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Schwab U.S Small- Cap ETF
SCHA

227 hedge funds and large institutions have $762M invested in Schwab U.S Small- Cap ETF in 2015 Q4 according to their latest regulatory filings, with 35 funds opening new positions, 119 increasing their positions, 57 reducing their positions, and 22 closing their positions.

New
Increased
Maintained
Reduced
Closed

109% more repeat investments, than reductions

Existing positions increased: 119 | Existing positions reduced: 57

59% more first-time investments, than exits

New positions opened: 35 | Existing positions closed: 22

15% more capital invested

Capital invested by funds: $661M → $762M (+$101M)

6.72% more ownership

Funds ownership: 94.13% → 100.85% (+6.7%)

5% more funds holding

Funds holding: 217 → 227 (+10)

0% more funds holding in top 10

Funds holding in top 10: 25 → 25 (0)

33% less call options, than puts

Call options by funds: $285K | Put options by funds: $427K

Holders
227
Holders Change
+10
Holders Change %
+4.61%
% of All Funds
5.95%
Holding in Top 10
25
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.66%
New
35
Increased
119
Reduced
57
Closed
22
Calls
$285K
Puts
$427K
Net Calls
-$142K
Net Calls Change
-$1.49M

Top Buyers

1
CSIA
Charles Schwab Investment Advisory
California
+$44.5M
2
BO
BRR OpCo
Ohio
+$12.2M
3
Allianz Asset Management
Allianz Asset Management
Germany
+$9.77M
4
CCM
CWH Capital Management
Washington
+$5.22M
5
Wealth Enhancement Advisory Services
Wealth Enhancement Advisory Services
Minnesota
+$5.02M

Top Sellers

1
FMP
Financial Management Professionals
Texas
-$17.9M
2
PFG
Piershale Financial Group
Illinois
-$14.8M
3
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$8.3M
4
Mariner
Mariner
Kansas
-$5.11M
5
SHJ
Sharkey, Howes & Javer
Colorado
-$4.62M
Name Holding Trade Value Shares
Change 		Change in
Stake
TIA
151
Tiemann Investment Advisors
California
$330K -$10.7K -800 -3%
BL
152
BCWM LLC
Kansas
$327K +$12.1K +908 +4%
HIC
153
Holderness Investments Company
North Carolina
$326K -$513K -38,472 -61%
FAAS
154
First Allied Advisory Services
California
$322K -$699K -52,400 -68%
FWM
155
Focused Wealth Management
New York
$310K +$318K +23,796 New
TCM
156
Tuttle Capital Management
Connecticut
$301K +$309K +23,144 New
SA
157
Strategic Advisors
New York
$300K -$36K -2,696 -10%
HR
158
Howe & Rusling
New York
$299K +$12.6K +944 +4%
S
159
SignatureFD
Georgia
$289K +$1.81K +136 +0.6%
AIM
160
Aspen Investment Management
Michigan
$288K +$18.7K +1,400 +7%
RPA
161
Rock Point Advisors
Vermont
$286K +$65.8K +4,928 +29%
BCM
162
Boltwood Capital Management
California
$282K +$289K +21,672 New
CAN
163
Cetera Advisor Networks
California
$276K +$19.6K +1,468 +7%
Bank of New York Mellon
164
Bank of New York Mellon
New York
$276K +$49.3K +3,696 +21%
CIC
165
Carnegie Investment Counsel
Ohio
$266K -$14.7K -1,104 -5%
PO
166
Private Ocean
California
$264K +$107 +8 +0%
SIC
167
Sigma Investment Counselors
Michigan
$262K +$33.4K +2,504 +14%
AIA
168
Allegis Investment Advisors
Idaho
$258K +$265K +19,844 New
OC
169
Oarsman Capital
Wisconsin
$254K +$12.2K +912 +5%
AWMG
170
Alliance Wealth Management Group
New Jersey
$249K +$255K +19,096 New
GC
171
Garde Capital
Washington
$248K +$214 +16 +0.1%
AA
172
Apriem Advisors
California
$248K +$28K +2,100 +12%
HFS
173
HL Financial Services
Kentucky
$231K – – –
PWM
174
Perigon Wealth Management
California
$230K -$13K -972 -5%
BAM
175
Barrett Asset Management
New York
$221K +$12.2K +916 +6%
5 6
7
8 9

SCHA Hedge Fund Activity: Q4 2015 in Review

227 of the 3,812 institutional investors tracked by Wall St. Rank reported a position in Schwab U.S Small- Cap ETF (SCHA) for Q4 2015, worth a combined $762M — up 15% from $661M a quarter earlier.

Buyers outnumbered sellers: 35 funds opened new SCHA positions and 22 closed out — a net gain of 13 holders — while 119 added to existing stakes and 57 trimmed.

The largest buyer was Charles Schwab Investment Advisory, adding an estimated $44.5M. The largest seller was Financial Management Professionals, cutting an estimated $17.9M.

  • 227 institutional investors held Schwab U.S Small- Cap ETF (SCHA) as of Q4 2015, up from 217 in Q3 2015.
  • Funds reported $762M of Schwab U.S Small- Cap ETF stock for Q4 2015, up 15% quarter-over-quarter.
  • 35 funds opened new Schwab U.S Small- Cap ETF positions in Q4 2015 and 22 closed out, a net change of +13 holders.
  • The largest Schwab U.S Small- Cap ETF buyer in Q4 2015 was Charles Schwab Investment Advisory, an estimated $44.5M added.
  • The largest Schwab U.S Small- Cap ETF seller in Q4 2015 was Financial Management Professionals, an estimated $17.9M sold.

Based on aggregated 13F filings for Q4 2015.