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SCHWAB U.S. SMALL-CAP ETF
SCHWAB U.S. SMALL-CAP ETF. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 159 Institutional holders with a total value of $328,243,966.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Charles Schwab Investment Advisory, Inc. 1,491,482 76,662,000 23.36%
2 HBK Sorce Advisory LLC 499,821 25,691,000 7.83%
3 WOOSTER CORTHELL WEALTH MANAGEMENT, INC. 395,649 20,336,000 6.20%
4 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 275,766 14,175,000 4.32%
5 Spectrum Management Group, LLC 248,774 12,787,000 3.90%
6 SVA Wealth Management, LLC 133,334 6,853,000 2.09%
7 AMERIPRISE FINANCIAL INC 133,031 6,818,000 2.08%
8 MERIDIAN MANAGEMENT CO 130,001 6,682,000 2.04%
9 JANE STREET GROUP, LLC 129,990 6,681,000 2.04%
10 Evensky & Katz LLC 117,499 6,039,000 1.84%
11 Bouchey Financial Group Ltd 99,821 5,131,000 1.56%
12 Vigilant Capital Management, LLC 99,135 5,096,000 1.55%
13 UNITED CAPITAL FINANCIAL ADVISORS, LLC 97,893 5,032,000 1.53%
14 Avior Wealth Management, LLC 95,023 4,884,000 1.49%
15 Gemmer Asset Management LLC 82,497 4,240,000 1.29%
16 NORTHWEST INVESTMENT COUNSELORS, LLC 82,109 4,220,000 1.29%
17 Madden Advisory Services, Inc. 80,571 4,141,000 1.26%
18 Tower Research Capital LLC (TRC) 77,810 3,999,000 1.22%
19 WISCONSIN CAPITAL MANAGEMENT LLC 75,166 3,864,000 1.18%
20 Newman Dignan & Sheerar, Inc. 73,227 3,764,000 1.15%
21 Marquette Asset Management, LLC 71,914 3,696,000 1.13%
22 WELLS FARGO & COMPANY/MN 70,013 3,598,000 1.10%
23 BCWM, LLC 6,266 3,221,000 0.98%
24 CAHILL FINANCIAL ADVISORS INC 56,751 2,918,000 0.89%
25 Tradewinds Capital Management, LLC 52,818 2,715,000 0.83%
26 NATIONAL PLANNING CORP 52,559 2,703,000 0.82%
27 Gateway Advisory, LLC 51,605 2,652,000 0.81%
28 CITIGROUP INC 50,415 2,591,000 0.79%
29 Courage Miller Partners, LLC 46,473 2,389,000 0.73%
30 Parsec Financial Management, Inc. 45,912 2,360,000 0.72%
31 Brouwer & Janachowski, LLC 45,889 2,359,000 0.72%
32 Bangor Savings Bank 44,560 2,290,000 0.70%
33 Cambridge Investment Research Advisors, Inc. 41,478 2,132,000 0.65%
34 COBBLESTONE CAPITAL ADVISORS LLC /NY/ 39,804 2,046,000 0.62%
35 MARINER INDEPENDENT ADVISOR NETWORK, LLC 39,634 2,037,188 0.62%
36 ENVESTNET ASSET MANAGEMENT INC 38,112 1,959,000 0.60%
37 SUSQUEHANNA INTERNATIONAL GROUP, LLP 37,290 1,917,000 0.58%
38 HARTLINE INVESTMENT CORP/ 35,804 1,840,000 0.56%
39 CWH Capital Management, Inc. 34,431 1,770,000 0.54%
40 One Capital Management, LLC 33,554 1,725,000 0.53%
41 ProVise Management Group, LLC 32,759 1,683,000 0.51%
42 JMG Financial Group, Ltd. 32,353 1,663,000 0.51%
43 LPL Financial LLC 30,785 1,559,000 0.47%
44 SALEM INVESTMENT COUNSELORS INC 30,287 1,557,000 0.47%
45 PLANNING ALTERNATIVES LTD /ADV 29,957 1,540,000 0.47%
46 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 28,536 1,467,000 0.45%
47 CONDOR CAPITAL MANAGEMENT 28,146 1,447,000 0.44%
48 Emery Howard Portfolio Management, Inc. 27,673 1,422,000 0.43%
49 Tuttle Capital Management, LLC 26,707 1,372,000 0.42%
50 Atria Investments, Inc 25,999 1,336,000 0.41%
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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.