Principal Securities, Inc.
In its 13F for Q3 2025 (holdings as of September 30, 2025, filed November 12, 2025), Principal Securities, Inc. reported 3,718 stock positions worth $6.1 billion. Its top holding was Principal US Mega-Cap ETF (USMC) at 4.9% of the portfolio, followed by iShares Core S&P 500 ETF (IVV, 3.0%) and iShares Core U.S. Aggregate (AGG, 2.2%). Compared with Q2 2025, it opened 196 new positions, sold out of 144, added to 1,741 and reduced 1,019. The biggest buy was iShares Core S&P 500 ETF (IVV, shares +29%) and the biggest sale Invesco S&P 500 Momentum ETF (SPMO, shares −60%).
- Most Recent 13F
- Q2 2026
- Location
- DES MOINES, IA
- CIK
- 0000012600
- Portfolio Value
- $6.1B (Q3 2025)
- SEC Filing
- 0000012600-25-000011 ↗ filed Nov 12, 2025
Holdings Value
Holdings 3,718 stocks · $6.1B
| USMC Principal US Mega-Cap ETF | 4.92% | 4,379,501 | $298.6M | Add +9.3% |
| IVV iShares Core S&P 500 ETF | 2.96% | 268,803 | $179.9M | Add +28.6% |
| AGG iShares Core U.S. Aggregate | 2.17% | 1,311,530 | $131.5M | Add +8.7% |
| BCHP Principal Foc Blue Chip ETF | 2.10% | 3,382,028 | $127.3M | Add +29.4% |
| PSC Principal US Small-Cap ETF | 2.08% | 2,219,443 | $126.4M | Reduce -1.3% |
| GSUS Goldman Sachs Marketbeta US | 1.73% | 1,137,684 | $105.1M | Add +1.7% |
| MSFT Microsoft Corp. | 1.64% | 191,661 | $99.3M | Add +8.4% |
| PIEQ Principal Intl Eqty ETF | 1.63% | 3,135,239 | $99.2M | Add +32.3% |
| IUSV iShares Core S&P U.S. Value | 1.21% | 736,567 | $73.6M | Add +0.5% |
| SPYM Ste STR SPDR PT S&P 500 ETF | 1.20% | 933,131 | $73.1M | Reduce -6.7% |
| NVDA Nvidia Corp. | 1.19% | 388,113 | $72.4M | Add +6.3% |
| AMZN Amazon.com Inc. | 1.14% | 315,536 | $69.3M | Add +4.1% |
| AAPL Apple Inc. | 1.10% | 262,373 | $66.8M | Add +6.8% |
| IG Prin Invest Grad Corp. ETF-Ui | 1.08% | 3,108,813 | $65.6M | Add +21.5% |
| IWB iShares Russell 1000 ETF | 1.06% | 175,983 | $64.3M | Reduce -1.6% |
| IUSG iShares Core S&P U.S. Growth | 0.95% | 348,963 | $57.4M | Add +14.4% |
| GCOR Goldman Sachs Access US Agg | 0.90% | 1,312,863 | $54.9M | Add +9.6% |
| IEMG iShares Core MSCI Emerging | 0.87% | 801,214 | $52.8M | Add +5.9% |
| VTI VG Morningstar TS MKT ETF-US | 0.84% | 155,275 | $51.0M | Add +6.5% |
| IVW iShares S&P 500 Growth ETF | 0.83% | 418,180 | $50.5M | Add +8.8% |
| IEFA iShares Core MSCI Eafe ETF | 0.81% | 561,976 | $49.1M | Reduce -7.5% |
| PY Principal Value ETF | 0.81% | 933,336 | $49.0M | Add +36.3% |
| APUE Activepassive US Equity ETF | 0.79% | 1,176,065 | $48.0M | Add +26.9% |
| GOOGL Alphabet Inc. Class A | 0.78% | 194,972 | $47.4M | Add +7.5% |
| META Meta Platforms Inc. Class A | 0.78% | 64,452 | $47.3M | Add +5.9% |
| GSIE Goldman Sachs Activebeta Int | 0.68% | 1,009,846 | $41.5M | Reduce -7.2% |
| YLD Principal Act Hi YLD ETF | 0.68% | 2,112,828 | $41.1M | Add +46.5% |
| SCHG Schwab US Large-Cap Growth | 0.67% | 1,279,964 | $40.8M | Reduce -3.4% |
| SCHP Schwab U.S. Tips ETF | 0.67% | 1,501,036 | $40.5M | Add +6.2% |
| IDEV iShares Core MSCI Dev MKTS | 0.63% | 475,828 | $38.1M | Add +8.5% |
| IXUS iShares Core Intl Stock ETF | 0.61% | 451,090 | $37.3M | Reduce -3.2% |
| JEPI JPMorgan Equity Premium Inco | 0.58% | 620,587 | $35.4M | Add +10.8% |
| AVGO Broadcom Inc. | 0.58% | 106,459 | $35.1M | Reduce -3.0% |
| GSLC Goldman Activebeta US LC ETF | 0.54% | 251,884 | $32.8M | Add +4.0% |
| IJR iShares Core S&P Small-Cap E | 0.52% | 264,525 | $31.4M | Reduce -1.5% |
| IWY iShares Russell Top 200 Grow | 0.49% | 109,086 | $29.9M | Add +518.3% |
| VEA Vanguard Ftse Developed ETF | 0.49% | 493,104 | $29.5M | Add +0.4% |
| BND Vanguard Total Bond Market | 0.48% | 392,152 | $29.2M | Add +11.9% |
| JPM JPMorgan Chase & Co. | 0.48% | 91,968 | $29.0M | Add +4.3% |
| PSET Principal Quality ETF | 0.46% | 367,369 | $28.0M | Reduce -5.8% |
| IVE iShares S&P 500 Value ETF | 0.45% | 131,894 | $27.2M | Add +6.0% |
| GOOG Alphabet Inc. Class C | 0.44% | 110,698 | $27.0M | Add +1.6% |
| VTV Vanguard Mrngstr Val ETF-Aui | 0.44% | 142,587 | $26.6M | Add +5.3% |
| V Visa Inc. Class A | 0.44% | 77,863 | $26.6M | Add +3.4% |
| SPYG SS SPDR P S&P 500 Growth ETF | 0.44% | 254,136 | $26.6M | Add +11.8% |
| QQQ Invesco QQQ Trust Series 1 | 0.43% | 43,860 | $26.3M | Add +3.5% |
| IUSB Ishr CR Unvrse Usd BD ETF-Ui | 0.40% | 524,695 | $24.5M | Add +12.2% |
| SPMO Invesco S&P 500 Momentum ETF | 0.40% | 198,768 | $24.1M | Reduce -59.7% |
| HYG Ishr Ibx Usd Hiyld CB ETF-Ui | 0.39% | 292,729 | $23.8M | Add +12.1% |
| BRK.B Berkshire Hathaway Inc. Class B | 0.39% | 46,708 | $23.5M | Add +4.1% |
| LCAP Principal CPTL Apprec S3 ETF | 0.38% | 803,223 | $23.3M | Add +99.9% |
| ITOT iShares Core S&P Total U.S. | 0.38% | 156,585 | $22.8M | Reduce -1.5% |
| LQD Ishr Ibx Usd Invgd CB ETF-Ui | 0.37% | 202,883 | $22.6M | Add +29.7% |
| MBB iShares MBS ETF | 0.36% | 231,823 | $22.1M | Add +34.4% |
| APIE Activepassive Intl Eqty ETF | 0.36% | 608,977 | $21.6M | Add +10.9% |
| TSM Taiwan Semiconductor-SP ADR | 0.35% | 75,774 | $21.2M | Reduce -9.4% |
| VGLT Vanguard Long-Term Treasury | 0.34% | 360,581 | $20.5M | Add +4.9% |
| FTEC Fidelity MSCI Info Tech Indx | 0.32% | 86,652 | $19.3M | Add +176.6% |
| EWU iShares MSCI United Kingdom | 0.32% | 456,845 | $19.2M | Add +7.8% |
| DYNF Ishrs US E F R A ETF-Usd Inc. | 0.31% | 319,887 | $18.9M | Add +18.6% |
| XETYX Eaton Vance Tax-MGD Div Eqty | 0.30% | 1,151,738 | $18.3M | Add +1.5% |
| FNDX Schwab Fndmntl US LRG Co. ETF | 0.30% | 681,154 | $17.9M | Reduce -1.5% |
| APCB Activepassive Core Bond ETF | 0.29% | 598,469 | $17.9M | Add +25.1% |
| MA Mastercard Inc. Class A | 0.28% | 30,210 | $17.2M | Add +4.8% |
| QUAL iShares MSCI USA Quality Fac | 0.28% | 87,584 | $17.0M | Reduce -0.6% |
| QYLD Global X Nasd 100 Cov Call | 0.28% | 988,061 | $16.8M | Reduce -5.2% |
| XYLD Global X S&P 500 Cove Call E | 0.28% | 428,043 | $16.8M | Add +2.4% |
| TSLA Tesla Inc. | 0.27% | 36,337 | $16.2M | Add +9.9% |
| FNDE Schwab Fndmntl Em MRK Eq ETF | 0.26% | 436,861 | $15.8M | Reduce -6.7% |
| GIGB Goldman Sachs Inv GRD Corp. | 0.26% | 336,508 | $15.7M | Add +3.6% |
| VXF Vanguard Extended Market ETF | 0.25% | 73,706 | $15.4M | Add +5.1% |
| VCIT Vanguard Int-Term Corporate | 0.25% | 178,498 | $15.0M | Add +0.7% |
| VCSH Vanguard S/T Corp. Bond ETF | 0.25% | 186,974 | $14.9M | Add +8.6% |
| LLY Eli Lilly & Co. | 0.24% | 19,450 | $14.8M | Add +1.6% |
| SCHW Schwab (charles) Corp. | 0.24% | 152,070 | $14.5M | Add +5.7% |
| CMDY iShares Bloomberg Roll Selec | 0.23% | 268,906 | $14.1M | Add +6.3% |
| USHY iShares Broad Usd High Yield | 0.23% | 371,463 | $14.0M | Reduce -4.9% |
| ORCL Oracle Corp. | 0.23% | 49,599 | $13.9M | Reduce -18.6% |
| SPHY SS SPDR P High Yield ETF | 0.23% | 582,366 | $13.9M | Reduce -0.1% |
| ABBV Abbvie Inc. | 0.23% | 59,351 | $13.7M | Add +2.6% |
| VHT Vanguard Health Care ETF | 0.22% | 52,467 | $13.6M | Add +9.1% |
| GEM Goldman Sachs Activebeta Em | 0.22% | 331,224 | $13.5M | Add +4.1% |
| SPY SS SPDR S&P 500 ETF Trust-US | 0.22% | 20,217 | $13.5M | Add +1.7% |
| GGUS Goldman SS MB RL 1000 GE ETF | 0.22% | 210,808 | $13.3M | Add +113.5% |
| VWO Vanguard Ftse Emerging Marke | 0.22% | 242,833 | $13.2M | Add +5.8% |
| VOO Vanguard S&P 500 ETF | 0.22% | 21,421 | $13.1M | Add +10.1% |
| GOVT iShares US Treasury Bond ETF | 0.21% | 563,417 | $13.0M | Add +59.9% |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | 0.21% | 44,310 | $13.0M | Add +6.5% |
| LVHI Franklin International Low V | 0.21% | 374,473 | $13.0M | Add +34.9% |
| SPHQ Invesco S&P 500 Quality ETF | 0.21% | 176,324 | $12.9M | Add +1.0% |
| PREF Pri Spe Pre Sec Acti-Usd Inc. | 0.21% | 672,795 | $12.9M | Add +56.7% |
| SCHH Schwab US REIT ETF | 0.21% | 589,221 | $12.7M | Add +19.4% |
| BKNG Booking Holdings Inc. | 0.21% | 2,346 | $12.7M | Reduce -1.6% |
| PM Philip Morris International | 0.20% | 76,547 | $12.4M | Add +3.3% |
| HD Home Depot Inc. | 0.20% | 30,058 | $12.2M | Reduce -1.1% |
| MLPX Global X MLP & Energy Infras | 0.20% | 194,142 | $12.2M | Add +10.6% |
| WMT Walmart Inc. | 0.20% | 117,095 | $12.1M | Reduce -0.2% |
| EQWL Invesco S&P 100 Equal Weight | 0.20% | 105,043 | $12.0M | Add +9.0% |
| HIGH Simplify Enhanced Income ETF | 0.20% | 520,839 | $12.0M | Add +12.4% |
| XOM Exxon Mobil Corp. | 0.20% | 105,404 | $11.9M | Add +4.9% |
Other holdings (13): bonds, preferreds, convertibles and warrants · $99K (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | 45 | $56K | No change |
| FLAGSTAR BANK NA (FLG 6 11/01/51) | UNIT 05/07/2051 | 500 | $20K | Reduce -23.1% |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | 290 | $7K | Add +6.2% |
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | 5 | $6K | No change |
| BULLW Webull Corp.-30 | *W EXP 04/10/203 | 500 | $3K | No change |
| HP ENTERPRISE CO (HPE 7.625 09/01/27) | 7.625 MAND CONV | 42 | $3K | New |
| BOEING CO/THE (BA 6 10/15/27) | DEP CONV PFD A | 30 | $2K | New |
| RIVERNORTH OPPORTUNI-RT | RIGHT 10/06/2025 | 183,792 | $1K | Add +0.7% |
| NE.WS Noble Corp. PLC-28 | *W EXP 02/04/202 | 9 | $125 | No change |
| NOBLE CORP PLC-28 | *W EXP 02/04/202 | 9 | $72 | No change |
| DSX.WS Diana Shipping Inc.-28 | *W EXP 12/14/202 | 105 | $10 | No change |
| VAL.WS Valaris Ltd. -CW28 | *W EXP 04/29/202 | 2 | $6 | No change |
| CLEARBRIDGE ENERGY MI-RT | RIGHT 10/10/2025 | 90 | $2 | Reduce -10.9% |
Total filed on the 13F, all lines: $6.1B.
Portfolio Sells Q2 2025 → Q3 2025
| SPMO Invesco S&P 500 Momentum ETF | Reduce -59.7% | 0.40% | −0.65 |
| MTUM iShares MSCI USA Momentum Fa | Reduce -76.1% | 0.08% | −0.27 |
| EWY iShares MSCI South Korea ETF | Reduce -99.5% | 0.00% | −0.18 |
| VOX Vanguard Communication Servi | Reduce -59.8% | 0.11% | −0.17 |
| PSC Principal US Small-Cap ETF | Reduce -1.3% | 2.08% | −0.17 |
| SPYM Ste STR SPDR PT S&P 500 ETF | Reduce -6.7% | 1.20% | −0.16 |
| IEFA iShares Core MSCI Eafe ETF | Reduce -7.5% | 0.81% | −0.15 |
| GSIE Goldman Sachs Activebeta Int | Reduce -7.2% | 0.68% | −0.13 |
| JEPQ JPM Nasdaq Equity Premium | Reduce -53.7% | 0.07% | −0.09 |
| SCHD Schwab US DVD Equity ETF | Reduce -42.3% | 0.09% | −0.08 |
| VFH Vanguard Financials ETF | Reduce -93.7% | 0.01% | −0.08 |
| IWB iShares Russell 1000 ETF | Reduce -1.6% | 1.06% | −0.08 |
| PSET Principal Quality ETF | Reduce -5.8% | 0.46% | −0.08 |
| ILF iShares Latin America 40 ETF | Reduce -87.6% | 0.01% | −0.07 |
| IXUS iShares Core Intl Stock ETF | Reduce -3.2% | 0.61% | −0.06 |
| SCHG Schwab US Large-Cap Growth | Reduce -3.4% | 0.67% | −0.05 |
| IJH iShares Core S&P Midcap ETF | Reduce -18.5% | 0.16% | −0.05 |
| PGR Progressive Corp. | Reduce -34.6% | 0.06% | −0.05 |
| BKNG Booking Holdings Inc. | Reduce -1.6% | 0.21% | −0.05 |
| QYLD Global X Nasd 100 Cov Call | Reduce -5.2% | 0.28% | −0.05 |
| IHI iShares U.S. Medical Devices | Reduce -35.7% | 0.06% | −0.05 |
| GSY Invesco Ultra Short Duration | Reduce -12.1% | 0.16% | −0.05 |
| IYW iShares Ustechnology ETF | Reduce -26.6% | 0.13% | −0.05 |
| XLV SS Health Care Select Sector | Reduce -71.6% | 0.02% | −0.05 |
| USHY iShares Broad Usd High Yield | Reduce -4.9% | 0.23% | −0.04 |
| ZJUL Innovator Edp ETF 1 YR July | Reduce -98.2% | 0.00% | −0.04 |
| KMX Carmax Inc. | Reduce -1.8% | 0.05% | −0.04 |
| FISV Fiserv Inc. | Reduce -8.9% | 0.06% | −0.04 |
| ACN Accenture PLC Class A | Reduce -6.7% | 0.08% | −0.04 |
| FV First Trust DW Focus 5 Fund | Reduce -90.4% | 0.00% | −0.04 |
| CGDV Cap Group Dividend Value | Reduce -11.7% | 0.17% | −0.04 |
| IJR iShares Core S&P Small-Cap E | Reduce -1.5% | 0.52% | −0.03 |
| DIS The Walt Disney Co. | Reduce -0.1% | 0.14% | −0.03 |
| SPHY SS SPDR P High Yield ETF | Reduce -0.1% | 0.23% | −0.03 |
| FNDE Schwab Fndmntl Em MRK Eq ETF | Reduce -6.7% | 0.26% | −0.03 |
| ABT Abbott Laboratories | Reduce -6.9% | 0.12% | −0.03 |
| SNSR Global X Internet of Things | Reduce -49.9% | 0.02% | −0.03 |
| ITOT iShares Core S&P Total U.S. | Reduce -1.5% | 0.38% | −0.03 |
| PBJ Invesco Food & Beverage ETF | Reduce -95.0% | 0.00% | −0.03 |
| EFG iShares MSCI Eafe Growth ETF | Reduce -39.3% | 0.03% | −0.03 |
| CGUS Cap Group Core Equity | Reduce -8.4% | 0.16% | −0.03 |
| TXN Texas Instruments Inc. | Reduce -8.3% | 0.06% | −0.03 |
| PCN PIMCO Corporate & Income STR | Reduce -9.6% | 0.12% | −0.02 |
| FNDX Schwab Fndmntl US LRG Co. ETF | Reduce -1.5% | 0.30% | −0.02 |
| RSPT Invesco S&P 500 Equal Weight | Reduce -23.7% | 0.06% | −0.02 |
| QUAL iShares MSCI USA Quality Fac | Reduce -0.6% | 0.28% | −0.02 |
| CB Chubb Ltd. | Reduce -10.1% | 0.07% | −0.02 |
| FPEI First Trust Institutional PR | Reduce -40.0% | 0.02% | −0.02 |
| SGOV iShares 0-3 Month Treasury B | Reduce -28.7% | 0.03% | −0.02 |
| ORCL Oracle Corp. | Reduce -18.6% | 0.23% | −0.02 |
Portfolio Buys Q2 2025 → Q3 2025
| IVV iShares Core S&P 500 ETF | Add +28.6% | 2.96% | +0.52 |
| IWY iShares Russell Top 200 Grow | Add +518.3% | 0.49% | +0.41 |
| PIEQ Principal Intl Eqty ETF | Add +32.3% | 1.63% | +0.34 |
| BCHP Principal Foc Blue Chip ETF | Add +29.4% | 2.10% | +0.30 |
| USMC Principal US Mega-Cap ETF | Add +9.3% | 4.92% | +0.21 |
| FTEC Fidelity MSCI Info Tech Indx | Add +176.6% | 0.32% | +0.20 |
| LCAP Principal CPTL Apprec S3 ETF | Add +99.9% | 0.38% | +0.18 |
| GOOGL Alphabet Inc. Class A | Add +7.5% | 0.78% | +0.18 |
| PY Principal Value ETF | Add +36.3% | 0.81% | +0.17 |
| AAPL Apple Inc. | Add +6.8% | 1.10% | +0.15 |
| YLD Principal Act Hi YLD ETF | Add +46.5% | 0.68% | +0.15 |
| SHYG iShares 0-5 YR HY Corp. Bond | Add +865.4% | 0.16% | +0.14 |
| APUE Activepassive US Equity ETF | Add +26.9% | 0.79% | +0.14 |
| GGUS Goldman SS MB RL 1000 GE ETF | Add +113.5% | 0.22% | +0.11 |
| CGHM Cap Group Muni High-Income | New | 0.11% | +0.11 |
| NVDA Nvidia Corp. | Add +6.3% | 1.19% | +0.11 |
| IUSG iShares Core S&P U.S. Growth | Add +14.4% | 0.95% | +0.08 |
| CGGE Cap Group Global Eq | New | 0.08% | +0.08 |
| GOOG Alphabet Inc. Class C | Add +1.6% | 0.44% | +0.08 |
| IG Prin Invest Grad Corp. ETF-Ui | Add +21.5% | 1.08% | +0.08 |
| GARP iShares MSCI USA Quality Gar | Add +615.3% | 0.09% | +0.08 |
| JCPB JPMorgan Core Plus Bond ETF | Add +656.1% | 0.09% | +0.07 |
| FENI Fidelity Enhanced Intl ETF | Add +156.3% | 0.13% | +0.07 |
| EVTR Eaton Vance Total Return | Add +477.6% | 0.09% | +0.07 |
| TSLA Tesla Inc. | Add +9.9% | 0.27% | +0.07 |
| GOVT iShares US Treasury Bond ETF | Add +59.9% | 0.21% | +0.06 |
| PREF Pri Spe Pre Sec Acti-Usd Inc. | Add +56.7% | 0.21% | +0.06 |
| MBB iShares MBS ETF | Add +34.4% | 0.36% | +0.06 |
| XMMO Invesco S&P Midcap Momentum | Add +83.3% | 0.14% | +0.06 |
| GQGU GQG US Equity ETF | New | 0.06% | +0.06 |
| LQD Ishr Ibx Usd Invgd CB ETF-Ui | Add +29.7% | 0.37% | +0.05 |
| MAS Masco Corp. | Add +361.4% | 0.06% | +0.05 |
| BAI Ishrs AI in and Tech Act ETF | Add +165.0% | 0.07% | +0.05 |
| OEF iShares S&P 100 ETF | Add +44.6% | 0.16% | +0.05 |
| LVHI Franklin International Low V | Add +34.9% | 0.21% | +0.04 |
| SCHE Schwab Emrg Mrkts Eqty ETF | Add +97.0% | 0.09% | +0.04 |
| XLF SS Financial Select Sector | Add +141.0% | 0.08% | +0.04 |
| THRO iShares U.S. Thematic Rotati | Add +534.8% | 0.05% | +0.04 |
| PLTR Palantir Technologies Inc. Class A | Add +13.2% | 0.16% | +0.04 |
| SBAR Simplify Barrier Income ETF | Add +3672.9% | 0.04% | +0.04 |
| FBCG Fidelity Blue Chip Grow ETF | Add +180.3% | 0.06% | +0.04 |
| SDIV Global X Superdividend ETF | Add +112.1% | 0.07% | +0.04 |
| IVW iShares S&P 500 Growth ETF | Add +8.8% | 0.83% | +0.04 |
| DYNF Ishrs US E F R A ETF-Usd Inc. | Add +18.6% | 0.31% | +0.04 |
| NLR Vaneck Urani & Nuclr ETF-Usd | Add +262.6% | 0.05% | +0.03 |
| APP AppLovin Corp. Class A | Add +2.1% | 0.07% | +0.03 |
| NJUL Innovator Growth 100 Power B | Add +74.8% | 0.09% | +0.03 |
| CGMM Cap Group Small and Mid Cap | New | 0.03% | +0.03 |
| BYRE Principal RL Est Act Opp ETF | Add +39.3% | 0.19% | +0.03 |
| GRNY Fundstr Gran SH US LRG Cap | Add +858.8% | 0.04% | +0.03 |
Notes & Other Activity Q2 2025 → Q3 2025
| FLAGSTAR BANK NA (FLG 6 11/01/51) | UNIT 05/07/2051 | Reduce -23.1% | 500 | $20K |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | Add +6.2% | 290 | $7K |
| HP ENTERPRISE CO (HPE 7.625 09/01/27) | 7.625 MAND CONV | New | 42 | $3K |
| BOEING CO/THE (BA 6 10/15/27) | DEP CONV PFD A | New | 30 | $2K |
| BULLZ Webull Corp.-29 | *W EXP 04/10/202 | Sold out | 1,000 | $2Kbefore exit |
| RIVERNORTH OPPORTUNI-RT | RIGHT 10/06/2025 | Add +0.7% | 183,792 | $1K |
| CLEARBRIDGE ENERGY MI-RT | RIGHT 10/10/2025 | Reduce -10.9% | 90 | $2 |
| IXP iShares Global Comm Services | GBL COMM SVC ETF | Sold out | 0 | $0before exit |
| NTRB Nutriband Inc. | COM NEW | Sold out | 0 | $0before exit |
| UIS Unisys Corp. | COM NEW | Sold out | 0 | $0before exit |
| ZIMV Zimvie Inc. | COM | Sold out | 0 | $0before exit |
| AVDL Avadel Pharmaceuticals Ltd. | COM SHS | Sold out | 0 | $0before 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 | 1,538 | $8.3B | PIEQ, USMC, IVV, LCAP, PSC |
| Q1 2026 | 1,410 | $6.8B | USMC, IVV, PSC, PIEQ, LCAP |
| Q4 2025 | 1,344 | $6.5B | USMC, IVV, BCHP, AGG, PSC |
| Q3 2025 | 3,718 | $6.1B | USMC, IVV, AGG, BCHP, PSC |
| Q2 2025 | 3,663 | $5.3B | USMC, IVV, PSC, AGG, BCHP |
| Q1 2025 | 3,539 | $4.5B | USMC, AGG, PSC, IVV, GSUS |
| Q4 2024 | 3,534 | $4.4B | USMC, AGG, PSC, IVV, GSUS |
| Q3 2024 | 3,422 | $4.1B | USMC, IEFA, IVV, AGG, GSUS |
| Q2 2024 | 3,380 | $3.6B | USMC, IVV, IEFA, AGG, GSUS |
| Q1 2024 | 3,306 | $3.2B | USMC, IVV, IEFA, AGG, GSUS |