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Schwab U.S Small- Cap ETF
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Overview Fund Activity

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.

Holders
105
Holders Change
+9
Holders Change %
+9.38%
% of All Funds
3.41%
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
1
Goldman Sachs
New York
$6.17M
2
PMG
2
ProVise Management Group
Florida
$7.32M
3
Commonwealth Equity Services
3
Commonwealth Equity Services
Massachusetts
$6.17M
4
Royal Bank of Canada
4
Royal Bank of Canada
Ontario, Canada
$3.36M
5
Charles Schwab
5
Charles Schwab
California
$7.75M

Top Sellers

1
HSA
1
HBK Sorce Advisory
Pennsylvania
$30M
2
Rafferty Asset Management
2
Rafferty Asset Management
New York
$0
3
PA
3
Planning Alternatives
Michigan
$1.07M
4
Susquehanna International Group
4
Susquehanna International Group
Pennsylvania
$1.99M
5
SWA
5
SFMG Wealth Advisors
Texas
$0
Name Market Value Shares Shares
Change 		Shares
Change %
CSIA
1
Charles Schwab Investment Advisory
California
$64.4M 1,336,502 +843 +0.1%
HSA
2
HBK Sorce Advisory
Pennsylvania
$30M 621,926 -625,154 -50%
FMP
3
Financial Management Professionals
Texas
$18.1M 375,730 +1,359 +0.4%
WCWM
4
Wooster Corthell Wealth Management
Connecticut
$15.7M 325,226 -6,878 -2%
MM
5
Meridian Management
Arkansas
$8.63M 178,979 +85 +0%
Charles Schwab
6
Charles Schwab
California
$7.75M 158,745 +62,233 +64%
PMG
7
ProVise Management Group
Florida
$7.32M 151,875 +116,381 +328%
Goldman Sachs
8
Goldman Sachs
New York
$6.17M 127,929 +120,000 +1,513%
Commonwealth Equity Services
9
Commonwealth Equity Services
Massachusetts
$6.17M 127,885 +106,992 +512%
Citigroup
10
Citigroup
New York
$4.82M 100,017 +50,017 +100%
PFG
11
Piershale Financial Group
Illinois
$4.49M 93,051 -6,411 -6%
WCM
12
Wisconsin Capital Management
Wisconsin
$4.46M 92,565 -11,940 -11%
NDSI
13
Newman Dignan & Sheerar Inc
Rhode Island
$3.76M 77,911 +407 +0.5%
AA
14
Apriem Advisors
California
$3.7M 76,720 +29,915 +64%
Royal Bank of Canada
15
Royal Bank of Canada
Ontario, Canada
$3.36M 69,674 +68,852 +8,376%
MAM
16
Marquette Asset Management
Minnesota
$3M 62,126 +33,537 +117%
NIC
17
Northwest Investment Counselors
Oregon
$2.86M 59,214 +18,900 +47%
Envestnet Asset Management
18
Envestnet Asset Management
Illinois
$2.42M 50,084 -4,623 -8%
AI
19
Atria Investments
North Carolina
$2.39M 49,454 -2,536 -5%
UCFA
20
United Capital Financial Advisors
Texas
$2.29M 47,474 +2,769 +6%
FAAS
21
First Allied Advisory Services
California
$2.13M 44,080 +44,080 New
NPC
22
National Planning Corporation
California
$2.09M 42,881 -2,649 -6%
PFM
23
Parsec Financial Management
North Carolina
$2.06M 42,782 +37,932 +782%
GA
24
Gateway Advisory
New Jersey
$2.05M 42,499 -144 -0.3%
Susquehanna International Group
25
Susquehanna International Group
Pennsylvania
$1.99M 41,256 -16,989 -29%
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