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Vanguard Small-Cap ETF

368 hedge funds and large institutions have $3.35B invested in Vanguard Small-Cap ETF in 2013 Q4 according to their latest regulatory filings, with 78 funds opening new positions, 134 increasing their positions, 94 reducing their positions, and 19 closing their positions.

New
Increased
Maintained
Reduced
Closed

311% more first-time investments, than exits

New positions opened: 78 | Existing positions closed: 19

43% more repeat investments, than reductions

Existing positions increased: 134 | Existing positions reduced: 94

17% more funds holding

Funds holding: 314368 (+54)

4% more funds holding in top 10

Funds holding in top 10: 2829 (+1)

1% less capital invested

Capital invested by funds: $3.39B → $3.35B (-$41.4M)

3.72% less ownership

Funds ownership: 43.71%39.99% (-3.7%)

20% less call options, than puts

Call options by funds: $671K | Put options by funds: $836K

Holders
368
Holders Change
+54
Holders Change %
+17.2%
% of All Funds
10.68%
Holding in Top 10
29
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+3.57%
% of All Funds
0.84%
New
78
Increased
134
Reduced
94
Closed
19
Calls
$671K
Puts
$836K
Net Calls
-$165K
Net Calls Change
+$5.53M
Name Holding Trade Value Shares
Change
Change in
Stake
Bank of America
1
Bank of America
North Carolina
$428M -$2.75M -25,797 -0.7%
Wells Fargo
2
Wells Fargo
California
$289M +$14.5M +136,394 +5%
Morgan Stanley
3
Morgan Stanley
New York
$261M -$151M -1,417,964 -37%
U
4
UBS
Switzerland
$173M +$20.7M +194,101 +14%
Creative Planning
5
Creative Planning
Kansas
$139M +$15M +140,736 +12%
TCT
6
TIAA CREF Trust
Missouri
$118M +$4.81M +45,184 +4%
PNC Financial Services Group
7
PNC Financial Services Group
Pennsylvania
$118M +$3.09M +29,041 +3%
Bank of Montreal
8
Bank of Montreal
Ontario, Canada
$86.1M -$915K -8,602 -1%
WCM
9
Windham Capital Management
Massachusetts
$84.3M +$39.9M +375,092 +96%
LPL Financial
10
LPL Financial
California
$76.7M +$8.36M +78,519 +13%
Goldman Sachs
11
Goldman Sachs
New York
$69.1M +$25.3M +238,011 +61%
CNB
12
City National Bank
California
$64.1M +$1.01M +9,449 +2%
Envestnet Asset Management
13
Envestnet Asset Management
Illinois
$54.8M +$5.44M +51,151 +11%
BTS
14
BB&T Securities
Virginia
$49.8M +$151K +1,422 +3%
AUIM
15
Aegon USA Investment Management
Iowa
$48.8M +$701K +6,583 +2%
Bessemer Group
16
Bessemer Group
New Jersey
$44M
VCP
17
Vista Capital Partners
Oregon
$40.3M -$1.24M -11,688 -3%
AA
18
ALPS Advisors
Colorado
$37.3M -$638K -5,995 -2%
KIM
19
Karpus Investment Management
New York
$36.1M +$472K +4,436 +1%
Fifth Third Bancorp
20
Fifth Third Bancorp
Ohio
$34M +$3.58M +33,615 +12%
HSBC Holdings
21
HSBC Holdings
United Kingdom
$33.1M +$313K +2,945 +1%
QLMGAA
22
QS Legg Mason Global Asset Allocation
New York
$30.6M +$5.39M +50,623 +22%
Bank of New York Mellon
23
Bank of New York Mellon
New York
$27.1M +$1.88M +17,625 +8%
IAS
24
INR Advisory Services
Pennsylvania
$22.7M +$766K +7,194 +4%
Nomura Asset Management
25
Nomura Asset Management
Japan
$22.4M +$4.06M +38,190 +23%

VB Hedge Fund Activity: Q4 2013 in Review

368 of the 3,445 institutional investors tracked by Wall St. Rank reported a position in Vanguard Small-Cap ETF (VB) for Q4 2013, worth a combined $3.35B — down 1.2% from $3.39B a quarter earlier.

Buyers outnumbered sellers: 78 funds opened new VB positions and 19 closed out — a net gain of 59 holders — while 134 added to existing stakes and 94 trimmed.

The largest buyer was Windham Capital Management, adding an estimated $39.9M. The largest seller was Fidelity Investments, cutting an estimated $203M.

  • 368 institutional investors held Vanguard Small-Cap ETF (VB) as of Q4 2013, up from 314 in Q3 2013.
  • Funds reported $3.35B of Vanguard Small-Cap ETF stock for Q4 2013, down 1.2% quarter-over-quarter.
  • 78 funds opened new Vanguard Small-Cap ETF positions in Q4 2013 and 19 closed out, a net change of +59 holders.
  • The largest Vanguard Small-Cap ETF buyer in Q4 2013 was Windham Capital Management, an estimated $39.9M added.
  • The largest Vanguard Small-Cap ETF seller in Q4 2013 was Fidelity Investments, an estimated $203M sold.

Based on aggregated 13F filings for Q4 2013.