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

Institutional Holders (2016Q1)
Portfolio Summary: 241 Institutional holders with a total value of $910,767,854.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Charles Schwab Investment Advisory, Inc. 5,609,339 291,910,000 32.05%
2 BANK OF AMERICA CORP /DE/ 1,022,933 53,233,000 5.84%
3 UBS Group AG 903,724 47,030,000 5.16%
4 HBK Sorce Advisory LLC 655,676 34,121,000 3.75%
5 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 496,963 25,802,000 2.83%
6 WOOSTER CORTHELL WEALTH MANAGEMENT, INC. 431,791 22,470,000 2.47%
7 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 356,618 18,559,000 2.04%
8 SVA Wealth Management, LLC 312,144 16,244,000 1.78%
9 Raymond James Financial Services Advisors, Inc. 303,486 15,792,000 1.73%
10 Richard Bernstein Advisors LLC 264,389 13,759,000 1.51%
11 AT Bancorp 253,496 13,192,000 1.45%
12 QS Investors, LLC 240,127 12,496,000 1.37%
13 BRONFMAN E.L. ROTHSCHILD, L.P. 234,576 12,207,000 1.34%
14 CWH Capital Management, Inc. 191,638 9,973,000 1.10%
15 TILLER PRIVATE WEALTH, INC. 177,125 9,218,000 1.01%
16 SHARKEY, HOWES & JAVER 170,995 8,899,000 0.98%
17 TD Ameritrade Trust Co 165,397 8,607,000 0.95%
18 MERIDIAN MANAGEMENT CO 161,526 8,406,000 0.92%
19 WealthTrust-Arizona, LLC 161,413 8,400,000 0.92%
20 LPL Financial LLC 160,556 8,229,000 0.90%
21 VALENTINE VENTURES LLC 152,264 7,924,000 0.87%
22 Mariner Wealth Advisors-Cincinnati, LLC 135,876 7,071,000 0.78%
23 Allianz Asset Management GmbH 134,386 6,993,000 0.77%
24 Burt Wealth Advisors 126,547 6,585,000 0.72%
25 Marquette Asset Management, LLC 122,812 6,391,000 0.70%
26 Gemmer Asset Management LLC 115,022 5,985,000 0.66%
27 VSR Financial Services, Inc. 113,116 5,887,000 0.65%
28 MOISAND FITZGERALD TAMAYO, LLC 105,214 5,475,000 0.60%
29 NORTHWEST INVESTMENT COUNSELORS, LLC 104,684 5,448,000 0.60%
30 JANE STREET GROUP, LLC 103,176 5,369,000 0.59%
31 Bouchey Financial Group Ltd 102,421 5,330,000 0.59%
32 Emery Howard Portfolio Management, Inc. 98,520 5,127,000 0.56%
33 ENVESTNET ASSET MANAGEMENT INC 94,268 4,906,000 0.54%
34 PLANNING ALTERNATIVES LTD /ADV 94,116 4,898,000 0.54%
35 UNITED CAPITAL FINANCIAL ADVISORS, LLC 92,360 4,806,000 0.53%
36 SII INVESTMENTS INC/WI 91,376 4,750,000 0.52%
37 Madden Advisory Services, Inc. 87,909 4,574,000 0.50%
38 SARGENT BICKHAM LAGUDIS LLC 85,103 4,429,000 0.49%
39 Summit Financial Strategies, Inc. 78,294 4,074,000 0.45%
40 Evensky & Katz LLC 77,769 4,047,000 0.44%
41 GOLDMAN SACHS GROUP INC 74,241 3,864,000 0.42%
42 ASSET DEDICATION, LLC 72,180 3,756,000 0.41%
43 CAHILL FINANCIAL ADVISORS INC 70,438 3,666,000 0.40%
44 KERNODLE & KATON ASSET MANAGEMENT GROUP, LLC 70,030 3,644,000 0.40%
45 Avior Wealth Management, LLC 66,452 3,458,000 0.38%
46 NATIONAL PLANNING CORP 65,398 3,427,000 0.38%
47 Newman Dignan & Sheerar, Inc. 62,513 3,253,000 0.36%
48 Parsec Financial Management, Inc. 60,073 3,126,000 0.34%
49 NORTH STAR ASSET MANAGEMENT INC 60,008 3,123,000 0.34%
50 Tradewinds Capital Management, LLC 59,324 3,087,000 0.34%
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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.