Cetera Investment Advisers
In its 13F for Q3 2024 (holdings as of September 30, 2024, filed November 13, 2024), Cetera Investment Advisers reported 3,674 stock positions worth $45.7 billion. Its top holding was Apple (AAPL) at 2.6% of the portfolio, followed by iShares Core S&P 500 ETF (IVV, 2.6%) and Microsoft (MSFT, 1.8%). Compared with Q2 2024, it opened 219 new positions, sold out of 224, added to 1,884 and reduced 1,503. The biggest buy was iShares Core U.S. Aggregate (AGG, shares +43%) and the biggest sale an exit from Invesco QQQ Trust Series 1 (QQQ).
- Most Recent 13F
- Q2 2026
- Location
- SCHAUMBURG, IL
- CIK
- 0001666741
- Portfolio Value
- $45.7B (Q3 2024)
- SEC Filing
- 0001085146-24-005656 ↗ filed Nov 13, 2024
Holdings Value
Holdings 3,674 stocks · $45.7B
| AAPL Apple Inc. | 2.65% | 5,191,490 | $1.2B | Reduce -0.5% |
| IVV iShares Core S&P 500 ETF | 2.56% | 2,031,242 | $1.2B | Reduce -5.0% |
| MSFT Microsoft Corp. | 1.83% | 1,944,862 | $836.9M | Add +2.1% |
| NVDA Nvidia Corp. | 1.81% | 6,817,554 | $827.9M | Add +2.6% |
| SPY SS SPDR S&P 500 ETF Trust-US | 1.63% | 1,302,402 | $747.3M | Add +0.7% |
| VOO Vanguard S&P 500 ETF | 1.47% | 1,270,617 | $670.5M | Add +1.5% |
| VTI VG Morningstar TS MKT ETF-US | 1.38% | 2,221,186 | $629.0M | Reduce -6.1% |
| AGG iShares Core U.S. Aggregate | 1.20% | 5,431,108 | $550.0M | Add +43.4% |
| AMZN Amazon.com Inc. | 1.18% | 2,886,984 | $537.9M | Add +1.3% |
| IUSB Ishr CR Unvrse Usd BD ETF-Ui | 1.11% | 10,772,307 | $507.6M | Add +20.2% |
| IWF iShares Russell 1000 Growth | 1.04% | 1,270,464 | $476.9M | Reduce -4.0% |
| VUG Vanguard Mrngstar GR ETF-Sui | 0.89% | 1,058,399 | $406.4M | Add +1.8% |
| VTV Vanguard Mrngstr Val ETF-Aui | 0.86% | 2,253,375 | $393.4M | Add +0.1% |
| BND Vanguard Total Bond Market | 0.83% | 5,078,334 | $381.4M | Add +3.3% |
| QUAL iShares MSCI USA Quality Fac | 0.77% | 1,972,966 | $353.8M | Add +8.5% |
| VXUS Vanguard Total Intl Stock | 0.72% | 5,082,120 | $329.0M | Add +0.7% |
| IVW iShares S&P 500 Growth ETF | 0.67% | 3,178,543 | $304.3M | Reduce -4.3% |
| BRK.B Berkshire Hathaway Inc. Class B | 0.64% | 638,496 | $293.9M | Add +4.3% |
| IVE iShares S&P 500 Value ETF | 0.63% | 1,465,294 | $288.9M | Add +4.3% |
| IEFA iShares Core MSCI Eafe ETF | 0.58% | 3,393,556 | $264.9M | Add +1.8% |
| COWZ Pacer US Cash Cows 100 ETF | 0.58% | 4,575,334 | $264.6M | Add +5.2% |
| META Meta Platforms Inc. Class A | 0.55% | 440,636 | $252.2M | Add +1.7% |
| BUFR FT Vest Lad Buffervetf-Usd I | 0.54% | 8,292,636 | $247.9M | Add +12.9% |
| VEA Vanguard Ftse Developed ETF | 0.53% | 4,582,887 | $242.0M | Add +1.1% |
| GOOGL Alphabet Inc. Class A | 0.52% | 1,431,371 | $237.4M | Reduce -0.8% |
| JEPI JPMorgan Equity Premium Inco | 0.50% | 3,849,147 | $229.1M | Reduce -8.1% |
| CGDV Cap Group Dividend Value filed as CAPITAL GROUP DIVIDEND VALUE | 0.47% | 5,938,231 | $216.4M | Add +17.5% |
| IJR iShares Core S&P Small-Cap E | 0.46% | 1,793,109 | $209.7M | Add +2.8% |
| IWD iShares Russell 1000 Value E | 0.46% | 1,103,619 | $209.5M | Reduce -1.8% |
| QQQM Invesco Nasdaq 100 ETF | 0.45% | 1,029,123 | $206.7M | Reduce -1.9% |
| VYM Vanguard High DVD Yield ETF | 0.44% | 1,586,530 | $203.4M | Add +0.2% |
| LLY Eli Lilly & Co. | 0.44% | 226,792 | $200.9M | Add +0.8% |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | 0.44% | 755,537 | $199.3M | Add +3.7% |
| BNDX Vanguard Total Intl Bond ETF | 0.43% | 3,888,939 | $195.5M | Reduce -4.0% |
| SCHG Schwab US Large-Cap Growth | 0.42% | 1,843,785 | $192.1M | Add +3.3% |
| BIL SS SPDR BB 1-3M T-Bill ETF | 0.41% | 2,045,927 | $187.8M | Reduce -35.1% |
| JPM JPMorgan Chase & Co. | 0.41% | 881,974 | $186.0M | Add +0.2% |
| AVGO Broadcom Inc. | 0.40% | 1,072,099 | $184.9M | Add +3.8% |
| DYNF Ishrs US E F R A ETF-Usd Inc. | 0.40% | 3,686,339 | $182.4M | Add +14.2% |
| SPYG SS SPDR P S&P 500 Growth ETF | 0.39% | 2,140,048 | $177.5M | Reduce -12.8% |
| V Visa Inc. Class A | 0.38% | 633,498 | $174.2M | Reduce -0.7% |
| HD Home Depot Inc. | 0.38% | 428,305 | $173.5M | Add +0.3% |
| XLK SS Technology Select Sector | 0.38% | 765,901 | $172.9M | Reduce -2.8% |
| USMV iShares MSCI USA Min Vol Fac | 0.36% | 1,824,049 | $166.6M | Reduce -1.1% |
| GLD SPDR Gold Shares | 0.36% | 683,151 | $166.0M | Add +1.4% |
| GOOG Alphabet Inc. Class C | 0.36% | 992,171 | $165.9M | Reduce -0.2% |
| VIG Vanguard Dividend Apprec ETF | 0.36% | 832,126 | $164.8M | Add +0.8% |
| DGRW Wisdomtree U.S. Quality Divi | 0.36% | 1,965,250 | $163.5M | Add +4.1% |
| MUB iShares National Muni Bond E | 0.36% | 1,494,392 | $162.3M | Add +5.9% |
| EFG iShares MSCI Eafe Growth ETF | 0.35% | 1,496,365 | $161.1M | Reduce -3.3% |
| SPYM Ste STR SPDR PT S&P 500 ETF | 0.35% | 2,373,705 | $160.2M | Add +3.7% |
| EFV iShares MSCI Eafe Value ETF | 0.35% | 2,761,085 | $158.8M | Add +90.6% |
| IEMG iShares Core MSCI Emerging | 0.35% | 2,765,439 | $158.8M | Reduce -12.7% |
| SCHD Schwab US DVD Equity ETF | 0.34% | 1,855,458 | $156.8M | Reduce -6.1% |
| IJH iShares Core S&P Midcap ETF | 0.34% | 2,512,689 | $156.6M | Reduce -6.7% |
| IWM iShares Russell 2000 ETF | 0.34% | 693,406 | $153.2M | Add +2.5% |
| SPYV SS SPDR P S&P 500 Value ETF | 0.33% | 2,891,977 | $152.9M | Add +16.8% |
| RDVY First Trust Rising Dividend | 0.33% | 2,518,932 | $149.1M | Add +0.9% |
| XOM Exxon Mobil Corp. | 0.33% | 1,268,915 | $148.7M | Add +2.0% |
| JAAA Janus Henderson Aaa Clo ETF | 0.32% | 2,900,829 | $147.6M | Add +18.8% |
| MBB iShares MBS ETF | 0.32% | 1,512,367 | $144.9M | Add +4.4% |
| TSLA Tesla Inc. | 0.32% | 551,441 | $144.3M | Reduce -3.8% |
| WMT Walmart Inc. | 0.31% | 1,734,112 | $140.0M | Add +2.5% |
| XLV SS Health Care Select Sector | 0.30% | 888,093 | $136.8M | Reduce -0.9% |
| COST Costco Wholesale Corp. | 0.30% | 154,163 | $136.7M | Add +2.8% |
| VGT Vanguard Info Tech ETF | 0.30% | 231,337 | $135.7M | Add +0.9% |
| CGGR Cap Group Growth Equity | 0.29% | 3,871,896 | $134.7M | Add +22.8% |
| UNH Unitedhealth Group Inc. | 0.29% | 227,511 | $133.0M | Add +1.1% |
| DGRO iShares Core Dividend Growth | 0.29% | 2,121,352 | $133.0M | Add +6.9% |
| AMD Advanced Micro Devices | 0.29% | 795,571 | $130.5M | Reduce -0.8% |
| TLT iShares 20+ Year Treasury BD | 0.29% | 1,329,033 | $130.4M | Add +9.1% |
| VWO Vanguard Ftse Emerging Marke | 0.28% | 2,687,075 | $128.6M | Add +2.4% |
| VBR Vngrd Mrngst SL-CP Val ETF-U | 0.28% | 635,026 | $127.5M | Add +4.8% |
| ABBV Abbvie Inc. | 0.27% | 613,425 | $121.1M | Add +0.5% |
| PG The Procter & Gamble Co. | 0.26% | 694,832 | $120.3M | Reduce -3.5% |
| JPST JPMorgan Ultra-Short Income | 0.26% | 2,355,247 | $119.5M | Add +0.4% |
| VNQ Vanguard Real Estate ETF | 0.26% | 1,213,242 | $118.2M | Reduce -6.7% |
| VB Vanguard Most SM-Cap ETF-Usd | 0.26% | 492,136 | $116.7M | Add +1.6% |
| SDVY First Trust Smid Cap Rising | 0.25% | 3,121,943 | $113.6M | Add +28.9% |
| BSV Vanguard Short-Term Bond ETF | 0.25% | 1,431,881 | $112.7M | Reduce -6.3% |
| LMT Lockheed Martin Corp. | 0.24% | 188,971 | $110.5M | Add +0.7% |
| IYW iShares Ustechnology ETF | 0.24% | 727,730 | $110.3M | Reduce -3.0% |
| MA Mastercard Inc. Class A | 0.23% | 216,028 | $106.7M | Add +1.7% |
| CVX Chevron Corp. | 0.23% | 723,052 | $106.5M | Add +1.1% |
| IWR iShares Russell Mid-Cap ETF | 0.23% | 1,194,643 | $105.3M | Reduce -2.0% |
| IXUS iShares Core Intl Stock ETF | 0.23% | 1,448,106 | $105.2M | Add +2.3% |
| JNJ Johnson & Johnson | 0.23% | 644,526 | $104.5M | Reduce -1.1% |
| TFLO iShares Treasury Floating Ra | 0.23% | 2,035,153 | $103.0M | Reduce -1.4% |
| EMXC iShares MSCI Emr MRK Ex Chna | 0.22% | 1,638,677 | $100.1M | Add +29.8% |
| GSLC Goldman Activebeta US LC ETF | 0.22% | 875,937 | $98.9M | Add +1.5% |
| CGCP Cap Group Core Plus Income | 0.21% | 4,233,308 | $97.9M | Add +28.8% |
| SDY SS SPDR S&P Dividend ETF | 0.21% | 681,391 | $96.8M | Reduce -0.2% |
| FTRB Fed Hermes TTL RTRN BND | 0.21% | 3,730,214 | $96.2M | Add +1283.6% |
| RSP Invesco S&P 500 Equal Weight | 0.21% | 534,913 | $95.8M | Add +5.8% |
| CALF PCR US SM CP CSH CWS ETF-Usd | 0.21% | 2,051,532 | $95.4M | Add +4.9% |
| VV Vngrd Mrgstr LRG-Cap ETF-Usd | 0.21% | 361,115 | $95.1M | Reduce -4.0% |
| FVD First Trust Value Line DVD | 0.21% | 2,077,021 | $94.5M | Reduce -8.1% |
| IQLT iShares MSCI International Q | 0.20% | 2,257,829 | $93.7M | Add +8.6% |
| CAT Caterpillar Inc. | 0.20% | 237,994 | $93.1M | Add +0.9% |
| CGUS Cap Group Core Equity filed as CAPITAL GROUP CORE EQUITY ET | 0.20% | 2,666,006 | $91.4M | Add +14.0% |
Options reported separately and not counted above: SPY puts ($42K), AMZN calls ($37K), NVDA calls ($27K), AG calls ($12K), IJR puts ($10K), XLE calls ($8K), KWEB puts ($7K), TSLA calls ($6K), FIVE puts ($6K), NRG puts ($5K), PII puts ($5K), DIA puts ($4K), and 20 more.
Other holdings (8): bonds, preferreds, convertibles and warrants · $1.3M (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | 460 | $589K | Add +2.0% |
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | 265 | $337K | Add +18.8% |
| NEXTERA ENERGY INC (NEE 6.926 09/01/25) | UNIT 09/01/2025 | 4,495 | $208K | New |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | 6,787 | $202K | Reduce -2.5% |
| GABELLI UTILITY TRUST/THE | RIGHT 10/21/2024 | 104,365 | $3K | Reduce -21.9% |
| PSEWF Paysafe Ltd. -CW26 | *W EXP 03/30/202 | 112,910 | $3K | Reduce -5.0% |
| SKYAW Sharps Technology Inc. -27 | *W EXP 04/13/202 | 16,500 | $838 | No change |
| WESTERN ASSET GLOBAL HIGH-RT | RIGHT 10/08/2024 | 16,641 | $183 | Reduce -1.2% |
Total filed on the 13F, all lines: $45.7B.
Portfolio Sells Q2 2024 → Q3 2024
| QQQ Invesco QQQ Trust Series 1 | Sold out | 0.00% | −1.81 |
| FTCS First Trust Capital Strength | Sold out | 0.00% | −0.30 |
| XHLF Bondbloxx BBG 6 MTH US Treas | Sold out | 0.00% | −0.28 |
| BIL SS SPDR BB 1-3M T-Bill ETF | Reduce -35.1% | 0.41% | −0.26 |
| IVV iShares Core S&P 500 ETF | Reduce -5.0% | 2.56% | −0.13 |
| GOOGL Alphabet Inc. Class A | Reduce -0.8% | 0.52% | −0.09 |
| BLK BlackRock Finance Inc. | Sold out | 0.00% | −0.08 |
| VTI VG Morningstar TS MKT ETF-US | Reduce -6.1% | 1.38% | −0.08 |
| RTX RTX Corp. | Sold out | 0.00% | −0.08 |
| LRCX Lam Research Corp. | Sold out | 0.00% | −0.07 |
| IWF iShares Russell 1000 Growth | Reduce -4.0% | 1.04% | −0.07 |
| SMCI Super Micro Computer Inc. | Sold out | 0.00% | −0.06 |
| SPYG SS SPDR P S&P 500 Growth ETF | Reduce -12.8% | 0.39% | −0.06 |
| GOOG Alphabet Inc. Class C | Reduce -0.2% | 0.36% | −0.06 |
| HEFA Isha Curr Hedged MSCI Eafe | Reduce -58.4% | 0.03% | −0.05 |
| TGT Target Corp. | Sold out | 0.00% | −0.05 |
| IWY iShares Russell Top 200 Grow | Reduce -36.2% | 0.08% | −0.05 |
| DXJ Wisdomtree Japan Hedged Eq | Reduce -87.7% | 0.01% | −0.05 |
| FPE FT-Preferred Secur & Inc. ETF | Sold out | 0.00% | −0.05 |
| JEPI JPMorgan Equity Premium Inco | Reduce -8.1% | 0.50% | −0.05 |
| IEMG iShares Core MSCI Emerging | Reduce -12.7% | 0.35% | −0.04 |
| IVW iShares S&P 500 Growth ETF | Reduce -4.3% | 0.67% | −0.04 |
| FDN First Trust DJ Internet Ind | Sold out | 0.00% | −0.04 |
| JEPQ JPM Nasdaq Equity Premium | Reduce -13.5% | 0.16% | −0.04 |
| COR Cencora Inc. | Sold out | 0.00% | −0.04 |
| TIP iShares Tips Bond ETF | Reduce -31.1% | 0.07% | −0.04 |
| MRK Merck & Co. Inc. | Reduce -3.8% | 0.18% | −0.03 |
| XLK SS Technology Select Sector | Reduce -2.8% | 0.38% | −0.03 |
| TTE Totalenergies SE -Spon ADR | Sold out | 0.00% | −0.03 |
| EW Edwards Lifesciences Corp. | Sold out | 0.00% | −0.03 |
| GLDM SPDR Gold Minishares Trust | Sold out | 0.00% | −0.03 |
| SCHM Schwab US Mid Cap ETF | Reduce -49.4% | 0.03% | −0.03 |
| FAPR FT Vest U.S. Equity Buffer E | Reduce -79.5% | 0.01% | −0.03 |
| NEAR iShares SH Dba ETF Usd Inc. | Reduce -32.2% | 0.05% | −0.03 |
| BNDX Vanguard Total Intl Bond ETF | Reduce -4.0% | 0.43% | −0.03 |
| USFR Wisdomtree Floating Rate Tre | Reduce -6.8% | 0.20% | −0.03 |
| CGW Invesco S&P Global Water Ind | Sold out | 0.00% | −0.02 |
| MU Micron Technology Inc. | Reduce -9.3% | 0.05% | −0.02 |
| DFAC Dimensional US Core Equity 2 | Reduce -16.0% | 0.14% | −0.02 |
| APRW Allinzim US Eq BFR20 Apr-Usd | Reduce -62.0% | 0.01% | −0.02 |
| QQQM Invesco Nasdaq 100 ETF | Reduce -1.9% | 0.45% | −0.02 |
| BSV Vanguard Short-Term Bond ETF | Reduce -6.3% | 0.25% | −0.02 |
| TRV The Travelers Cos Inc. | Sold out | 0.00% | −0.02 |
| PWR Quanta Services Inc. | Sold out | 0.00% | −0.02 |
| QDEC FT Vest Nasdaq-100 Buffer Et | Reduce -44.1% | 0.03% | −0.02 |
| FTNT Fortinet Inc. | Sold out | 0.00% | −0.02 |
| NVO Novo-Nordisk A/S-Spons ADR | Reduce -1.2% | 0.07% | −0.02 |
| DMAR FT Vest US Equity Deep Buffe | Reduce -80.4% | 0.00% | −0.02 |
| IJH iShares Core S&P Midcap ETF | Reduce -6.7% | 0.34% | −0.02 |
| SPMO Invesco S&P 500 Momentum ETF | Reduce -25.0% | 0.06% | −0.02 |
Portfolio Buys Q2 2024 → Q3 2024
| AGG iShares Core U.S. Aggregate | Add +43.4% | 1.20% | +0.36 |
| FTRB Fed Hermes TTL RTRN BND | Add +1283.6% | 0.21% | +0.20 |
| IUSB Ishr CR Unvrse Usd BD ETF-Ui | Add +20.2% | 1.11% | +0.18 |
| EFV iShares MSCI Eafe Value ETF | Add +90.6% | 0.35% | +0.17 |
| CGDV Cap Group Dividend Value | Add +17.5% | 0.47% | +0.09 |
| TCHP T Rowe Price Blue Chip Growt | Add +763.2% | 0.09% | +0.08 |
| HELO JPMorgan Hedged Equity ETF | Add +305.6% | 0.10% | +0.08 |
| CGMU Cap Group Municipal Income | Add +136.0% | 0.13% | +0.07 |
| BINC iShares Flex I A ETF-Usd Inc. | Add +73.6% | 0.18% | +0.07 |
| SHY iShares 1-3 Year Treasury Bo | Add +71.3% | 0.18% | +0.07 |
| BRK.B Berkshire Hathaway Inc. Class B | Add +4.3% | 0.64% | +0.07 |
| IWX iShares Russell Top 200 Valu | Add +557.9% | 0.08% | +0.07 |
| SDVY First Trust Smid Cap Rising | Add +28.9% | 0.25% | +0.06 |
| VGSH Vanguard Short-Term Treasury | Add +64.3% | 0.17% | +0.06 |
| TLH iShares 10-20 Year Treasury | Add +57.4% | 0.16% | +0.06 |
| QUAL iShares MSCI USA Quality Fac | Add +8.5% | 0.77% | +0.06 |
| SPYV SS SPDR P S&P 500 Value ETF | Add +16.8% | 0.33% | +0.06 |
| CGGR Cap Group Growth Equity | Add +22.8% | 0.29% | +0.06 |
| BUFR FT Vest Lad Buffervetf-Usd I | Add +12.9% | 0.54% | +0.05 |
| DYNF Ishrs US E F R A ETF-Usd Inc. | Add +14.2% | 0.40% | +0.05 |
| META Meta Platforms Inc. Class A | Add +1.7% | 0.55% | +0.05 |
| EMXC iShares MSCI Emr MRK Ex Chna | Add +29.8% | 0.22% | +0.05 |
| CGCP Cap Group Core Plus Income | Add +28.8% | 0.21% | +0.05 |
| QLTA iShares Aaa - A Rated Corpor | Add +278.6% | 0.06% | +0.05 |
| IVE iShares S&P 500 Value ETF | Add +4.3% | 0.63% | +0.04 |
| PVAL Putnam Focused LRG Cap Value | Add +50.5% | 0.13% | +0.04 |
| WMT Walmart Inc. | Add +2.5% | 0.31% | +0.04 |
| HD Home Depot Inc. | Add +0.3% | 0.38% | +0.04 |
| LMT Lockheed Martin Corp. | Add +0.7% | 0.24% | +0.04 |
| JAAA Janus Henderson Aaa Clo ETF | Add +18.8% | 0.32% | +0.04 |
| EQWL Invesco S&P 100 Equal Weight | Add +60.5% | 0.09% | +0.04 |
| HDV iShares Core High Dividend E | Add +40.1% | 0.12% | +0.04 |
| COWZ Pacer US Cash Cows 100 ETF | Add +5.2% | 0.58% | +0.03 |
| XLU St Sr Utl SL SE SPDR ETF-Usd | Add +13.1% | 0.15% | +0.03 |
| CGDG Cap Group Dividend Growers | Add +117.0% | 0.06% | +0.03 |
| SHV iShares 0-1 Year Treasury Bo | Add +29.7% | 0.17% | +0.03 |
| IJR iShares Core S&P Small-Cap E | Add +2.8% | 0.46% | +0.03 |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | Add +3.7% | 0.44% | +0.03 |
| CGGO Cap Group Global Growth | Add +28.2% | 0.15% | +0.03 |
| PSFF Pacer Swan Sos Fund of Funds | Add +52.5% | 0.09% | +0.03 |
| GLD SPDR Gold Shares | Add +1.4% | 0.36% | +0.03 |
| MCD McDonald's Corp. | Add +4.5% | 0.19% | +0.03 |
| PLTR Palantir Technologies Inc. Class A | Add +21.6% | 0.07% | +0.03 |
| VTV Vanguard Mrngstr Val ETF-Aui | Add +0.1% | 0.86% | +0.03 |
| TLT iShares 20+ Year Treasury BD | Add +9.1% | 0.29% | +0.03 |
| DGRO iShares Core Dividend Growth | Add +6.9% | 0.29% | +0.03 |
| UNH Unitedhealth Group Inc. | Add +1.1% | 0.29% | +0.03 |
| CGUS Cap Group Core Equity | Add +14.0% | 0.20% | +0.03 |
| IBM Intl Business Machines Corp. | Add +0.8% | 0.14% | +0.03 |
| IGSB iShares 1-5Y Inv Grade Corp. | Add +34.7% | 0.10% | +0.02 |
Options Activity Q2 2024 → Q3 2024
| SPY SS SPDR S&P 500 ETF Trust-US | put | Reduce -35.4% | 3,100 | $42K |
| AMZN Amazon.com Inc. | call | New | 1,000 | $37K |
| URA Global X Uranium ETF | put | Sold out | 10,300 | $35Kbefore exit |
| NVDA Nvidia Corp. | call | New | 8,500 | $27K |
| QCOM Qualcomm Inc. | call | Sold out | 500 | $16Kbefore exit |
| AG First Majestic Silver Corp. | call | Add +55.6% | 28,000 | $12K |
| CCJ Cameco Corp. | put | Sold out | 6,100 | $11Kbefore exit |
| IJR iShares Core S&P Small-Cap E | put | Reduce -20.0% | 2,800 | $10K |
| XLE SS Energy Select Sector | call | Reduce -30.8% | 5,400 | $8K |
| KWEB Kranesh Csi China Internet | put | New | 3,200 | $7K |
| CRWD CrowdStrike Holdings Inc. Class A | put | Sold out | 400 | $6Kbefore exit |
| FIVE Five Below | put | Add +25.0% | 500 | $6K |
| NRG NRG Energy Inc. | put | New | 6,400 | $5K |
| DIA SS SPDR Dow Jones Indus Avg | put | Reduce -20.0% | 400 | $4K |
| CRM Salesforce Inc. | call | Sold out | 1,000 | $3Kbefore exit |
| ASHR Xtrackers Harvest Csi 300 CH | put | New | 3,600 | $3K |
| RSP Invesco S&P 500 Equal Weight | put | Reduce -66.7% | 1,000 | $3K |
| MDT Medtronic PLC | put | Add +14.3% | 800 | $3K |
| FICO Fair Isaac Corp. | put | Sold out | 200 | $2Kbefore exit |
| SOLV Solventum Corp. | put | Sold out | 700 | $2Kbefore exit |
| AEM Agnico Eagle Mines Ltd. | call | New | 100 | $2K |
| GMS GMS Inc. | put | Sold out | 1,000 | $1Kbefore exit |
| HRL Hormel Foods Corp. | put | Sold out | 300 | $1Kbefore exit |
| MOS The Mosaic Co. | put | Sold out | 300 | $882before exit |
| ZTS Zoetis Inc. | put | Sold out | 700 | $840before exit |
| CPB The Campbell's Company | put | Sold out | 300 | $525before exit |
| CAG Conagra Brands Inc. | put | Sold out | 200 | $300before exit |
| WMT Walmart Inc. | put | New | 200 | $256 |
| DVY iShares Select Dividend ETF | put | Sold out | 300 | $240before exit |
| TSLA Tesla Inc. | put | New | 100 | $215 |
| RGR Sturm Ruger & Co. Inc. | put | Sold out | 100 | $200before exit |
| ALB Albemarle Corp. | put | New | 100 | $163 |
| KO The Coca-Cola Co. | put | Sold out | 200 | $130before exit |
| BOTZ Global X Robotics & Artifici | put | Sold out | 100 | $100before exit |
| HYPR Hyperfine Inc. | call | New | 10,000 | $100 |
| AMD Advanced Micro Devices | call | Sold out | 1,000 | $80before exit |
| MSFT Microsoft Corp. | put | Sold out | 300 | $27before exit |
Calls and puts are listed by the shares they cover; their value is not part of the stock holdings above.
Notes & Other Activity Q2 2024 → Q3 2024
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | Add +2.0% | 460 | $589K |
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | Add +18.8% | 265 | $337K |
| NEXTERA ENERGY INC (NEE 6.926 09/01/25) | UNIT 09/01/2025 | New | 4,495 | $208K |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | Reduce -2.5% | 6,787 | $202K |
| GABELLI UTILITY TRUST/THE | RIGHT 10/21/2024 | Reduce -21.9% | 104,365 | $3K |
| PSEWF Paysafe Ltd. -CW26 | *W EXP 03/30/202 | Reduce -5.0% | 112,910 | $3K |
| WESTERN ASSET GLOBAL HIGH-RT | RIGHT 10/08/2024 | Reduce -1.2% | 16,641 | $183 |
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 |