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

Institutional Holders (2016Q2)
Portfolio Summary: 245 Institutional holders with a total value of $1,004,122,441.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Charles Schwab Investment Advisory, Inc. 6,544,265 353,587,000 35.21%
2 BANK OF AMERICA CORP /DE/ 1,093,239 59,067,000 5.88%
3 UBS Group AG 1,006,489 54,381,000 5.42%
4 HBK Sorce Advisory LLC 657,923 35,548,000 3.54%
5 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 445,926 24,094,000 2.40%
6 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 351,663 19,001,000 1.89%
7 SVA Wealth Management, LLC 315,774 17,061,000 1.70%
8 Raymond James Financial Services Advisors, Inc. 315,190 17,030,000 1.70%
9 QS Investors, LLC 301,300 16,279,000 1.62%
10 Richard Bernstein Advisors LLC 297,297 16,063,000 1.60%
11 SHARKEY, HOWES & JAVER 274,022 14,805,000 1.47%
12 BRONFMAN E.L. ROTHSCHILD, L.P. 243,340 13,148,000 1.31%
13 AT Bancorp 226,845 12,256,000 1.22%
14 TD Ameritrade Trust Co 203,379 10,989,000 1.09%
15 TILLER PRIVATE WEALTH, INC. 173,013 9,348,000 0.93%
16 WealthTrust-Arizona, LLC 158,279 8,552,000 0.85%
17 MERIDIAN MANAGEMENT CO 157,060 8,486,000 0.85%
18 Mariner Wealth Advisors-Cincinnati, LLC 149,434 8,074,000 0.80%
19 VALENTINE VENTURES LLC 147,378 7,963,000 0.79%
20 Burt Wealth Advisors 129,310 6,986,000 0.70%
21 CWH Capital Management, Inc. 127,523 6,890,000 0.69%
22 Gemmer Asset Management LLC 125,325 6,771,000 0.67%
23 Marquette Asset Management, LLC 122,124 6,598,000 0.66%
24 WOOSTER CORTHELL WEALTH MANAGEMENT, INC. 106,957 5,779,000 0.58%
25 NORTHWEST INVESTMENT COUNSELORS, LLC 106,075 5,731,000 0.57%
26 Emery Howard Portfolio Management, Inc. 102,930 5,561,000 0.55%
27 MOISAND FITZGERALD TAMAYO, LLC 102,460 5,536,000 0.55%
28 SII INVESTMENTS INC/WI 101,103 5,462,000 0.54%
29 Bouchey Financial Group Ltd 98,937 5,346,000 0.53%
30 SUSQUEHANNA INTERNATIONAL GROUP, LLP 98,409 5,317,000 0.53%
31 SARGENT BICKHAM LAGUDIS LLC 97,971 5,293,000 0.53%
32 JANE STREET GROUP, LLC 96,339 5,205,000 0.52%
33 AMERIPRISE FINANCIAL INC 93,220 5,031,000 0.50%
34 PLANNING ALTERNATIVES LTD /ADV 92,390 4,992,000 0.50%
35 Madden Advisory Services, Inc. 89,353 4,827,000 0.48%
36 ProVise Management Group, LLC 87,595 4,733,000 0.47%
37 Summit Financial Strategies, Inc. 86,122 4,653,000 0.46%
38 ENVESTNET ASSET MANAGEMENT INC 82,857 4,477,000 0.45%
39 UNITED CAPITAL FINANCIAL ADVISORS, LLC 79,184 4,276,000 0.43%
40 PIERSHALE FINANCIAL GROUP, INC. 74,449 4,022,000 0.40%
41 CAHILL FINANCIAL ADVISORS INC 72,769 3,932,000 0.39%
42 GOLDMAN SACHS GROUP INC 71,806 3,880,000 0.39%
43 ASSET DEDICATION, LLC 72,227 3,747,000 0.37%
44 Avior Wealth Management, LLC 68,231 3,687,000 0.37%
45 NATIONAL PLANNING CORP 64,878 3,636,000 0.36%
46 Newman Dignan & Sheerar, Inc. 64,810 3,502,000 0.35%
47 NORTH STAR ASSET MANAGEMENT INC 62,911 3,399,000 0.34%
48 LPL Financial LLC 62,650 3,376,000 0.34%
49 VSR Financial Services, Inc. 61,091 3,301,000 0.33%
50 Parsec Financial Management, Inc. 60,602 3,274,000 0.33%
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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.