Cetera Investment Advisers
In its 13F for Q1 2024 (holdings as of March 31, 2024, filed May 24, 2024), Cetera Investment Advisers reported 3,653 stock positions worth $42.4 billion. Its top holding was iShares Core S&P 500 ETF (IVV) at 2.8% of the portfolio, followed by Apple (AAPL, 2.5%) and Microsoft (MSFT, 1.9%). Compared with Q4 2023, it opened 1,492 new positions, sold out of 49, added to 2,084 and reduced 71. The biggest buy was SS SPDR S&P 500 ETF Trust-US (SPY, shares +504%) and the biggest sale iShares S&P 100 ETF (OEF, shares −46%).
- Most Recent 13F
- Q2 2026
- Location
- SCHAUMBURG, IL
- CIK
- 0001666741
- Portfolio Value
- $42.4B (Q1 2024)
- SEC Filing
- 0001085146-24-002673 ↗ filed May 24, 2024
Holdings Value
Holdings 3,653 stocks · $42.4B
| IVV iShares Core S&P 500 ETF | 2.81% | 2,265,933 | $1.2B | Add +109.4% |
| AAPL Apple Inc. | 2.46% | 6,087,021 | $1.0B | Add +261.3% |
| MSFT Microsoft Corp. | 1.92% | 1,935,518 | $814.3M | Add +252.3% |
| QQQ Invesco QQQ Trust Series 1 | 1.68% | 1,604,527 | $712.4M | Add +160.7% |
| SPY SS SPDR S&P 500 ETF Trust-US | 1.56% | 1,264,316 | $661.3M | Add +504.0% |
| VTI VG Morningstar TS MKT ETF-US | 1.48% | 2,407,974 | $625.8M | Add +89.0% |
| NVDA Nvidia Corp. | 1.45% | 680,591 | $615.0M | Add +193.7% |
| AMZN Amazon.com Inc. | 1.43% | 3,364,155 | $606.8M | Add +310.5% |
| VOO Vanguard S&P 500 ETF | 1.37% | 1,210,324 | $581.8M | Add +352.1% |
| IWF iShares Russell 1000 Growth | 1.04% | 1,312,397 | $442.3M | Add +409.6% |
| IUSB Ishr CR Unvrse Usd BD ETF-Ui | 0.93% | 8,653,706 | $394.5M | Add +129.9% |
| AGG iShares Core U.S. Aggregate | 0.88% | 3,827,408 | $374.9M | Add +163.0% |
| VUG Vanguard Mrngstar GR ETF-Sui | 0.84% | 1,036,238 | $356.7M | Add +114.2% |
| VTV Vanguard Mrngstr Val ETF-Aui | 0.84% | 2,185,380 | $355.9M | Add +179.7% |
| BND Vanguard Total Bond Market | 0.82% | 4,807,301 | $349.2M | Add +124.0% |
| VXUS Vanguard Total Intl Stock | 0.72% | 5,038,687 | $303.8M | Add +66.0% |
| BIL SS SPDR BB 1-3M T-Bill ETF | 0.72% | 3,305,524 | $303.4M | Add +59.0% |
| QUAL iShares MSCI USA Quality Fac | 0.65% | 1,677,664 | $275.7M | Add +141.3% |
| BRK.B Berkshire Hathaway Inc. Class B | 0.64% | 643,681 | $270.7M | Add +572.3% |
| IVE iShares S&P 500 Value ETF | 0.62% | 1,410,516 | $263.5M | Add +905.6% |
| IEFA iShares Core MSCI Eafe ETF | 0.58% | 3,339,335 | $247.8M | Add +185.8% |
| JEPI JPMorgan Equity Premium Inco | 0.56% | 4,135,711 | $239.3M | Add +406.2% |
| GOOGL Alphabet Inc. Class A | 0.54% | 1,529,729 | $230.9M | Add +164.7% |
| VEA Vanguard Ftse Developed ETF | 0.54% | 4,577,042 | $229.6M | Add +147.9% |
| COWZ Pacer US Cash Cows 100 ETF | 0.53% | 3,868,681 | $224.8M | Add +421.9% |
| META Meta Platforms Inc. Class A | 0.53% | 461,607 | $224.1M | Add +215.3% |
| IWD iShares Russell 1000 Value E | 0.52% | 1,223,017 | $219.1M | Add +162.1% |
| IVW iShares S&P 500 Growth ETF | 0.51% | 2,545,315 | $214.9M | Add +200.4% |
| IJR iShares Core S&P Small-Cap E | 0.46% | 1,775,694 | $196.2M | Add +155.1% |
| JPM JPMorgan Chase & Co. | 0.46% | 976,108 | $195.5M | Add +202.3% |
| BNDX Vanguard Total Intl Bond ETF | 0.46% | 3,943,728 | $194.0M | Add +107.5% |
| VYM Vanguard High DVD Yield ETF | 0.45% | 1,588,902 | $192.2M | Add +579.6% |
| QQQM Invesco Nasdaq 100 ETF | 0.45% | 1,043,700 | $190.7M | Add +536.4% |
| V Visa Inc. Class A | 0.43% | 652,881 | $182.2M | Add +303.8% |
| LLY Eli Lilly & Co. | 0.41% | 225,319 | $175.3M | Add +208.7% |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | 0.41% | 695,861 | $173.9M | Add +524.1% |
| HD Home Depot Inc. | 0.40% | 445,383 | $170.8M | Add +378.9% |
| SCHD Schwab US DVD Equity ETF | 0.40% | 2,104,047 | $169.6M | Add +53.1% |
| IWM iShares Russell 2000 ETF | 0.39% | 790,880 | $166.3M | Add +342.8% |
| BUFR FT Vest Lad Buffervetf-Usd I | 0.38% | 5,834,841 | $163.1M | Add +329.5% |
| GOOG Alphabet Inc. Class C | 0.38% | 1,070,186 | $162.9M | Add +234.2% |
| MUB iShares National Muni Bond E | 0.38% | 1,494,691 | $160.8M | Add +125.7% |
| SPYG SS SPDR P S&P 500 Growth ETF | 0.38% | 2,192,642 | $160.4M | Add +282.8% |
| IJH iShares Core S&P Midcap ETF | 0.37% | 2,610,901 | $158.6M | Add +406.2% |
| USMV iShares MSCI USA Min Vol Fac | 0.37% | 1,895,974 | $158.5M | Add +270.9% |
| XLK SS Technology Select Sector | 0.37% | 756,208 | $157.5M | Add +285.1% |
| SCHG Schwab US Large-Cap Growth | 0.37% | 1,696,108 | $157.3M | Add +259.4% |
| AMD Advanced Micro Devices | 0.37% | 868,590 | $156.8M | Add +381.2% |
| VIG Vanguard Dividend Apprec ETF | 0.35% | 813,293 | $148.5M | Add +505.7% |
| GLD SPDR Gold Shares | 0.34% | 702,415 | $144.5M | Add +461.0% |
| XOM Exxon Mobil Corp. | 0.34% | 1,234,355 | $143.5M | Add +195.6% |
| CGDV Cap Group Dividend Value filed as CAPITAL GROUP DIVIDEND VALUE | 0.33% | 4,319,438 | $140.4M | Add +256.8% |
| DGRW Wisdomtree U.S. Quality Divi | 0.33% | 1,825,968 | $139.1M | Add +176.7% |
| MBB iShares MBS ETF | 0.33% | 1,495,419 | $138.2M | Add +103.0% |
| IEMG iShares Core MSCI Emerging | 0.32% | 2,654,813 | $137.0M | Add +69.4% |
| SPYM Ste STR SPDR PT S&P 500 ETF | 0.32% | 2,223,389 | $136.8M | Add +350.8% |
| AVGO Broadcom Inc. | 0.32% | 102,941 | $136.4M | Add +258.7% |
| FTCS First Trust Capital Strength | 0.32% | 1,563,977 | $134.0M | Add +195.0% |
| XLV SS Health Care Select Sector | 0.31% | 897,216 | $132.5M | Add +268.4% |
| RDVY First Trust Rising Dividend | 0.30% | 2,264,096 | $127.2M | Add +178.5% |
| SPYV SS SPDR P S&P 500 Value ETF | 0.30% | 2,530,967 | $126.8M | Add +209.0% |
| PG The Procter & Gamble Co. | 0.29% | 768,589 | $124.7M | Add +313.5% |
| XHLF Bondbloxx BBG 6 MTH US Treas | 0.29% | 2,476,554 | $124.6M | New |
| DYNF Ishrs US E F R A ETF-Usd Inc. | 0.29% | 2,797,577 | $124.2M | New |
| VGT Vanguard Info Tech ETF | 0.29% | 236,855 | $124.2M | Add +665.9% |
| TLT iShares 20+ Year Treasury BD | 0.28% | 1,264,933 | $119.7M | Add +121.3% |
| UNH Unitedhealth Group Inc. | 0.28% | 239,661 | $118.6M | Add +246.1% |
| VNQ Vanguard Real Estate ETF | 0.28% | 1,367,653 | $118.3M | Add +376.1% |
| CVX Chevron Corp. | 0.28% | 749,000 | $118.1M | Add +248.7% |
| COST Costco Wholesale Corp. | 0.27% | 158,277 | $116.0M | Add +328.6% |
| VBR Vngrd Mrngst SL-CP Val ETF-U | 0.27% | 602,463 | $115.6M | Add +324.7% |
| BSV Vanguard Short-Term Bond ETF | 0.27% | 1,506,703 | $115.5M | Add +84.5% |
| JNJ Johnson & Johnson | 0.26% | 707,273 | $111.9M | Add +224.0% |
| EFV iShares MSCI Eafe Value ETF | 0.26% | 2,055,668 | $111.8M | Add +34.4% |
| TSLA Tesla Inc. | 0.26% | 635,813 | $111.8M | Add +224.8% |
| DGRO iShares Core Dividend Growth | 0.26% | 1,922,423 | $111.6M | Add +319.5% |
| ABBV Abbvie Inc. | 0.26% | 608,224 | $110.8M | Add +220.7% |
| VB Vanguard Most SM-Cap ETF-Usd | 0.26% | 482,068 | $110.2M | Add +255.6% |
| EFG iShares MSCI Eafe Growth ETF | 0.26% | 1,058,772 | $109.9M | Add +107.8% |
| VWO Vanguard Ftse Emerging Marke | 0.25% | 2,570,304 | $107.4M | Add +201.4% |
| WMT Walmart Inc. | 0.24% | 1,682,841 | $101.3M | Add +130.5% |
| MRK Merck & Co. Inc. | 0.24% | 765,846 | $101.1M | Add +254.8% |
| MA Mastercard Inc. Class A | 0.24% | 208,669 | $100.5M | Add +263.8% |
| IYW iShares Ustechnology ETF | 0.24% | 743,002 | $100.3M | Add +131.6% |
| IWR iShares Russell Mid-Cap ETF | 0.24% | 1,192,772 | $100.3M | Add +849.0% |
| FVD First Trust Value Line DVD | 0.23% | 2,335,220 | $98.6M | Add +105.8% |
| FTSM First Trust Enh Short Mat FD | 0.23% | 1,612,862 | $96.2M | Add +453.9% |
| USFR Wisdomtree Floating Rate Tre | 0.23% | 1,907,807 | $95.9M | Add +104.5% |
| VV Vngrd Mrgstr LRG-Cap ETF-Usd | 0.22% | 391,693 | $93.9M | Add +3158.9% |
| CAT Caterpillar Inc. | 0.22% | 251,685 | $92.2M | Add +225.4% |
| JAAA Janus Henderson Aaa Clo ETF | 0.21% | 1,794,484 | $91.1M | Add +1979.7% |
| IXUS iShares Core Intl Stock ETF | 0.21% | 1,332,373 | $90.4M | Add +676.6% |
| SDY SS SPDR S&P Dividend ETF | 0.21% | 688,750 | $90.4M | Add +283.2% |
| JPST JPMorgan Ultra-Short Income | 0.21% | 1,790,596 | $90.3M | Add +927.2% |
| QCOM Qualcomm Inc. | 0.21% | 532,695 | $90.2M | Add +107.3% |
| TFLO iShares Treasury Floating Ra | 0.21% | 1,778,274 | $90.1M | Add +4.5% |
| CRM Salesforce Inc. | 0.21% | 297,453 | $89.6M | Add +476.5% |
| RSP Invesco S&P 500 Equal Weight | 0.21% | 522,337 | $88.5M | Add +427.4% |
| XLE SS Energy Select Sector | 0.21% | 934,542 | $88.2M | Add +274.0% |
| GSLC Goldman Activebeta US LC ETF | 0.20% | 836,239 | $86.8M | Add +811.3% |
Options reported separately and not counted above: SPY puts ($45K), IONS puts ($35K), CRWD puts ($28K), URA puts ($21K), CCJ puts ($19K), FICO puts ($18K), IJR puts ($13K), QCOM calls ($12K), AAPL puts ($12K), AG calls ($11K), RSP puts ($10K), LLY puts ($8K), and 26 more.
Other holdings (5): bonds, preferreds, convertibles and warrants · $1.2M (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | 473 | $576K | New |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | 7,200 | $310K | New |
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | 244 | $290K | New |
| PSEWF Paysafe Ltd. -CW26 | *W EXP 03/30/202 | 118,910 | $4K | Add +0.0% |
| SKYAW Sharps Technology Inc. -27 | *W EXP 04/13/202 | 16,500 | $1K | No change |
Total filed on the 13F, all lines: $42.4B.
Portfolio Sells Q4 2023 → Q1 2024
| OEF iShares S&P 100 ETF | Reduce -46.1% | 0.04% | −0.17 |
| IJS iShares S&P Small-Cap 600 Va | Reduce -40.8% | 0.02% | −0.11 |
| EWL iShares MSCI Switzerland ETF | Reduce -48.7% | 0.01% | −0.06 |
| UAUG Innovator U.S. Equity Ultra | Reduce -38.9% | 0.01% | −0.05 |
| HBT HBT Financial Inc. | Reduce -4.3% | 0.02% | −0.05 |
| PFFV Global X Variable Rate Pref | Reduce -39.7% | 0.01% | −0.04 |
| FAAR First Trust Alt Abs Ret ETF | Reduce -42.7% | 0.01% | −0.04 |
| PCF High Income Securities Fund | Reduce -0.5% | 0.01% | −0.03 |
| TIPX SS SPDR BB 1-10YR Tips ETF | Reduce -16.5% | 0.01% | −0.03 |
| IGF iShares Global Infrastructur | Reduce -9.3% | 0.01% | −0.02 |
| EZU iShares MSCI Eurozone ETF | Reduce -50.1% | 0.00% | −0.02 |
| QLTA iShares Aaa - A Rated Corpor | Reduce -5.0% | 0.01% | −0.02 |
| BTAL Agf US Market Neutral Anti-B | Reduce -79.3% | 0.00% | −0.02 |
| EFAD Proshares Eafe DVD Growers | Reduce -1.7% | 0.01% | −0.02 |
| ZIMV Zimvie Inc. | Reduce -3.4% | 0.01% | −0.02 |
| FSEP FT Vest U.S. Equity Buffer E | Reduce -5.8% | 0.01% | −0.02 |
| DDEC FT Vest U.S. Equity Deep Buf | Reduce -0.7% | 0.01% | −0.02 |
| BILL Bill Holdings Inc. | Reduce -83.9% | 0.00% | −0.02 |
| RMT Royce Micro-Cap Trust Inc. | Reduce -0.3% | 0.01% | −0.01 |
| RESP Wisdomtree US ESG Fund | Sold out | 0.00% | −0.01 |
| EDOW First Trust Dow 30 Eql WGHT | Reduce -20.0% | 0.00% | −0.01 |
| KBE SS SPDR S&P Bank ETF | Reduce -1.5% | 0.01% | −0.01 |
| CMTG Claros Mortgage Trust Inc. | Sold out | 0.00% | −0.01 |
| SMAY FT Vest U.S. Small Cap Moder | Reduce -2.4% | 0.01% | −0.01 |
| PGRO Putnam Focused LRG Cap Grow | Reduce -3.5% | 0.01% | −0.01 |
| FUND Sprott Focus Trust Inc. | Reduce -0.8% | 0.00% | −0.01 |
| ETF MANAGERS TR | Sold out | 0.00% | −0.01 |
| BFLY Butterfly Network Inc. | Reduce -7.8% | 0.00% | −0.01 |
| DAPR FT Vest U.S. Equity Deep Buf | Reduce -5.6% | 0.00% | −0.01 |
| ETF MANAGERS TR | Sold out | 0.00% | −0.01 |
| XRT SS SPDR S&P Retail ETF | Reduce -46.6% | 0.00% | −0.01 |
| CNRG SS SPDR S&P Kensho CLP ETF | Reduce -72.6% | 0.00% | −0.01 |
| SRC Spirit Realty Capital Inc. | Sold out | 0.00% | −0.01 |
| TWO RDS SHARED TR | Reduce -9.9% | 0.00% | −0.01 |
| XDCFX BNYM Alcentra GLBL CRDT 2024 | Reduce -9.5% | 0.00% | −0.01 |
| NCV Virtus Convertible & Income | Reduce -9.2% | 0.00% | −0.01 |
| KMLM Kraneshares MT LC MN FT Id S | Reduce -47.0% | 0.00% | −0.01 |
| IIGD Invesco Inv Grade Defensive | Sold out | 0.00% | −0.01 |
| HCMT Direxion HCM Tactic US ETF | Reduce -74.7% | 0.00% | −0.01 |
| GXDW Global X Dorsey Wright Thema | Reduce -16.5% | 0.00% | −0.01 |
| DBJA Innovator DBL Stack 9 Buff-J | Sold out | 0.00% | −0.01 |
| FTXO First Trust Nasdaq Bank ETF | Reduce -4.7% | 0.00% | −0.01 |
| FINX Global X Fintech ETF | Reduce -23.4% | 0.00% | −0.01 |
| TWO RDS SHARED TR | Reduce -10.2% | 0.00% | −0.01 |
| QLD Proshares Ultra QQQ | Sold out | 0.00% | −0.00 |
| LSAF Leadershares Alphafactor US | Reduce -11.1% | 0.00% | −0.00 |
| IMGN Immunogen Inc. | Sold out | 0.00% | −0.00 |
| TSJA Innovator Triple Stacker-Jan | Sold out | 0.00% | −0.00 |
| DYLD Leadershares Dynamic Yield E | Reduce -8.8% | 0.00% | −0.00 |
| WEA Western Asset Premier Bond | Reduce -2.6% | 0.00% | −0.00 |
Portfolio Buys Q4 2023 → Q1 2024
| SPY SS SPDR S&P 500 ETF Trust-US | Add +504.0% | 1.56% | +0.75 |
| NVDA Nvidia Corp. | Add +193.7% | 1.45% | +0.52 |
| IVE iShares S&P 500 Value ETF | Add +905.6% | 0.62% | +0.42 |
| VOO Vanguard S&P 500 ETF | Add +352.1% | 1.37% | +0.42 |
| AMZN Amazon.com Inc. | Add +310.5% | 1.43% | +0.42 |
| IWF iShares Russell 1000 Growth | Add +409.6% | 1.04% | +0.41 |
| BRK.B Berkshire Hathaway Inc. Class B | Add +572.3% | 0.64% | +0.36 |
| XHLF Bondbloxx BBG 6 MTH US Treas | New | 0.29% | +0.29 |
| DYNF Ishrs US E F R A ETF-Usd Inc. | New | 0.29% | +0.29 |
| MSFT Microsoft Corp. | Add +252.3% | 1.92% | +0.24 |
| VYM Vanguard High DVD Yield ETF | Add +579.6% | 0.45% | +0.24 |
| QQQM Invesco Nasdaq 100 ETF | Add +536.4% | 0.45% | +0.23 |
| COWZ Pacer US Cash Cows 100 ETF | Add +421.9% | 0.53% | +0.22 |
| VV Vngrd Mrgstr LRG-Cap ETF-Usd | Add +3158.9% | 0.22% | +0.20 |
| JEPI JPMorgan Equity Premium Inco | Add +406.2% | 0.56% | +0.20 |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | Add +524.1% | 0.41% | +0.20 |
| JAAA Janus Henderson Aaa Clo ETF | Add +1979.7% | 0.21% | +0.18 |
| VGT Vanguard Info Tech ETF | Add +665.9% | 0.29% | +0.17 |
| VIG Vanguard Dividend Apprec ETF | Add +505.7% | 0.35% | +0.16 |
| IQLT iShares MSCI International Q | Add +2614.1% | 0.19% | +0.16 |
| BINC iShares Flex I A ETF-Usd Inc. | New | 0.16% | +0.16 |
| IWR iShares Russell Mid-Cap ETF | Add +849.0% | 0.24% | +0.16 |
| AMD Advanced Micro Devices | Add +381.2% | 0.37% | +0.15 |
| GLD SPDR Gold Shares | Add +461.0% | 0.34% | +0.15 |
| AVLV Avantis US Large Cap Value | New | 0.15% | +0.15 |
| JPST JPMorgan Ultra-Short Income | Add +927.2% | 0.21% | +0.14 |
| IJH iShares Core S&P Midcap ETF | Add +406.2% | 0.37% | +0.14 |
| HD Home Depot Inc. | Add +378.9% | 0.40% | +0.14 |
| KYN Kayne Anderson Energy Infra | Add +24443.6% | 0.14% | +0.14 |
| FDL First Trust Morn DVD Lead Inc. | Add +1056.4% | 0.19% | +0.14 |
| GSLC Goldman Activebeta US LC ETF | Add +811.3% | 0.20% | +0.13 |
| VHT Vanguard Health Care ETF | Add +790.2% | 0.20% | +0.13 |
| IXUS iShares Core Intl Stock ETF | Add +676.6% | 0.21% | +0.12 |
| SMH Vaneck Semiconductor ETF | Add +1172.6% | 0.15% | +0.12 |
| VBK Van Morst SML-Cap Gro-Usd Inc. | Add +920.7% | 0.17% | +0.12 |
| HEFA Isha Curr Hedged MSCI Eafe | Add +10477.2% | 0.11% | +0.11 |
| META Meta Platforms Inc. Class A | Add +215.3% | 0.53% | +0.11 |
| VEU Vanguard Ftse All-World Ex-U | Add +767.0% | 0.16% | +0.10 |
| IWM iShares Russell 2000 ETF | Add +342.8% | 0.39% | +0.10 |
| CRM Salesforce Inc. | Add +476.5% | 0.21% | +0.10 |
| SPYM Ste STR SPDR PT S&P 500 ETF | Add +350.8% | 0.32% | +0.10 |
| BUFR FT Vest Lad Buffervetf-Usd I | Add +329.5% | 0.38% | +0.09 |
| CGCP Cap Group Core Plus Income | Add +895.0% | 0.14% | +0.09 |
| V Visa Inc. Class A | Add +303.8% | 0.43% | +0.09 |
| FTSM First Trust Enh Short Mat FD | Add +453.9% | 0.23% | +0.09 |
| VGSH Vanguard Short-Term Treasury | Add +558.0% | 0.18% | +0.08 |
| OIH Vaneck Oil Services ETF | Add +13939.1% | 0.09% | +0.08 |
| GOVT iShares US Treasury Bond ETF | Add +581.8% | 0.17% | +0.08 |
| RSP Invesco S&P 500 Equal Weight | Add +427.4% | 0.21% | +0.08 |
| CGGR Cap Group Growth Equity | Add +424.0% | 0.19% | +0.08 |
Options Activity Q4 2023 → Q1 2024
| SPY SS SPDR S&P 500 ETF Trust-US | put | Add +42.9% | 4,000 | $45K |
| IONS Ionis Pharmaceuticals Inc. | put | New | 8,500 | $35K |
| PFE Pfizer Inc. | call | Sold out | 10,000 | $32Kbefore exit |
| CRWD CrowdStrike Holdings Inc. Class A | put | New | 1,300 | $28K |
| URA Global X Uranium ETF | put | New | 20,900 | $21K |
| CCJ Cameco Corp. | put | New | 12,700 | $19K |
| FICO Fair Isaac Corp. | put | New | 200 | $18K |
| XOM Exxon Mobil Corp. | call | Sold out | 2,200 | $16Kbefore exit |
| IJR iShares Core S&P Small-Cap E | put | Add +55.0% | 3,100 | $13K |
| QCOM Qualcomm Inc. | call | New | 1,000 | $12K |
| AAPL Apple Inc. | put | Add +1500.0% | 1,600 | $12K |
| AG First Majestic Silver Corp. | call | New | 19,500 | $11K |
| OCUL Ocular Therapeutix Inc. | call | Sold out | 5,000 | $11Kbefore exit |
| RSP Invesco S&P 500 Equal Weight | put | Reduce -14.8% | 2,300 | $10K |
| LLY Eli Lilly & Co. | put | New | 1,000 | $8K |
| GNRC Generac Holdings Inc. | put | Add +11.1% | 1,000 | $7K |
| PII Polaris Inc. | put | New | 900 | $5K |
| MDT Medtronic PLC | put | Add +100.0% | 800 | $2K |
| GIS General Mills Inc. | put | Add +100.0% | 600 | $1K |
| ABNB Airbnb Inc. Class A | put | Sold out | 300 | $1Kbefore exit |
| GMS GMS Inc. | put | New | 1,000 | $850 |
| XLF SS Financial Select Sector | put | New | 2,000 | $800 |
| CPB The Campbell's Company | put | New | 300 | $780 |
| MOS The Mosaic Co. | put | New | 300 | $726 |
| IWM iShares Russell 2000 ETF | put | New | 1,000 | $550 |
| DVY iShares Select Dividend ETF | put | Reduce -40.0% | 300 | $495 |
| PLTR Palantir Technologies Inc. Class A | call | New | 1,000 | $380 |
| F Ford Motor Co. | put | New | 1,000 | $300 |
| RGR Sturm Ruger & Co. Inc. | put | New | 200 | $300 |
| OLN Olin Corp. | put | New | 100 | $250 |
| UBER Uber Technologies Inc. | put | New | 100 | $194 |
| TSN Tyson Foods Inc. Class A | put | Sold out | 300 | $180before exit |
| EW Edwards Lifesciences Corp. | put | Sold out | 300 | $156before exit |
| QQQ Invesco QQQ Trust Series 1 | put | New | 1,200 | $120 |
| K Kellanova | put | Sold out | 200 | $120before exit |
| CAT Caterpillar Inc. | put | New | 1,000 | $110 |
| KDP Keurig Dr Pepper Inc. | put | Sold out | 200 | $70before exit |
| BOTZ Global X Robotics & Artifici | put | New | 100 | $5 |
Calls and puts are listed by the shares they cover; their value is not part of the stock holdings above.
Notes & Other Activity Q4 2023 → Q1 2024
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | New | 473 | $576K |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | New | 7,200 | $310K |
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | New | 244 | $290K |
| PSEWF Paysafe Ltd. -CW26 | *W EXP 03/30/202 | Add +0.0% | 118,910 | $4K |
Bonds, preferreds, convertibles and warrants; not part of the stock holdings or percentages above.
All Filings
| Quarter | Positions | 13F Reported Value | Top Holdings |
|---|---|---|---|
| Q2 2026 | 4,849 | $109.8B | IVV, AAPL, NVDA, VTV, QQQ |
| Q1 2026 | 4,660 | $94.0B | IVV, AAPL, NVDA, VTV, AGG |
| Q4 2025 | 4,586 | $91.5B | IVV, AAPL, NVDA, AGG, VTV |
| Q3 2025 | 4,486 | $86.0B | IVV, NVDA, AAPL, AGG, MSFT |
| Q2 2025 | 4,038 | $59.3B | NVDA, IVV, AAPL, MSFT, QQQ |
| Q1 2025 | 3,936 | $51.6B | IVV, AAPL, NVDA, QQQ, MSFT |
| Q4 2024 | 3,719 | $47.8B | AAPL, IVV, NVDA, MSFT, SPY |
| Q3 2024 | 3,674 | $45.7B | AAPL, IVV, MSFT, NVDA, SPY |
| Q2 2024 | 3,677 | $43.4B | IVV, AAPL, MSFT, NVDA, QQQ |
| Q1 2024Amended | 3,653 | $42.4B | IVV, AAPL, MSFT, QQQ, SPY |