Cetera Investment Advisers

In its 13F for Q1 2026 (holdings as of March 31, 2026, filed May 13, 2026), Cetera Investment Advisers reported 4,660 stock positions worth $94.0 billion. Its top holding was iShares Core S&P 500 ETF (IVV) at 3.0% of the portfolio, followed by Apple (AAPL, 1.9%) and Nvidia (NVDA, 1.8%). Compared with Q4 2025, it opened 256 new positions, sold out of 182, added to 2,683 and reduced 1,635. The biggest buy was iShares US Treasury Bond ETF (GOVT, shares +145%) and the biggest sale iShares S&P 100 ETF (OEF, shares −85%).

Most Recent 13F
Q2 2026
Location
SCHAUMBURG, IL
CIK
0001666741
Portfolio Value
$94.0B (Q1 2026)
SEC Filing
0001666741-26-000002 ↗ filed May 13, 2026

Holdings Value

0$50.0B$100.0B$150.0B Q1 2024: $42.4B Q1 2024 Q2 2024: $43.4B Q2 2024 Q3 2024: $45.7B Q3 2024 Q4 2024: $47.8B Q4 2024 Q1 2025: $51.6B Q1 2025 Q2 2025: $59.3B Q2 2025 Q3 2025: $86.0B Q3 2025 Q4 2025: $91.5B Q4 2025 Q1 2026: $94.0B $94.0B Q1 2026 Q2 2026: $109.8B Q2 2026

Holdings 4,660 stocks · $94.0B
IVV iShares Core S&P 500 ETF 2.96% 4,260,894 $2.8B Add +5.3%
AAPL Apple Inc. 1.90% 7,051,511 $1.8B Add +1.6%
NVDA Nvidia Corp. 1.78% 9,618,546 $1.7B Add +0.3%
VTV Vanguard Mrngstr Val ETF-Aui 1.62% 7,740,408 $1.5B Add +4.0%
AGG iShares Core U.S. Aggregate 1.61% 15,252,353 $1.5B Reduce -1.1%
QQQ Invesco QQQ Trust Series 1 1.39% 2,262,665 $1.3B Add +1.6%
VOO Vanguard S&P 500 ETF 1.27% 2,000,963 $1.2B Add +3.2%
SPY SS SPDR S&P 500 ETF Trust-US 1.25% 1,811,359 $1.2B Reduce -1.1%
VTI VG Morningstar TS MKT ETF-US 1.15% 3,364,602 $1.1B Add +3.5%
MSFT Microsoft Corp. 1.13% 2,878,640 $1.1B Add +4.5%
VONG Vanguard Russell 1000 Growth 1.11% 9,492,332 $1.0B Reduce -7.0%
IEFA iShares Core MSCI Eafe ETF 1.11% 11,479,180 $1.0B Add +6.7%
VUG Vanguard Mrngstar GR ETF-Sui 1.07% 2,298,549 $1.0B Add +8.2%
AMZN Amazon.com Inc. 0.99% 4,469,661 $930.9M Add +3.3%
CGDV Cap Group Dividend Value filed as CAPITAL GROUP DIVIDEND VALUE 0.83% 18,359,294 $781.0M Add +11.9%
SCHD Schwab US DVD Equity ETF 0.79% 24,184,523 $742.0M Reduce -30.1%
IVE iShares S&P 500 Value ETF 0.74% 3,295,130 $695.8M Reduce -3.4%
IWF iShares Russell 1000 Growth 0.71% 1,569,465 $669.2M Add +0.4%
GOOGL Alphabet Inc. Class A 0.66% 2,170,893 $624.3M Add +0.4%
IEMG iShares Core MSCI Emerging 0.65% 8,765,443 $611.4M Reduce -6.3%
BND Vanguard Total Bond Market 0.60% 7,625,939 $561.6M Reduce -0.8%
IVW iShares S&P 500 Growth ETF 0.57% 4,754,617 $537.8M Add +5.4%
QQQM Invesco Nasdaq 100 ETF 0.56% 2,217,040 $526.8M Add +5.7%
SCHG Schwab US Large-Cap Growth 0.56% 17,955,640 $523.0M Add +5.9%
VXUS Vanguard Total Intl Stock 0.54% 6,609,737 $509.7M Add +1.1%
VEA Vanguard Ftse Developed ETF 0.53% 7,762,066 $497.4M Add +1.0%
AVGO Broadcom Inc. 0.52% 1,571,853 $486.5M Add +5.1%
BRK.B Berkshire Hathaway Inc. Class B 0.50% 975,250 $467.3M Add +3.8%
IUSB Ishr CR Unvrse Usd BD ETF-Ui 0.49% 10,043,013 $463.9M Add +5.5%
BUFR FT Vest Lad Buffervetf-Usd I 0.48% 13,458,771 $454.5M Add +4.7%
GOOG Alphabet Inc. Class C 0.47% 1,525,538 $437.6M Add +3.6%
IWM iShares Russell 2000 ETF 0.46% 1,758,333 $436.1M Add +2.0%
META Meta Platforms Inc. Class A 0.46% 761,399 $435.6M Add +2.4%
DYNF Ishrs US E F R A ETF-Usd Inc. 0.46% 7,448,937 $433.4M Reduce -4.7%
JPM JPMorgan Chase & Co. 0.44% 1,417,978 $417.1M Add +1.8%
XOM Exxon Mobil Corp. 0.43% 2,381,079 $404.0M Add +0.9%
VYM Vanguard High DVD Yield ETF 0.43% 2,699,936 $399.9M Add +2.1%
BIL SS SPDR BB 1-3M T-Bill ETF 0.42% 4,348,951 $398.5M Add +52.0%
VO Vngrd Mrngstr MD-Cap ETF-Usd 0.42% 1,384,756 $397.7M Add +8.3%
CGGR Cap Group Growth Equity 0.42% 9,800,927 $393.9M Add +19.4%
PVAL Putnam Focused LRG Cap Value 0.41% 8,337,155 $386.8M Add +21.6%
SPYM Ste STR SPDR PT S&P 500 ETF 0.40% 4,862,925 $372.2M Add +9.7%
GLD SPDR Gold Shares 0.39% 852,019 $366.6M Reduce -4.2%
IJR iShares Core S&P Small-Cap E 0.38% 2,889,255 $359.2M Add +1.4%
TSLA Tesla Inc. 0.38% 959,446 $356.7M Add +3.7%
COWZ Pacer US Cash Cows 100 ETF 0.37% 5,612,900 $351.1M Reduce -2.5%
WMT Walmart Inc. 0.37% 2,815,570 $349.9M Add +1.0%
JEPI JPMorgan Equity Premium Inco 0.37% 6,083,774 $344.8M Add +10.0%
MUB iShares National Muni Bond E 0.36% 3,210,936 $340.8M Add +14.9%
VB Vanguard Most SM-Cap ETF-Usd 0.34% 1,230,968 $322.4M Add +5.4%
LLY Eli Lilly & Co. 0.34% 345,970 $318.2M Add +4.9%
SDVY First Trust Smid Cap Rising 0.33% 7,943,362 $313.2M Add +3.0%
FBND Fidelity Total Bond ETF 0.33% 6,801,133 $310.3M Add +15.9%
QUAL iShares MSCI USA Quality Fac 0.32% 1,574,045 $301.9M Add +2.9%
SPYG SS SPDR P S&P 500 Growth ETF 0.32% 3,077,881 $301.4M Reduce -0.7%
EFV iShares MSCI Eafe Value ETF 0.31% 3,915,091 $291.1M Add +0.5%
JAAA Janus Henderson Aaa Clo ETF 0.30% 5,552,525 $279.7M Add +16.1%
CGGO Cap Group Global Growth filed as CAPITAL GROUP GBL GROWTH EQT 0.29% 8,296,479 $276.9M Add +7.3%
RDVY First Trust Rising Dividend 0.29% 4,044,145 $276.1M Add +8.0%
BNDX Vanguard Total Intl Bond ETF 0.29% 5,646,589 $271.3M Add +5.7%
IWD iShares Russell 1000 Value E 0.28% 1,229,673 $262.7M Reduce -5.1%
VWO Vanguard Ftse Emerging Marke 0.28% 4,809,582 $260.0M Add +0.2%
IDEV iShares Core MSCI Dev MKTS 0.28% 3,109,957 $259.9M Add +10.7%
VBR Vngrd Mrngst SL-CP Val ETF-U 0.27% 1,164,853 $253.1M Add +2.8%
JNJ Johnson & Johnson 0.27% 1,034,600 $252.9M Add +1.0%
VIG Vanguard Dividend Apprec ETF 0.27% 1,173,338 $252.3M Reduce -0.1%
V Visa Inc. Class A 0.27% 834,891 $252.3M Reduce -1.7%
BINC iShares Flex I A ETF-Usd Inc. 0.27% 4,833,094 $251.0M Add +6.4%
CVX Chevron Corp. 0.26% 1,198,367 $247.9M Add +2.9%
TSM Taiwan Semiconductor-SP ADR 0.26% 732,609 $247.6M Add +0.5%
EFG iShares MSCI Eafe Growth ETF 0.26% 2,208,206 $245.9M Add +125.2%
PLTR Palantir Technologies Inc. Class A 0.26% 1,666,699 $243.8M Add +2.6%
XLK SS Technology Select Sector 0.26% 1,826,990 $242.8M Add +2.1%
CGUS Cap Group Core Equity filed as CAPITAL GROUP CORE EQUITY ET 0.26% 6,314,257 $242.6M Add +6.3%
COST Costco Wholesale Corp. 0.26% 241,260 $240.4M Add +0.7%
IJH iShares Core S&P Midcap ETF 0.25% 3,532,959 $238.6M Reduce -2.7%
SPYV SS SPDR P S&P 500 Value ETF 0.25% 4,205,952 $238.0M Add +5.8%
RSP Invesco S&P 500 Equal Weight 0.25% 1,233,014 $236.6M Add +18.1%
PULS Pgim Ultra Short Bond ETF 0.25% 4,739,085 $234.6M Add +56.7%
VGT Vanguard Info Tech ETF 0.25% 335,560 $234.1M Reduce -0.3%
DGRO iShares Core Dividend Growth 0.25% 3,324,499 $233.3M Add +7.4%
GOVT iShares US Treasury Bond ETF 0.25% 10,135,363 $232.2M Add +144.8%
DGRW Wisdomtree U.S. Quality Divi 0.24% 2,589,945 $227.5M Add +5.7%
SGOV iShares 0-3 Month Treasury B 0.23% 2,142,221 $215.6M Add +12.3%
TLH iShares 10-20 Year Treasury 0.23% 2,106,252 $212.1M Reduce -15.1%
ABBV Abbvie Inc. 0.22% 965,429 $210.0M Add +1.7%
VNQ Vanguard Real Estate ETF 0.22% 2,362,887 $209.6M Add +13.3%
CAT Caterpillar Inc. 0.22% 295,811 $209.6M Add +2.7%
IWR iShares Russell Mid-Cap ETF 0.22% 2,133,527 $207.4M Reduce -5.5%
JBND JPMorgan Active Bond ETF 0.22% 3,834,235 $206.2M Add +27.2%
IQLT iShares MSCI International Q 0.22% 4,443,240 $205.4M Reduce -0.2%
BSV Vanguard Short-Term Bond ETF 0.21% 2,562,512 $200.9M Add +10.1%
USMV iShares MSCI USA Min Vol Fac 0.21% 2,162,456 $200.5M Add +1.9%
XMMO Invesco S&P Midcap Momentum 0.21% 1,367,490 $198.3M Add +9.2%
SMH Vaneck Semiconductor ETF 0.21% 511,623 $196.2M Add +3.4%
MBB iShares MBS ETF 0.20% 2,026,264 $192.4M Add +2.3%
HD Home Depot Inc. 0.20% 579,533 $190.6M Add +3.0%
AMD Advanced Micro Devices 0.19% 899,004 $182.9M Add +4.0%
JMUB JPMorgan Municipal ETF 0.19% 3,635,444 $181.7M Add +26.5%
TCHP T Rowe Price Blue Chip Growt 0.18% 3,921,510 $173.3M Add +9.8%

Show all 4,660 holdings

Options reported separately and not counted above: QQQ puts ($1.5M), SPY calls ($348K), AMD calls ($343K), MSFT puts ($224K), XBI calls ($221K), SHW puts ($167K), SPY puts ($138K), PLTR calls ($131K), KTOS puts ($125K), IWM puts ($107K), CCJ puts ($101K), AAPL puts ($99K), and 104 more.

Other holdings (14): bonds, preferreds, convertibles and warrants · $4.9M (not counted above)
SecurityClassShares / PrincipalValueChange
BOEING CO/THE (BA 6 10/15/27) DEP CONV PFD A 15,913$1.0MAdd +26.6%
BANK OF AMERICA CORP (BAC 7.25 PERP L) 7.25%CNV PFD L 795$947KAdd +19.6%
WELLS FARGO & COMPANY (WFC 7.5 PERP L) PERP PFD CNV A 672$776KReduce -7.0%
ENERGY TRANSFER LP (ET 9.25 PERP I) 9.250% FXD PFD I 63,015$729KNew
NEXTERA ENERGY INC (NEE 7.299 06/01/27) UNIT 06/01/2027 6,734$377KAdd +2.1%
OXY.WS Occidental Petroleum-CW27 *W EXP 08/03/202 8,575$368KNew
KKR & CO INC (KKR 6.25 03/01/28 D) 6.25 CON SER D 8,517$343KNew
QXO INC (QXO 5.5 05/15/28 B) 5.50 DEP PFD 4,544$250KAdd +10.3%
GME.WS Gamestop Corp. *W EXP 10/30/202 16,748$65KReduce -1.4%
GABELLI EQUITY TRUST-RT RIGHT 04/14/2026 690,580$5KAdd +2.4%
SKYAW Sharps Technology Inc. -27 *W EXP 04/13/202 16,500$607No change
SQFTW Presidio Property TRST -CW27 *W EXP 01/24/202 10,717$213No change
BLACKROCK UTILITIES INFR- RT RIGHT 04/02/2026 23,415$187Reduce -9.2%
NEUBERGER HIGH YIELD-RT RIGHT 04/15/2026 22,707$182Reduce -38.4%

Total filed on the 13F, all lines: $94.0B.

Portfolio Sells Q4 2025 → Q1 2026
OEF iShares S&P 100 ETF Reduce -85.0% 0.04% −0.26
VONG Vanguard Russell 1000 Growth Reduce -7.0% 1.11% −0.25
SCHD Schwab US DVD Equity ETF Reduce -30.1% 0.79% −0.25
CWB SS SPDR BB Conv Sec ETF Reduce -91.5% 0.01% −0.13
SPY SS SPDR S&P 500 ETF Trust-US Reduce -1.1% 1.25% −0.11
SPTL SS SPDR PF LNG TRM TSY E-Usd Reduce -42.6% 0.11% −0.09
IAU iShares Gold Trust Reduce -40.8% 0.13% −0.08
AGG iShares Core U.S. Aggregate Reduce -1.1% 1.61% −0.07
ITA iShares U.S. Aerospace & Def Reduce -39.8% 0.09% −0.06
DYNF Ishrs US E F R A ETF-Usd Inc. Reduce -4.7% 0.46% −0.06
V Visa Inc. Class A Reduce -1.7% 0.27% −0.06
IVE iShares S&P 500 Value ETF Reduce -3.4% 0.74% −0.05
TLH iShares 10-20 Year Treasury Reduce -15.1% 0.23% −0.05
EMB iShares JP Morgan Usd Emergi Reduce -49.6% 0.04% −0.05
SPYG SS SPDR P S&P 500 Growth ETF Reduce -0.7% 0.32% −0.04
CRM Salesforce Inc. Reduce -5.3% 0.07% −0.04
IEMG iShares Core MSCI Emerging Reduce -6.3% 0.65% −0.04
XLF SS Financial Select Sector Reduce -9.8% 0.14% −0.04
MA Mastercard Inc. Class A Reduce -5.6% 0.15% −0.04
QCOM Qualcomm Inc. Reduce -2.6% 0.08% −0.03
CQQQ Invesco China Technology ETF Reduce -97.9% 0.00% −0.03
SLV iShares Silver Trust Reduce -26.2% 0.10% −0.03
USFR Wisdomtree Floating Rate Tre Reduce -22.1% 0.09% −0.03
VGT Vanguard Info Tech ETF Reduce -0.3% 0.25% −0.03
SILJ Amplify Junior Silver Miners Reduce -27.3% 0.08% −0.03
SHV iShares 0-1 Year Treasury Bo Reduce -26.2% 0.07% −0.03
IYW iShares Ustechnology ETF Reduce -10.2% 0.10% −0.03
BND Vanguard Total Bond Market Reduce -0.8% 0.60% −0.03
APP AppLovin Corp. Class A Reduce -5.8% 0.03% −0.03
MGK Vngrd Mrgstr MG CP GR ETF-Ui Reduce -17.4% 0.06% −0.02
XLV SS Health Care Select Sector Reduce -7.2% 0.14% −0.02
IWD iShares Russell 1000 Value E Reduce -5.1% 0.28% −0.02
SPMO Invesco S&P 500 Momentum ETF Reduce -4.4% 0.12% −0.02
HIMU iShares High Yild Muni A ETF Reduce -42.5% 0.02% −0.02
FTSM First Trust Enh Short Mat FD Reduce -11.8% 0.10% −0.02
IWR iShares Russell Mid-Cap ETF Reduce -5.5% 0.22% −0.02
EFA iShares MSCI Eafe ETF Reduce -6.9% 0.18% −0.02
PSCW Pacer Swan Sos Conserv Apr Reduce -90.4% 0.00% −0.02
XBIL F/M US Treasury 6 Month Bill Reduce -67.3% 0.01% −0.02
ADP Automatic Data Processing Reduce -3.8% 0.05% −0.02
CEG Constellation Energy Reduce -1.0% 0.04% −0.01
VIG Vanguard Dividend Apprec ETF Reduce -0.1% 0.27% −0.01
MOAT Vaneck Morningstar Wide Moat Reduce -1.1% 0.12% −0.01
IWP iShares Russell Mid-Cap Grow Reduce -3.8% 0.09% −0.01
SPGI S&P Global Inc. Reduce -9.4% 0.03% −0.01
VHT Vanguard Health Care ETF Reduce -2.8% 0.11% −0.01
SCHB Schwab US Broad Market ETF Reduce -52.5% 0.01% −0.01
VOT Vngrd Mrngstr MC GRW ETF-Usd Reduce -8.2% 0.06% −0.01
VFH Vanguard Financials ETF Reduce -7.1% 0.05% −0.01
VV Vngrd Mrgstr LRG-Cap ETF-Usd Reduce -0.5% 0.12% −0.01

Portfolio Buys Q4 2025 → Q1 2026
GOVT iShares US Treasury Bond ETF Add +144.8% 0.25% +0.14
EFG iShares MSCI Eafe Growth ETF Add +125.2% 0.26% +0.14
BIL SS SPDR BB 1-3M T-Bill ETF Add +52.0% 0.42% +0.14
XOM Exxon Mobil Corp. Add +0.9% 0.43% +0.12
IDEF Ishars Def Ind TC Ac ETF-Ui New 0.10% +0.10
BLCR iShares LRG CP CR Act ETF-Ui New 0.09% +0.09
PULS Pgim Ultra Short Bond ETF Add +56.7% 0.25% +0.09
PVAL Putnam Focused LRG Cap Value Add +21.6% 0.41% +0.07
CVX Chevron Corp. Add +2.9% 0.26% +0.07
GSIE Goldman Sachs Activebeta Int Add +231.5% 0.09% +0.06
GRID First TRST Nasd Class Edg Sgiif Add +160.5% 0.10% +0.06
VTV Vanguard Mrngstr Val ETF-Aui Add +4.0% 1.62% +0.06
LMUB iShares LT National Muni BD New 0.06% +0.06
BRIE MFS BR Intl Equity ETF New 0.06% +0.06
DFSV Dimensional US Small Cap Val Add +61.3% 0.14% +0.06
IEFA iShares Core MSCI Eafe ETF Add +6.7% 1.11% +0.05
JGRO JPMorgan Active Growth ETF Add +123.2% 0.11% +0.05
DFLV Dim US Large Cap Value ETF Add +58.0% 0.14% +0.05
FENI Fidelity Enhanced Intl ETF Add +43.9% 0.17% +0.05
CGDV Cap Group Dividend Value Add +11.9% 0.83% +0.05
RAAX Vaneck Real Assets ETF Add +2052.3% 0.05% +0.04
CAT Caterpillar Inc. Add +2.7% 0.22% +0.04
JBND JPMorgan Active Bond ETF Add +27.2% 0.22% +0.04
GEV GE Vernova Inc. Add +7.8% 0.14% +0.04
HELO JPMorgan Hedged Equity ETF Add +70.8% 0.11% +0.04
JNJ Johnson & Johnson Add +1.0% 0.27% +0.04
JPEF JPMorgan Equity Focus ETF Add +94.9% 0.08% +0.04
MUB iShares National Muni Bond E Add +14.9% 0.36% +0.04
FBND Fidelity Total Bond ETF Add +15.9% 0.33% +0.03
JMUB JPMorgan Municipal ETF Add +26.5% 0.19% +0.03
SPHY SS SPDR P High Yield ETF Add +68.1% 0.09% +0.03
RSP Invesco S&P 500 Equal Weight Add +18.1% 0.25% +0.03
JAAA Janus Henderson Aaa Clo ETF Add +16.1% 0.30% +0.03
MU Micron Technology Inc. Add +13.9% 0.14% +0.03
WMT Walmart Inc. Add +1.0% 0.37% +0.03
COST Costco Wholesale Corp. Add +0.7% 0.26% +0.03
VRT Vertiv Holdings Co. Class A Add +4.8% 0.08% +0.03
PYLD PIMCO Multisector Bond Actv Add +122.3% 0.05% +0.03
VZ Verizon Communications Inc. Add +2.0% 0.16% +0.03
JAVA JPMorgan Active Value ETF Add +29.1% 0.14% +0.03
IDMO Invesco S&P International DE Add +33.2% 0.12% +0.03
AIRR First Trust Rba American Ind Add +28.8% 0.09% +0.03
JIVE JPM Interntl Value ETF Add +116.2% 0.05% +0.03
IFRA iShares US Infrastructure Add +52.6% 0.07% +0.02
RWL Invesco S&P 500 Revenue ETF Add +25.5% 0.13% +0.02
NEE Nextera Energy Inc. Add +14.9% 0.11% +0.02
FESM Fidelity Enhanced Small Cap Add +46.8% 0.08% +0.02
IEF iShares 7-10 Year Treasury B Add +24.2% 0.14% +0.02
FELG Fidelity Enh LRG Cap GWTH Add +118.2% 0.05% +0.02
IDEV iShares Core MSCI Dev MKTS Add +10.7% 0.28% +0.02

Options Activity Q4 2025 → Q1 2026
QQQ Invesco QQQ Trust Series 1 put Add +464.4% 64,900 $1.5M
SPY SS SPDR S&P 500 ETF Trust-US call Add +48.6% 5,500 $348K
AMD Advanced Micro Devices call Add +663.6% 8,400 $343K
XBI SS SPDR S&P Biotech ETF call New 10,000 $221K
SHW The Sherwin-Williams Co. put Reduce -16.1% 7,300 $167K
LLY Eli Lilly & Co. call Sold out 400 $160Kbefore exit
SPY SS SPDR S&P 500 ETF Trust-US put Add +20.7% 3,500 $138K
PLTR Palantir Technologies Inc. Class A call Add +56.5% 9,700 $131K
KTOS Kratos Defense & Security put New 5,500 $125K
IWM iShares Russell 2000 ETF put Reduce -5.9% 4,800 $107K
CCJ Cameco Corp. put Add +186.4% 6,300 $101K
AAPL Apple Inc. put Reduce -2.0% 9,700 $99K
DIA SS SPDR Dow Jones Indus Avg put Add +5.6% 1,900 $59K
SCCO Southern Copper Corp. put Reduce -3.5% 2,800 $58K
VG Venture Global Inc. Class A put New 27,000 $53K
OKLO Oklo Inc. put Sold out 500 $48Kbefore exit
PL Planet Labs PBC call New 5,000 $46K
LMT Lockheed Martin Corp. put New 900 $45K
XLE SS Energy Select Sector call Reduce -12.0% 8,800 $43K
QQQ Invesco QQQ Trust Series 1 call New 2,000 $41K
TLT iShares 20+ Year Treasury BD call New 16,700 $39K
VLO Valero Energy Corp. put New 4,200 $38K
UNH Unitedhealth Group Inc. call Add +575.0% 5,400 $35K
AMZN Amazon.com Inc. call Add +20.0% 1,200 $34K
AMZN Amazon.com Inc. put Add +266.7% 1,100 $33K
AAOI Applied Optoelectronics Inc. call New 1,100 $29K
NVDA Nvidia Corp. put Add +4.8% 2,200 $27K
EWY iShares MSCI South Korea ETF call New 5,000 $25K
DVN Devon Energy Corp. put New 21,100 $25K
ORCL Oracle Corp. call Sold out 2,200 $24Kbefore exit
RIOT Riot Platforms Inc. call Sold out 4,000 $20Kbefore exit
IWM iShares Russell 2000 ETF call Sold out 4,000 $20Kbefore exit
CRWD CrowdStrike Holdings Inc. Class A call New 600 $18K
IONQ Ionq Inc. call Sold out 3,000 $18Kbefore exit
AVGO Broadcom Inc. put New 400 $17K
RDW Redwire Corp. call Sold out 17,500 $17Kbefore exit
JNJ Johnson & Johnson put New 4,000 $16K
AG First Majestic Silver Corp. call Sold out 1,500 $15Kbefore exit
XMTR Xometry Inc. Class A put Sold out 5,200 $14Kbefore exit
META Meta Platforms Inc. Class A call Add +100.0% 400 $14K
CVNA Carvana Co. put Add +100.0% 600 $12K
VUG Vanguard Mrngstar GR ETF-Sui call Sold out 800 $11Kbefore exit
TLT iShares 20+ Year Treasury BD put Reduce -13.2% 3,300 $11K
NTRA Natera Inc. put Sold out 1,500 $10Kbefore exit
AZN Astrazeneca PLC put New 3,800 $10K
MA Mastercard Inc. Class A put New 200 $8K
PR Permian Resources Corp. Class A put New 35,100 $7K
AVGO Broadcom Inc. call Add +200.0% 600 $7K
KKR KKR & Co. Inc. call New 2,000 $6K
SMCI Super Micro Computer Inc. call New 2,000 $6K

Showing the first 50 of 134.

Calls and puts are listed by the shares they cover; their value is not part of the stock holdings above.

Notes & Other Activity Q4 2025 → Q1 2026
BOEING CO/THE (BA 6 10/15/27) DEP CONV PFD A Add +26.6% 15,913 $1.0M
BANK OF AMERICA CORP (BAC 7.25 PERP L) 7.25%CNV PFD L Add +19.6% 795 $947K
WELLS FARGO & COMPANY (WFC 7.5 PERP L) PERP PFD CNV A Reduce -7.0% 672 $776K
ENERGY TRANSFER LP (ET 9.25 PERP I) 9.250% FXD PFD I New 63,015 $729K
NEXTERA ENERGY INC (NEE 7.299 06/01/27) UNIT 06/01/2027 Add +2.1% 6,734 $377K
OXY.WS Occidental Petroleum-CW27 *W EXP 08/03/202 New 8,575 $368K
KKR & CO INC (KKR 6.25 03/01/28 D) 6.25 CON SER D New 8,517 $343K
QXO INC (QXO 5.5 05/15/28 B) 5.50 DEP PFD Add +10.3% 4,544 $250K
GME.WS Gamestop Corp. *W EXP 10/30/202 Reduce -1.4% 16,748 $65K
AMPX.WS Amprius Technologies Inc. *W EXP 09/14/202 Sold out 10,000 $26Kbefore exit
GABELLI EQUITY TRUST-RT RIGHT 04/14/2026 Add +2.4% 690,580 $5K
BLACKROCK UTILITIES INFR- RT RIGHT 04/02/2026 Reduce -9.2% 23,415 $187
NEUBERGER HIGH YIELD-RT RIGHT 04/15/2026 Reduce -38.4% 22,707 $182

Bonds, preferreds, convertibles and warrants; not part of the stock holdings or percentages above.

All Filings

QuarterPositions13F Reported ValueTop Holdings
Q2 2026 4,849$109.8BIVV, AAPL, NVDA, VTV, QQQ
Q1 2026 4,660$94.0BIVV, AAPL, NVDA, VTV, AGG
Q4 2025 4,586$91.5BIVV, AAPL, NVDA, AGG, VTV
Q3 2025 4,486$86.0BIVV, NVDA, AAPL, AGG, MSFT
Q2 2025 4,038$59.3BNVDA, IVV, AAPL, MSFT, QQQ
Q1 2025 3,936$51.6BIVV, AAPL, NVDA, QQQ, MSFT
Q4 2024 3,719$47.8BAAPL, IVV, NVDA, MSFT, SPY
Q3 2024 3,674$45.7BAAPL, IVV, MSFT, NVDA, SPY
Q2 2024 3,677$43.4BIVV, AAPL, MSFT, NVDA, QQQ
Q1 2024Amended 3,653$42.4BIVV, AAPL, MSFT, QQQ, SPY