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

Institutional Holders (2014Q4)
Portfolio Summary: 188 Institutional holders with a total value of $427,319,208.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Charles Schwab Investment Advisory, Inc. 1,535,841 84,656,000 19.81%
2 HBK Sorce Advisory LLC 511,538 28,196,000 6.60%
3 WOOSTER CORTHELL WEALTH MANAGEMENT, INC. 420,358 23,170,000 5.42%
4 Spectrum Management Group, LLC 300,635 16,571,000 3.88%
5 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 283,122 15,606,000 3.65%
6 UNITED CAPITAL FINANCIAL ADVISORS, LLC 265,605 14,640,000 3.43%
7 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 215,495 11,878,000 2.78%
8 VALENTINE VENTURES LLC 169,128 9,322,000 2.18%
9 AMERIPRISE FINANCIAL INC 148,775 8,134,000 1.90%
10 MERIDIAN MANAGEMENT CO 144,346 7,956,000 1.86%
11 SVA Wealth Management, LLC 139,912 7,712,000 1.80%
12 ENVESTNET ASSET MANAGEMENT INC 138,159 7,615,000 1.78%
13 Marquette Asset Management, LLC 115,183 6,349,000 1.49%
14 WELLS FARGO & COMPANY/MN 111,886 6,167,000 1.44%
15 Evensky & Katz LLC 111,231 6,131,000 1.43%
16 Bouchey Financial Group Ltd 106,193 5,853,000 1.37%
17 SUSQUEHANNA INTERNATIONAL GROUP, LLP 105,400 5,810,000 1.36%
18 CITIGROUP INC 100,415 5,535,000 1.30%
19 Avior Wealth Management, LLC 99,046 5,459,000 1.28%
20 Gemmer Asset Management LLC 87,014 4,796,000 1.12%
21 AVALON CAPITAL MANAGEMENT 86,371 4,761,000 1.11%
22 NORTHWEST INVESTMENT COUNSELORS, LLC 83,506 4,603,000 1.08%
23 UBS Group AG 75,179 4,144,000 0.97%
24 WISCONSIN CAPITAL MANAGEMENT LLC 75,086 4,139,000 0.97%
25 Newman Dignan & Sheerar, Inc. 74,457 4,104,000 0.96%
26 Madden Advisory Services, Inc. 72,620 4,003,000 0.94%
27 BCWM, LLC 6,184 3,408,000 0.80%
28 CAHILL FINANCIAL ADVISORS INC 59,760 3,294,000 0.77%
29 Cambridge Investment Research Advisors, Inc. 54,191 2,987,000 0.70%
30 Gateway Advisory, LLC 53,753 2,963,000 0.69%
31 Tradewinds Capital Management, LLC 53,084 2,926,000 0.68%
32 NATIONAL PLANNING CORP 53,522 2,885,906 0.68%
33 Brouwer & Janachowski, LLC 51,027 2,813,000 0.66%
34 Emery Howard Portfolio Management, Inc. 49,951 2,753,000 0.64%
35 Summit Financial Strategies, Inc. 48,194 2,656,000 0.62%
36 Courage Miller Partners, LLC 47,974 2,644,000 0.62%
37 Parsec Financial Management, Inc. 46,412 2,558,000 0.60%
38 Bangor Savings Bank 45,540 2,510,000 0.59%
39 MARINER INDEPENDENT ADVISOR NETWORK, LLC 44,270 2,440,162 0.57%
40 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 43,876 2,418,000 0.57%
41 Vigilant Capital Management, LLC 43,495 2,397,000 0.56%
42 Ironwood Financial, llc 42,165 2,324,000 0.54%
43 Apriem Advisors 41,462 2,285,000 0.53%
44 PLANNING ALTERNATIVES LTD /ADV 40,839 2,251,000 0.53%
45 JMG Financial Group, Ltd. 39,610 2,183,000 0.51%
46 COBBLESTONE CAPITAL ADVISORS LLC /NY/ 39,502 2,177,000 0.51%
47 CWH Capital Management, Inc. 38,527 2,124,000 0.50%
48 One Capital Management, LLC 37,461 2,065,000 0.48%
49 HARTLINE INVESTMENT CORP/ 36,706 2,023,000 0.47%
50 LPL Financial LLC 36,674 2,021,000 0.47%
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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.