Marcum Wealth, LLC
In its 13F for Q3 2024 (holdings as of September 30, 2024, filed October 8, 2024), Marcum Wealth, LLC reported 375 stock positions worth $1.1 billion. Its top holding was iShares Core S&P 500 ETF (IVV) at 17.7% of the portfolio, followed by Schwab US Large-Cap ETF (SCHX, 8.1%) and Vanguard Ftse Developed ETF (VEA, 6.1%). Compared with Q2 2024, it opened 38 new positions, sold out of 13, added to 137 and reduced 177. The biggest buy was Innovator U.S. Equity Buffer (BJUL, shares +268%) and the biggest sale Innovator U.S. Equity Buffer (BJAN, shares −77%).
- Most Recent 13F
- Q1 2025
- Location
- CLEVELAND, OH
- CIK
- 0001784450
- Portfolio Value
- $1.1B (Q3 2024)
- SEC Filing
- 0001784450-24-000006 ↗ filed Oct 8, 2024
Holdings Value
Holdings 375 stocks · $1.1B
| IVV iShares Core S&P 500 ETF | 17.69% | 329,805 | $190.2M | Add +2.5% |
| SCHX Schwab US Large-Cap ETF | 8.09% | 1,281,656 | $87.0M | Reduce -3.1% |
| VEA Vanguard Ftse Developed ETF | 6.11% | 1,244,394 | $65.7M | Add +2.6% |
| SCHA Schwab US Small-Cap ETF | 5.30% | 1,106,494 | $57.0M | Reduce -1.8% |
| VWO Vanguard Ftse Emerging Marke | 4.76% | 1,070,044 | $51.2M | Add +2.7% |
| IEFA iShares Core MSCI Eafe ETF | 4.42% | 609,126 | $47.5M | Reduce -0.5% |
| VB Vanguard Most SM-Cap ETF-Usd | 4.15% | 188,103 | $44.6M | Reduce -0.8% |
| IJR iShares Core S&P Small-Cap E | 3.25% | 298,702 | $34.9M | Add +8.9% |
| AAPL Apple Inc. | 1.99% | 91,734 | $21.4M | Add +0.7% |
| MSFT Microsoft Corp. | 1.96% | 48,896 | $21.0M | Add +1.1% |
| XMPT Vaneck Cef Muni Income ETF | 1.94% | 902,599 | $20.9M | Reduce -1.4% |
| IEMG iShares Core MSCI Emerging | 1.60% | 300,016 | $17.2M | Add +0.2% |
| AGG iShares Core U.S. Aggregate | 1.56% | 165,605 | $16.8M | Add +4.9% |
| VOO Vanguard S&P 500 ETF | 1.44% | 29,258 | $15.4M | Add +2.9% |
| UPS United Parcel Service Class B | 1.38% | 109,215 | $14.9M | Reduce -0.5% |
| PGR Progressive Corp. | 1.12% | 47,528 | $12.1M | Reduce -0.1% |
| NVDA Nvidia Corp. | 0.95% | 83,952 | $10.2M | Reduce -1.4% |
| VGLT Vanguard Long-Term Treasury | 0.87% | 151,937 | $9.4M | Add +12.0% |
| QQQ Invesco QQQ Trust Series 1 | 0.86% | 18,961 | $9.3M | Add +1.6% |
| VUG Vanguard Mrngstar GR ETF-Sui | 0.74% | 20,787 | $8.0M | Reduce -1.8% |
| JPM JPMorgan Chase & Co. | 0.68% | 34,557 | $7.3M | Reduce -0.2% |
| AMZN Amazon.com Inc. | 0.66% | 37,810 | $7.0M | Add +5.5% |
| BJUL Innovator U.S. Equity Buffer | 0.63% | 156,208 | $6.8M | Add +267.7% |
| VIG Vanguard Dividend Apprec ETF | 0.58% | 31,264 | $6.2M | Reduce -0.2% |
| VNQ Vanguard Real Estate ETF | 0.48% | 53,506 | $5.2M | Add +12.9% |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | 0.41% | 16,555 | $4.4M | Add +1.5% |
| SPYV SS SPDR P S&P 500 Value ETF | 0.41% | 82,525 | $4.4M | No change |
| IWF iShares Russell 1000 Growth | 0.40% | 11,575 | $4.3M | Reduce -1.2% |
| PH Parker Hannifin Corp. | 0.38% | 6,494 | $4.1M | Reduce -0.6% |
| BRK.B Berkshire Hathaway Inc. Class B | 0.38% | 8,851 | $4.1M | Add +2.5% |
| XOM Exxon Mobil Corp. | 0.36% | 33,043 | $3.9M | Add +1.7% |
| META Meta Platforms Inc. Class A | 0.34% | 6,448 | $3.7M | Add +3.6% |
| HEI.A Heico Corp. Class A | 0.34% | 18,095 | $3.7M | Reduce -0.0% |
| JMBS Janus Henderson Mortg Backed | 0.34% | 78,908 | $3.7M | Add +9.1% |
| AVGO Broadcom Inc. | 0.34% | 20,979 | $3.6M | Reduce -0.7% |
| GOOGL Alphabet Inc. Class A | 0.33% | 21,710 | $3.6M | Add +3.1% |
| MMIN Nylim Mackay Muni Insured Et filed as NEW YORK LIFE INVTS ACTIVE E | 0.32% | 140,916 | $3.5M | Add +10.1% |
| DFIS Dimensional International SM | 0.29% | 117,464 | $3.2M | Add +3.8% |
| GOOG Alphabet Inc. Class C | 0.28% | 18,156 | $3.0M | Add +2.4% |
| VTV Vanguard Mrngstr Val ETF-Aui | 0.28% | 17,206 | $3.0M | Reduce -6.7% |
| VTEB Vanguard Tax-Exempt Bond ETF | 0.28% | 57,867 | $3.0M | Add +0.6% |
| MO Altria Group Inc. | 0.27% | 56,794 | $2.9M | Add +1.9% |
| IJH iShares Core S&P Midcap ETF | 0.27% | 46,267 | $2.9M | Add +53.7% |
| V Visa Inc. Class A | 0.27% | 10,458 | $2.9M | Add +3.5% |
| LLY Eli Lilly & Co. | 0.26% | 3,144 | $2.8M | Add +8.5% |
| UNH Unitedhealth Group Inc. | 0.25% | 4,625 | $2.7M | Reduce -5.3% |
| CVX Chevron Corp. | 0.25% | 17,962 | $2.6M | Reduce -6.4% |
| HD Home Depot Inc. | 0.24% | 6,393 | $2.6M | Reduce -0.3% |
| GTO Invesco Total Return Bond Et | 0.24% | 53,275 | $2.6M | Add +4.0% |
| PG The Procter & Gamble Co. | 0.22% | 13,672 | $2.4M | Add +1.2% |
| ORCL Oracle Corp. | 0.21% | 13,082 | $2.2M | Reduce -3.7% |
| IBM Intl Business Machines Corp. filed as INTERNATIONAL BUSINESS MACHS | 0.21% | 10,075 | $2.2M | Add +11.8% |
| USHY iShares Broad Usd High Yield | 0.20% | 58,519 | $2.2M | Add +38.4% |
| XLK SS Technology Select Sector | 0.20% | 9,436 | $2.1M | Reduce -6.0% |
| DFAT Dimensional US Target Value | 0.20% | 38,237 | $2.1M | Add +0.3% |
| MRK Merck & Co. Inc. | 0.19% | 18,442 | $2.1M | Reduce -5.7% |
| KJAN Innovator U.S. Small Cap Pow | 0.19% | 56,367 | $2.1M | Reduce -0.8% |
| DFAC Dimensional US Core Equity 2 | 0.19% | 60,832 | $2.1M | Add +0.2% |
| WMT Walmart Inc. | 0.19% | 25,536 | $2.1M | Add +1.2% |
| HEI Heico Corp. | 0.19% | 7,652 | $2.0M | No change |
| ABBV Abbvie Inc. | 0.18% | 9,752 | $1.9M | Reduce -3.5% |
| PM Philip Morris International | 0.18% | 15,852 | $1.9M | Reduce -4.2% |
| GS Goldman Sachs Group Inc. | 0.18% | 3,833 | $1.9M | Add +1.3% |
| MCD McDonald's Corp. | 0.17% | 6,180 | $1.9M | Reduce -4.1% |
| TSLA Tesla Inc. | 0.17% | 7,154 | $1.9M | Reduce -2.7% |
| BX Blackstone Inc. | 0.17% | 11,605 | $1.8M | Reduce -4.3% |
| JNJ Johnson & Johnson | 0.16% | 10,669 | $1.7M | Reduce -5.6% |
| BA The Boeing Co. | 0.15% | 10,850 | $1.6M | Add +10.3% |
| XLV SS Health Care Select Sector | 0.15% | 10,688 | $1.6M | Reduce -10.7% |
| DFUS Dimensional US Eq MKT ETF | 0.15% | 25,896 | $1.6M | Add +0.2% |
| BJAN Innovator U.S. Equity Buffer | 0.15% | 34,381 | $1.6M | Reduce -76.9% |
| GSLC Goldman Activebeta US LC ETF | 0.15% | 13,834 | $1.6M | Reduce -1.5% |
| IYW iShares Ustechnology ETF | 0.14% | 10,226 | $1.6M | Reduce -3.0% |
| USMV iShares MSCI USA Min Vol Fac | 0.14% | 16,964 | $1.5M | Reduce -20.9% |
| ETN Eaton Corp. PLC | 0.14% | 4,664 | $1.5M | No change |
| PEP Pepsico Inc. | 0.14% | 9,086 | $1.5M | Add +2.1% |
| VOT Vngrd Mrngstr MC GRW ETF-Usd | 0.14% | 6,296 | $1.5M | No change |
| DFUV Dimensional US Marketwide Va | 0.14% | 35,244 | $1.5M | Add +0.4% |
| BAC Bank of America Corp. filed as BANK AMERICA CORP | 0.14% | 36,946 | $1.5M | Reduce -2.6% |
| CMCSA Comcast Corp. Class A | 0.13% | 34,521 | $1.4M | Reduce -3.1% |
| MA Mastercard Inc. Class A | 0.13% | 2,912 | $1.4M | Add +1.9% |
| AMGN Amgen Inc. | 0.13% | 4,452 | $1.4M | Add +1.5% |
| XLF SS Financial Select Sector | 0.13% | 31,024 | $1.4M | Add +25.4% |
| BNDX Vanguard Total Intl Bond ETF | 0.13% | 27,096 | $1.4M | Reduce -5.0% |
| ISRG Intuitive Surgical Inc. | 0.12% | 2,689 | $1.3M | Add +1.1% |
| VZ Verizon Communications Inc. | 0.12% | 29,024 | $1.3M | Reduce -7.4% |
| IWD iShares Russell 1000 Value E | 0.12% | 6,860 | $1.3M | Reduce -2.4% |
| AMT American Tower Corp. | 0.12% | 5,537 | $1.3M | Reduce -1.4% |
| KO The Coca-Cola Co. | 0.12% | 17,764 | $1.3M | Reduce -0.1% |
| BSV Vanguard Short-Term Bond ETF | 0.12% | 16,024 | $1.3M | Reduce -5.2% |
| SCHD Schwab US DVD Equity ETF | 0.12% | 14,684 | $1.2M | Add +21.3% |
| CMG Chipotle Mexican Grill Inc. | 0.11% | 20,695 | $1.2M | Reduce -1.4% |
| SPY SS SPDR S&P 500 ETF Trust-US | 0.11% | 2,070 | $1.2M | No change |
| MTUM iShares MSCI USA Momentum Fa | 0.11% | 5,849 | $1.2M | Reduce -0.1% |
| NFLX Netflix Inc. | 0.11% | 1,631 | $1.2M | Add +5.3% |
| BSVO EA Bridgeway Omni Sm-Cp Val | 0.11% | 51,419 | $1.1M | No change |
| WMB Williams Cos Inc. | 0.10% | 24,595 | $1.1M | Reduce -6.0% |
| CSCO Cisco Systems Inc. | 0.10% | 20,627 | $1.1M | Reduce -8.1% |
| KRG Kite Realty Group Trust | 0.10% | 40,855 | $1.1M | Add +1.4% |
| LMT Lockheed Martin Corp. | 0.10% | 1,848 | $1.1M | Add +2.3% |
Other holdings (40): bonds, preferreds, convertibles and warrants · $998K (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | 328 | $421K | Add +0.6% |
| DRAFTKINGS HOLDINGS INC (DKNG 0 03/15/28) | NOTE 3/1 · principal | 29,000 | $25K | Add +20.8% |
| SNAP INC (SNAP 0.75 08/01/26) | NOTE 0.750% 8/0 · principal | 26,000 | $25K | Add +85.7% |
| AFFIRM HOLDINGS INC (AFRM 0 11/15/26) | NOTE 11/1 · principal | 27,000 | $24K | No change |
| ITRON INC (ITRI 0 03/15/26) | NOTE 3/1 · principal | 22,000 | $23K | Add +69.2% |
| DIGITALOCEAN HOLDINGS (DOCN 0 12/01/26) | NOTE 12/0 · principal | 26,000 | $23K | No change |
| DEXCOM INC (DXCM 0.375 05/15/28) | NOTE 0.375% 5/1 · principal | 26,000 | $23K | New |
| ARRAY TECHNOLOGIES INC (ARRY 1 12/01/28) | NOTE 1.000%12/0 · principal | 26,000 | $19K | Add +116.7% |
| UBER TECHNOLOGIES INC (UBER 0 12/15/25) | NOTE 12/1 · principal | 17,000 | $19K | Reduce -43.3% |
| COINBASE GLOBAL INC (COIN 0.5 06/01/26) | NOTE 0.500% 6/0 · principal | 19,000 | $19K | New |
| IONIS PHARMACEUTICALS IN (IONS 0 04/01/26) | NOTE 4/0 · principal | 18,000 | $18K | Add +12.5% |
| NEOGENOMICS INC (NEO 0.25 01/15/28) | NOTE 0.250% 1/1 · principal | 21,000 | $17K | No change |
| PPL CAPITAL FUNDING INC (PPL 2.875 03/15/28) | NOTE 2.875% 3/1 · principal | 16,000 | $17K | No change |
| WAYFAIR INC (W 3.25 09/15/27) | NOTE 3.250% 9/1 · principal | 14,000 | $17K | New |
| EXACT SCIENCES CORP (EXAS 0.375 03/01/28) | NOTE 0.375% 3/0 · principal | 17,000 | $16K | Reduce -34.6% |
| AKAMAI TECHNOLOGIES INC (AKAM 0.375 09/01/27) | NOTE 0.375% 9/0 · principal | 15,000 | $15K | No change |
| AMERICAN WATER CAPITAL C (AWK 3.625 06/15/26) | NOTE 3.625% 6/1 · principal | 15,000 | $15K | New |
| CENTERPOINT ENERGY INC (CNP 4.25 08/15/26) | NOTE 4.250% 8/1 · principal | 15,000 | $15K | New |
| TELADOC HEALTH INC (TDOC 1.25 06/01/27) | NOTE 1.250% 6/0 · principal | 17,000 | $15K | No change |
| ALLIANT ENERGY CORP (LNT 3.875 03/15/26) | NOTE 3.875% 3/1 · principal | 14,000 | $15K | No change |
| INSULET CORPORATION (PODD 0.375 09/01/26) | NOTE 0.375% 9/0 · principal | 12,000 | $14K | Reduce -14.3% |
| FORD MOTOR COMPANY (F 0 03/15/26) | NOTE 3/1 · principal | 13,000 | $13K | Reduce -7.1% |
| EVOLENT HEALTH INC (EVH 1.5 10/15/25) | NOTE 1.500%10/1 · principal | 12,000 | $13K | Reduce -14.3% |
| CABLE ONE INC (CABO 1.125 03/15/28) | NOTE 1.125% 3/1 · principal | 15,000 | $12K | New |
| PEBBLEBROOK HOTEL TRUST (PEB 1.75 12/15/26) | NOTE 1.750%12/1 · principal | 13,000 | $12K | New |
| PENN ENTERTAINMENT INC (PENN 2.75 05/15/26) | NOTE 2.750% 5/1 · principal | 11,000 | $12K | New |
| NCL CORPORATION LTD (NCLH 1.125 02/15/27) | NOTE 1.125% 2/1 · principal | 12,000 | $12K | New |
| BRIDGEBIO PHARMA INC (BBIO 2.5 03/15/27) | NOTE 2.500% 3/1 · principal | 11,000 | $11K | New |
| WOLF Wolfspeed Inc. (wolf 1.875 12/01/29) | NOTE 1.875%12/0 · principal | 30,000 | $11K | Add +20.0% |
| MARRIOTT VACATION WORLDW (VAC 3.25 12/15/27) | NOTE 3.250%12/1 · principal | 12,000 | $11K | No change |
| BLOOM ENERGY CORP (BE 3 06/01/28) | NOTE 3.000% 6/0 · principal | 12,000 | $11K | New |
| LIBERTY MEDIA CORP (FWONK 2.25 08/15/27) | NOTE 2.250% 8/1 · principal | 10,000 | $11K | No change |
| CHEESECAKE FACTORY (THE) (CAKE 0.375 06/15/26) | NOTE 0.375% 6/1 · principal | 11,000 | $10K | No change |
| BLOCK INC (XYZ 0.25 11/01/27) | NOTE 0.250%11/0 · principal | 12,000 | $10K | No change |
| ON SEMICONDUCTOR CORP (ON 0.5 03/01/29) | NOTE 0.500% 3/0 · principal | 10,000 | $10K | Reduce -56.5% |
| LUMENTUM HOLDINGS INC (LITE 0.5 12/15/26) | NOTE 0.500%12/1 · principal | 10,000 | $10K | Reduce -33.3% |
| AIR TRANSPORT SERVICES G (ATSG 3.875 08/15/29) | NOTE 3.875% 8/1 · principal | 10,000 | $9K | New |
| CONFLUENT INC (CFLT 0 01/15/27) | NOTE 1/1 · principal | 10,000 | $9K | New |
| ETSY INC (ETSY 0.125 09/01/27) | NOTE 0.125% 9/0 · principal | 10,000 | $9K | No change |
| SUNNOVA ENERGY INTL INC (NOVA 2.625 02/15/28) | NOTE 2.625% 2/1 · principal | 12,000 | $8K | New |
Total filed on the 13F, all lines: $1.1B.
Portfolio Sells Q2 2024 → Q3 2024
| BJAN Innovator U.S. Equity Buffer | Reduce -76.9% | 0.15% | −0.52 |
| SCHX Schwab US Large-Cap ETF | Reduce -3.1% | 8.09% | −0.44 |
| UPS United Parcel Service Class B | Reduce -0.5% | 1.38% | −0.12 |
| NVDA Nvidia Corp. | Reduce -1.4% | 0.95% | −0.11 |
| SMMV iShares MSCI USA Small-Cap M | Sold out | 0.00% | −0.09 |
| XMPT Vaneck Cef Muni Income ETF | Reduce -1.4% | 1.94% | −0.08 |
| CEDAR FAIR LP | Sold out | 0.00% | −0.07 |
| SCHA Schwab US Small-Cap ETF | Reduce -1.8% | 5.30% | −0.07 |
| CVX Chevron Corp. | Reduce -6.4% | 0.25% | −0.06 |
| VUG Vanguard Mrngstar GR ETF-Sui | Reduce -1.8% | 0.74% | −0.05 |
| MRK Merck & Co. Inc. | Reduce -5.7% | 0.19% | −0.05 |
| IEFA iShares Core MSCI Eafe ETF | Reduce -0.5% | 4.42% | −0.04 |
| INTU Intuit Inc. | Reduce -25.3% | 0.07% | −0.04 |
| USMV iShares MSCI USA Min Vol Fac | Reduce -20.9% | 0.14% | −0.04 |
| XLC SS Comm Select Sector SPDR | Reduce -30.7% | 0.07% | −0.04 |
| XLK SS Technology Select Sector | Reduce -6.0% | 0.20% | −0.03 |
| AMG Affiliated Managers Group | Sold out | 0.00% | −0.03 |
| BIIB Biogen Inc. | Sold out | 0.00% | −0.03 |
| BKIE BNY Mellon Intl Eqty ETF | Sold out | 0.00% | −0.03 |
| JPM JPMorgan Chase & Co. | Reduce -0.2% | 0.68% | −0.02 |
| TXN Texas Instruments Inc. | Reduce -22.4% | 0.08% | −0.02 |
| IWF iShares Russell 1000 Growth | Reduce -1.2% | 0.40% | −0.02 |
| ABNB Airbnb Inc. Class A | Sold out | 0.00% | −0.02 |
| BIL SS SPDR BB 1-3M T-Bill ETF | Reduce -26.6% | 0.05% | −0.02 |
| INTC Intel Corp. | Reduce -35.8% | 0.02% | −0.02 |
| SNPS Synopsys Inc. | Sold out | 0.00% | −0.02 |
| VBK Van Morst SML-Cap Gro-Usd Inc. | Sold out | 0.00% | −0.02 |
| DG Dollar General Corp. | Sold out | 0.00% | −0.02 |
| XLV SS Health Care Select Sector | Reduce -10.7% | 0.15% | −0.02 |
| IGLB iShares 10+ Year Inv GR Corp. | Reduce -34.6% | 0.04% | −0.02 |
| CMG Chipotle Mexican Grill Inc. | Reduce -1.4% | 0.11% | −0.02 |
| SCHG Schwab US Large-Cap Growth | Reduce -28.3% | 0.05% | −0.02 |
| LH Laboratory CRP of Amer Hldgs | Sold out | 0.00% | −0.02 |
| MU Micron Technology Inc. | Reduce -3.5% | 0.05% | −0.02 |
| DIS The Walt Disney Co. | Reduce -8.7% | 0.09% | −0.02 |
| VTV Vanguard Mrngstr Val ETF-Aui | Reduce -6.7% | 0.28% | −0.02 |
| GM General Motors Co. | Reduce -5.9% | 0.08% | −0.02 |
| AZN Astrazeneca PLC-Spons ADR | Reduce -16.0% | 0.05% | −0.02 |
| VMBS Vanguard Mortgage-Backed Sec | Reduce -18.1% | 0.06% | −0.02 |
| BAC Bank of America Corp. | Reduce -2.6% | 0.14% | −0.01 |
| IYW iShares Ustechnology ETF | Reduce -3.0% | 0.14% | −0.01 |
| MCK McKesson Corp. | Reduce -13.2% | 0.03% | −0.01 |
| WFC Wells Fargo & Co. | Reduce -1.9% | 0.09% | −0.01 |
| DE Deere & Co. | Reduce -32.8% | 0.03% | −0.01 |
| BSV Vanguard Short-Term Bond ETF | Reduce -5.2% | 0.12% | −0.01 |
| BNDX Vanguard Total Intl Bond ETF | Reduce -5.0% | 0.13% | −0.01 |
| AMAT Applied Materials Inc. | Reduce -5.4% | 0.04% | −0.01 |
| TJX TJX Companies Inc. | Reduce -14.7% | 0.07% | −0.01 |
| BP BP PLC-Spons ADR | Reduce -8.4% | 0.03% | −0.01 |
| VONG Vanguard Russell 1000 Growth | Reduce -6.3% | 0.09% | −0.01 |
Portfolio Buys Q2 2024 → Q3 2024
| BJUL Innovator U.S. Equity Buffer | Add +267.7% | 0.63% | +0.46 |
| IJR iShares Core S&P Small-Cap E | Add +8.9% | 3.25% | +0.31 |
| VWO Vanguard Ftse Emerging Marke | Add +2.7% | 4.76% | +0.19 |
| VEA Vanguard Ftse Developed ETF | Add +2.6% | 6.11% | +0.10 |
| IJH iShares Core S&P Midcap ETF | Add +53.7% | 0.27% | +0.09 |
| VNQ Vanguard Real Estate ETF | Add +12.9% | 0.48% | +0.09 |
| VGLT Vanguard Long-Term Treasury | Add +12.0% | 0.87% | +0.08 |
| AAPL Apple Inc. | Add +0.7% | 1.99% | +0.06 |
| USHY iShares Broad Usd High Yield | Add +38.4% | 0.20% | +0.05 |
| IBM Intl Business Machines Corp. | Add +11.8% | 0.21% | +0.05 |
| FUN Six Flags Entertainment Corp. | New | 0.05% | +0.05 |
| XLRE SS Real Estate Select Sector | New | 0.03% | +0.03 |
| AXP American Express Co. | Add +35.5% | 0.09% | +0.03 |
| XLF SS Financial Select Sector | Add +25.4% | 0.13% | +0.03 |
| META Meta Platforms Inc. Class A | Add +3.6% | 0.34% | +0.03 |
| PAVE Global X US Infrastructure | New | 0.03% | +0.03 |
| SILA Sila Realty Trust Inc. | New | 0.03% | +0.03 |
| JIVE JPM Interntl Value ETF | New | 0.03% | +0.03 |
| PYPL PayPal Holdings Inc. | New | 0.03% | +0.03 |
| HPE Hewlett Packard Enterprise | New | 0.03% | +0.03 |
| BRK.B Berkshire Hathaway Inc. Class B | Add +2.5% | 0.38% | +0.03 |
| JXN Jackson Financial Inc. Class A | New | 0.03% | +0.03 |
| BABA Alibaba Group Holding-SP ADR | New | 0.03% | +0.03 |
| BAX Baxter International Inc. | New | 0.03% | +0.03 |
| CBRE CBRE Group Inc. Class A | New | 0.02% | +0.02 |
| JPMB JPMorgan Usd Emerging Market | New | 0.02% | +0.02 |
| SPYM Ste STR SPDR PT S&P 500 ETF | New | 0.02% | +0.02 |
| EVRG Evergy Inc. | New | 0.02% | +0.02 |
| AGG iShares Core U.S. Aggregate | Add +4.9% | 1.56% | +0.02 |
| LH Labcorp Holdings Inc. | New | 0.02% | +0.02 |
| BBY Best Buy Co. Inc. | New | 0.02% | +0.02 |
| SCHD Schwab US DVD Equity ETF | Add +21.3% | 0.12% | +0.02 |
| WDAY Workday Inc. Class A | New | 0.02% | +0.02 |
| EMN Eastman Chemical Co. | New | 0.02% | +0.02 |
| TDIV FT Nasdaq Tech DVD Index FD | New | 0.02% | +0.02 |
| MCO Moody's Corp. | New | 0.02% | +0.02 |
| XEL Xcel Energy Inc. | New | 0.02% | +0.02 |
| BTI British American Tob-SP ADR | New | 0.02% | +0.02 |
| TRP TC Energy Corp. | New | 0.02% | +0.02 |
| CCI Crown Castle Inc. | New | 0.02% | +0.02 |
| WMT Walmart Inc. | Add +1.2% | 0.19% | +0.02 |
| VICI Vici Properties Inc. | New | 0.02% | +0.02 |
| MMM 3M Co. | New | 0.02% | +0.02 |
| CARR Carrier Global Corp. | New | 0.02% | +0.02 |
| HYMB SS SPDR N Ice HY Muni ETF | New | 0.02% | +0.02 |
| VST Vistra Corp. | New | 0.02% | +0.02 |
| HIG Hartford Insurance Group Inc. | New | 0.02% | +0.02 |
| KJUL Innovator U.S. Small Cap Pow | Add +40.7% | 0.07% | +0.02 |
| NGG National Grid PLC-SP ADR | New | 0.02% | +0.02 |
| PSA Public Storage | New | 0.02% | +0.02 |
Notes & Other Activity Q2 2024 → Q3 2024
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | Add +0.6% | 328 | $421K |
| DRAFTKINGS HOLDINGS INC (DKNG 0 03/15/28) | NOTE 3/1 · principal | Add +20.8% | 29,000 | $25K |
| SNAP INC (SNAP 0.75 08/01/26) | NOTE 0.750% 8/0 · principal | Add +85.7% | 26,000 | $25K |
| ITRON INC (ITRI 0 03/15/26) | NOTE 3/1 · principal | Add +69.2% | 22,000 | $23K |
| DEXCOM INC (DXCM 0.375 05/15/28) | NOTE 0.375% 5/1 · principal | New | 26,000 | $23K |
| ARRAY TECHNOLOGIES INC (ARRY 1 12/01/28) | NOTE 1.000%12/0 · principal | Add +116.7% | 26,000 | $19K |
| UBER TECHNOLOGIES INC (UBER 0 12/15/25) | NOTE 12/1 · principal | Reduce -43.3% | 17,000 | $19K |
| COINBASE GLOBAL INC (COIN 0.5 06/01/26) | NOTE 0.500% 6/0 · principal | New | 19,000 | $19K |
| IONIS PHARMACEUTICALS IN (IONS 0 04/01/26) | NOTE 4/0 · principal | Add +12.5% | 18,000 | $18K |
| WAYFAIR INC (W 3.25 09/15/27) | NOTE 3.250% 9/1 · principal | New | 14,000 | $17K |
| EXACT SCIENCES CORP (EXAS 0.375 03/01/28) | NOTE 0.375% 3/0 · principal | Reduce -34.6% | 17,000 | $16K |
| AMERICAN WATER CAPITAL C (AWK 3.625 06/15/26) | NOTE 3.625% 6/1 · principal | New | 15,000 | $15K |
| SOUTHERN CO (SO 3.875 12/15/25) | NOTE 3.875%12/1 · principal | Sold out | 15,000 | $15Kbefore exit |
| CENTERPOINT ENERGY INC (CNP 4.25 08/15/26) | NOTE 4.250% 8/1 · principal | New | 15,000 | $15K |
| CLOUDFLARE INC (NET 0 08/15/26) | NOTE 8/1 · principal | Sold out | 16,000 | $15Kbefore exit |
| INSULET CORPORATION (PODD 0.375 09/01/26) | NOTE 0.375% 9/0 · principal | Reduce -14.3% | 12,000 | $14K |
| SHIFT4 PAYMENTS INC (FOUR 0 12/15/25) | NOTE 12/1 · principal | Sold out | 12,000 | $14Kbefore exit |
| MICROCHIP TECHNOLOGY INC (MCHP 0.125 11/15/24) | NOTE 0.125%11/1 · principal | Sold out | 13,000 | $14Kbefore exit |
| RIVIAN AUTO INC (RIVN 4.625 03/15/29) | NOTE 4.625% 3/1 · principal | Sold out | 14,000 | $14Kbefore exit |
| BENTLEY SYSTEMS INC (BSY 0.125 01/15/26) | NOTE 0.125% 1/1 · principal | Sold out | 13,000 | $13Kbefore exit |
| DROPBOX INC (DBX 0 03/01/28) | NOTE 3/0 · principal | Sold out | 14,000 | $13Kbefore exit |
| FORD MOTOR COMPANY (F 0 03/15/26) | NOTE 3/1 · principal | Reduce -7.1% | 13,000 | $13K |
| EVOLENT HEALTH INC (EVH 1.5 10/15/25) | NOTE 1.500%10/1 · principal | Reduce -14.3% | 12,000 | $13K |
| CABLE ONE INC (CABO 1.125 03/15/28) | NOTE 1.125% 3/1 · principal | New | 15,000 | $12K |
| ZILLOW GROUP INC (Z 1.375 09/01/26) | NOTE 1.375% 9/0 · principal | Sold out | 10,000 | $12Kbefore exit |
| PEBBLEBROOK HOTEL TRUST (PEB 1.75 12/15/26) | NOTE 1.750%12/1 · principal | New | 13,000 | $12K |
| PENN ENTERTAINMENT INC (PENN 2.75 05/15/26) | NOTE 2.750% 5/1 · principal | New | 11,000 | $12K |
| NCL CORPORATION LTD (NCLH 1.125 02/15/27) | NOTE 1.125% 2/1 · principal | New | 12,000 | $12K |
| CABLE ONE INC (CABO 0 03/15/26) | NOTE 3/1 · principal | Sold out | 13,000 | $11Kbefore exit |
| BRIDGEBIO PHARMA INC (BBIO 2.5 03/15/27) | NOTE 2.500% 3/1 · principal | New | 11,000 | $11K |
| WOLF Wolfspeed Inc. (wolf 1.875 12/01/29) | NOTE 1.875%12/0 · principal | Add +20.0% | 30,000 | $11K |
| BLOOM ENERGY CORP (BE 3 06/01/28) | NOTE 3.000% 6/0 · principal | New | 12,000 | $11K |
| ON SEMICONDUCTOR CORP (ON 0.5 03/01/29) | NOTE 0.500% 3/0 · principal | Reduce -56.5% | 10,000 | $10K |
| LUMENTUM HOLDINGS INC (LITE 0.5 12/15/26) | NOTE 0.500%12/1 · principal | Reduce -33.3% | 10,000 | $10K |
| AIR TRANSPORT SERVICES G (ATSG 3.875 08/15/29) | NOTE 3.875% 8/1 · principal | New | 10,000 | $9K |
| WAYFAIR INC (W 1 08/15/26) | NOTE 1.000% 8/1 · principal | Sold out | 10,000 | $9Kbefore exit |
| CONFLUENT INC (CFLT 0 01/15/27) | NOTE 1/1 · principal | New | 10,000 | $9K |
| ENPHASE ENERGY INC (ENPH 0 03/01/28) | NOTE 3/0 · principal | Sold out | 10,000 | $8Kbefore exit |
| SUNNOVA ENERGY INTL INC (NOVA 2.625 02/15/28) | NOTE 2.625% 2/1 · principal | New | 12,000 | $8K |
Bonds, preferreds, convertibles and warrants; not part of the stock holdings or percentages above.