Dark
Light
System
Security
SCHWAB U.S. SMALL-CAP ETF
SCHWAB U.S. SMALL-CAP ETF. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 158 Institutional holders with a total value of $338,515,393.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Charles Schwab Investment Advisory, Inc. 1,427,996 78,268,000 23.12%
2 HBK Sorce Advisory LLC 502,475 27,541,000 8.14%
3 WOOSTER CORTHELL WEALTH MANAGEMENT, INC. 390,140 21,384,000 6.32%
4 KAYS FINANCIAL ADVISORY CORP /ADV 304,459 16,688,000 4.93%
5 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 263,401 14,438,000 4.27%
6 Spectrum Management Group, LLC 249,073 13,652,000 4.03%
7 MERIDIAN MANAGEMENT CO 130,736 7,166,000 2.12%
8 SVA Wealth Management, LLC 128,144 7,024,000 2.07%
9 AMERIPRISE FINANCIAL INC 125,602 6,867,000 2.03%
10 Bouchey Financial Group Ltd 96,567 5,293,000 1.56%
11 Avior Wealth Management, LLC 96,363 5,282,000 1.56%
12 Vigilant Capital Management, LLC 90,415 4,956,000 1.46%
13 Madden Advisory Services, Inc. 83,300 4,566,000 1.35%
14 Gemmer Asset Management LLC 80,542 4,415,000 1.30%
15 WELLS FARGO & COMPANY/MN 80,165 4,394,000 1.30%
16 NORTHWEST INVESTMENT COUNSELORS, LLC 78,247 4,289,000 1.27%
17 WISCONSIN CAPITAL MANAGEMENT LLC 77,150 4,229,000 1.25%
18 Newman Dignan & Sheerar, Inc. 73,130 4,008,000 1.18%
19 Marquette Asset Management, LLC 71,763 3,933,000 1.16%
20 UNITED CAPITAL FINANCIAL ADVISORS, LLC 67,034 3,674,000 1.09%
21 SG Americas Securities, LLC 65,673 3,600,000 1.06%
22 CAHILL FINANCIAL ADVISORS INC 57,234 3,138,000 0.93%
23 NATIONAL PLANNING CORP 52,027 2,852,000 0.84%
24 Tradewinds Capital Management, LLC 51,669 2,832,000 0.84%
25 CITIGROUP INC 50,415 2,763,000 0.82%
26 Gateway Advisory, LLC 50,371 2,761,000 0.82%
27 Parsec Financial Management, Inc. 46,240 2,534,000 0.75%
28 Courage Miller Partners, LLC 44,281 2,427,000 0.72%
29 Bangor Savings Bank 42,457 2,327,000 0.69%
30 COBBLESTONE CAPITAL ADVISORS LLC /NY/ 39,895 2,187,000 0.65%
31 MARINER INDEPENDENT ADVISOR NETWORK, LLC 39,737 2,177,985 0.64%
32 Cambridge Investment Research Advisors, Inc. 38,289 2,099,000 0.62%
33 Brouwer & Janachowski, LLC 37,216 2,040,000 0.60%
34 ENVESTNET ASSET MANAGEMENT INC 36,676 2,010,000 0.59%
35 HARTLINE INVESTMENT CORP/ 35,558 1,949,000 0.58%
36 LPL Financial LLC 32,916 1,804,000 0.53%
37 One Capital Management, LLC 32,444 1,778,000 0.53%
38 Friedenthal Financial 32,427 1,777,000 0.52%
39 UBS AG 31,463 1,724,000 0.51%
40 SALEM INVESTMENT COUNSELORS INC 30,988 1,698,000 0.50%
41 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 30,417 1,667,000 0.49%
42 ProVise Management Group, LLC 29,812 1,634,000 0.48%
43 CWH Capital Management, Inc. 29,411 1,612,000 0.48%
44 CONDOR CAPITAL MANAGEMENT 27,539 1,509,000 0.45%
45 PLANNING ALTERNATIVES LTD /ADV 27,474 1,506,000 0.44%
46 Tuttle Capital Management, LLC 26,430 1,457,000 0.43%
47 Atria Investments, Inc 25,631 1,405,000 0.42%
48 SUSQUEHANNA INTERNATIONAL GROUP, LLP 25,100 1,376,000 0.41% Call
49 MORGAN STANLEY 22,930 1,257,000 0.37%
50 JMG Financial Group, Ltd. 21,824 1,196,000 0.35%
Page 1 of 4

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.