Kozak & Associates, Inc.
In its 13F for Q3 2024 (holdings as of September 30, 2024, filed October 17, 2024), Kozak & Associates, Inc. reported 387 stock positions worth $423.0 million. Its top holding was iShares U.S. Tech Independen (IETC) at 12.8% of the portfolio, followed by Invesco S&P 500 Revenue ETF (RWL, 11.3%) and SS SPDR S&P 500 ETF Trust-US (SPY, 11.0%). Compared with Q2 2024, it opened 28 new positions, sold out of 19, added to 167 and reduced 41. The biggest buy was Invesco S&P 500 Revenue ETF (RWL, shares +4%) and the biggest sale Invesco QQQ Trust Series 1 (QQQ, shares −2%).
- Most Recent 13F
- Q2 2026
- Location
- HIGHLANDS RANCH, CO
- CIK
- 0001764970
- Portfolio Value
- $423.0M (Q3 2024)
- SEC Filing
- 0001764970-24-000006 ↗ filed Oct 17, 2024
Holdings Value
Holdings 387 stocks · $423.0M
| IETC iShares U.S. Tech Independen | 12.84% | 674,967 | $54.3M | Add +1.4% |
| RWL Invesco S&P 500 Revenue ETF | 11.32% | 478,567 | $47.9M | Add +3.8% |
| SPY SS SPDR S&P 500 ETF Trust-US | 11.03% | 80,124 | $46.7M | Reduce -2.0% |
| QQQ Invesco QQQ Trust Series 1 | 9.14% | 78,784 | $38.7M | Reduce -2.3% |
| NVDA Nvidia Corp. | 6.89% | 214,911 | $29.2M | Add +0.3% |
| AAPL Apple Inc. | 5.76% | 105,163 | $24.4M | Add +0.2% |
| MSFT Microsoft Corp. | 5.57% | 56,620 | $23.6M | Add +0.2% |
| IYG iShares U.S. Financial Servi | 4.44% | 250,549 | $18.8M | Reduce -1.6% |
| SPYG SS SPDR P S&P 500 Growth ETF | 4.26% | 214,763 | $18.0M | Reduce -4.0% |
| COST Costco Wholesale Corp. | 4.07% | 19,386 | $17.2M | Add +1.0% |
| AMZN Amazon.com Inc. | 3.57% | 80,786 | $15.1M | Add +3.0% |
| XLV SS Health Care Select Sector | 3.10% | 85,494 | $13.1M | Add +0.3% |
| SMH Vaneck Semiconductor ETF | 2.92% | 49,882 | $12.3M | Add +0.9% |
| DE Deere & Co. | 2.26% | 23,394 | $9.6M | Add +0.4% |
| SCHW Schwab (charles) Corp. | 2.15% | 125,967 | $9.1M | Add +1.3% |
| XSMO Invesco S&P Smallcap Momentu | 0.63% | 39,102 | $2.7M | New |
| JPM JPMorgan Chase & Co. | 0.40% | 7,655 | $1.7M | Add +3.1% |
| IJK iShares S&P Mid-Cap 400 Grow | 0.35% | 15,632 | $1.5M | Reduce -0.2% |
| CVX Chevron Corp. | 0.30% | 8,668 | $1.3M | Add +0.9% |
| GOOG Alphabet Inc. Class C | 0.29% | 7,308 | $1.2M | Add +6.2% |
| UNH Unitedhealth Group Inc. | 0.28% | 2,079 | $1.2M | Add +0.6% |
| META Meta Platforms Inc. Class A | 0.26% | 1,906 | $1.1M | Add +0.9% |
| NFLX Netflix Inc. | 0.26% | 1,543 | $1.1M | No change |
| V Visa Inc. Class A | 0.25% | 3,713 | $1.1M | Add +4.7% |
| NOW ServiceNow Inc. | 0.20% | 937 | $861K | No change |
| BX Blackstone Inc. | 0.20% | 5,315 | $849K | Add +0.6% |
| HD Home Depot Inc. | 0.20% | 2,014 | $843K | Add +4.4% |
| PG The Procter & Gamble Co. | 0.19% | 4,664 | $804K | Add +5.5% |
| LMT Lockheed Martin Corp. | 0.18% | 1,227 | $752K | Add +0.5% |
| CRM Salesforce Inc. | 0.17% | 2,520 | $733K | Add +0.2% |
| MCD McDonald's Corp. | 0.17% | 2,285 | $715K | Reduce -0.9% |
| CAT Caterpillar Inc. | 0.16% | 1,674 | $659K | Add +0.4% |
| AVGO Broadcom Inc. | 0.15% | 3,651 | $646K | Add +0.6% |
| BLK BlackRock Inc. | 0.15% | 617 | $627K | No change |
| WDAY Workday Inc. Class A | 0.15% | 2,577 | $619K | No change |
| GOOGL Alphabet Inc. Class A | 0.14% | 3,568 | $589K | Add +0.1% |
| AJG Arthur J Gallagher & Co. filed as GALLAGHER ARTHUR J & CO | 0.14% | 2,025 | $586K | No change |
| ADBE Adobe Inc. | 0.14% | 1,157 | $581K | Add +3.5% |
| FSLR First Solar Inc. | 0.13% | 2,650 | $545K | No change |
| GE General Electric filed as GE AEROSPACE | 0.13% | 2,788 | $536K | Reduce -15.9% |
| NOBL Proshares S&P 500 Dividend A | 0.12% | 4,878 | $526K | Add +10.9% |
| XOM Exxon Mobil Corp. | 0.12% | 4,289 | $517K | Add +11.0% |
| AXP American Express Co. | 0.12% | 1,829 | $515K | Reduce -3.2% |
| MAR Marriott International Class A | 0.12% | 1,873 | $492K | Add +0.2% |
| QCOM Qualcomm Inc. | 0.11% | 2,681 | $460K | Add +0.3% |
| JNJ Johnson & Johnson | 0.10% | 2,700 | $444K | Reduce -1.5% |
| SHOP Shopify Inc. Class A | 0.10% | 5,410 | $443K | No change |
| NEE Nextera Energy Inc. | 0.10% | 5,162 | $436K | Reduce -0.2% |
| CSCO Cisco Systems Inc. | 0.10% | 7,722 | $435K | Reduce -2.1% |
| KO The Coca-Cola Co. | 0.10% | 6,128 | $432K | Add +0.6% |
| DRI Darden Restaurants Inc. | 0.10% | 2,467 | $402K | Add +0.9% |
| DFS Discover Financial Services | 0.09% | 2,625 | $387K | Add +0.3% |
| OLED Universal Display Corp. | 0.09% | 1,885 | $381K | No change |
| CSX CSX Corp. | 0.09% | 10,569 | $375K | Add +0.3% |
| DIA SS SPDR Dow Jones Indus Avg filed as SPDR DOW JONES INDL AVERAGE | 0.09% | 854 | $368K | Reduce -2.1% |
| CMG Chipotle Mexican Grill Inc. | 0.09% | 6,200 | $367K | No change |
| BAC Bank of America Corp. filed as BANK AMERICA CORP | 0.08% | 7,924 | $339K | Reduce -3.6% |
| ULTA Ulta Beauty Inc. | 0.08% | 868 | $324K | No change |
| FDX FedEx Corp. | 0.08% | 1,186 | $322K | Add +1.2% |
| ABBV Abbvie Inc. | 0.08% | 1,682 | $320K | Add +14.3% |
| MRK Merck & Co. Inc. | 0.07% | 2,804 | $310K | Reduce -3.2% |
| LOW Lowe's Cos Inc. | 0.07% | 1,084 | $308K | Add +0.5% |
| LULU Lululemon Athletica Inc. | 0.07% | 1,017 | $299K | Reduce -0.1% |
| GS Goldman Sachs Group Inc. | 0.07% | 564 | $299K | Add +1.8% |
| BSX Boston Scientific Corp. | 0.07% | 3,204 | $279K | No change |
| HON Honeywell International Inc. | 0.07% | 1,271 | $278K | Add +0.5% |
| ONT Onterris Inc. filed as MONTROSE ENVIRONMENTAL GROUP | 0.06% | 10,000 | $265K | No change |
| SHEL Shell PLC-ADR | 0.06% | 3,910 | $261K | Add +0.0% |
| ORCL Oracle Corp. | 0.06% | 1,482 | $259K | Add +20.6% |
| XEL Xcel Energy Inc. | 0.06% | 4,035 | $258K | Reduce -5.1% |
| BRK.B Berkshire Hathaway Inc. Class B | 0.06% | 550 | $256K | Reduce -31.3% |
| LRCX Lam Research Corp. | 0.06% | 3,403 | $252K | New |
| ZTS Zoetis Inc. | 0.05% | 1,176 | $229K | Add +1.9% |
| IBM Intl Business Machines Corp. filed as INTERNATIONAL BUSINESS MACHS | 0.05% | 952 | $222K | Add +0.8% |
| SCHA Schwab US Small-Cap ETF | 0.05% | 8,351 | $220K | Add +96.7% |
| GEV GE Vernova Inc. | 0.05% | 796 | $219K | Reduce -3.4% |
| VLO Valero Energy Corp. | 0.05% | 1,603 | $217K | Add +0.8% |
| EA Electronic Arts Inc. | 0.05% | 1,380 | $200K | No change |
| RTX RTX Corp. | 0.05% | 1,575 | $199K | Add +0.5% |
| PEY Invesco High Yield Equity Di | 0.05% | 8,782 | $197K | Reduce -36.0% |
| ARW Arrow Electronics Inc. | 0.05% | 1,441 | $197K | No change |
| ELV Elevance Health Inc. | 0.05% | 385 | $191K | Add +15.3% |
| DIS The Walt Disney Co. filed as DISNEY WALT CO | 0.04% | 1,904 | $184K | Reduce -6.3% |
| XYZ Block Inc. | 0.04% | 2,330 | $171K | No change |
| ADSK Autodesk Inc. | 0.04% | 575 | $166K | No change |
| CLX Clorox Company | 0.04% | 1,016 | $166K | Reduce -17.7% |
| EFA iShares MSCI Eafe ETF | 0.04% | 1,964 | $160K | Add +30.1% |
| CMCSA Comcast Corp. Class A | 0.04% | 3,673 | $155K | Add +16.6% |
| ABT Abbott Laboratories | 0.03% | 1,248 | $147K | Add +19.8% |
| WMB Williams Cos Inc. | 0.03% | 2,827 | $145K | Reduce -23.7% |
| DAL Delta Air Lines Inc. | 0.03% | 2,563 | $144K | Reduce -2.5% |
| IVV iShares Core S&P 500 ETF | 0.03% | 243 | $142K | Add +38.9% |
| TSLA Tesla Inc. | 0.03% | 623 | $138K | No change |
| AMP Ameriprise Financial Inc. | 0.03% | 261 | $135K | No change |
| LHX L3HARRIS Technologies Inc. | 0.03% | 504 | $125K | No change |
| NOC Northrop Grumman Corp. | 0.03% | 228 | $121K | Add +0.4% |
| AZN Astrazeneca PLC-Spons ADR | 0.03% | 1,540 | $121K | Add +0.6% |
| AFL Aflac Inc. | 0.03% | 1,006 | $115K | Add +0.4% |
| ETN Eaton Corp. PLC | 0.03% | 330 | $113K | No change |
| AMGN Amgen Inc. | 0.03% | 345 | $111K | Add +33.7% |
Other holdings (1): bonds, preferreds, convertibles and warrants · $8K (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| EQUITY COMMONWEALTH (EQC 6.5 PERP D) | 6.5% CNV PFD D | 315 | $8K | Add +1.6% |
Lines left out (11) · $103 — a value with no share or principal amount
| Security | Class | Shares | Value |
|---|---|---|---|
| SSO Proshares Ultra S&P500 | PSHS ULT S&P 500 | 0 | $18 |
| FVD First Trust Value Line DVD | SHS | 0 | $16 |
| FNDA Schwab Fndmntl US SM Co. ETF | FUNDAMENTAL US S | 0 | $15 |
| VONG Vanguard Russell 1000 Growth | VNG RUS1000GRW | 0 | $15 |
| VWO Vanguard Ftse Emerging Marke | FTSE EMR MKT ETF | 0 | $9 |
| JNK SS SPDR BB High Yield Bond | ST BLOO HIGH ETF | 0 | $8 |
| PPA Invesco Aerospace & Defense | AEROSPACE DEFN | 0 | $6 |
| TMO Thermo Fisher Scientific Inc. | COM | 0 | $5 |
| BND Vanguard Total Bond Market | TOTAL BND MRKT | 0 | $5 |
| ILF iShares Latin America 40 ETF | LATN AMER 40 ETF | 0 | $3 |
| SYY Sysco Corp. | COM | 0 | $3 |
Filed with a value but no share or principal amount (a cash line, a holding rounded to 0 shares), so they are kept out of the holdings, totals and percentages.
Total filed on the 13F, all lines: $423.1M.
Portfolio Sells Q2 2024 → Q3 2024
| QQQ Invesco QQQ Trust Series 1 | Reduce -2.3% | 9.14% | −0.64 |
| SPYG SS SPDR P S&P 500 Growth ETF | Reduce -4.0% | 4.26% | −0.28 |
| SPY SS SPDR S&P 500 ETF Trust-US | Reduce -2.0% | 11.03% | −0.11 |
| LRCX Lam Research Corp. | Sold out | 0.00% | −0.09 |
| BRK.B Berkshire Hathaway Inc. Class B | Reduce -31.3% | 0.06% | −0.02 |
| PEY Invesco High Yield Equity Di | Reduce -36.0% | 0.05% | −0.02 |
| JCI Johnson Controls Internation | Sold out | 0.00% | −0.02 |
| MRK Merck & Co. Inc. | Reduce -3.2% | 0.07% | −0.02 |
| GE General Electric | Reduce -15.9% | 0.13% | −0.01 |
| DIS The Walt Disney Co. | Reduce -6.3% | 0.04% | −0.01 |
| LULU Lululemon Athletica Inc. | Reduce -0.1% | 0.07% | −0.00 |
| WMB Williams Cos Inc. | Reduce -23.7% | 0.03% | −0.00 |
| SIRI Sirius XM Holdings Inc. | Sold out | 0.00% | −0.00 |
| IRM Iron Mountain Inc. | Reduce -99.4% | 0.00% | −0.00 |
| BA The Boeing Co. | Reduce -4.0% | 0.01% | −0.00 |
| SPYM Ste STR SPDR PT S&P 500 ETF | Sold out | 0.00% | −0.00 |
| BAC Bank of America Corp. | Reduce -3.6% | 0.08% | −0.00 |
| QUAL iShares MSCI USA Quality Fac | Sold out | 0.00% | −0.00 |
| VUG Vanguard Mrngstar GR ETF-Sui | Reduce -6.9% | 0.02% | −0.00 |
| AGNC AGNC Investment Corp. | Sold out | 0.00% | −0.00 |
| VBK Van Morst SML-Cap Gro-Usd Inc. | Reduce -45.2% | 0.00% | −0.00 |
| SCHX Schwab US Large-Cap ETF | Reduce -98.1% | 0.00% | −0.00 |
| IEFA iShares Core MSCI Eafe ETF | Reduce -91.1% | 0.00% | −0.00 |
| IEMG iShares Core MSCI Emerging | Sold out | 0.00% | −0.00 |
| MRO Marathon Oil Corp. | Reduce -99.5% | 0.00% | −0.00 |
| CLX Clorox Company | Reduce -17.7% | 0.04% | −0.00 |
| EMB iShares JP Morgan Usd Emergi | Reduce -85.5% | 0.00% | −0.00 |
| FNDX Schwab Fndmntl US LRG Co. ETF | Reduce -96.9% | 0.00% | −0.00 |
| VCIT Vanguard Int-Term Corporate | Reduce -42.6% | 0.00% | −0.00 |
| CRON Cronos Group Inc. | Sold out | 0.00% | −0.00 |
| HPE Hewlett Packard Enterprise | Reduce -25.2% | 0.00% | −0.00 |
| RKT Rocket Cos Inc. Class A | Sold out | 0.00% | −0.00 |
| FLJP Franklin Ftse Japan ETF | Reduce -98.8% | 0.00% | −0.00 |
| DOW Dow Inc. | Reduce -1.4% | 0.01% | −0.00 |
| BKLN Invesco Senior Loan ETF | Reduce -99.0% | 0.00% | −0.00 |
| LUV Southwest Airlines Co. | Reduce -6.8% | 0.01% | −0.00 |
| GLDM SPDR Gold Minishares Trust | Sold out | 0.00% | −0.00 |
| ROKU Roku Inc. | Sold out | 0.00% | −0.00 |
| WBA Walgreens Boots Alliance Inc. | Reduce -11.6% | 0.00% | −0.00 |
| CGC Canopy Growth Corp. | Sold out | 0.00% | −0.00 |
| NVEI Nuvei Corp.-Subordinate VTG | Sold out | 0.00% | −0.00 |
| ACB Aurora Cannabis Inc. | Sold out | 0.00% | 0.00 |
| DXC DXC Technology Co. | Sold out | 0.00% | 0.00 |
| DKNG Draftkings Inc. Class A | Reduce -55.6% | 0.00% | 0.00 |
| NVTAQ Invitae Corp. | Sold out | 0.00% | 0.00 |
| TSPH Createai Holdings Inc. | Sold out | 0.00% | 0.00 |
| CASIF Casi Pharmaceuticals Inc. | Sold out | 0.00% | 0.00 |
| PSFE Paysafe Ltd. | Sold out | 0.00% | 0.00 |
| SOLV Solventum Corp. | Reduce -7.3% | 0.00% | +0.00 |
| DIA SS SPDR Dow Jones Indus Avg | Reduce -2.1% | 0.09% | +0.00 |
Portfolio Buys Q2 2024 → Q3 2024
| RWL Invesco S&P 500 Revenue ETF | Add +3.8% | 11.32% | +0.76 |
| XSMO Invesco S&P Smallcap Momentu | New | 0.63% | +0.63 |
| IETC iShares U.S. Tech Independen | Add +1.4% | 12.84% | +0.22 |
| DE Deere & Co. | Add +0.4% | 2.26% | +0.18 |
| NVDA Nvidia Corp. | Add +0.3% | 6.89% | +0.11 |
| XLV SS Health Care Select Sector | Add +0.3% | 3.10% | +0.08 |
| LRCX Lam Research Corp. | New | 0.06% | +0.06 |
| HD Home Depot Inc. | Add +4.4% | 0.20% | +0.04 |
| BX Blackstone Inc. | Add +0.6% | 0.20% | +0.04 |
| LMT Lockheed Martin Corp. | Add +0.5% | 0.18% | +0.04 |
| UNH Unitedhealth Group Inc. | Add +0.6% | 0.28% | +0.03 |
| META Meta Platforms Inc. Class A | Add +0.9% | 0.26% | +0.02 |
| JPM JPMorgan Chase & Co. | Add +3.1% | 0.40% | +0.02 |
| AAPL Apple Inc. | Add +0.2% | 5.76% | +0.02 |
| NOBL Proshares S&P 500 Dividend A | Add +10.9% | 0.12% | +0.02 |
| CAT Caterpillar Inc. | Add +0.4% | 0.16% | +0.02 |
| SO The Southern Co. | New | 0.02% | +0.02 |
| ORCL Oracle Corp. | Add +20.6% | 0.06% | +0.02 |
| V Visa Inc. Class A | Add +4.7% | 0.25% | +0.02 |
| ABBV Abbvie Inc. | Add +14.3% | 0.08% | +0.02 |
| LOW Lowe's Cos Inc. | Add +0.5% | 0.07% | +0.02 |
| XOM Exxon Mobil Corp. | Add +11.0% | 0.12% | +0.01 |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | Add +234.2% | 0.02% | +0.01 |
| IBM Intl Business Machines Corp. | Add +0.8% | 0.05% | +0.01 |
| PG The Procter & Gamble Co. | Add +5.5% | 0.19% | +0.01 |
| CRM Salesforce Inc. | Add +0.2% | 0.17% | +0.01 |
| IVV iShares Core S&P 500 ETF | Add +38.9% | 0.03% | +0.01 |
| ABT Abbott Laboratories | Add +19.8% | 0.03% | +0.01 |
| EFA iShares MSCI Eafe ETF | Add +30.1% | 0.04% | +0.01 |
| RTX RTX Corp. | Add +0.5% | 0.05% | +0.01 |
| VB Vanguard Most SM-Cap ETF-Usd | New | 0.01% | +0.01 |
| LIN Linde PLC | New | 0.01% | +0.01 |
| PEP Pepsico Inc. | Add +51.0% | 0.02% | +0.01 |
| DRI Darden Restaurants Inc. | Add +0.9% | 0.10% | +0.01 |
| OKLO Oklo Inc. | Add +58.8% | 0.01% | +0.01 |
| CMCSA Comcast Corp. Class A | Add +16.6% | 0.04% | +0.01 |
| KO The Coca-Cola Co. | Add +0.6% | 0.10% | +0.01 |
| CB Chubb Ltd. | New | 0.01% | +0.01 |
| GS Goldman Sachs Group Inc. | Add +1.8% | 0.07% | +0.01 |
| AMGN Amgen Inc. | Add +33.7% | 0.03% | +0.01 |
| AHR American Healthcare REIT Inc. | New | 0.01% | +0.01 |
| DFS Discover Financial Services | Add +0.3% | 0.09% | +0.01 |
| IXUS iShares Core Intl Stock ETF | New | 0.01% | +0.01 |
| MAR Marriott International Class A | Add +0.2% | 0.12% | +0.01 |
| AFL Aflac Inc. | Add +0.4% | 0.03% | +0.01 |
| GOVT iShares US Treasury Bond ETF | Add +1006.8% | 0.00% | +0.00 |
| NOC Northrop Grumman Corp. | Add +0.4% | 0.03% | +0.00 |
| ZTS Zoetis Inc. | Add +1.9% | 0.05% | +0.00 |
| T AT&T Inc. | Add +9.8% | 0.02% | +0.00 |
| DUK Duke Energy Corp. | Add +0.9% | 0.03% | +0.00 |
Notes & Other Activity Q2 2024 → Q3 2024
| EQUITY COMMONWEALTH (EQC 6.5 PERP D) | 6.5% CNV PFD D | Add +1.6% | 315 | $8K |
| SSO Proshares Ultra S&P500 | PSHS ULT S&P 500 | Reduce -100.0% | 0 | $18 |
| FVD First Trust Value Line DVD | SHS | Reduce -100.0% | 0 | $16 |
| FNDA Schwab Fndmntl US SM Co. ETF | FUNDAMENTAL US S | Reduce -100.0% | 0 | $15 |
| JNK SS SPDR BB High Yield Bond | ST BLOO HIGH ETF | Reduce -100.0% | 0 | $8 |
| PPA Invesco Aerospace & Defense | AEROSPACE DEFN | Reduce -100.0% | 0 | $6 |
| BND Vanguard Total Bond Market | TOTAL BND MRKT | Reduce -100.0% | 0 | $5 |
| SYY Sysco Corp. | COM | Reduce -100.0% | 0 | $3 |
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 | 432 | $576.0M | IETC, SPYG, SPY, QQQ, RWL |
| Q1 2026 | 441 | $512.8M | RWL, IETC, SPY, QQQ, IYG |
| Q4 2025 | 422 | $517.5M | RWL, IETC, SPY, QQQ, IYG |
| Q3 2025 | 445 | $507.8M | IETC, RWL, SPY, QQQ, IYG |
| Q2 2025 | 411 | $490.7M | IETC, RWL, SPY, QQQ, SPYG |
| Q1 2025 | 422 | $400.8M | RWL, IETC, SPY, QQQ, SPYG |
| Q4 2024 | 405 | $437.5M | IETC, RWL, SPY, QQQ, SPYG |
| Q3 2024 | 387 | $423.0M | IETC, RWL, SPY, QQQ, NVDA |
| Q2 2024 | 383 | $405.1M | IETC, SPY, RWL, QQQ, NVDA |
| Q1 2024 | 386 | $371.9M | IETC, SPY, QQQ, RWL, MSFT |