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

Institutional Holders (2016Q3)
Portfolio Summary: 262 Institutional holders with a total value of $1,218,492,571.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Charles Schwab Investment Advisory, Inc. 7,524,577 433,039,000 35.54%
2 BANK OF AMERICA CORP /DE/ 1,150,634 66,218,000 5.43%
3 UBS Group AG 1,053,930 60,654,000 4.98%
4 AT Bancorp 518,165 29,820,000 2.45%
5 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 498,655 28,653,000 2.35%
6 SALEM INVESTMENT COUNSELORS INC 41,909 24,119,000 1.98%
7 Financial Management Professionals, Inc. 409,686 23,615,000 1.94%
8 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 370,177 21,304,000 1.75%
9 QS Investors, LLC 359,804 20,707,000 1.70%
10 FRONTIER INVESTMENT MGMT CO 34,420 19,809,000 1.63%
11 Raymond James Financial Services Advisors, Inc. 325,199 18,715,000 1.54%
12 Richard Bernstein Advisors LLC 324,388 18,669,000 1.53%
13 SHARKEY, HOWES & JAVER 277,624 15,977,000 1.31%
14 BRONFMAN E.L. ROTHSCHILD, L.P. 255,518 14,705,000 1.21%
15 TD Ameritrade Trust Co 237,729 13,681,000 1.12%
16 SVA Wealth Management, LLC 223,423 12,858,000 1.06%
17 JANE STREET GROUP, LLC 217,000 12,488,000 1.02%
18 HBK Sorce Advisory LLC 170,610 9,819,000 0.81%
19 Mariner Wealth Advisors-Cincinnati, LLC 166,964 9,609,000 0.79%
20 MONEYWISE, INC. 163,416 9,405,000 0.77%
21 MERIDIAN MANAGEMENT CO 156,305 8,995,000 0.74%
22 WealthTrust-Arizona, LLC 154,897 8,914,000 0.73%
23 TILLER PRIVATE WEALTH, INC. 145,715 8,386,000 0.69%
24 VALENTINE VENTURES LLC 138,429 7,967,000 0.65%
25 Cambridge Investment Research Advisors, Inc. 133,551 7,686,000 0.63%
26 Burt Wealth Advisors 127,444 7,334,000 0.60%
27 Gemmer Asset Management LLC 127,311 7,327,000 0.60%
28 Marquette Asset Management, LLC 121,780 7,008,000 0.58%
29 SII INVESTMENTS INC/WI 114,358 6,583,000 0.54%
30 NORTHWEST INVESTMENT COUNSELORS, LLC 110,128 6,338,000 0.52%
31 Emery Howard Portfolio Management, Inc. 105,042 6,045,000 0.50%
32 AMERIPRISE FINANCIAL INC 103,881 5,976,000 0.49%
33 WOOSTER CORTHELL WEALTH MANAGEMENT, INC. 101,826 5,860,000 0.48%
34 CWH Capital Management, Inc. 101,658 5,850,000 0.48%
35 PIERSHALE FINANCIAL GROUP, INC. 100,727 5,797,000 0.48%
36 MOISAND FITZGERALD TAMAYO, LLC 100,578 5,788,000 0.48%
37 AVALON CAPITAL MANAGEMENT 100,466 5,782,000 0.47%
38 Madden Advisory Services, Inc. 92,607 5,329,000 0.44%
39 PLANNING ALTERNATIVES LTD /ADV 90,855 5,229,000 0.43%
40 ProVise Management Group, LLC 90,102 5,185,000 0.43%
41 Summit Financial Strategies, Inc. 90,088 5,185,000 0.43%
42 Bouchey Financial Group Ltd 81,461 4,688,000 0.38%
43 SARGENT BICKHAM LAGUDIS LLC 79,078 4,551,000 0.37%
44 ENVESTNET ASSET MANAGEMENT INC 77,304 4,449,000 0.37%
45 St. Johns Investment Management Company, LLC 77,141 4,439,000 0.36%
46 ASSET DEDICATION, LLC 75,569 4,346,000 0.36%
47 CAHILL FINANCIAL ADVISORS INC 72,968 4,200,000 0.34%
48 UNITED CAPITAL FINANCIAL ADVISORS, LLC 70,290 4,045,000 0.33%
49 Avior Wealth Management, LLC 68,899 3,965,000 0.33%
50 Newman Dignan & Sheerar, Inc. 66,136 3,806,000 0.31%
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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.