LPL Financial LLC
In its 13F for Q3 2024 (holdings as of September 30, 2024, filed November 8, 2024), LPL Financial LLC reported 5,019 stock positions worth $224.0 billion. Its top holding was iShares Core S&P 500 ETF (IVV) at 2.3% of the portfolio, followed by SS SPDR S&P 500 ETF Trust-US (SPY, 2.2%) and Invesco QQQ Trust Series 1 (QQQ, 2.0%). Compared with Q2 2024, it opened 285 new positions, sold out of 145, added to 3,002 and reduced 1,664. The biggest buy was iShares MSCI Eafe Value ETF (EFV, shares +91%) and the biggest sale SS Technology Select Sector (XLK, shares −1%).
- Most Recent 13F
- Q2 2026
- Location
- FORT MILL, SC
- CIK
- 0001403438
- Portfolio Value
- $224.0B (Q3 2024)
- SEC Filing
- 0001403438-24-000004 ↗ filed Nov 8, 2024
Holdings Value
Holdings 5,019 stocks · $224.0B
| IVV iShares Core S&P 500 ETF | 2.32% | 9,010,849 | $5.2B | Add +0.3% |
| SPY SS SPDR S&P 500 ETF Trust-US | 2.19% | 8,556,108 | $4.9B | Add +2.2% |
| QQQ Invesco QQQ Trust Series 1 | 1.96% | 9,006,170 | $4.4B | Add +2.4% |
| AAPL Apple Inc. | 1.93% | 18,512,413 | $4.3B | Add +5.0% |
| VTI VG Morningstar TS MKT ETF-US | 1.64% | 12,994,777 | $3.7B | Add +1.9% |
| MSFT Microsoft Corp. | 1.41% | 7,351,626 | $3.2B | Add +6.7% |
| NVDA Nvidia Corp. | 1.39% | 25,673,943 | $3.1B | Add +3.5% |
| IEFA iShares Core MSCI Eafe ETF | 1.26% | 36,275,934 | $2.8B | Add +4.3% |
| QUAL iShares MSCI USA Quality Fac | 1.18% | 14,725,824 | $2.6B | Add +6.9% |
| SPYG SS SPDR P S&P 500 Growth ETF | 1.16% | 31,403,162 | $2.6B | Add +4.5% |
| IJH iShares Core S&P Midcap ETF | 1.15% | 41,176,915 | $2.6B | Add +2.8% |
| GOVT iShares US Treasury Bond ETF | 1.13% | 107,763,508 | $2.5B | Add +3.4% |
| SPYM Ste STR SPDR PT S&P 500 ETF | 1.07% | 35,629,703 | $2.4B | Add +10.9% |
| VOO Vanguard S&P 500 ETF | 1.05% | 4,454,402 | $2.4B | Add +6.0% |
| AMZN Amazon.com Inc. | 0.95% | 11,417,833 | $2.1B | Add +8.3% |
| SPYV SS SPDR P S&P 500 Value ETF | 0.92% | 39,150,619 | $2.1B | Add +8.8% |
| IUSG iShares Core S&P U.S. Growth | 0.88% | 14,877,167 | $2.0B | Add +0.6% |
| VUG Vanguard Mrngstar GR ETF-Sui | 0.85% | 4,986,268 | $1.9B | Add +0.9% |
| IUSB Ishr CR Unvrse Usd BD ETF-Ui | 0.83% | 39,330,716 | $1.9B | Add +20.3% |
| MBB iShares MBS ETF | 0.82% | 19,189,697 | $1.8B | Add +6.3% |
| VTV Vanguard Mrngstr Val ETF-Aui | 0.73% | 9,388,550 | $1.6B | Add +4.6% |
| IJR iShares Core S&P Small-Cap E | 0.73% | 14,006,749 | $1.6B | Add +5.2% |
| XLK SS Technology Select Sector | 0.71% | 6,997,449 | $1.6B | Reduce -0.8% |
| IVW iShares S&P 500 Growth ETF | 0.67% | 15,682,897 | $1.5B | Add +1.7% |
| IWM iShares Russell 2000 ETF | 0.67% | 6,742,681 | $1.5B | Add +8.8% |
| IEMG iShares Core MSCI Emerging | 0.58% | 22,757,447 | $1.3B | Reduce -3.8% |
| QQQM Invesco Nasdaq 100 ETF | 0.58% | 6,450,987 | $1.3B | Add +9.7% |
| IUSV iShares Core S&P U.S. Value | 0.57% | 13,352,079 | $1.3B | Add +3.2% |
| RDVY First Trust Rising Dividend | 0.54% | 20,326,430 | $1.2B | Add +4.9% |
| SPIB SS SPDR P Int C Corp. ETF | 0.53% | 34,976,110 | $1.2B | Add +7.8% |
| VEA Vanguard Ftse Developed ETF | 0.53% | 22,283,298 | $1.2B | Add +4.5% |
| META Meta Platforms Inc. Class A | 0.52% | 2,035,095 | $1.2B | Add +6.9% |
| VIG Vanguard Dividend Apprec ETF | 0.51% | 5,808,810 | $1.2B | Add +5.7% |
| BRK.B Berkshire Hathaway Inc. Class B | 0.51% | 2,494,000 | $1.1B | Add +9.2% |
| COWZ Pacer US Cash Cows 100 ETF | 0.51% | 19,767,214 | $1.1B | Add +6.1% |
| IWF iShares Russell 1000 Growth | 0.51% | 3,027,221 | $1.1B | Add +3.5% |
| BND Vanguard Total Bond Market | 0.49% | 14,487,899 | $1.1B | Add +3.7% |
| SPTI SS SPDR P Int Term TSY ETF | 0.48% | 36,777,902 | $1.1B | Add +10.1% |
| XLV SS Health Care Select Sector | 0.46% | 6,671,871 | $1.0B | Add +10.1% |
| SPDW Ste STR SPDR PT DW Eu ETF | 0.46% | 27,260,572 | $1.0B | Reduce -2.1% |
| BUFR FT Vest Lad Buffervetf-Usd I | 0.45% | 34,010,929 | $1.0B | Add +15.0% |
| DYNF Ishrs US E F R A ETF-Usd Inc. | 0.45% | 20,189,958 | $998.8M | Add +16.0% |
| GOOGL Alphabet Inc. Class A | 0.45% | 6,017,937 | $998.1M | Add +6.6% |
| SCHD Schwab US DVD Equity ETF | 0.44% | 11,531,390 | $974.7M | Add +3.1% |
| BIL SS SPDR BB 1-3M T-Bill ETF | 0.43% | 10,572,182 | $970.6M | Add +6.1% |
| DGRW Wisdomtree U.S. Quality Divi | 0.42% | 11,206,561 | $932.5M | Add +8.1% |
| VCIT Vanguard Int-Term Corporate | 0.40% | 10,738,931 | $899.4M | Add +3.6% |
| SPSM SS SPDR P S&P 600 Small Cap | 0.40% | 19,491,342 | $887.1M | Add +8.5% |
| IVE iShares S&P 500 Value ETF | 0.39% | 4,430,080 | $873.5M | Add +4.0% |
| VB Vanguard Most SM-Cap ETF-Usd | 0.38% | 3,612,385 | $856.9M | Add +2.5% |
| DGRO iShares Core Dividend Growth | 0.37% | 13,363,898 | $837.8M | Add +3.2% |
| LLY Eli Lilly & Co. | 0.37% | 937,917 | $830.9M | Add +10.4% |
| MUB iShares National Muni Bond E | 0.37% | 7,582,923 | $823.7M | Add +8.4% |
| GLD SPDR Gold Shares | 0.36% | 3,334,764 | $810.5M | Add +6.6% |
| AGG iShares Core U.S. Aggregate | 0.36% | 7,942,784 | $804.4M | Add +14.1% |
| FVD First Trust Value Line DVD | 0.36% | 17,561,504 | $798.9M | Reduce -5.3% |
| AVGO Broadcom Inc. | 0.35% | 4,555,660 | $785.9M | Add +7.0% |
| GOOG Alphabet Inc. Class C | 0.35% | 4,689,666 | $784.1M | Add +5.7% |
| JPM JPMorgan Chase & Co. | 0.35% | 3,711,324 | $782.6M | Add +6.7% |
| MOAT Vaneck Morningstar Wide Moat | 0.34% | 7,877,723 | $763.7M | Add +8.4% |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | 0.34% | 2,888,967 | $762.2M | Add +2.5% |
| IWB iShares Russell 1000 ETF | 0.34% | 2,394,007 | $752.7M | Add +2.3% |
| EFV iShares MSCI Eafe Value ETF | 0.33% | 12,773,389 | $734.9M | Add +91.4% |
| RSP Invesco S&P 500 Equal Weight | 0.33% | 4,090,639 | $732.9M | Add +9.5% |
| COST Costco Wholesale Corp. | 0.32% | 818,807 | $725.9M | Add +7.5% |
| VGT Vanguard Info Tech ETF | 0.31% | 1,188,742 | $697.2M | Add +2.3% |
| VYM Vanguard High DVD Yield ETF | 0.31% | 5,399,549 | $692.2M | Add +3.4% |
| SPAB SS SPDR P Agg Bond ETF | 0.31% | 26,224,086 | $685.5M | Add +14.8% |
| XLF SS Financial Select Sector | 0.30% | 15,035,281 | $681.4M | Add +9.1% |
| EFG iShares MSCI Eafe Growth ETF | 0.30% | 6,280,782 | $676.1M | Reduce -4.8% |
| FTCS First Trust Capital Strength | 0.30% | 7,373,549 | $669.5M | Reduce -2.5% |
| SPMD SS SPDR P S&P 400 Midcap ETF | 0.30% | 12,201,636 | $667.2M | Reduce -1.3% |
| SDVY First Trust Smid Cap Rising | 0.29% | 17,987,114 | $654.4M | Add +17.1% |
| USFR Wisdomtree Floating Rate Tre | 0.29% | 12,903,153 | $648.0M | Reduce -1.5% |
| V Visa Inc. Class A | 0.29% | 2,330,719 | $640.8M | Add +5.3% |
| TSLA Tesla Inc. | 0.28% | 2,410,178 | $630.6M | Add +2.3% |
| IYW iShares Ustechnology ETF | 0.28% | 4,133,439 | $626.7M | Add +2.9% |
| IWD iShares Russell 1000 Value E | 0.28% | 3,293,977 | $625.2M | Add +0.7% |
| XLE SS Energy Select Sector | 0.28% | 7,090,455 | $622.5M | Reduce -12.4% |
| HD Home Depot Inc. | 0.28% | 1,529,906 | $619.9M | Add +6.4% |
| SPTM SS SPDR P S&P 1500 Comp ETF | 0.27% | 8,719,643 | $610.9M | Reduce -0.7% |
| DFAC Dimensional US Core Equity 2 | 0.27% | 17,745,074 | $608.5M | Add +0.5% |
| DIA SS SPDR Dow Jones Indus Avg filed as SPDR DOW JONES INDL AVERAGE | 0.27% | 1,435,157 | $607.2M | Add +0.2% |
| JNJ Johnson & Johnson | 0.27% | 3,714,260 | $601.9M | Add +10.2% |
| ITOT iShares Core S&P Total U.S. | 0.27% | 4,741,032 | $595.6M | Reduce -0.1% |
| CGDV Cap Group Dividend Value filed as CAPITAL GROUP DIVIDEND VALUE | 0.26% | 16,169,046 | $589.2M | Add +26.8% |
| VWO Vanguard Ftse Emerging Marke | 0.26% | 12,270,433 | $587.1M | Add +3.7% |
| XOM Exxon Mobil Corp. | 0.26% | 4,979,085 | $583.6M | Add +9.3% |
| JPST JPMorgan Ultra-Short Income | 0.25% | 11,172,018 | $566.9M | Add +7.6% |
| TLT iShares 20+ Year Treasury BD | 0.25% | 5,776,592 | $566.7M | Add +18.1% |
| XLI SS Industrial Select Sector | 0.25% | 4,150,859 | $562.2M | Add +0.0% |
| SHY iShares 1-3 Year Treasury Bo | 0.25% | 6,658,791 | $553.7M | Add +21.8% |
| PG The Procter & Gamble Co. | 0.24% | 3,127,615 | $541.7M | Add +3.2% |
| ABBV Abbvie Inc. | 0.23% | 2,657,804 | $524.9M | Add +3.6% |
| UNH Unitedhealth Group Inc. | 0.23% | 895,944 | $523.8M | Add +7.8% |
| SPHQ Invesco S&P 500 Quality ETF | 0.23% | 7,743,714 | $520.9M | Add +1.9% |
| XMHQ Invesco S&P Midcap Qual ETF | 0.23% | 4,960,121 | $508.8M | Add +7.7% |
| WMT Walmart Inc. | 0.23% | 6,300,261 | $508.7M | Add +5.4% |
| FTSM First Trust Enh Short Mat FD | 0.22% | 8,368,518 | $501.0M | Reduce -2.3% |
| VONG Vanguard Russell 1000 Growth | 0.22% | 5,172,862 | $499.3M | Add +10.3% |
Options reported separately and not counted above: QQQ puts ($81.2M), SPY puts ($60.8M), IWM puts ($24.4M), AAPL puts ($9.9M), C puts ($9.4M), PFE puts ($8.2M), SPY calls ($6.9M), MSFT puts ($5.5M), NVDA calls ($4.8M), VOO puts ($4.6M), IVV puts ($3.6M), DVN puts ($3.6M), and 93 more.
Other holdings (32): bonds, preferreds, convertibles and warrants · $27.2M (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | 9,107 | $11.6M | Add +7.0% |
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | 6,661 | $8.5M | Add +13.2% |
| NEXTERA ENERGY INC (NEE 6.926 09/01/25) | UNIT 09/01/2025 | 35,268 | $1.6M | Reduce -7.2% |
| RLJ LODGING TRUST (RLJ 1.95 PERP A) | CUM CONV PFD A | 62,602 | $1.6M | Add +1.3% |
| EPR PROPERTIES (EPR 9 PERP E) | CONV PFD 9% SR E | 25,461 | $780K | Add +20.6% |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | 21,799 | $648K | Reduce -1.4% |
| HUMAW Humacyte Inc.-CW27 | *W EXP 08/27/202 | 300,599 | $540K | No change |
| EL PASO ENERGY CAP TRST (KMI 4.75 03/31/28) | PFD CV TR SEC 28 | 10,635 | $513K | Reduce -10.5% |
| ALBEMARLE CORP (ALB 7.25 03/01/27) | 7.25% DEP SHS A | 8,572 | $386K | Add +3.6% |
| LUNRW Intuitive Machines Inc.-CW | *W EXP 99/99/999 | 103,400 | $260K | New |
| PROSPECT CAPITAL CORP (PSEC 6.375 03/01/25) | NOTE 6.375% 3/0 · principal | 241,000 | $242K | Add +14.8% |
| PENNYMAC CORP (PMT 5.5 11/01/24) | NOTE 5.500%11/0 · principal | 77,000 | $77K | No change |
| HTZWW Hertz Global Hldgs Inc. -CW51 | *W EXP 06/30/205 | 27,155 | $59K | Reduce -8.7% |
| LYFT INC (LYFT 1.5 05/15/25) | NOTE 1.500% 5/1 · principal | 40,000 | $39K | New |
| SMR.WS Nuscale Power Co. -CW27 | *W EXP 05/02/202 | 11,500 | $37K | New |
| DISH NETWORK CORP (DISH 3.375 08/15/26) | NOTE 3.375% 8/1 · principal | 45,000 | $36K | No change |
| GABELLI UTILITY TRUST/THE | RIGHT 10/21/2024 | 946,585 | $26K | Reduce -8.5% |
| AKAMAI TECHNOLOGIES INC (AKAM 0.125 05/01/25) | NOTE 0.125% 5/0 · principal | 22,000 | $24K | Add +29.4% |
| DEXCOM INC (DXCM 0.25 11/15/25) | NOTE 0.250%11/1 · principal | 24,000 | $23K | Add +14.3% |
| ASTLW Algoma Steel Group Inc. -CW26 | *W EXP 10/19/202 | 12,600 | $22K | No change |
| SOUTHWEST AIRLINES CO (LUV 1.25 05/01/25) | NOTE 1.250% 5/0 · principal | 19,000 | $19K | Reduce -20.8% |
| SHOPIFY INC (SHOPCN 0.125 11/01/25) | NOTE 0.125%11/0 · principal | 17,000 | $16K | New |
| OKTA INC (OKTA 0.125 09/01/25) | NOTE 0.125% 9/0 · principal | 15,000 | $14K | New |
| BENTLEY SYSTEMS INC (BSY 0.125 01/15/26) | NOTE 0.125% 1/1 · principal | 13,000 | $13K | New |
| ZILLOW GROUP INC (Z 2.75 05/15/25) | NOTE 2.750% 5/1 · principal | 10,000 | $11K | New |
| CHEGG INC (CHGG 0.125 03/15/25) | NOTE 0.125% 3/1 · principal | 11,000 | $11K | New |
| ADVENT CONVERTIBLE AND INCOM | RIGHT 10/17/2024 | 434,865 | $9K | Add +1.9% |
| NEOGENOMICS INC (NEO 0.25 01/15/28) | NOTE 0.250% 1/1 · principal | 10,000 | $8K | No change |
| LIBERTY INTERACTIVE LLC (LINTA 4 11/15/29) | DEB 4.000%11/1 · principal | 23,000 | $7K | No change |
| WESTERN ASSET GLOBAL HIGH-RT | RIGHT 10/08/2024 | 123,318 | $1K | Reduce -23.4% |
| OUSTW Ouster Inc.-28 | *W EXP 09/29/202 | 15,405 | $396 | Reduce -1.9% |
| NVVEW Nuvve Holding Corp.-CW26 | *W EXP 03/19/202 | 10,000 | $245 | No change |
Total filed on the 13F, all lines: $224.0B.
Portfolio Sells Q2 2024 → Q3 2024
| XLK SS Technology Select Sector | Reduce -0.8% | 0.71% | −0.09 |
| XLE SS Energy Select Sector | Reduce -12.4% | 0.28% | −0.09 |
| OMFL Invesco Russell 1000 DYN M/F | Reduce -24.5% | 0.11% | −0.05 |
| IEMG iShares Core MSCI Emerging | Reduce -3.8% | 0.58% | −0.05 |
| HEFA Isha Curr Hedged MSCI Eafe | Reduce -45.8% | 0.04% | −0.05 |
| USFR Wisdomtree Floating Rate Tre | Reduce -1.5% | 0.29% | −0.04 |
| EFG iShares MSCI Eafe Growth ETF | Reduce -4.8% | 0.30% | −0.03 |
| FTSM First Trust Enh Short Mat FD | Reduce -2.3% | 0.22% | −0.03 |
| SPDW Ste STR SPDR PT DW Eu ETF | Reduce -2.1% | 0.46% | −0.03 |
| SPGP Invesco S&P 500 Garp ETF | Reduce -7.3% | 0.16% | −0.03 |
| DXJ Wisdomtree Japan Hedged Eq | Reduce -43.0% | 0.02% | −0.03 |
| IWR iShares Russell Mid-Cap ETF | Reduce -16.5% | 0.10% | −0.02 |
| BA The Boeing Co. | Reduce -3.0% | 0.06% | −0.02 |
| TIP iShares Tips Bond ETF | Reduce -25.0% | 0.05% | −0.02 |
| XOP SS SPDR S&P Og Exp & Prod | Reduce -53.3% | 0.01% | −0.02 |
| TIPX SS SPDR BB 1-10YR Tips ETF | Reduce -44.1% | 0.02% | −0.02 |
| FVD First Trust Value Line DVD | Reduce -5.3% | 0.36% | −0.02 |
| SPMD SS SPDR P S&P 400 Midcap ETF | Reduce -1.3% | 0.30% | −0.02 |
| FTCS First Trust Capital Strength | Reduce -2.5% | 0.30% | −0.02 |
| SPTM SS SPDR P S&P 1500 Comp ETF | Reduce -0.7% | 0.27% | −0.02 |
| IHDG Wisdomtree International Hed | Reduce -4.9% | 0.10% | −0.02 |
| TFLO iShares Treasury Floating Ra | Reduce -1.7% | 0.13% | −0.02 |
| FTSL First Trust Senior Loan ETF | Reduce -27.6% | 0.03% | −0.02 |
| SOXX iShares Semiconductor ETF | Reduce -1.5% | 0.08% | −0.02 |
| ITOT iShares Core S&P Total U.S. | Reduce -0.1% | 0.27% | −0.02 |
| MGK Vngrd Mrgstr MG CP GR ETF-Ui | Reduce -1.7% | 0.14% | −0.01 |
| GSUS Goldman Sachs Marketbeta US | Reduce -1.3% | 0.18% | −0.01 |
| XLB SS Materials Select Sector | Reduce -22.6% | 0.04% | −0.01 |
| WINN Harbor Long-Term Growers ETF | Reduce -16.0% | 0.04% | −0.01 |
| CAG Conagra Brands Inc. | Reduce -61.8% | 0.01% | −0.01 |
| IJK iShares S&P Mid-Cap 400 Grow | Reduce -12.6% | 0.05% | −0.01 |
| FLOT iShares Floating Rate Bond E | Reduce -2.6% | 0.08% | −0.01 |
| MUNI PIMCO Intermediate Municipal | Reduce -24.8% | 0.03% | −0.01 |
| FV First Trust DW Focus 5 Fund | Reduce -0.6% | 0.11% | −0.01 |
| KMB Kimberly-Clark Corp. | Reduce -16.1% | 0.04% | −0.01 |
| MCK McKesson Corp. | Reduce -5.7% | 0.03% | −0.01 |
| SPTS SS SPDR P St Term TSY ETF | Reduce -3.4% | 0.08% | −0.01 |
| DLN Wisdomtree US Largecap Divid | Reduce -7.3% | 0.10% | −0.01 |
| QQEW First TR Nasdaq-100 Sel Eq | Reduce -12.2% | 0.04% | −0.01 |
| GCOR Goldman Sachs Access US Agg | Reduce -6.5% | 0.07% | −0.01 |
| NTAP Netapp Inc. | Reduce -66.3% | 0.00% | −0.01 |
| VRTX Vertex Pharmaceuticals Inc. | Reduce -9.6% | 0.04% | −0.01 |
| QTEC First Trust Nasdq 100 Tech I | Reduce -4.0% | 0.05% | −0.01 |
| IHI iShares U.S. Medical Devices | Reduce -11.8% | 0.05% | −0.01 |
| WHR Whirlpool Corp. | Reduce -66.9% | 0.00% | −0.01 |
| ARKK ARK Innovation ETF | Reduce -12.9% | 0.05% | −0.01 |
| FLBL Franklin Senior Loan ETF | Reduce -44.4% | 0.01% | −0.01 |
| WMB Williams Cos Inc. | Reduce -11.6% | 0.05% | −0.01 |
| SDY SS SPDR S&P Dividend ETF | Reduce -4.7% | 0.18% | −0.01 |
| FTGC First Trust Global Tactical | Reduce -13.1% | 0.03% | −0.01 |
Portfolio Buys Q2 2024 → Q3 2024
| EFV iShares MSCI Eafe Value ETF | Add +91.4% | 0.33% | +0.15 |
| IUSB Ishr CR Unvrse Usd BD ETF-Ui | Add +20.3% | 0.83% | +0.09 |
| AAPL Apple Inc. | Add +5.0% | 1.93% | +0.07 |
| BINC iShares Flex I A ETF-Usd Inc. | Add +69.6% | 0.15% | +0.05 |
| CGDV Cap Group Dividend Value | Add +26.8% | 0.26% | +0.05 |
| SPYV SS SPDR P S&P 500 Value ETF | Add +8.8% | 0.92% | +0.05 |
| BRK.B Berkshire Hathaway Inc. Class B | Add +9.2% | 0.51% | +0.05 |
| TSLA Tesla Inc. | Add +2.3% | 0.28% | +0.05 |
| SPYM Ste STR SPDR PT S&P 500 ETF | Add +10.9% | 1.07% | +0.05 |
| META Meta Platforms Inc. Class A | Add +6.9% | 0.52% | +0.04 |
| DYNF Ishrs US E F R A ETF-Usd Inc. | Add +16.0% | 0.45% | +0.04 |
| IWM iShares Russell 2000 ETF | Add +8.8% | 0.67% | +0.04 |
| EMXC iShares MSCI Emr MRK Ex Chna | Add +29.9% | 0.22% | +0.04 |
| SDVY First Trust Smid Cap Rising | Add +17.1% | 0.29% | +0.04 |
| XLU St Sr Utl SL SE SPDR ETF-Usd | Add +14.2% | 0.20% | +0.04 |
| HD Home Depot Inc. | Add +6.4% | 0.28% | +0.03 |
| CGGR Cap Group Growth Equity | Add +24.6% | 0.19% | +0.03 |
| TLT iShares 20+ Year Treasury BD | Add +18.1% | 0.25% | +0.03 |
| BUFR FT Vest Lad Buffervetf-Usd I | Add +15.0% | 0.45% | +0.03 |
| MOAT Vaneck Morningstar Wide Moat | Add +8.4% | 0.34% | +0.03 |
| RECS Columbia Resear Enh Cor ETF | Add +51.3% | 0.09% | +0.03 |
| GLD SPDR Gold Shares | Add +6.6% | 0.36% | +0.03 |
| XLRE SS Real Estate Select Sector | Add +38.3% | 0.09% | +0.03 |
| WMT Walmart Inc. | Add +5.4% | 0.23% | +0.03 |
| GOVI Invesco Equal Weight 0-30 YR | Add +197.1% | 0.04% | +0.02 |
| SHY iShares 1-3 Year Treasury Bo | Add +21.8% | 0.25% | +0.02 |
| SPSM SS SPDR P S&P 600 Small Cap | Add +8.5% | 0.40% | +0.02 |
| JNJ Johnson & Johnson | Add +10.2% | 0.27% | +0.02 |
| CGUS Cap Group Core Equity | Add +35.7% | 0.10% | +0.02 |
| IJR iShares Core S&P Small-Cap E | Add +5.2% | 0.73% | +0.02 |
| UNH Unitedhealth Group Inc. | Add +7.8% | 0.23% | +0.02 |
| JAAA Janus Henderson Aaa Clo ETF | Add +38.6% | 0.12% | +0.02 |
| AGG iShares Core U.S. Aggregate | Add +14.1% | 0.36% | +0.02 |
| XLF SS Financial Select Sector | Add +9.1% | 0.30% | +0.02 |
| RSP Invesco S&P 500 Equal Weight | Add +9.5% | 0.33% | +0.02 |
| CGCP Cap Group Core Plus Income | Add +69.4% | 0.06% | +0.02 |
| BBUS JPMorgan Betabuilders US Equ | Add +31.9% | 0.10% | +0.02 |
| SPAB SS SPDR P Agg Bond ETF | Add +14.8% | 0.31% | +0.02 |
| LMT Lockheed Martin Corp. | Add +3.2% | 0.15% | +0.02 |
| PLTR Palantir Technologies Inc. Class A | Add +22.8% | 0.05% | +0.02 |
| MCD McDonald's Corp. | Add +6.2% | 0.16% | +0.02 |
| TCAF T Rowe PRC Cap Appreciation | Add +42.1% | 0.07% | +0.02 |
| IBM Intl Business Machines Corp. | Add +2.7% | 0.12% | +0.02 |
| XLV SS Health Care Select Sector | Add +10.1% | 0.46% | +0.02 |
| ORCL Oracle Corp. | Add +8.0% | 0.12% | +0.02 |
| UCON First Trust Smith Unconstrai | Add +27.2% | 0.12% | +0.02 |
| JBND JPMorgan Active Bond ETF | Add +98.6% | 0.04% | +0.02 |
| CGCB Cap Group Core Bond | Add +619.7% | 0.02% | +0.02 |
| DIVB iShares Core Dividend ETF | Add +129.2% | 0.03% | +0.02 |
| ZROZ PIMCO 25+ YR Zero CPN US Tif | Add +70.2% | 0.04% | +0.02 |
Options Activity Q2 2024 → Q3 2024
| QQQ Invesco QQQ Trust Series 1 | put | Reduce -9.7% | 166,300 | $81.2M |
| SPY SS SPDR S&P 500 ETF Trust-US | put | Add +50.9% | 105,900 | $60.8M |
| DIA SS SPDR Dow Jones Indus Avg | call | Sold out | 91,500 | $35.8Mbefore exit |
| IWM iShares Russell 2000 ETF | put | Add +3583.3% | 110,500 | $24.4M |
| AAPL Apple Inc. | put | Add +1.9% | 42,400 | $9.9M |
| C Citigroup Inc. | put | Add +12.5% | 150,900 | $9.4M |
| PFE Pfizer Inc. | put | Add +609.5% | 283,800 | $8.2M |
| SPY SS SPDR S&P 500 ETF Trust-US | call | Reduce -12.9% | 12,100 | $6.9M |
| MSFT Microsoft Corp. | put | Add +7.6% | 12,800 | $5.5M |
| NVDA Nvidia Corp. | call | Add +2.9% | 39,500 | $4.8M |
| VOO Vanguard S&P 500 ETF | put | Add +877.8% | 8,800 | $4.6M |
| IVV iShares Core S&P 500 ETF | put | Add +600.0% | 6,300 | $3.6M |
| DVN Devon Energy Corp. | put | Add +51.1% | 92,800 | $3.6M |
| DIA SS SPDR Dow Jones Indus Avg | put | Add +21.7% | 8,400 | $3.6M |
| BMY Bristol-Myers Squibb Co. | call | Reduce -8.4% | 65,500 | $3.4M |
| BMY Bristol-Myers Squibb Co. | put | Reduce -31.5% | 65,200 | $3.4M |
| GLD SPDR Gold Shares | put | Add +52.8% | 13,600 | $3.3M |
| MCHP Microchip Technology Inc. | call | New | 38,000 | $3.1M |
| IWF iShares Russell 1000 Growth | put | New | 7,900 | $3.0M |
| LNC Lincoln National Corp. | put | Add +863.4% | 89,600 | $2.8M |
| AMZN Amazon.com Inc. | put | Add +4.3% | 14,500 | $2.7M |
| RIG Transocean Ltd. | put | Add +2216.0% | 609,100 | $2.6M |
| BAC Bank of America Corp. | put | Add +56.0% | 64,900 | $2.6M |
| SLB SLB Ltd. | put | Reduce -41.8% | 58,200 | $2.4M |
| TLT iShares 20+ Year Treasury BD | call | New | 23,000 | $2.3M |
| XLK SS Technology Select Sector | put | Add +97.8% | 9,100 | $2.1M |
| BABA Alibaba Group Holding-SP ADR | call | Sold out | 27,600 | $2.0Mbefore exit |
| SMCI Super Micro Computer Inc. | call | Sold out | 2,400 | $2.0Mbefore exit |
| BBY Best Buy Co. Inc. | put | New | 18,000 | $1.9M |
| NFLX Netflix Inc. | call | Reduce -3.9% | 2,500 | $1.8M |
| ORCL Oracle Corp. | put | Sold out | 12,000 | $1.7Mbefore exit |
| LMT Lockheed Martin Corp. | put | Reduce -12.5% | 2,800 | $1.6M |
| WFC Wells Fargo & Co. | put | Sold out | 27,300 | $1.6Mbefore exit |
| XLI SS Industrial Select Sector | put | Add +495.0% | 11,900 | $1.6M |
| EXE Expand Energy Corp. | put | Add +133.7% | 19,400 | $1.6M |
| BRK.B Berkshire Hathaway Inc. Class B | put | Add +3.0% | 3,400 | $1.6M |
| LLY Eli Lilly & Co. | put | Add +13.3% | 1,700 | $1.5M |
| BA The Boeing Co. | put | New | 9,600 | $1.5M |
| QQQM Invesco Nasdaq 100 ETF | put | Reduce -5.5% | 6,900 | $1.4M |
| IBM Intl Business Machines Corp. | put | Reduce -41.0% | 6,200 | $1.4M |
| PFE Pfizer Inc. | call | Reduce -4.7% | 45,000 | $1.3M |
| CNQ Canadian Natural Resources | call | Sold out | 34,000 | $1.2Mbefore exit |
| GDX Vaneck Gold Miners ETF | put | New | 30,300 | $1.2M |
| USB US Bancorp | put | Reduce -72.7% | 26,300 | $1.2M |
| BABA Alibaba Group Holding-SP ADR | put | New | 11,100 | $1.2M |
| AMZN Amazon.com Inc. | call | Reduce -7.3% | 6,300 | $1.2M |
| GME Gamestop Corp. Class A | call | New | 49,000 | $1.1M |
| NEE Nextera Energy Inc. | put | Reduce -45.1% | 13,000 | $1.1M |
| GOOGL Alphabet Inc. Class A | put | Reduce -1.6% | 6,300 | $1.0M |
| IWM iShares Russell 2000 ETF | call | New | 4,700 | $1.0M |
Showing the first 50 of 130.
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
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | Add +7.0% | 9,107 | $11.6M |
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | Add +13.2% | 6,661 | $8.5M |
| NEXTERA ENERGY INC (NEE 6.926 09/01/25) | UNIT 09/01/2025 | Reduce -7.2% | 35,268 | $1.6M |
| RLJ LODGING TRUST (RLJ 1.95 PERP A) | CUM CONV PFD A | Add +1.3% | 62,602 | $1.6M |
| EPR PROPERTIES (EPR 9 PERP E) | CONV PFD 9% SR E | Add +20.6% | 25,461 | $780K |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | Reduce -1.4% | 21,799 | $648K |
| EL PASO ENERGY CAP TRST (KMI 4.75 03/31/28) | PFD CV TR SEC 28 | Reduce -10.5% | 10,635 | $513K |
| ALBEMARLE CORP (ALB 7.25 03/01/27) | 7.25% DEP SHS A | Add +3.6% | 8,572 | $386K |
| LUNRW Intuitive Machines Inc.-CW | *W EXP 99/99/999 | New | 103,400 | $260K |
| PROSPECT CAPITAL CORP (PSEC 6.375 03/01/25) | NOTE 6.375% 3/0 · principal | Add +14.8% | 241,000 | $242K |
| HTZWW Hertz Global Hldgs Inc. -CW51 | *W EXP 06/30/205 | Reduce -8.7% | 27,155 | $59K |
| LYFT INC (LYFT 1.5 05/15/25) | NOTE 1.500% 5/1 · principal | New | 40,000 | $39K |
| SMR.WS Nuscale Power Co. -CW27 | *W EXP 05/02/202 | New | 11,500 | $37K |
| GABELLI UTILITY TRUST/THE | RIGHT 10/21/2024 | Reduce -8.5% | 946,585 | $26K |
| AKAMAI TECHNOLOGIES INC (AKAM 0.125 05/01/25) | NOTE 0.125% 5/0 · principal | Add +29.4% | 22,000 | $24K |
| DEXCOM INC (DXCM 0.25 11/15/25) | NOTE 0.250%11/1 · principal | Add +14.3% | 24,000 | $23K |
| SOUTHWEST AIRLINES CO (LUV 1.25 05/01/25) | NOTE 1.250% 5/0 · principal | Reduce -20.8% | 19,000 | $19K |
| SHOPIFY INC (SHOPCN 0.125 11/01/25) | NOTE 0.125%11/0 · principal | New | 17,000 | $16K |
| OKTA INC (OKTA 0.125 09/01/25) | NOTE 0.125% 9/0 · principal | New | 15,000 | $14K |
| BENTLEY SYSTEMS INC (BSY 0.125 01/15/26) | NOTE 0.125% 1/1 · principal | New | 13,000 | $13K |
| UPSTART HOLDINGS INC (UPST 0.25 08/15/26) | NOTE 0.250% 8/1 · principal | Sold out | 15,000 | $12Kbefore exit |
| ZILLOW GROUP INC (Z 2.75 05/15/25) | NOTE 2.750% 5/1 · principal | New | 10,000 | $11K |
| VISHAY INTERTECHNOLOGY (VSH 2.25 06/15/25) | NOTE 2.250% 6/1 · principal | Sold out | 11,000 | $11Kbefore exit |
| CHEGG INC (CHGG 0.125 03/15/25) | NOTE 0.125% 3/1 · principal | New | 11,000 | $11K |
| ADVENT CONVERTIBLE AND INCOM | RIGHT 10/17/2024 | Add +1.9% | 434,865 | $9K |
| WESTERN ASSET GLOBAL HIGH-RT | RIGHT 10/08/2024 | Reduce -23.4% | 123,318 | $1K |
| OUSTW Ouster Inc.-28 | *W EXP 09/29/202 | Reduce -1.9% | 15,405 | $396 |
| SQFTW Presidio Property TRST -CW27 | *W EXP 01/24/202 | Sold out | 10,109 | $394before exit |
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 | 5,932 | $444.6B | IVV, QQQ, SPY, AAPL, NVDA |
| Q1 2026 | 5,727 | $376.1B | IVV, SPY, QQQ, AAPL, NVDA |
| Q4 2025 | 5,611 | $365.7B | IVV, SPY, QQQ, AAPL, NVDA |
| Q3 2025 | 5,518 | $342.5B | IVV, SPY, QQQ, NVDA, AAPL |
| Q2 2025 | 5,332 | $299.4B | SPY, IVV, QQQ, NVDA, MSFT |
| Q1 2025 | 5,150 | $256.9B | IVV, SPY, AAPL, QQQ, VTI |
| Q4 2024 | 5,094 | $245.7B | IVV, SPY, AAPL, QQQ, VTI |
| Q3 2024 | 5,019 | $224.0B | IVV, SPY, QQQ, AAPL, VTI |
| Q2 2024 | 4,877 | $200.5B | IVV, SPY, QQQ, AAPL, VTI |
| Q1 2024 | 4,805 | $186.0B | IVV, SPY, QQQ, VTI, AAPL |