Kozak & Associates, Inc.
In its 13F for Q1 2026 (holdings as of March 31, 2026, filed April 14, 2026), Kozak & Associates, Inc. reported 441 stock positions worth $512.8 million. Its top holding was Invesco S&P 500 Revenue ETF (RWL) at 13.6% of the portfolio, followed by iShares U.S. Tech Independen (IETC, 12.1%) and SS SPDR S&P 500 ETF Trust-US (SPY, 8.8%). Compared with Q4 2025, it opened 32 new positions, sold out of 12, added to 151 and reduced 50. The biggest buy was Invesco S&P 500 Revenue ETF (RWL, shares +2%) and the biggest sale Invesco QQQ Trust Series 1 (QQQ, shares −0%).
- Most Recent 13F
- Q2 2026
- Location
- HIGHLANDS RANCH, CO
- CIK
- 0001764970
- Portfolio Value
- $512.8M (Q1 2026)
- SEC Filing
- 0001764970-26-000002 ↗ filed Apr 14, 2026
Holdings Value
Holdings 441 stocks · $512.8M
| RWL Invesco S&P 500 Revenue ETF | 13.64% | 586,597 | $70.0M | Add +2.0% |
| IETC iShares U.S. Tech Independen | 12.07% | 653,967 | $61.9M | Add +2.0% |
| SPY SS SPDR S&P 500 ETF Trust-US | 8.81% | 65,851 | $45.2M | Reduce -0.3% |
| QQQ Invesco QQQ Trust Series 1 | 8.37% | 69,535 | $42.9M | Reduce -0.0% |
| IYG iShares U.S. Financial Servi | 7.30% | 430,383 | $37.4M | Add +2.3% |
| IYJ iShares U.S. Industrials ETF | 6.72% | 219,197 | $34.4M | Add +2.0% |
| SPYG SS SPDR P S&P 500 Growth ETF | 6.31% | 305,913 | $32.4M | Add +0.3% |
| SMH Vaneck Semiconductor ETF | 5.63% | 65,171 | $28.9M | Reduce -1.4% |
| NVDA Nvidia Corp. | 4.81% | 130,308 | $24.7M | Reduce -3.4% |
| AAPL Apple Inc. | 4.36% | 86,225 | $22.3M | Add +0.1% |
| MSFT Microsoft Corp. | 3.75% | 50,024 | $19.2M | Add +1.2% |
| AMZN Amazon.com Inc. | 3.71% | 79,358 | $19.0M | Add +0.5% |
| COST Costco Wholesale Corp. | 2.81% | 14,708 | $14.4M | Reduce -1.9% |
| DIA SS SPDR Dow Jones Indus Avg filed as STATE STR SPDR DOW JONES IND | 1.60% | 17,002 | $8.2M | Add +14.3% |
| SCHW Schwab (charles) Corp. | 0.52% | 27,695 | $2.7M | Reduce -6.2% |
| AVGO Broadcom Inc. | 0.51% | 6,877 | $2.6M | Reduce -2.9% |
| JPM JPMorgan Chase & Co. | 0.45% | 7,419 | $2.3M | Reduce -0.1% |
| GOOG Alphabet Inc. Class C | 0.40% | 6,362 | $2.0M | Add +0.1% |
| LMT Lockheed Martin Corp. | 0.31% | 2,556 | $1.6M | Add +0.6% |
| IJK iShares S&P Mid-Cap 400 Grow | 0.30% | 14,179 | $1.5M | Reduce -0.8% |
| V Visa Inc. Class A | 0.28% | 4,671 | $1.4M | Add +0.8% |
| CAT Caterpillar Inc. | 0.28% | 1,814 | $1.4M | Add +0.8% |
| NFLX Netflix Inc. | 0.27% | 13,173 | $1.4M | Reduce -0.5% |
| ORCL Oracle Corp. | 0.23% | 7,720 | $1.2M | Add +349.9% |
| GOOGL Alphabet Inc. Class A | 0.22% | 3,548 | $1.1M | Add +1.1% |
| ABBV Abbvie Inc. | 0.19% | 4,755 | $982K | Reduce -4.3% |
| WM Waste Management Inc. | 0.18% | 4,052 | $936K | No change |
| XSMO Invesco S&P Smallcap Momentu | 0.18% | 11,187 | $925K | Reduce -5.0% |
| CVX Chevron Corp. | 0.17% | 4,499 | $863K | Add +0.8% |
| DE Deere & Co. | 0.16% | 1,378 | $831K | Add +0.3% |
| NOBL Proshares S&P 500 Dividend A | 0.15% | 7,025 | $756K | Reduce -4.5% |
| GEV GE Vernova Inc. | 0.14% | 740 | $733K | Reduce -5.1% |
| AXP American Express Co. | 0.14% | 2,230 | $722K | Add +0.1% |
| XOM Exxon Mobil Corp. | 0.14% | 4,732 | $722K | Add +0.7% |
| BX Blackstone Inc. | 0.13% | 5,621 | $685K | Add +2.1% |
| CSX CSX Corp. | 0.13% | 16,134 | $683K | Reduce -3.5% |
| MAR Marriott International Class A | 0.13% | 1,895 | $681K | Add +0.2% |
| MCD McDonald's Corp. | 0.12% | 2,018 | $614K | Add +0.6% |
| META Meta Platforms Inc. Class A | 0.11% | 903 | $573K | Reduce -15.1% |
| GE General Electric filed as GE AEROSPACE | 0.11% | 1,797 | $560K | Reduce -2.5% |
| FSLR First Solar Inc. | 0.10% | 2,650 | $531K | No change |
| NEE Nextera Energy Inc. | 0.10% | 5,396 | $498K | Reduce -0.3% |
| DRI Darden Restaurants Inc. | 0.10% | 2,584 | $496K | Add +0.7% |
| HD Home Depot Inc. | 0.09% | 1,310 | $447K | Reduce -0.6% |
| GS Goldman Sachs Group Inc. | 0.08% | 470 | $418K | Add +0.6% |
| PG The Procter & Gamble Co. | 0.08% | 2,910 | $418K | Reduce -25.0% |
| GILD Gilead Sciences Inc. | 0.08% | 3,000 | $417K | No change |
| IVV iShares Core S&P 500 ETF | 0.08% | 590 | $407K | Add +0.2% |
| VLO Valero Energy Corp. | 0.08% | 1,678 | $406K | Add +0.5% |
| NOW ServiceNow Inc. | 0.08% | 4,498 | $401K | No change |
| CSCO Cisco Systems Inc. | 0.08% | 4,864 | $401K | Add +1.5% |
| COF Capital One Financial Corp. | 0.07% | 1,886 | $373K | Add +0.1% |
| DUK Duke Energy Corp. | 0.07% | 2,627 | $343K | Add +0.3% |
| SHEL Shell PLC-ADR | 0.07% | 3,598 | $333K | No change |
| PYLD PIMCO Multisector Bond Actv | 0.06% | 12,276 | $325K | Add +43.6% |
| KO The Coca-Cola Co. | 0.06% | 3,872 | $296K | Reduce -12.4% |
| BLK BlackRock Inc. | 0.06% | 289 | $295K | Add +0.7% |
| JNJ Johnson & Johnson | 0.06% | 1,223 | $291K | Reduce -17.3% |
| WMB Williams Cos Inc. | 0.06% | 4,012 | $287K | Reduce -4.2% |
| XEL Xcel Energy Inc. | 0.05% | 3,498 | $281K | Add +0.7% |
| BAC Bank of America Corp. filed as BANK AMERICA CORP | 0.05% | 5,167 | $276K | Reduce -6.3% |
| QCOM Qualcomm Inc. | 0.05% | 2,027 | $266K | Add +0.6% |
| IBM Intl Business Machines Corp. filed as INTERNATIONAL BUSINESS MACHS | 0.05% | 1,117 | $266K | Add +0.6% |
| LRCX Lam Research Corp. | 0.05% | 930 | $249K | Add +0.1% |
| SHOP Shopify Inc. Class A | 0.05% | 2,125 | $244K | Reduce -20.3% |
| MO Altria Group Inc. | 0.05% | 3,648 | $244K | No change |
| WDAY Workday Inc. Class A | 0.04% | 1,878 | $225K | No change |
| MDGL Madrigal Pharmaceuticals Inc. | 0.04% | 424 | $223K | No change |
| AEM Agnico Eagle Mines Ltd. | 0.04% | 1,000 | $217K | No change |
| ONT Onterris Inc. filed as MONTROSE ENVIRONMENTAL GROUP | 0.04% | 10,000 | $215K | No change |
| EFA iShares MSCI Eafe ETF | 0.04% | 2,040 | $210K | No change |
| PEP Pepsico Inc. | 0.04% | 1,279 | $199K | Add +0.1% |
| BRK.B Berkshire Hathaway Inc. Class B | 0.04% | 378 | $182K | Reduce -3.6% |
| ROP Roper Technologies Inc. | 0.04% | 508 | $181K | Add +0.2% |
| DAL Delta Air Lines Inc. | 0.03% | 2,612 | $175K | Add +0.1% |
| CRM Salesforce Inc. | 0.03% | 966 | $167K | Reduce -0.1% |
| RTX RTX Corp. | 0.03% | 810 | $163K | Add +0.3% |
| NOC Northrop Grumman Corp. | 0.03% | 234 | $159K | Reduce -3.7% |
| MS Morgan Stanley | 0.03% | 821 | $149K | Add +0.6% |
| TSLA Tesla Inc. | 0.03% | 416 | $147K | Add +0.5% |
| LOW Lowe's Cos Inc. | 0.03% | 592 | $146K | Add +0.3% |
| OKLO Oklo Inc. | 0.03% | 2,700 | $146K | No change |
| T AT&T Inc. | 0.03% | 5,674 | $145K | Reduce -2.2% |
| EA Electronic Arts Inc. | 0.03% | 679 | $138K | No change |
| AMGN Amgen Inc. | 0.03% | 383 | $134K | Add +0.5% |
| ETN Eaton Corp. PLC | 0.03% | 330 | $133K | No change |
| UBER Uber Technologies Inc. | 0.03% | 1,837 | $133K | Add +22.4% |
| DIS The Walt Disney Co. filed as DISNEY WALT CO | 0.03% | 1,275 | $129K | Reduce -4.3% |
| CMI Cummins Inc. | 0.02% | 205 | $127K | Add +0.5% |
| HON Honeywell International Inc. | 0.02% | 533 | $124K | Add +0.4% |
| PEY Invesco High Yield Equity Di | 0.02% | 5,751 | $124K | Reduce -32.6% |
| VUG Vanguard Mrngstar GR ETF-Sui | 0.02% | 261 | $122K | Add +4.0% |
| IBIT iShares Bitcoin Trust ETF | 0.02% | 2,918 | $121K | New |
| MRK Merck & Co. Inc. | 0.02% | 998 | $120K | Add +0.6% |
| C Citigroup Inc. | 0.02% | 941 | $119K | Add +1.9% |
| WMT Walmart Inc. | 0.02% | 951 | $118K | Add +0.2% |
| AJG Arthur J Gallagher & Co. filed as GALLAGHER ARTHUR J & CO | 0.02% | 527 | $117K | Reduce -21.8% |
| AMP Ameriprise Financial Inc. | 0.02% | 257 | $117K | Add +0.4% |
| RY Royal Bank of Canada | 0.02% | 671 | $117K | No change |
| AFL Aflac Inc. | 0.02% | 1,039 | $116K | Add +0.6% |
Lines left out (8) · $223 — a value with no share or principal amount
| Security | Class | Shares | Value |
|---|---|---|---|
| SYK Stryker Corp. | COM | 0 | $67 |
| IWO iShares Russell 2000 Growth | RUS 2000 GRW ETF | 0 | $54 |
| EMB iShares JP Morgan Usd Emergi | JPMORGAN USD EMG | 0 | $48 |
| VV Vngrd Mrgstr LRG-Cap ETF-Usd | LARGE CAP ETF | 0 | $39 |
| SPHQ Invesco S&P 500 Quality ETF | S&P500 QUALITY | 0 | $7 |
| CLX Clorox Company | COM | 0 | $6 |
| SPSM SS SPDR P S&P 600 Small Cap | ST STR SP600 SML | 0 | $1 |
| EMLC Vaneck JPM Em Local Curr BND | JP MRGAN EM LOC | 0 | $1 |
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: $512.8M.
Portfolio Sells Q4 2025 → Q1 2026
| QQQ Invesco QQQ Trust Series 1 | Reduce -0.0% | 8.37% | −0.05 |
| SCHW Schwab (charles) Corp. | Reduce -6.2% | 0.52% | −0.05 |
| SPY SS SPDR S&P 500 ETF Trust-US | Reduce -0.3% | 8.81% | −0.04 |
| SHOP Shopify Inc. Class A | Reduce -20.3% | 0.05% | −0.04 |
| PG The Procter & Gamble Co. | Reduce -25.0% | 0.08% | −0.02 |
| META Meta Platforms Inc. Class A | Reduce -15.1% | 0.11% | −0.02 |
| ABBV Abbvie Inc. | Reduce -4.3% | 0.19% | −0.02 |
| JPM JPMorgan Chase & Co. | Reduce -0.1% | 0.45% | −0.02 |
| CRM Salesforce Inc. | Reduce -0.1% | 0.03% | −0.02 |
| AJG Arthur J Gallagher & Co. | Reduce -21.8% | 0.02% | −0.01 |
| PEY Invesco High Yield Equity Di | Reduce -32.6% | 0.02% | −0.01 |
| HD Home Depot Inc. | Reduce -0.6% | 0.09% | −0.01 |
| FLUT Flutter Entertainment PLC-Di | Sold out | 0.00% | −0.01 |
| NVDA Nvidia Corp. | Reduce -3.4% | 4.81% | −0.01 |
| BAC Bank of America Corp. | Reduce -6.3% | 0.05% | −0.01 |
| LULU Lululemon Athletica Inc. | Reduce -14.4% | 0.01% | −0.01 |
| GE General Electric | Reduce -2.5% | 0.11% | −0.01 |
| NOBL Proshares S&P 500 Dividend A | Reduce -4.5% | 0.15% | −0.00 |
| DIS The Walt Disney Co. | Reduce -4.3% | 0.03% | −0.00 |
| UNH Unitedhealth Group Inc. | Reduce -10.1% | 0.02% | −0.00 |
| MBB iShares MBS ETF | Reduce -99.6% | 0.00% | −0.00 |
| LLY Eli Lilly & Co. | Reduce -16.7% | 0.01% | −0.00 |
| KO The Coca-Cola Co. | Reduce -12.4% | 0.06% | −0.00 |
| BRK.B Berkshire Hathaway Inc. Class B | Reduce -3.6% | 0.04% | −0.00 |
| USIG iShares Broad Usd Investment | Reduce -99.6% | 0.00% | −0.00 |
| TSCO Tractor Supply Company | Reduce -5.8% | 0.01% | −0.00 |
| JCI Johnson Controls Internation | Sold out | 0.00% | −0.00 |
| VGIT Vanguard Intermediate-Term T | Reduce -99.3% | 0.00% | −0.00 |
| VONV Vanguard Russell 1000 Value | Sold out | 0.00% | −0.00 |
| JNJ Johnson & Johnson | Reduce -17.3% | 0.06% | −0.00 |
| BA The Boeing Co. | Reduce -10.8% | 0.01% | −0.00 |
| VTWO Vanguard Russell 2000 ETF | Sold out | 0.00% | −0.00 |
| SPTL SS SPDR PF LNG TRM TSY E-Usd | Reduce -99.6% | 0.00% | −0.00 |
| VT Vanguard Tot World STK ETF | Sold out | 0.00% | −0.00 |
| UPS United Parcel Service Class B | Reduce -76.4% | 0.00% | −0.00 |
| F Ford Motor Co. | Reduce -59.2% | 0.00% | −0.00 |
| HPQ HP Inc. | Reduce -34.6% | 0.00% | −0.00 |
| VONG Vanguard Russell 1000 Growth | Sold out | 0.00% | −0.00 |
| DKNG Draftkings Inc. Class A | Sold out | 0.00% | −0.00 |
| KBWB Invesco KBW Bank ETF | Sold out | 0.00% | −0.00 |
| USHY iShares Broad Usd High Yield | Reduce -98.8% | 0.00% | −0.00 |
| KWEB Kranesh Csi China Internet | Sold out | 0.00% | −0.00 |
| OXY Occidental Petroleum Corp. | Sold out | 0.00% | −0.00 |
| XLK SS Technology Select Sector | Sold out | 0.00% | −0.00 |
| GEHC GE Healthcare Technology | Reduce -23.4% | 0.00% | −0.00 |
| WBD Warner Bros Discovery Inc. | Reduce -14.9% | 0.00% | −0.00 |
| NLY Annaly Capital Management Inc. | Sold out | 0.00% | 0.00 |
| EMF Templeton Emerging Markets | Reduce -11.6% | 0.00% | 0.00 |
| LYB Lyondellbasell Indu Class A | Reduce -25.0% | 0.00% | 0.00 |
| T AT&T Inc. | Reduce -2.2% | 0.03% | +0.00 |
Portfolio Buys Q4 2025 → Q1 2026
| RWL Invesco S&P 500 Revenue ETF | Add +2.0% | 13.64% | +0.52 |
| IYJ iShares U.S. Industrials ETF | Add +2.0% | 6.72% | +0.30 |
| DIA SS SPDR Dow Jones Indus Avg | Add +14.3% | 1.60% | +0.18 |
| ORCL Oracle Corp. | Add +349.9% | 0.23% | +0.17 |
| CAT Caterpillar Inc. | Add +0.8% | 0.28% | +0.07 |
| LMT Lockheed Martin Corp. | Add +0.6% | 0.31% | +0.04 |
| AAPL Apple Inc. | Add +0.1% | 4.36% | +0.04 |
| DE Deere & Co. | Add +0.3% | 0.16% | +0.03 |
| CVX Chevron Corp. | Add +0.8% | 0.17% | +0.03 |
| XOM Exxon Mobil Corp. | Add +0.7% | 0.14% | +0.03 |
| IBIT iShares Bitcoin Trust ETF | New | 0.02% | +0.02 |
| VLO Valero Energy Corp. | Add +0.5% | 0.08% | +0.02 |
| PYLD PIMCO Multisector Bond Actv | Add +43.6% | 0.06% | +0.02 |
| ETHA iShares Ethereum Trust ETF | New | 0.02% | +0.02 |
| MAR Marriott International Class A | Add +0.2% | 0.13% | +0.01 |
| CSCO Cisco Systems Inc. | Add +1.5% | 0.08% | +0.01 |
| KODK Eastman Kodak Co. | New | 0.01% | +0.01 |
| LRCX Lam Research Corp. | Add +0.1% | 0.05% | +0.01 |
| DUK Duke Energy Corp. | Add +0.3% | 0.07% | +0.01 |
| XEL Xcel Energy Inc. | Add +0.7% | 0.05% | +0.01 |
| XRPC Canary XRP ETF | New | 0.00% | +0.00 |
| SBUX Starbucks Corp. | Add +234.7% | 0.01% | +0.00 |
| VWO Vanguard Ftse Emerging Marke | Add +184.3% | 0.01% | +0.00 |
| PEP Pepsico Inc. | Add +0.1% | 0.04% | +0.00 |
| VMBS Vanguard Mortgage-Backed Sec | New | 0.00% | +0.00 |
| FNDX Schwab Fndmntl US LRG Co. ETF | New | 0.00% | +0.00 |
| VTI VG Morningstar TS MKT ETF-US | Add +56.7% | 0.01% | +0.00 |
| SCHI Schwab 5-10 Year Corporate B | New | 0.00% | +0.00 |
| EPD Enterprise Products Partners | Add +0.9% | 0.02% | +0.00 |
| SOLS Solstice Adv Materials Inc. | New | 0.00% | +0.00 |
| SCHX Schwab US Large-Cap ETF | New | 0.00% | +0.00 |
| HON Honeywell International Inc. | Add +0.4% | 0.02% | +0.00 |
| CMI Cummins Inc. | Add +0.5% | 0.02% | +0.00 |
| FDX FedEx Corp. | Add +0.4% | 0.02% | +0.00 |
| FNDE Schwab Fndmntl Em MRK Eq ETF | New | 0.00% | +0.00 |
| FNDF Schwab Fndmn Intl LRG Co. ETF | New | 0.00% | +0.00 |
| VOO Vanguard S&P 500 ETF | Add +36.8% | 0.01% | +0.00 |
| MDLN Medline Inc. Class A | New | 0.00% | +0.00 |
| SCHA Schwab US Small-Cap ETF | Add +10.2% | 0.02% | +0.00 |
| RTX RTX Corp. | Add +0.3% | 0.03% | +0.00 |
| FNDA Schwab Fndmntl US SM Co. ETF | New | 0.00% | +0.00 |
| TTE Totalenergies SE | New | 0.00% | +0.00 |
| IREN Iren Ltd. | Add +200.0% | 0.00% | +0.00 |
| MRK Merck & Co. Inc. | Add +0.6% | 0.02% | +0.00 |
| AMGN Amgen Inc. | Add +0.5% | 0.03% | +0.00 |
| WMT Walmart Inc. | Add +0.2% | 0.02% | +0.00 |
| SCHR Schwab Intermediate-Term US | New | 0.00% | +0.00 |
| CMCSA Comcast Corp. Class A | Add +16.0% | 0.01% | +0.00 |
| SCHF Schwab Intl Equity ETF | Add +20.9% | 0.01% | +0.00 |
| TXN Texas Instruments Inc. | Add +0.6% | 0.01% | +0.00 |
Notes & Other Activity Q4 2025 → Q1 2026
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | Sold out | 8 | $168before exit |
| SYK Stryker Corp. | COM | Reduce -100.0% | 0 | $67 |
| EMB iShares JP Morgan Usd Emergi | JPMORGAN USD EMG | Reduce -100.0% | 0 | $48 |
| EMLC Vaneck JPM Em Local Curr BND | JP MRGAN EM LOC | Reduce -100.0% | 0 | $1 |
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 |