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Schwab U.S Small- Cap ETF

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.

New
Increased
Maintained
Reduced
Closed

775% more first-time investments, than exits

New positions opened: 35 | Existing positions closed: 4

56% more funds holding in top 10

Funds holding in top 10: 914 (+5)

53% more capital invested

Capital invested by funds: $246M → $376M (+$130M)

40% more repeat investments, than reductions

Existing positions increased: 49 | Existing positions reduced: 35

30% more funds holding

Funds holding: 105136 (+31)

18.17% more ownership

Funds ownership: 63.36%81.53% (+18%)

59% less call options, than puts

Call options by funds: $693K | Put options by funds: $1.68M

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
Name Holding Trade Value Shares
Change
Change in
Stake
CSIA
1
Charles Schwab Investment Advisory
California
$70.1M -$60.9K -4,844 -0.1%
SMG
2
Spectrum Management Group
Indiana
$35.5M +$33.9M +2,701,760 New
HSA
3
HBK Sorce Advisory
Pennsylvania
$31.7M -$889K -70,724 -3%
KFA
4
Kays Financial Advisory
Georgia
$24.1M +$23M +1,833,492 New
WCWM
5
Wooster Corthell Wealth Management
Connecticut
$19.3M +$2.15M +170,972 +13%
FMP
6
Financial Management Professionals
Texas
$19.3M -$431K -34,268 -2%
PP
7
Pension Partners
New York
$12.4M +$11.9M +944,792 New
Charles Schwab
8
Charles Schwab
California
$10.7M +$2.25M +178,860 +28%
Susquehanna International Group
9
Susquehanna International Group
Pennsylvania
$9.49M +$7.01M +557,924 +338%
MM
10
Meridian Management
Arkansas
$9.22M -$170K -13,556 -2%
PMG
11
ProVise Management Group
Florida
$6.53M -$1.38M -109,892 -18%
Citigroup
12
Citigroup
New York
$5.25M -$854 -68 -0%
AWM
13
Avior Wealth Management
Nebraska
$5.17M +$4.95M +394,292 New
BFG
14
Bouchey Financial Group
New York
$4.46M +$4.19M +333,836 New
AA
15
Apriem Advisors
California
$4.21M +$170K +13,568 +4%
WCM
16
Wisconsin Capital Management
Wisconsin
$4.1M -$732K -58,220 -16%
PFG
17
Piershale Financial Group
Illinois
$3.76M -$1.08M -85,584 -23%
Commonwealth Equity Services
18
Commonwealth Equity Services
Massachusetts
$3.73M -$2.85M -227,020 -44%
UCFA
19
United Capital Financial Advisors
Texas
$3.71M +$1.17M +92,948 +49%
BIT
20
BlackRock Institutional Trust
California
$3.52M +$2.27M +180,400 +205%
NIC
21
Northwest Investment Counselors
Oregon
$3.47M +$347K +27,640 +12%
AP
22
Advisors Preferred
Maryland
$3.41M +$3.27M +259,852 New
MAM
23
Marquette Asset Management
Minnesota
$3.35M +$85.7K +6,824 +3%
Envestnet Asset Management
24
Envestnet Asset Management
Illinois
$3.26M +$605K +48,164 +24%
Royal Bank of Canada
25
Royal Bank of Canada
Ontario, Canada
$3.17M -$472K -37,564 -13%

SCHA Hedge Fund Activity: Q4 2013 in Review

136 of the 3,445 institutional investors tracked by Wall St. Rank reported a position in Schwab U.S Small- Cap ETF (SCHA) for Q4 2013, worth a combined $376M — up 53% from $246M a quarter earlier.

Buyers outnumbered sellers: 35 funds opened new SCHA positions and 4 closed out — a net gain of 31 holders — while 49 added to existing stakes and 35 trimmed.

The largest buyer was Susquehanna International Group, adding an estimated $7.01M. The largest seller was Goldman Sachs, cutting an estimated $5.3M.

  • 136 institutional investors held Schwab U.S Small- Cap ETF (SCHA) as of Q4 2013, up from 105 in Q3 2013.
  • Funds reported $376M of Schwab U.S Small- Cap ETF stock for Q4 2013, up 53% quarter-over-quarter.
  • 35 funds opened new Schwab U.S Small- Cap ETF positions in Q4 2013 and 4 closed out, a net change of +31 holders.
  • The largest Schwab U.S Small- Cap ETF buyer in Q4 2013 was Susquehanna International Group, an estimated $7.01M added.
  • The largest Schwab U.S Small- Cap ETF seller in Q4 2013 was Goldman Sachs, an estimated $5.3M sold.

Based on aggregated 13F filings for Q4 2013.