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Schwab U.S Small- Cap ETF
SCHA

105 hedge funds and large institutions have $246M invested in Schwab U.S Small- Cap ETF in 2013 Q3 according to their latest regulatory filings, with 16 funds opening new positions, 56 increasing their positions, 19 reducing their positions, and 7 closing their positions.

New
Increased
Maintained
Reduced
Closed

195% more repeat investments, than reductions

Existing positions increased: 56 | Existing positions reduced: 19

129% more first-time investments, than exits

New positions opened: 16 | Existing positions closed: 7

29% more funds holding in top 10

Funds holding in top 10: 7 → 9 (+2)

9% more funds holding

Funds holding: 96 → 105 (+9)

5% more capital invested

Capital invested by funds: $235M → $246M (+$11.8M)

15% less ownership

Funds ownership: 78.36% → 63.36% (-15%)

45% less call options, than puts

Call options by funds: $796K | Put options by funds: $1.45M

Holders
105
Holders Change
+9
Holders Change %
+9.38%
% of All Funds
3.4%
Holding in Top 10
9
Holding in Top 10 Change
+2
Holding in Top 10 Change %
+28.57%
% of All Funds
0.29%
New
16
Increased
56
Reduced
19
Closed
7
Calls
$796K
Puts
$1.45M
Net Calls
-$655K
Net Calls Change
-$1.19M

Top Buyers

1
Goldman Sachs
Goldman Sachs
New York
+$5.64M
2
PMG
ProVise Management Group
Florida
+$5.47M
3
Commonwealth Equity Services
Commonwealth Equity Services
Massachusetts
+$5.03M
4
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
+$3.24M
5
Charles Schwab
Charles Schwab
California
+$2.92M

Top Sellers

1
HSA
HBK Sorce Advisory
Pennsylvania
-$29.4M
2
Rafferty Asset Management
Rafferty Asset Management
New York
-$11M
3
PA
Planning Alternatives
Michigan
-$8.96M
4
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$798K
5
SWA
SFMG Wealth Advisors
Texas
-$649K
Name Holding Trade Value Shares
Change 		Change in
Stake
BAM
76
Barrett Asset Management
New York
$181K – – –
Deutsche Bank
77
Deutsche Bank
Germany
$174K – – –
HR
78
Howe & Rusling
New York
$145K – – –
GT
79
Glenmede Trust
Pennsylvania
$144K +$141K +12,000 New
FNBT
80
FineMark National Bank & Trust
Florida
$113K +$12.2K +1,040 +13%
CDIA
81
Capital Directions Investment Advisors
Georgia
$108K – – –
WA
82
WFG Advisors
Texas
$106K +$282 +24 +0.3%
AIG
83
American International Group
New York
$85.3K +$83.1K +7,076 New
PNC Financial Services Group
84
PNC Financial Services Group
Pennsylvania
$84K +$36.2K +3,080 +80%
TIM
85
Tortoise Investment Management
New York
$77K +$11K +940 +17%
MCM
86
Manchester Capital Management
Vermont
$45K – – –
S
87
SignatureFD
Georgia
$44K +$37.4K +3,180 +631%
Wells Fargo
88
Wells Fargo
California
$37K +$23.1K +1,964 +173%
Northwestern Mutual Wealth Management
89
Northwestern Mutual Wealth Management
Wisconsin
$20K +$19.6K +1,672 New
VCM
90
Vigilant Capital Management
Maine
$19K – – –
PMFA
91
Plante Moran Financial Advisors
Michigan
$19K +$18.8K +1,600 New
BC
92
Bartlett & Co
Ohio
$18K – – –
KTC
93
Kistler-Tiffany Companies
Pennsylvania
$15K +$14.8K +1,260 New
JIC
94
Joel Isaacson & Co
New York
$14K – – –
EK
95
Evensky & Katz
Florida
$12K +$893 +76 +8%
Creative Planning
96
Creative Planning
Kansas
$10K +$9.4K +800 New
CFS
97
Community Financial System
New York
$9K – – –
TSW
98
Thompson Siegel & Walmsley
Virginia
$9K – – –
MFS
99
MSI Financial Services
Massachusetts
$7K +$4.7K +400 +189%
NES
100
New England Securities
New York
$6K -$1.18K -100 -17%
1 2 3
4
5

SCHA Hedge Fund Activity: Q3 2013 in Review

105 of the 3,084 institutional investors tracked by Wall St. Rank reported a position in Schwab U.S Small- Cap ETF (SCHA) for Q3 2013, worth a combined $246M — up 5% from $235M a quarter earlier.

Buyers outnumbered sellers: 16 funds opened new SCHA positions and 7 closed out — a net gain of 9 holders — while 56 added to existing stakes and 19 trimmed.

The largest buyer was Goldman Sachs, adding an estimated $5.64M. The largest seller was HBK Sorce Advisory, cutting an estimated $29.4M.

  • 105 institutional investors held Schwab U.S Small- Cap ETF (SCHA) as of Q3 2013, up from 96 in Q2 2013.
  • Funds reported $246M of Schwab U.S Small- Cap ETF stock for Q3 2013, up 5% quarter-over-quarter.
  • 16 funds opened new Schwab U.S Small- Cap ETF positions in Q3 2013 and 7 closed out, a net change of +9 holders.
  • The largest Schwab U.S Small- Cap ETF buyer in Q3 2013 was Goldman Sachs, an estimated $5.64M added.
  • The largest Schwab U.S Small- Cap ETF seller in Q3 2013 was HBK Sorce Advisory, an estimated $29.4M sold.

Based on aggregated 13F filings for Q3 2013.