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Schwab U.S Small- Cap ETF
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Overview Fund Activity

136 hedge funds and large institutions have $376M invested in Schwab U.S Small- Cap ETF in 2013 Q4 according to their latest regulatory filings, with 35 funds opening new positions, 49 increasing their positions, 35 reducing their positions, and 4 closing their positions.

Holders
136
Holders Change
+31
Holders Change %
+29.52%
% of All Funds
3.95%
Holding in Top 10
14
Holding in Top 10 Change
+5
Holding in Top 10 Change %
+55.56%
% of All Funds
0.41%
New
35
Increased
49
Reduced
35
Closed
4
Calls
$693K
Puts
$1.68M
Net Calls
-$982K
Net Calls Change
-$327K

Top Buyers

1
Susquehanna International Group
1
Susquehanna International Group
Pennsylvania
$9.49M
2
BIT
2
BlackRock Institutional Trust
California
$3.52M
3
Charles Schwab
3
Charles Schwab
California
$10.7M
4
WCWM
4
Wooster Corthell Wealth Management
Connecticut
$19.3M
5
HIC
5
Hartline Investment Corp
Illinois
$2.92M

Top Sellers

1
Goldman Sachs
1
Goldman Sachs
New York
$1.18M
2
Commonwealth Equity Services
2
Commonwealth Equity Services
Massachusetts
$3.73M
3
PMG
3
ProVise Management Group
Florida
$6.53M
4
FAAS
4
First Allied Advisory Services
California
$875K
5
PFG
5
Piershale Financial Group
Illinois
$3.76M
Name Holding Trade Value Shares
Change 		Shares
Change %
Deutsche Bank
101
Deutsche Bank
Germany
$190K – – –
TIM
102
Tortoise Investment Management
New York
$160K +$76.6K +5,836 +92%
AIG
103
American International Group
New York
$148K +$55.1K +4,200 +59%
CDIA
104
Capital Directions Investment Advisors
Georgia
$109K -$8.57K -652 -7%
Invesco
105
Invesco
Georgia
$105K +$105K +8,000 New
VCM
106
Vigilant Capital Management
Maine
$102K +$81.7K +6,200 +403%
FNBT
107
FineMark National Bank & Trust
Florida
$100K -$22.4K -1,708 -18%
LWM
108
LBA Wealth Management
Florida
$100K +$100K +7,600 New
PNC Financial Services Group
109
PNC Financial Services Group
Pennsylvania
$99K +$8.36K +640 +9%
WA
110
WFG Advisors
Texas
$88K -$28.4K -2,152 -24%
S
111
SignatureFD
Georgia
$59K +$10.5K +796 +22%
WEC
112
Winslow Evans & Crocker
Massachusetts
$54K +$54K +4,140 New
MCM
113
Manchester Capital Management
Vermont
$48K – – –
BC
114
Bartlett & Co
Ohio
$27K +$7.42K +568 +38%
Northwestern Mutual Wealth Management
115
Northwestern Mutual Wealth Management
Wisconsin
$22K – – –
PO
116
Private Ocean
California
$22K +$22K +1,668 New
PMFA
117
Plante Moran Financial Advisors
Michigan
$21K – – –
KTC
118
Kistler-Tiffany Companies
Pennsylvania
$17K – – –
JIC
119
Joel Isaacson & Co
New York
$16K – – –
SMU
120
Signet Management USA
Virginia
$16K +$16K +1,208 New
EK
121
Evensky & Katz
Florida
$14K +$750 +60 +6%
Creative Planning
122
Creative Planning
Kansas
$11K – – –
TSW
123
Thompson Siegel & Walmsley
Virginia
$10K – – –
TWA
124
TCI Wealth Advisors
Arizona
$6K – – –
EWM
125
Edge Wealth Management
New York
$6K – – –
2 3 4
5
6