Northeast Financial Consultants Inc

In its 13F for Q1 2024 (holdings as of March 31, 2024, filed May 15, 2024), Northeast Financial Consultants Inc reported 286 stock positions worth $2.0 billion. Its top holding was Vanguard Mrngstar GR ETF-Sui (VUG) at 12.5% of the portfolio, followed by Vanguard S&P 500 ETF (VOO, 9.2%) and Vanguard Dividend Apprec ETF (VIG, 5.9%). Compared with Q4 2023, it opened 23 new positions, sold out of 12, added to 80 and reduced 59. The biggest buy was Vanguard S&P 500 ETF (VOO, shares +23%) and the biggest sale Pfizer (PFE, shares −53%).

Most Recent 13F
Q2 2025
Location
WESTPORT, CT
CIK
0001599863
Portfolio Value
$2.0B (Q1 2024)
SEC Filing
0001599863-24-000006 ↗ filed May 15, 2024

Holdings Value

0$500.0M$1.0B$1.5B$2.0B$2.5B Q1 2024: $2.0B $2.0B Q1 2024 Q2 2024: $2.2B Q2 2024 Q3 2024: $2.3B Q3 2024 Q4 2024: $2.4B Q4 2024 Q1 2025: $2.3B Q1 2025 Q2 2025: $2.4B Q2 2025

Holdings 286 stocks · $2.0B
VUG Vanguard Mrngstar GR ETF-Sui 12.49% 739,002 $254.4M Add +5.3%
VOO Vanguard S&P 500 ETF 9.17% 388,450 $186.7M Add +22.8%
VIG Vanguard Dividend Apprec ETF 5.87% 655,223 $119.7M Add +5.7%
SPY SS SPDR S&P 500 ETF Trust-US 4.35% 169,545 $88.7M Reduce -4.8%
DGRO iShares Core Dividend Growth 3.82% 1,340,616 $77.8M Reduce -1.1%
QQQ Invesco QQQ Trust Series 1 3.54% 162,247 $72.0M Add +25.8%
VYM Vanguard High DVD Yield ETF 2.90% 488,829 $59.1M Reduce -0.9%
AAPL Apple Inc. 2.87% 340,357 $58.4M Reduce -10.4%
MSFT Microsoft Corp. 2.86% 138,287 $58.2M Add +10.0%
BXSL Blackstone Secured Lending F 2.46% 1,605,503 $50.0M Add +58.3%
AMZN Amazon.com Inc. 2.35% 265,727 $47.9M Add +0.6%
COWZ Pacer US Cash Cows 100 ETF 2.35% 822,536 $47.8M Add +7.1%
JPM JPMorgan Chase & Co. 1.76% 179,352 $35.9M Add +0.7%
FDN First Trust DJ Internet Ind 1.76% 175,137 $35.9M Reduce -1.2%
PFE Pfizer Inc. 1.69% 1,243,159 $34.5M Reduce -53.2%
GOOG Alphabet Inc. Class C 1.56% 209,352 $31.9M Add +0.0%
VTI VG Morningstar TS MKT ETF-US 1.46% 114,504 $29.8M Add +0.9%
IGV iShares Expanded Tech-Softwa 1.42% 338,226 $28.8M Add +7.5%
GOOGL Alphabet Inc. Class A 1.40% 189,340 $28.6M Reduce -1.2%
ITOT iShares Core S&P Total U.S. 1.24% 219,157 $25.3M Add +55.8%
XLK SS Technology Select Sector 1.14% 111,811 $23.3M Add +1.5%
IJR iShares Core S&P Small-Cap E 1.03% 189,727 $21.0M Add +54.4%
BAC Bank of America Corp. filed as BANK AMERICA CORP 0.86% 459,823 $17.4M Reduce -3.3%
NVDA Nvidia Corp. 0.76% 17,211 $15.6M Reduce -0.7%
GBDC Golub Capital BDC Inc. 0.68% 835,753 $13.9M Add +78.4%
KKR KKR & Co. Inc. 0.68% 136,950 $13.8M No change
VTV Vanguard Mrngstr Val ETF-Aui 0.64% 79,832 $13.0M Reduce -19.9%
AVGO Broadcom Inc. 0.62% 9,577 $12.7M Add +4.5%
CVX Chevron Corp. 0.61% 78,701 $12.4M Add +2.3%
ARCC Ares Capital Corp. 0.59% 578,763 $12.0M Add +41.7%
DIS The Walt Disney Co. filed as DISNEY WALT CO 0.59% 97,512 $11.9M Reduce -0.2%
IQLT iShares MSCI International Q 0.56% 288,976 $11.5M Add +111.4%
MRK Merck & Co. Inc. 0.50% 76,646 $10.1M Add +1.4%
BN Brookfield Corp. 0.48% 234,641 $9.8M No change
XOM Exxon Mobil Corp. 0.47% 82,089 $9.5M Add +0.5%
MPLX MPLX LP 0.47% 229,478 $9.5M No change
IHI iShares U.S. Medical Devices 0.46% 159,089 $9.3M Reduce -23.8%
VFH Vanguard Financials ETF 0.44% 86,729 $8.9M Reduce -17.7%
IVV iShares Core S&P 500 ETF 0.43% 16,799 $8.8M Add +6.2%
HD Home Depot Inc. 0.43% 23,017 $8.8M Reduce -11.7%
BX Blackstone Inc. 0.43% 66,545 $8.7M Reduce -2.5%
PPA Invesco Aerospace & Defense 0.42% 83,794 $8.5M Add +0.9%
EPD Enterprise Products Partners 0.42% 290,927 $8.5M Reduce -0.7%
GS Goldman Sachs Group Inc. 0.41% 19,930 $8.3M Reduce -10.3%
LLY Eli Lilly & Co. 0.37% 9,779 $7.6M Add +59.9%
ZTS Zoetis Inc. 0.37% 44,156 $7.5M No change
QUAL iShares MSCI USA Quality Fac 0.36% 44,394 $7.3M No change
MET Metlife Inc. 0.36% 97,679 $7.2M Reduce -1.6%
XLE SS Energy Select Sector 0.35% 75,520 $7.1M Reduce -6.2%
WM Waste Management Inc. 0.34% 32,804 $7.0M Add +2.8%
DE Deere & Co. 0.33% 16,386 $6.7M Reduce -1.3%
IGM iShares Expanded Tech Sector 0.33% 77,994 $6.7M New
SPYG SS SPDR P S&P 500 Growth ETF 0.32% 90,451 $6.6M Add +9.4%
V Visa Inc. Class A 0.32% 23,357 $6.5M Add +3.0%
JNJ Johnson & Johnson 0.31% 39,568 $6.3M Add +2.1%
HON Honeywell International Inc. 0.29% 28,787 $5.9M Reduce -8.3%
IJS iShares S&P Small-Cap 600 Va 0.29% 56,979 $5.9M Reduce -19.4%
ASML ASML Holding NV-NY Reg SHS 0.28% 5,773 $5.6M Add +8.4%
PSX Phillips 66 0.27% 33,200 $5.4M No change
UNH Unitedhealth Group Inc. 0.26% 10,640 $5.3M Add +3.1%
IWN iShares Russell 2000 Value E 0.25% 31,930 $5.1M Add +0.0%
MA Mastercard Inc. Class A 0.25% 10,422 $5.0M Add +1.5%
XLV SS Health Care Select Sector 0.24% 33,644 $5.0M Add +4.3%
FMC FMC Corp. 0.24% 78,000 $5.0M No change
PNC PNC Financial Services Group 0.23% 29,194 $4.7M Reduce -23.6%
MLM Martin Marietta Materials 0.23% 7,660 $4.7M Add +8.8%
APO Apollo Global Management Inc. 0.23% 41,352 $4.7M Reduce -0.6%
IVW iShares S&P 500 Growth ETF 0.22% 54,134 $4.6M Reduce -0.0%
IWM iShares Russell 2000 ETF 0.22% 21,455 $4.5M Add +3.1%
LBRDK Liberty Broadband-C 0.22% 77,839 $4.5M No change
CRM Salesforce Inc. 0.22% 14,573 $4.4M Add +1.1%
PG The Procter & Gamble Co. 0.21% 26,794 $4.3M Add +2.8%
CALF PCR US SM CP CSH CWS ETF-Usd 0.20% 84,814 $4.2M Add +16.9%
PEP Pepsico Inc. 0.20% 23,054 $4.0M Add +0.7%
JCI Johnson Controls Internation 0.19% 60,000 $3.9M No change
VBR Vngrd Mrngst SL-CP Val ETF-U 0.19% 20,326 $3.9M Reduce -5.8%
TMO Thermo Fisher Scientific Inc. 0.19% 6,522 $3.8M Reduce -0.8%
OXY Occidental Petroleum Corp. 0.18% 57,065 $3.7M Add +0.3%
QQXT First Trust Nasdaq-100 Ex-Te 0.18% 39,821 $3.6M Reduce -0.5%
IWS iShares Russell Mid-Cap Valu 0.17% 27,788 $3.5M No change
INTC Intel Corp. 0.17% 78,687 $3.5M New
IWF iShares Russell 1000 Growth 0.17% 10,256 $3.5M No change
C Citigroup Inc. 0.17% 54,626 $3.5M Reduce -12.1%
DD Dupont DE Nemours Inc. 0.17% 44,810 $3.4M Add +0.3%
PM Philip Morris International 0.16% 35,842 $3.3M Add +0.1%
ABBV Abbvie Inc. 0.16% 17,530 $3.2M Add +7.2%
HDV iShares Core High Dividend E 0.16% 28,697 $3.2M No change
VEU Vanguard Ftse All-World Ex-U 0.16% 53,902 $3.2M Add +9.9%
XSW SS SPDR S&P Soft & Serv ETF 0.15% 19,924 $3.1M No change
RC Ready Capital Corp. 0.15% 332,160 $3.0M Reduce -1.4%
MTD Mettler-Toledo International 0.15% 2,244 $3.0M Reduce -4.7%
ADP Automatic Data Processing 0.14% 11,627 $2.9M Add +0.9%
SPSM SS SPDR P S&P 600 Small Cap 0.14% 66,111 $2.8M Reduce -0.4%
IYW iShares Ustechnology ETF 0.14% 20,755 $2.8M Reduce -2.6%
IJT iShares S&P Small-Cap 600 GR 0.13% 20,830 $2.7M Reduce -4.2%
VRTX Vertex Pharmaceuticals Inc. 0.12% 5,937 $2.5M No change
BMY Bristol-Myers Squibb Co. 0.12% 45,380 $2.5M Add +7.6%
STLD Steel Dynamics Inc. 0.12% 16,600 $2.5M No change
KO The Coca-Cola Co. 0.12% 39,417 $2.4M No change
ET Energy Transfer LP 0.11% 145,927 $2.3M Reduce -2.4%
IWD iShares Russell 1000 Value E 0.11% 12,056 $2.2M No change
MCD McDonald's Corp. 0.10% 7,372 $2.1M Add +2.4%
EZM Wisdomtree US Midcap Fund 0.10% 33,705 $2.1M No change
TXN Texas Instruments Inc. 0.10% 11,600 $2.0M No change
UPS United Parcel Service Class B 0.09% 12,954 $1.9M Add +7.6%
AMGN Amgen Inc. 0.09% 6,736 $1.9M Add +10.7%
ARES Ares Management Corp. Class A 0.09% 13,995 $1.9M No change
TJX TJX Companies Inc. filed as TJX COS INC NEW 0.09% 17,958 $1.8M No change
BXMT Blackstone Mortgage Tru Class A 0.09% 90,705 $1.8M Reduce -5.1%
IYH iShares U.S. Healthcare ETF 0.09% 28,725 $1.8M No change
AB Alliancebernstein Holding LP 0.08% 48,749 $1.7M Reduce -3.5%
VGT Vanguard Info Tech ETF 0.08% 3,156 $1.7M No change
XLI SS Industrial Select Sector 0.08% 13,041 $1.6M Reduce -1.1%
REGN Regeneron Pharmaceuticals 0.08% 1,665 $1.6M Reduce -3.8%
MDLZ Mondelez International Inc. Class A 0.08% 22,573 $1.6M Add +0.8%
MO Altria Group Inc. 0.08% 35,287 $1.5M Reduce -1.5%
MTDR Matador Resources Co. 0.07% 22,351 $1.5M Add +0.3%
GLW Corning Inc. 0.07% 45,063 $1.5M No change
TT Trane Technologies PLC 0.07% 4,709 $1.4M Reduce -2.4%
VBK Van Morst SML-Cap Gro-Usd Inc. 0.07% 5,385 $1.4M Reduce -8.1%
DGRW Wisdomtree U.S. Quality Divi 0.07% 18,415 $1.4M No change
IEFA iShares Core MSCI Eafe ETF 0.07% 18,639 $1.4M Reduce -0.8%
VOE Vngrd Mrngstr MD-Cap Val ETF 0.07% 8,828 $1.4M No change
RTX RTX Corp. 0.07% 14,108 $1.4M Reduce -19.9%
ITW Illinois Tool Works 0.07% 5,090 $1.4M No change
FCX Freeport-McMoran Inc. 0.07% 28,721 $1.4M No change
OKE Oneok Inc. 0.07% 16,744 $1.3M No change
ECL Ecolab Inc. 0.07% 5,796 $1.3M No change
FVD First Trust Value Line DVD 0.06% 31,066 $1.3M Add +0.5%
VOT Vngrd Mrngstr MC GRW ETF-Usd 0.06% 5,488 $1.3M No change
HACK Amplify Cybersecurity ETF 0.06% 20,120 $1.3M New
BUG Global X Cybersecurity ETF 0.06% 42,718 $1.3M No change
SDY SS SPDR S&P Dividend ETF 0.06% 9,673 $1.3M Add +0.5%
IHAK iShares Cybersecurity & Tech 0.06% 26,825 $1.3M No change
XHE SS SPDR S&P HC Equip ETF 0.06% 14,025 $1.2M Reduce -3.9%
HASI Ha Sustainable Infrastructur filed as HANNON ARMSTRONG SUST INFR C 0.06% 43,000 $1.2M No change
NFLX Netflix Inc. 0.06% 2,000 $1.2M No change
SYK Stryker Corp. 0.06% 3,375 $1.2M Add +13.4%
DUK Duke Energy Corp. 0.06% 12,372 $1.2M No change
TSM Taiwan Semiconductor-SP ADR 0.06% 8,504 $1.2M Add +5.8%
PID Invesco International Divide 0.06% 61,943 $1.1M No change
XLU St Sr Utl SL SE SPDR ETF-Usd 0.05% 17,038 $1.1M No change
ORN Orion Group Holdings Inc. 0.05% 135,365 $1.1M No change
RFG Invesco S&P Midcap 400 Pure 0.05% 21,000 $1.1M No change
ACI Albertsons Cos Inc. Class A 0.05% 48,385 $1.0M New
IBM Intl Business Machines Corp. filed as INTERNATIONAL BUSINESS MACHS 0.05% 5,192 $992K Add +29.4%
COST Costco Wholesale Corp. 0.05% 1,332 $976K No change
ADBE Adobe Inc. 0.05% 1,897 $957K Add +11.8%
IXN iShares Global Tech ETF 0.05% 12,794 $957K No change
IBB iShares Biotechnology ETF 0.05% 6,930 $951K No change
CVLG Covenant Logistics Group Inc. 0.05% 20,000 $927K No change
CMI Cummins Inc. 0.04% 3,009 $887K Reduce -15.8%
URNJ Sprott Jr Uranium Miners ETF 0.04% 34,515 $878K Add +93.7%
TGRW T Rowe Price Growth Stock Et 0.04% 24,200 $832K No change
IJH iShares Core S&P Midcap ETF 0.04% 13,147 $799K No change
HEI Heico Corp. 0.04% 4,100 $783K No change
ABT Abbott Laboratories 0.04% 6,876 $782K Add +33.3%
NKE Nike Inc. Class B 0.04% 8,306 $781K Add +5.1%
PKW Invesco Buyback Achievers Et 0.04% 7,100 $768K No change
ACN Accenture PLC Class A 0.04% 2,200 $763K Add +22.2%
LMT Lockheed Martin Corp. 0.04% 1,650 $751K Reduce -11.2%
LHX L3HARRIS Technologies Inc. 0.04% 3,500 $746K Reduce -50.0%
NOBL Proshares S&P 500 Dividend A 0.04% 7,318 $742K No change
VZ Verizon Communications Inc. 0.04% 17,647 $740K Add +25.9%
UBER Uber Technologies Inc. 0.04% 9,500 $731K No change
IWP iShares Russell Mid-Cap Grow 0.04% 6,381 $728K No change
EFA iShares MSCI Eafe ETF 0.04% 9,050 $723K Add +12.4%
VTRS Viatris Inc. 0.03% 58,717 $701K Reduce -66.1%
CGBD Carlyle Secured Lending Inc. 0.03% 42,770 $696K No change
URNM Sprott Uranium Miners ETF 0.03% 13,680 $674K No change
SOXX iShares Semiconductor ETF 0.03% 2,873 $649K Add +84.9%
IQV Iqvia Holdings Inc. 0.03% 2,540 $642K Reduce -29.1%
EMR Emerson Electric Co. 0.03% 5,616 $637K No change
DVY iShares Select Dividend ETF 0.03% 5,160 $636K No change
OCSL Oaktree Specialty Lending Co. 0.03% 32,166 $632K No change
GLD SPDR Gold Shares 0.03% 3,057 $629K No change
HCA HCA Healthcare Inc. 0.03% 1,860 $620K No change
SHEL Shell PLC-ADR 0.03% 9,250 $620K No change
SMCI Super Micro Computer Inc. 0.03% 577 $583K New
CASY Casey's General Stores Inc. 0.03% 1,800 $573K No change
TSLX Sixth Street Specialty Lendi 0.03% 26,000 $557K No change
BA The Boeing Co. 0.03% 2,837 $548K No change
COP Conocophillips 0.03% 4,239 $540K Reduce -17.2%
CC The Chemours Co. 0.03% 20,320 $534K New
VDC Vanguard Consumer Staple ETF 0.03% 2,596 $530K No change
MRSH Marsh & McLennan Cos 0.03% 2,560 $527K No change
BG Bunge Global SA 0.03% 5,139 $527K Reduce -43.2%
ORCL Oracle Corp. 0.03% 4,184 $526K Add +7.7%
IWR iShares Russell Mid-Cap ETF 0.03% 6,208 $522K No change
WSO Watsco Inc. 0.03% 1,200 $518K Reduce -52.0%
META Meta Platforms Inc. Class A 0.03% 1,057 $513K Add +23.8%
MNST Monster Beverage Corp. 0.03% 8,640 $512K No change
MGM MGM Resorts International 0.02% 10,750 $508K No change
CNC Centene Corp. 0.02% 6,400 $502K No change
VRNS Varonis Systems Inc. 0.02% 10,500 $495K No change
IWB iShares Russell 1000 ETF 0.02% 1,707 $492K Add +12.4%
SON Sonoco Products Co. 0.02% 8,300 $480K No change
KMB Kimberly-Clark Corp. 0.02% 3,688 $477K No change
UNP Union Pacific Corp. 0.02% 1,925 $473K Add +15.3%
MS Morgan Stanley 0.02% 5,025 $473K Reduce -50.4%
VOOG Vanguard S&P 500 Growth ETF 0.02% 1,544 $470K Add +0.1%
GPC Genuine Parts Co. 0.02% 3,000 $465K No change
ICE Intercontinental Exchange Inc. 0.02% 3,375 $464K Add +4.7%
AMD Advanced Micro Devices 0.02% 2,525 $456K Reduce -2.9%
CIBR First Trust Nasdaq Cybersecu 0.02% 7,953 $448K Add +21.4%
BSX Boston Scientific Corp. 0.02% 6,530 $447K No change
FXH First Trust Health Care Alph 0.02% 4,050 $444K No change
IEMG iShares Core MSCI Emerging 0.02% 8,524 $440K No change
CRWD CrowdStrike Holdings Inc. Class A 0.02% 1,365 $438K Reduce -2.9%
SBUX Starbucks Corp. 0.02% 4,584 $419K Add +0.0%
DYAI Dyadic International Inc. 0.02% 250,000 $418K No change
LSXMK Liberty Media Corp.-Liber-New 0.02% 13,978 $415K No change
FYX First Trust Small Cap Core A 0.02% 4,400 $410K No change
EQT Eqt Corp. 0.02% 11,000 $408K No change
VGK Vanguard Ftse Europe ETF 0.02% 5,835 $393K No change
QQEW First TR Nasdaq-100 Sel Eq 0.02% 3,144 $390K No change
PAA Plains All Amer Pipeline LP 0.02% 21,800 $383K No change
NOC Northrop Grumman Corp. 0.02% 793 $380K Add +0.1%
CSX CSX Corp. 0.02% 10,200 $378K Reduce -39.8%
IJK iShares S&P Mid-Cap 400 Grow 0.02% 4,064 $371K No change
PAYX Paychex Inc. 0.02% 3,000 $368K No change
ALL Allstate Corp. 0.02% 2,108 $365K No change
EFG iShares MSCI Eafe Growth ETF 0.02% 3,463 $359K No change
TSLA Tesla Inc. 0.02% 2,001 $352K No change
SCHX Schwab US Large-Cap ETF 0.02% 5,600 $348K No change
CPK Chesapeake Utilities Corp. 0.02% 3,200 $343K No change
AZN Astrazeneca PLC-Spons ADR 0.02% 5,045 $342K Add +0.4%
KMI Kinder Morgan Inc. 0.02% 18,560 $340K Add +43.2%
T AT&T Inc. 0.02% 18,969 $334K Add +33.0%
IGF iShares Global Infrastructur 0.02% 6,883 $328K No change
WMB Williams Cos Inc. 0.02% 8,365 $326K Add +31.4%
KR Kroger Co. 0.02% 5,700 $326K New
TTE Totalenergies SE -Spon ADR 0.02% 4,675 $322K No change
NUE Nucor Corp. 0.02% 1,600 $317K No change
CVS CVS Health Corp. 0.02% 3,913 $312K New
BCRX Biocryst Pharmaceuticals Inc. 0.02% 60,633 $308K No change
RIO Rio Tinto PLC-Spon ADR 0.01% 4,800 $306K No change
CBRE CBRE Group Inc. Class A 0.01% 3,000 $292K No change
WMT Walmart Inc. 0.01% 4,830 $291K No change
LOW Lowe's Cos Inc. 0.01% 1,136 $289K New
MDY State Street SPDR S&P Midcap 0.01% 513 $285K New
IHE iShares US Pharmaceuticals E 0.01% 4,140 $281K No change
MRBK Meridian Corp. 0.01% 28,334 $281K Reduce -15.0%
QCOM Qualcomm Inc. 0.01% 1,650 $279K No change
INSP Inspire Medical Systems Inc. 0.01% 1,300 $279K No change
DFS Discover Financial Services 0.01% 2,130 $279K New
BLK BlackRock Finance Inc. 0.01% 326 $272K No change
WFC Wells Fargo & Co. 0.01% 4,600 $267K Add +7.0%
DOV Dover Corp. 0.01% 1,500 $266K New
VDE Vanguard Energy ETF 0.01% 2,006 $264K No change
URA Global X Uranium ETF 0.01% 9,138 $263K No change
MGK Vngrd Mrgstr MG CP GR ETF-Ui 0.01% 904 $259K New
ARW Arrow Electronics Inc. 0.01% 2,000 $259K No change
WCN Waste Connections Inc. 0.01% 1,500 $258K No change
TYG Tortoise Energy Infrastruct 0.01% 8,250 $255K No change
SJM The JM Smucker Co. filed as SMUCKER J M CO 0.01% 2,000 $252K No change
IXUS iShares Core Intl Stock ETF 0.01% 3,648 $248K No change
IWC iShares Micro-Cap ETF 0.01% 2,000 $242K No change
LFUS Littelfuse Inc. 0.01% 1,000 $242K No change
SPGI S&P Global Inc. 0.01% 564 $240K New
AFL Aflac Inc. 0.01% 2,700 $232K No change
KHC The Kraft Heinz Co. 0.01% 6,163 $227K Reduce -0.5%
CARR Carrier Global Corp. 0.01% 3,801 $221K No change
EXPD Expeditors Intl Wash Inc. 0.01% 1,800 $219K No change
NFE New Fortress Energy Inc. 0.01% 7,143 $219K No change
IP International Paper Co. 0.01% 5,500 $215K New
GE General Electric 0.01% 1,216 $213K New
ENB Enbridge Inc. 0.01% 5,896 $213K No change
FITB Fifth Third Bancorp 0.01% 5,700 $212K New
MAR Marriott International Class A 0.01% 822 $207K New
CB Chubb Ltd. 0.01% 800 $207K New
CLX Clorox Company 0.01% 1,312 $201K New
AON Aon PLC Class A 0.01% 600 $200K New
PMN Promis Neurosciences Inc. 0.01% 100,000 $191K No change
LBTYK Liberty Global Ltd. Class C 0.01% 10,386 $183K No change
ETWO E2OPEN Parent Holdings Inc. 0.01% 37,615 $167K Add +2.7%
MGNX Macrogenics Inc. 0.01% 10,000 $147K No change
PNBK Patriot National Bancorp Inc. 0.01% 39,123 $147K No change
CLEARSIDE BIOMEDICAL INC 0.01% 93,000 $142K No change
MYN BlackRock Muniyield NY QLTY 0.01% 10,000 $105K No change
AWHL Aspira Women's Health Inc. 0.00% 23,436 $73K No change
ALTM Arcadium Lithium PLC 0.00% 15,752 $68K New
CGTX Cognition Therapeutics Inc. 0.00% 24,500 $45K No change
RLYB Rallybio Corp. 0.00% 22,088 $41K New
AKLI Akili Inc. 0.00% 56,554 $16K No change
VERU Veru Inc. 0.00% 16,300 $11K No change
Other holdings (3): bonds, preferreds, convertibles and warrants · $605K (not counted above)
SecurityClassShares / PrincipalValueChange
OXY.WS Occidental Petroleum-CW27 *W EXP 08/03/202 7,161$309KNo change
WELLS FARGO & COMPANY (WFC 7.5 PERP L) PERP PFD CNV A 185$226KNo change
HTZWW Hertz Global Hldgs Inc. -CW51 *W EXP 06/30/205 16,050$71KAdd +3.2%

Total filed on the 13F, all lines: $2.0B.

Portfolio Sells Q4 2023 → Q1 2024
PFE Pfizer Inc. Reduce -53.2% 1.69% −2.54
AAPL Apple Inc. Reduce -10.4% 2.87% −1.18
SPY SS SPDR S&P 500 ETF Trust-US Reduce -4.8% 4.35% −0.33
DGRO iShares Core Dividend Growth Reduce -1.1% 3.82% −0.22
VTV Vanguard Mrngstr Val ETF-Aui Reduce -19.9% 0.64% −0.19
IHI iShares U.S. Medical Devices Reduce -23.8% 0.46% −0.17
VYM Vanguard High DVD Yield ETF Reduce -0.9% 2.90% −0.15
SCHW Schwab (charles) Corp. Sold out 0.00% −0.13
IJS iShares S&P Small-Cap 600 Va Reduce -19.4% 0.29% −0.12
VFH Vanguard Financials ETF Reduce -17.7% 0.44% −0.10
PNC PNC Financial Services Group Reduce -23.6% 0.23% −0.10
GOOGL Alphabet Inc. Class A Reduce -1.2% 1.40% −0.08
HON Honeywell International Inc. Reduce -8.3% 0.29% −0.07
VTRS Viatris Inc. Reduce -66.1% 0.03% −0.07
SPYV SS SPDR P S&P 500 Value ETF Sold out 0.00% −0.07
FDN First Trust DJ Internet Ind Reduce -1.2% 1.76% −0.07
HD Home Depot Inc. Reduce -11.7% 0.43% −0.07
GS Goldman Sachs Group Inc. Reduce -10.3% 0.41% −0.07
BX Blackstone Inc. Reduce -2.5% 0.43% −0.07
LHX L3HARRIS Technologies Inc. Reduce -50.0% 0.04% −0.04
RC Ready Capital Corp. Reduce -1.4% 0.15% −0.04
DE Deere & Co. Reduce -1.3% 0.33% −0.04
WSO Watsco Inc. Reduce -52.0% 0.03% −0.03
MFIC Midcap Financial Investment Sold out 0.00% −0.03
BAC Bank of America Corp. Reduce -3.3% 0.86% −0.03
MS Morgan Stanley Reduce -50.4% 0.02% −0.03
BG Bunge Global SA Reduce -43.2% 0.03% −0.02
BXMT Blackstone Mortgage Tru Class A Reduce -5.1% 0.09% −0.02
XLE SS Energy Select Sector Reduce -6.2% 0.35% −0.02
VBR Vngrd Mrngst SL-CP Val ETF-U Reduce -5.8% 0.19% −0.02
KLAC KLA Corp. Sold out 0.00% −0.02
KDP Keurig Dr Pepper Inc. Sold out 0.00% −0.02
ATI Ati Inc. Sold out 0.00% −0.02
QQXT First Trust Nasdaq-100 Ex-Te Reduce -0.5% 0.18% −0.02
IJT iShares S&P Small-Cap 600 GR Reduce -4.2% 0.13% −0.02
SPSM SS SPDR P S&P 600 Small Cap Reduce -0.4% 0.14% −0.02
RTX RTX Corp. Reduce -19.9% 0.07% −0.01
IQV Iqvia Holdings Inc. Reduce -29.1% 0.03% −0.01
CSX CSX Corp. Reduce -39.8% 0.02% −0.01
VYMI Vanguard Int High DVD YLD Inc. Sold out 0.00% −0.01
ACWI iShares MSCI Acwi ETF Sold out 0.00% −0.01
MRBK Meridian Corp. Reduce -15.0% 0.01% −0.01
DOW Dow Inc. Sold out 0.00% −0.01
APA Apa Corp. Sold out 0.00% −0.01
BDX Becton Dickinson and Co. Sold out 0.00% −0.01
MTD Mettler-Toledo International Reduce -4.7% 0.15% −0.01
CAT Caterpillar Inc. Sold out 0.00% −0.01
EPD Enterprise Products Partners Reduce -0.7% 0.42% −0.01
LMT Lockheed Martin Corp. Reduce -11.2% 0.04% −0.01
VBK Van Morst SML-Cap Gro-Usd Inc. Reduce -8.1% 0.07% −0.01

Portfolio Buys Q4 2023 → Q1 2024
VOO Vanguard S&P 500 ETF Add +22.8% 9.17% +1.52
BXSL Blackstone Secured Lending F Add +58.3% 2.46% +0.90
QQQ Invesco QQQ Trust Series 1 Add +25.8% 3.54% +0.61
ITOT iShares Core S&P Total U.S. Add +55.8% 1.24% +0.42
VUG Vanguard Mrngstar GR ETF-Sui Add +5.3% 12.49% +0.41
IGM iShares Expanded Tech Sector New 0.33% +0.33
IJR iShares Core S&P Small-Cap E Add +54.4% 1.03% +0.29
GBDC Golub Capital BDC Inc. Add +78.4% 0.68% +0.29
IQLT iShares MSCI International Q Add +111.4% 0.56% +0.28
MSFT Microsoft Corp. Add +10.0% 2.86% +0.24
LLY Eli Lilly & Co. Add +59.9% 0.37% +0.18
INTC Intel Corp. New 0.17% +0.17
ARCC Ares Capital Corp. Add +41.7% 0.59% +0.14
COWZ Pacer US Cash Cows 100 ETF Add +7.1% 2.35% +0.14
AMZN Amazon.com Inc. Add +0.6% 2.35% +0.13
JPM JPMorgan Chase & Co. Add +0.7% 1.76% +0.09
HACK Amplify Cybersecurity ETF New 0.06% +0.06
AVGO Broadcom Inc. Add +4.5% 0.62% +0.06
ASML ASML Holding NV-NY Reg SHS Add +8.4% 0.28% +0.05
ACI Albertsons Cos Inc. Class A New 0.05% +0.05
MRK Merck & Co. Inc. Add +1.4% 0.50% +0.04
MLM Martin Marietta Materials Add +8.8% 0.23% +0.04
SMCI Super Micro Computer Inc. New 0.03% +0.03
SPYG SS SPDR P S&P 500 Growth ETF Add +9.4% 0.32% +0.03
WM Waste Management Inc. Add +2.8% 0.34% +0.03
CC The Chemours Co. New 0.03% +0.03
VIG Vanguard Dividend Apprec ETF Add +5.7% 5.87% +0.03
URNJ Sprott Jr Uranium Miners ETF Add +93.7% 0.04% +0.02
ABBV Abbvie Inc. Add +7.2% 0.16% +0.02
XOM Exxon Mobil Corp. Add +0.5% 0.47% +0.02
KR Kroger Co. New 0.02% +0.02
IVV iShares Core S&P 500 ETF Add +6.2% 0.43% +0.02
CVS CVS Health Corp. New 0.02% +0.02
SOXX iShares Semiconductor ETF Add +84.9% 0.03% +0.02
LOW Lowe's Cos Inc. New 0.01% +0.01
MDY State Street SPDR S&P Midcap New 0.01% +0.01
DFS Discover Financial Services New 0.01% +0.01
DOV Dover Corp. New 0.01% +0.01
MGK Vngrd Mrgstr MG CP GR ETF-Ui New 0.01% +0.01
IBM Intl Business Machines Corp. Add +29.4% 0.05% +0.01
CALF PCR US SM CP CSH CWS ETF-Usd Add +16.9% 0.20% +0.01
SPGI S&P Global Inc. New 0.01% +0.01
GE General Electric New 0.01% +0.01
IP International Paper Co. New 0.01% +0.01
TSM Taiwan Semiconductor-SP ADR Add +5.8% 0.06% +0.01
FITB Fifth Third Bancorp New 0.01% +0.01
MAR Marriott International Class A New 0.01% +0.01
CB Chubb Ltd. New 0.01% +0.01
SYK Stryker Corp. Add +13.4% 0.06% +0.01
CLX Clorox Company New 0.01% +0.01

Notes & Other Activity Q4 2023 → Q1 2024
BANK OF AMERICA CORP (BAC 7.25 PERP L) 7.25%CNV PFD L Sold out 184 $222Kbefore exit
HTZWW Hertz Global Hldgs Inc. -CW51 *W EXP 06/30/205 Add +3.2% 16,050 $71K
ETWOW E2OPEN Parent Ho -CW25 *W EXP 02/04/202 Sold out 14,821 $4Kbefore exit

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

All Filings

QuarterPositions13F Reported ValueTop Holdings
Q2 2025 299$2.4BVUG, VOO, VIG, BXSL, QQQ
Q1 2025 278$2.3BVUG, VOO, VIG, BXSL, SPY
Q4 2024 288$2.4BVUG, VOO, VIG, SPY, QQQ
Q3 2024 291$2.3BVUG, VOO, VIG, SPY, DGRO
Q2 2024 271$2.2BVUG, VOO, VIG, SPY, QQQ
Q1 2024 286$2.0BVUG, VOO, VIG, SPY, DGRO