial St. Louis, Missouri $109B AUM 21.36% 1-Year Est. Return

RJFSA

Raymond James Financial Services Advisors St. Petersburg, Florida $75.1B AUM 31.89% 1-Year Est. Return

USCA RIA's CSML Position: Q1 2019 in Review

USCA RIA sold out of IndexIQ ETF Trust IQ U.S. Small Cap ETF (CSML) in Q1 2019, closing a stake of 100,314 shares — an estimated $2.24M sold.

USCA RIA first reported a position in CSML in Q1 2018 and held it in 4 quarters. The position peaked at $4.04M in Q2 2018. 37 funds tracked by Wall St. Rank hold CSML as of Q1 2019.

USCA RIA reported no remaining IndexIQ ETF Trust IQ U.S. Small Cap ETF position as of Q1 2019 after selling out during the quarter.
USCA RIA sold 100,314 IndexIQ ETF Trust IQ U.S. Small Cap ETF shares in Q1 2019, an estimated $2.24M.
USCA RIA first reported a position in IndexIQ ETF Trust IQ U.S. Small Cap ETF in Q1 2018 and held it in 4 quarters.
USCA RIA's IndexIQ ETF Trust IQ U.S. Small Cap ETF position peaked at $4.04M in Q2 2018.
37 funds tracked by Wall St. Rank held IndexIQ ETF Trust IQ U.S. Small Cap ETF as of Q1 2019.

Based on USCA RIA's 13F filing for Q1 2019, filed 13 May 2019.