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

Institutional Holders (2015Q4)
Portfolio Summary: 230 Institutional holders with a total value of $764,601,259.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Charles Schwab Investment Advisory, Inc. 4,923,140 256,422,000 33.54%
2 HBK Sorce Advisory LLC 548,265 28,556,000 3.73%
3 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 403,951 21,040,000 2.75%
4 WOOSTER CORTHELL WEALTH MANAGEMENT, INC. 371,063 19,327,000 2.53%
5 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 329,448 17,158,000 2.24%
6 SVA Wealth Management, LLC 279,011 14,532,000 1.90%
7 Raymond James Financial Services Advisors, Inc. 267,400 13,927,000 1.82%
8 Spectrum Management Group, LLC 238,105 12,402,000 1.62%
9 BRR OpCo, LLC 229,416 11,949,000 1.56%
10 BRONFMAN E.L. ROTHSCHILD, L.P. 220,306 11,475,000 1.50%
11 CWH Capital Management, Inc. 198,315 10,329,000 1.35%
12 Allianz Asset Management GmbH 183,062 9,535,000 1.25%
13 SHARKEY, HOWES & JAVER 175,665 9,150,000 1.20%
14 TILLER PRIVATE WEALTH, INC. 168,682 8,786,000 1.15%
15 QS Investors, LLC 164,921 8,590,000 1.12%
16 JANE STREET GROUP, LLC 159,632 8,314,000 1.09%
17 WealthTrust-Arizona, LLC 156,044 8,127,000 1.06%
18 VALENTINE VENTURES LLC 154,967 8,071,000 1.06%
19 LPL Financial LLC 152,277 7,791,000 1.02%
20 AMERIPRISE FINANCIAL INC 143,759 7,450,000 0.97%
21 MERIDIAN MANAGEMENT CO 139,422 7,262,000 0.95%
22 Marquette Asset Management, LLC 123,911 6,454,000 0.84%
23 Mariner Wealth Advisors-Cincinnati, LLC 123,606 6,438,000 0.84%
24 Burt Wealth Advisors 119,759 6,237,000 0.82%
25 MORGAN STANLEY 119,011 6,199,000 0.81%
26 Gemmer Asset Management LLC 118,217 6,157,000 0.81%
27 UNITED CAPITAL FINANCIAL ADVISORS, LLC 113,041 5,888,000 0.77%
28 VSR Financial Services, Inc. 106,380 5,541,000 0.72%
29 Bouchey Financial Group Ltd 105,500 5,495,000 0.72%
30 WELLS FARGO & COMPANY/MN 100,962 5,259,000 0.69%
31 UBS Group AG 100,205 5,219,000 0.68%
32 MOISAND FITZGERALD TAMAYO, LLC 98,652 5,138,000 0.67%
33 ENVESTNET ASSET MANAGEMENT INC 94,073 4,900,000 0.64%
34 NORTHWEST INVESTMENT COUNSELORS, LLC 92,687 4,828,000 0.63%
35 Madden Advisory Services, Inc. 87,502 4,557,000 0.60%
36 HT Partners LLC 86,481 4,385,000 0.57%
37 Gateway Advisory, LLC 82,751 4,310,000 0.56%
38 Newman Dignan & Sheerar, Inc. 82,356 4,290,000 0.56%
39 Emery Howard Portfolio Management, Inc. 81,564 4,248,000 0.56%
40 KERNODLE & KATON ASSET MANAGEMENT GROUP, LLC 80,553 4,196,000 0.55%
41 Evensky & Katz LLC 77,737 4,048,000 0.53%
42 Commonwealth Equity Services, Inc 74,723 3,892,000 0.51%
43 GOLDMAN SACHS GROUP INC 71,879 3,744,000 0.49%
44 CAHILL FINANCIAL ADVISORS INC 68,241 3,555,000 0.46%
45 Summit Financial Strategies, Inc. 68,093 3,547,000 0.46%
46 SII INVESTMENTS INC/WI 68,012 3,537,000 0.46%
47 Avior Wealth Management, LLC 66,117 3,444,000 0.45%
48 Parsec Financial Management, Inc. 58,489 3,046,000 0.40%
49 NATIONAL PLANNING CORP 64,621 2,976,000 0.39%
50 STARFIRE INVESTMENT ADVISERS, INC. 57,086 2,973,340 0.39%
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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.