Raymond James Financial Services Advisors, Inc.
In its 13F for Q1 2024 (holdings as of March 31, 2024, filed April 22, 2024), Raymond James Financial Services Advisors, Inc. reported 3,339 stock positions worth $67.3 billion. Its top holding was Microsoft (MSFT) at 2.6% of the portfolio, followed by Apple (AAPL, 2.4%) and Vanguard S&P 500 ETF (VOO, 2.2%). Compared with Q4 2023, it opened 256 new positions, sold out of 151, added to 1,552 and reduced 1,459. The biggest buy was Amazon.com (AMZN, shares +1%) and the biggest sale Apple (AAPL, shares −0%).
- Most Recent 13F
- Q3 2024
- Location
- ST. PETERSBURG, FL
- CIK
- 0001462284
- Portfolio Value
- $67.3B (Q1 2024)
- SEC Filing
- 0001462284-24-000002 ↗ filed Apr 22, 2024
Holdings Value
Holdings 3,339 stocks · $67.3B
| MSFT Microsoft Corp. | 2.60% | 4,155,908 | $1.7B | Reduce -0.9% |
| AAPL Apple Inc. | 2.35% | 9,236,438 | $1.6B | Reduce -0.1% |
| VOO Vanguard S&P 500 ETF | 2.16% | 3,021,932 | $1.5B | Add +3.4% |
| IVV iShares Core S&P 500 ETF | 2.06% | 2,637,397 | $1.4B | Add +1.4% |
| SPY SS SPDR S&P 500 ETF Trust-US | 1.44% | 1,850,431 | $967.9M | Add +4.0% |
| NVDA Nvidia Corp. | 1.40% | 1,044,042 | $943.4M | Reduce -4.5% |
| AMZN Amazon.com Inc. | 1.34% | 5,017,880 | $905.1M | Add +1.1% |
| QQQ Invesco QQQ Trust Series 1 | 1.34% | 2,034,901 | $903.5M | Reduce -2.2% |
| JPM JPMorgan Chase & Co. | 1.27% | 4,273,175 | $855.9M | Reduce -0.5% |
| AVGO Broadcom Inc. | 0.97% | 495,111 | $656.2M | Reduce -4.5% |
| VTV Vanguard Mrngstr Val ETF-Aui | 0.97% | 3,990,474 | $649.9M | Add +5.0% |
| HD Home Depot Inc. | 0.91% | 1,603,163 | $615.0M | Reduce -1.2% |
| BRK.B Berkshire Hathaway Inc. Class B | 0.83% | 1,331,558 | $559.9M | Reduce -0.5% |
| VTI VG Morningstar TS MKT ETF-US | 0.79% | 2,055,094 | $534.1M | Add +4.2% |
| GOOGL Alphabet Inc. Class A | 0.79% | 3,533,188 | $533.3M | Reduce -0.2% |
| AGG iShares Core U.S. Aggregate | 0.78% | 5,330,712 | $522.1M | Add +4.8% |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | 0.76% | 2,052,408 | $512.8M | Reduce -3.9% |
| DGRO iShares Core Dividend Growth | 0.75% | 8,710,235 | $505.7M | Reduce -0.7% |
| ETN Eaton Corp. PLC | 0.74% | 1,592,655 | $498.0M | Reduce -3.0% |
| VYM Vanguard High DVD Yield ETF | 0.73% | 4,047,824 | $489.7M | Reduce -0.3% |
| IEFA iShares Core MSCI Eafe ETF | 0.72% | 6,519,657 | $483.9M | Reduce -4.0% |
| MRK Merck & Co. Inc. | 0.70% | 3,574,872 | $471.7M | Add +0.7% |
| SCHD Schwab US DVD Equity ETF | 0.68% | 5,712,485 | $460.6M | Add +11.8% |
| WMT Walmart Inc. | 0.68% | 7,639,240 | $459.7M | Reduce -0.2% |
| VUG Vanguard Mrngstar GR ETF-Sui | 0.68% | 1,335,391 | $459.6M | Reduce -0.2% |
| IJH iShares Core S&P Midcap ETF | 0.67% | 7,410,254 | $450.1M | Reduce -2.2% |
| V Visa Inc. Class A | 0.66% | 1,599,974 | $446.5M | Add +1.1% |
| MPC Marathon Petroleum Corp. | 0.64% | 2,137,720 | $430.8M | Reduce -1.4% |
| IJR iShares Core S&P Small-Cap E | 0.61% | 3,744,500 | $413.8M | Reduce -1.2% |
| META Meta Platforms Inc. Class A | 0.61% | 844,199 | $409.9M | Reduce -4.4% |
| JNJ Johnson & Johnson | 0.61% | 2,579,528 | $408.1M | Add +3.6% |
| UNH Unitedhealth Group Inc. | 0.58% | 794,734 | $393.2M | Add +0.7% |
| COWZ Pacer US Cash Cows 100 ETF | 0.56% | 6,473,945 | $376.2M | Add +10.5% |
| RSP Invesco S&P 500 Equal Weight | 0.56% | 2,213,499 | $374.9M | Add +4.5% |
| USMV iShares MSCI USA Min Vol Fac | 0.55% | 4,435,220 | $370.7M | Reduce -4.8% |
| CB Chubb Ltd. | 0.55% | 1,420,142 | $368.0M | Reduce -0.7% |
| VIG Vanguard Dividend Apprec ETF | 0.53% | 1,943,697 | $354.9M | Reduce -2.4% |
| MSI Motorola Solutions Inc. | 0.52% | 988,705 | $351.0M | Reduce -1.9% |
| CSCO Cisco Systems Inc. | 0.50% | 6,773,492 | $338.1M | Reduce -1.8% |
| DIVO Amplify CWP Enhan Divid ETF | 0.50% | 8,666,047 | $336.9M | Reduce -3.8% |
| SCHG Schwab US Large-Cap Growth | 0.50% | 3,600,863 | $333.9M | Add +11.8% |
| RDVY First Trust Rising Dividend | 0.48% | 5,788,639 | $325.1M | Reduce -0.3% |
| VEA Vanguard Ftse Developed ETF | 0.48% | 6,466,386 | $324.4M | Add +12.1% |
| CRM Salesforce Inc. | 0.46% | 1,019,669 | $307.1M | Add +1.1% |
| UNP Union Pacific Corp. | 0.45% | 1,226,710 | $301.7M | Add +2.4% |
| VB Vanguard Most SM-Cap ETF-Usd | 0.44% | 1,284,927 | $293.7M | Add +7.5% |
| MOAT Vaneck Morningstar Wide Moat | 0.43% | 3,247,417 | $291.9M | Add +12.5% |
| COST Costco Wholesale Corp. | 0.43% | 390,841 | $286.3M | Add +2.5% |
| VZ Verizon Communications Inc. | 0.41% | 6,639,530 | $278.6M | Add +2.5% |
| CGDV Cap Group Dividend Value filed as CAPITAL GROUP DIVIDEND VALUE | 0.41% | 8,481,835 | $275.7M | Add +16.5% |
| CVX Chevron Corp. | 0.41% | 1,746,686 | $275.5M | Add +1.4% |
| FTCS First Trust Capital Strength | 0.41% | 3,216,435 | $275.5M | Reduce -5.9% |
| GOOG Alphabet Inc. Class C | 0.40% | 1,780,083 | $271.0M | Add +0.9% |
| CMCSA Comcast Corp. Class A | 0.37% | 5,753,814 | $249.4M | Reduce -1.0% |
| MDT Medtronic PLC | 0.37% | 2,852,849 | $248.6M | Add +1.4% |
| IWF iShares Russell 1000 Growth | 0.37% | 730,643 | $246.3M | Reduce -1.7% |
| QQQM Invesco Nasdaq 100 ETF | 0.36% | 1,334,544 | $243.8M | Add +5.9% |
| FVD First Trust Value Line DVD | 0.35% | 5,617,442 | $237.2M | Reduce -13.0% |
| APD Air Products & Chemicals Inc. | 0.35% | 976,768 | $236.6M | Add +0.2% |
| XLV SS Health Care Select Sector | 0.34% | 1,540,643 | $227.6M | Add +4.4% |
| DVN Devon Energy Corp. | 0.34% | 4,529,487 | $227.3M | Add +3.6% |
| CME Cme Group Inc. | 0.33% | 1,041,526 | $224.2M | Add +2.3% |
| BND Vanguard Total Bond Market | 0.32% | 2,988,895 | $217.1M | Add +10.2% |
| PG The Procter & Gamble Co. | 0.32% | 1,322,553 | $214.6M | Add +7.0% |
| LLY Eli Lilly & Co. | 0.32% | 273,593 | $212.8M | Add +5.0% |
| TLT iShares 20+ Year Treasury BD | 0.31% | 2,221,259 | $210.2M | Add +9.9% |
| SPYV SS SPDR P S&P 500 Value ETF | 0.31% | 4,175,982 | $209.2M | Reduce -9.9% |
| AMD Advanced Micro Devices | 0.31% | 1,144,190 | $206.5M | Add +2.6% |
| DGRW Wisdomtree U.S. Quality Divi | 0.30% | 2,678,691 | $204.1M | Reduce -27.2% |
| IVW iShares S&P 500 Growth ETF | 0.30% | 2,408,561 | $203.4M | Reduce -11.4% |
| VGT Vanguard Info Tech ETF | 0.30% | 387,815 | $203.3M | Reduce -3.5% |
| ABBV Abbvie Inc. | 0.30% | 1,095,774 | $199.5M | Add +1.7% |
| LHX L3HARRIS Technologies Inc. | 0.28% | 882,617 | $188.1M | Add +3.4% |
| XLK SS Technology Select Sector | 0.26% | 852,071 | $177.5M | Reduce -2.3% |
| CALF PCR US SM CP CSH CWS ETF-Usd | 0.26% | 3,591,583 | $176.6M | Add +41.0% |
| PEP Pepsico Inc. | 0.26% | 1,002,267 | $175.4M | Add +4.5% |
| TT Trane Technologies PLC | 0.25% | 567,134 | $170.3M | Reduce -4.8% |
| TJX TJX Companies Inc. filed as TJX COS INC NEW | 0.25% | 1,676,273 | $170.0M | Reduce -1.3% |
| XOM Exxon Mobil Corp. | 0.25% | 1,446,829 | $168.2M | Add +0.7% |
| IWM iShares Russell 2000 ETF | 0.25% | 798,232 | $167.9M | Add +2.6% |
| GLD SPDR Gold Shares | 0.25% | 803,007 | $165.2M | Reduce -7.3% |
| DRI Darden Restaurants Inc. | 0.24% | 978,851 | $163.6M | Add +1.7% |
| SPYG SS SPDR P S&P 500 Growth ETF | 0.24% | 2,212,381 | $161.8M | Reduce -9.7% |
| IVE iShares S&P 500 Value ETF | 0.24% | 856,580 | $160.0M | Add +17.1% |
| IEF iShares 7-10 Year Treasury B | 0.23% | 1,667,917 | $157.9M | Add +1.3% |
| IWD iShares Russell 1000 Value E | 0.23% | 852,970 | $152.8M | Add +0.0% |
| NOBL Proshares S&P 500 Dividend A | 0.22% | 1,486,634 | $150.8M | Reduce -0.8% |
| BBY Best Buy Co. Inc. | 0.22% | 1,827,468 | $149.9M | Add +3.9% |
| QCOM Qualcomm Inc. | 0.22% | 864,342 | $146.3M | Reduce -5.2% |
| JEPI JPMorgan Equity Premium Inco | 0.22% | 2,503,336 | $144.8M | Add +39.1% |
| ITOT iShares Core S&P Total U.S. | 0.21% | 1,237,093 | $142.6M | Add +4.3% |
| FIXD First Trust Smith Opportunis | 0.21% | 3,249,921 | $141.7M | Add +2.4% |
| MA Mastercard Inc. Class A | 0.21% | 293,456 | $141.3M | Reduce -0.5% |
| SPYM Ste STR SPDR PT S&P 500 ETF | 0.21% | 2,294,184 | $141.2M | Reduce -16.0% |
| ALL Allstate Corp. | 0.21% | 810,035 | $140.1M | Reduce -6.0% |
| NXPI NXP Semiconductors NV | 0.21% | 561,766 | $139.2M | Reduce -4.2% |
| MCD McDonald's Corp. | 0.20% | 483,844 | $136.4M | Reduce -0.5% |
| JCI Johnson Controls Internation | 0.20% | 2,078,169 | $135.7M | Add +13.9% |
| ICE Intercontinental Exchange Inc. | 0.20% | 976,751 | $134.2M | Reduce -2.0% |
| VWO Vanguard Ftse Emerging Marke | 0.20% | 3,207,931 | $134.0M | Add +1.8% |
Options reported separately and not counted above: SPY puts ($6.7M), NVDA puts ($1.6M), VOO puts ($1.1M), MSFT puts ($600K), TSLA calls ($225K), RTX puts ($113K), PLTR puts ($100K), LECO puts ($75K), MU puts ($67K), META puts ($38K), XOM puts ($19K), TSLA puts ($10K).
Other holdings (34): bonds, preferreds, convertibles and warrants · $10.7M (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| GREAT AJAX CORP (RPT 7.25 04/30/24) | 7.25 CV SR NT 24 | 103,502 | $2.6M | Add +8.2% |
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | 1,447 | $1.7M | Add +4.4% |
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | 1,341 | $1.6M | Reduce -0.7% |
| EL PASO ENERGY CAP TRST (KMI 4.75 03/31/28) | PFD CV TR SEC 28 | 22,789 | $1.1M | Add +4.2% |
| DISH NETWORK CORP (DISH 3.375 08/15/26) | NOTE 3.375% 8/1 · principal | 1,205,000 | $750K | Reduce -4.4% |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | 15,902 | $685K | Reduce -0.9% |
| NEXTERA ENERGY INC (NEE 6.926 09/01/25) | UNIT 09/01/2025 | 8,834 | $344K | Reduce -4.5% |
| LYFT INC (LYFT 1.5 05/15/25) | NOTE 1.500% 5/1 · principal | 250,000 | $243K | Add +2.5% |
| REDWOOD TRUST INC (RWT 7.75 06/15/27) | NOTE 7.750% 6/1 · principal | 250,000 | $239K | No change |
| SEA LTD (SEALTD 0.25 09/15/26) | NOTE 0.250% 9/1 · principal | 275,000 | $235K | No change |
| REDWOOD TRUST INC (RWT 5.625 07/15/24) | NOTE 5.625% 7/1 · principal | 175,000 | $174K | Reduce -34.0% |
| PARAMOUNT GLOBAL (SKYD 5.75 04/01/24 A) | 5.75% CONV PFD A | 10,109 | $139K | Reduce -7.1% |
| PENNYMAC CORP (PMT 5.5 11/01/24) | NOTE 5.500%11/0 · principal | 115,000 | $113K | Reduce -30.3% |
| MFA FINANCIAL INC (MFA 6.25 06/15/24) | NOTE 6.250% 6/1 · principal | 100,000 | $100K | No change |
| AGMIT MERGER SUB LLC (MITT 6.75 09/15/24) | NOTE 6.750% 9/1 · principal | 100,000 | $99K | No change |
| JOYY INC (JOYY 1.375 06/15/26) | NOTE 1.375% 6/1 · principal | 100,000 | $98K | No change |
| PENNYMAC CORP (PMT 5.5 03/15/26) | NOTE 5.500% 3/1 · principal | 100,000 | $95K | No change |
| INSEEGO CORP (INSG 3.25 05/01/25) | NOTE 3.250% 5/0 · principal | 200,000 | $76K | No change |
| RINGCENTRAL INC (RNG 0 03/01/25) | NOTE 3/0 · principal | 50,000 | $47K | Reduce -23.1% |
| TELADOC HEALTH INC (TDOC 1.25 06/01/27) | NOTE 1.250% 6/0 · principal | 50,000 | $42K | Reduce -52.4% |
| SUMMIT HOTEL PROPERTIES (INN 1.5 02/15/26) | NOTE 1.500% 2/1 · principal | 35,000 | $31K | No change |
| I3 VERTICALS LLC (IIIV 1 02/15/25) | NOTE 1.000% 2/1 · principal | 25,000 | $24K | No change |
| IONIS PHARMACEUTICALS IN (IONS 0.125 12/15/24) | NOTE 0.125%12/1 · principal | 20,000 | $19K | No change |
| CHEESECAKE FACTORY (THE) (CAKE 0.375 06/15/26) | NOTE 0.375% 6/1 · principal | 20,000 | $18K | No change |
| PETIQ INC (PETQ 4 06/01/26) | NOTE 4.000% 6/0 · principal | 17,000 | $17K | No change |
| CHEFS' WAREHOUSE THE (CHEF 1.875 12/01/24) | NOTE 1.875%12/0 · principal | 15,000 | $15K | No change |
| VISHAY INTERTECHNOLOGY (VSH 2.25 06/15/25) | NOTE 2.250% 6/1 · principal | 15,000 | $15K | No change |
| BLACKSTONE MORTGAGE TR (BXMT 5.5 03/15/27) | NOTE 5.500% 3/1 · principal | 15,000 | $13K | New |
| PROSPECT CAPITAL CORP (PSEC 6.375 03/01/25) | NOTE 6.375% 3/0 · principal | 10,000 | $10K | No change |
| BIOMARIN PHARMACEUTICAL (BMRN 1.25 05/15/27) | NOTE 1.250% 5/1 · principal | 10,000 | $10K | No change |
| SKGRW SK Growth Opportunities -29 | *W EXP 06/28/202 | 20,216 | $10K | New |
| SPIRIT AIRLINES INC (SAVE 1 05/15/26) | NOTE 1.000% 5/1 · principal | 20,000 | $9K | No change |
| PEBBLEBROOK HOTEL TRUST (PEB 1.75 12/15/26) | NOTE 1.750%12/1 · principal | 10,000 | $9K | No change |
| ETSY INC (ETSY 0.125 09/01/27) | NOTE 0.125% 9/0 · principal | 10,000 | $8K | No change |
Total filed on the 13F, all lines: $67.3B.
Portfolio Sells Q4 2023 → Q1 2024
| AAPL Apple Inc. | Reduce -0.1% | 2.35% | −0.54 |
| DGRW Wisdomtree U.S. Quality Divi | Reduce -27.2% | 0.30% | −0.12 |
| SPTI SS SPDR P Int Term TSY ETF | Reduce -90.3% | 0.01% | −0.10 |
| TSLA Tesla Inc. | Reduce -3.3% | 0.16% | −0.09 |
| FLQL Franklin U.S. Large Cap Mult | Reduce -43.1% | 0.11% | −0.08 |
| BA The Boeing Co. | Reduce -8.2% | 0.13% | −0.08 |
| FVD First Trust Value Line DVD | Reduce -13.0% | 0.35% | −0.07 |
| SPAB SS SPDR P Agg Bond ETF | Reduce -68.0% | 0.03% | −0.07 |
| CSCO Cisco Systems Inc. | Reduce -1.8% | 0.50% | −0.06 |
| JHMM John Hancock Multi Fact Mid | Reduce -27.9% | 0.16% | −0.06 |
| IEFA iShares Core MSCI Eafe ETF | Reduce -4.0% | 0.72% | −0.06 |
| IJR iShares Core S&P Small-Cap E | Reduce -1.2% | 0.61% | −0.05 |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | Reduce -3.9% | 0.76% | −0.05 |
| CMCSA Comcast Corp. Class A | Reduce -1.0% | 0.37% | −0.04 |
| FJUL FT Vest US Equity Buffer ETF | Reduce -64.5% | 0.02% | −0.04 |
| QQQ Invesco QQQ Trust Series 1 | Reduce -2.2% | 1.34% | −0.04 |
| USFR Wisdomtree Floating Rate Tre | Reduce -15.1% | 0.15% | −0.04 |
| FTSM First Trust Enh Short Mat FD | Reduce -12.1% | 0.17% | −0.04 |
| PULS Pgim Ultra Short Bond ETF | Reduce -19.5% | 0.12% | −0.04 |
| SPYV SS SPDR P S&P 500 Value ETF | Reduce -9.9% | 0.31% | −0.04 |
| USMV iShares MSCI USA Min Vol Fac | Reduce -4.8% | 0.55% | −0.04 |
| FMAY FT Vest US Equity Buffer ETF | Reduce -85.7% | 0.01% | −0.04 |
| SPYM Ste STR SPDR PT S&P 500 ETF | Reduce -16.0% | 0.21% | −0.04 |
| JPSE JPM Diversified RT Small Cap | Reduce -36.5% | 0.06% | −0.04 |
| IBDW iShares Ibonds Dec 2031 Corp. | Reduce -48.0% | 0.03% | −0.04 |
| FTCS First Trust Capital Strength | Reduce -5.9% | 0.41% | −0.04 |
| DIVO Amplify CWP Enhan Divid ETF | Reduce -3.8% | 0.50% | −0.03 |
| ADBE Adobe Inc. | Reduce -7.8% | 0.09% | −0.03 |
| RODM Hartford Multifact Dev MRKT | Reduce -34.6% | 0.05% | −0.03 |
| IEMG iShares Core MSCI Emerging | Reduce -10.2% | 0.18% | −0.03 |
| SPDW Ste STR SPDR PT DW Eu ETF | Reduce -15.9% | 0.14% | −0.03 |
| MCD McDonald's Corp. | Reduce -0.5% | 0.20% | −0.03 |
| HMOP Hartford Municipal Opp ETF | Reduce -22.7% | 0.08% | −0.03 |
| PRF Invesco Rafi US 1000 ETF | Reduce -39.6% | 0.05% | −0.03 |
| BIL SS SPDR BB 1-3M T-Bill ETF | Reduce -6.5% | 0.19% | −0.03 |
| QTEC First Trust Nasdq 100 Tech I | Reduce -31.6% | 0.06% | −0.03 |
| IVW iShares S&P 500 Growth ETF | Reduce -11.4% | 0.30% | −0.03 |
| IHDG Wisdomtree International Hed | Reduce -29.0% | 0.07% | −0.03 |
| DDWM Wisdomtree DY Inter Eq FD-US | Reduce -36.4% | 0.04% | −0.03 |
| GOVI Invesco Equal Weight 0-30 YR | Sold out | 0.00% | −0.03 |
| SHY iShares 1-3 Year Treasury Bo | Reduce -3.7% | 0.19% | −0.03 |
| XLE SS Energy Select Sector | Reduce -16.3% | 0.17% | −0.03 |
| SPSM SS SPDR P S&P 600 Small Cap | Reduce -53.0% | 0.02% | −0.03 |
| DFIV Dimensional International Va | Reduce -20.1% | 0.09% | −0.03 |
| FTC First Trust Large Cap Growth | Reduce -49.5% | 0.03% | −0.03 |
| SGOV iShares 0-3 Month Treasury B | Reduce -29.3% | 0.05% | −0.02 |
| VIG Vanguard Dividend Apprec ETF | Reduce -2.4% | 0.53% | −0.02 |
| BSV Vanguard Short-Term Bond ETF | Reduce -4.7% | 0.16% | −0.02 |
| XLY SS Consumer Disc Select Sect | Reduce -9.3% | 0.14% | −0.02 |
| FBT First Trust Nyse Arca Biotec | Reduce -40.4% | 0.03% | −0.02 |
Portfolio Buys Q4 2023 → Q1 2024
| AMZN Amazon.com Inc. | Add +1.1% | 1.34% | +0.12 |
| DXCM Dexcom Inc. | Add +275.9% | 0.12% | +0.09 |
| VOO Vanguard S&P 500 ETF | Add +3.4% | 2.16% | +0.08 |
| MRK Merck & Co. Inc. | Add +0.7% | 0.70% | +0.07 |
| LLY Eli Lilly & Co. | Add +5.0% | 0.32% | +0.07 |
| COWZ Pacer US Cash Cows 100 ETF | Add +10.5% | 0.56% | +0.06 |
| CALF PCR US SM CP CSH CWS ETF-Usd | Add +41.0% | 0.26% | +0.06 |
| SPY SS SPDR S&P 500 ETF Trust-US | Add +4.0% | 1.44% | +0.06 |
| SCHG Schwab US Large-Cap Growth | Add +11.8% | 0.50% | +0.06 |
| CGDV Cap Group Dividend Value | Add +16.5% | 0.41% | +0.06 |
| JEPI JPMorgan Equity Premium Inco | Add +39.1% | 0.22% | +0.05 |
| SCHD Schwab US DVD Equity ETF | Add +11.8% | 0.68% | +0.05 |
| FFEB FT Vest US Equity Buffer ETF | Add +1724.8% | 0.05% | +0.05 |
| TCAF T Rowe PRC Cap Appreciation | Add +149.0% | 0.08% | +0.05 |
| JPEF JPMorgan Equity Focus ETF | New | 0.04% | +0.04 |
| SDVY First Trust Smid Cap Rising | Add +54.2% | 0.13% | +0.04 |
| VTV Vanguard Mrngstr Val ETF-Aui | Add +5.0% | 0.97% | +0.04 |
| JCPB JPMorgan Core Plus Bond ETF | Add +67.5% | 0.12% | +0.04 |
| DVY iShares Select Dividend ETF | Add +47.2% | 0.14% | +0.04 |
| FANG Diamondback Energy Inc. | Add +8.5% | 0.19% | +0.04 |
| AMD Advanced Micro Devices | Add +2.6% | 0.31% | +0.04 |
| IVV iShares Core S&P 500 ETF | Add +1.4% | 2.06% | +0.04 |
| RWL Invesco S&P 500 Revenue ETF | Add +95.3% | 0.08% | +0.04 |
| FBND Fidelity Total Bond ETF | Add +44.7% | 0.16% | +0.04 |
| VOOV Vanguard S&P 500 Value ETF | Add +711.9% | 0.04% | +0.04 |
| MOAT Vaneck Morningstar Wide Moat | Add +12.5% | 0.43% | +0.04 |
| ACIO Aptus Collared Invest Opp | Add +135.1% | 0.06% | +0.03 |
| FLQM Franklin U.S. Mid Cap Multif | Add +47.5% | 0.10% | +0.03 |
| JAAA Janus Henderson Aaa Clo ETF | Add +56.4% | 0.11% | +0.03 |
| VTI VG Morningstar TS MKT ETF-US | Add +4.2% | 0.79% | +0.03 |
| VEA Vanguard Ftse Developed ETF | Add +12.1% | 0.48% | +0.03 |
| MTUM iShares MSCI USA Momentum Fa | Add +32.9% | 0.10% | +0.03 |
| GFEB FT Vest US Equity Moderate B | Add +67.1% | 0.08% | +0.03 |
| GDEC FT Vest US Equity Moderate B | New | 0.03% | +0.03 |
| IVE iShares S&P 500 Value ETF | Add +17.1% | 0.24% | +0.03 |
| JCI Johnson Controls Internation | Add +13.9% | 0.20% | +0.03 |
| IWB iShares Russell 1000 ETF | Add +19.7% | 0.18% | +0.03 |
| BSCX Invesco Bulletshares 2033 CB | New | 0.03% | +0.03 |
| PJAN Innovator U.S. Equity Power | Add +220.5% | 0.04% | +0.03 |
| IBM Intl Business Machines Corp. | Add +9.8% | 0.18% | +0.03 |
| DFEB FT Vest U.S. Equity Deep Buf | New | 0.03% | +0.03 |
| JEPQ JPM Nasdaq Equity Premium | Add +43.6% | 0.09% | +0.03 |
| EW Edwards Lifesciences Corp. | Add +4.2% | 0.16% | +0.03 |
| XMHQ Invesco S&P Midcap Qual ETF | Add +28.3% | 0.08% | +0.03 |
| ABBV Abbvie Inc. | Add +1.7% | 0.30% | +0.03 |
| CRM Salesforce Inc. | Add +1.1% | 0.46% | +0.02 |
| ACWX iShares MSCI Acwi Ex US ETF | Add +155.1% | 0.04% | +0.02 |
| PG The Procter & Gamble Co. | Add +7.0% | 0.32% | +0.02 |
| GSEP FT Vest US Equity Moderate B | New | 0.02% | +0.02 |
| DRSK Aptus Defined Risk ETF | Add +138.4% | 0.04% | +0.02 |
Options Activity Q4 2023 → Q1 2024
| SPY SS SPDR S&P 500 ETF Trust-US | put | Reduce -27.9% | 14,500 | $6.7M |
| QQQ Invesco QQQ Trust Series 1 | put | Sold out | 8,200 | $3.2Mbefore exit |
| SPYM Ste STR SPDR PT S&P 500 ETF | put | Sold out | 41,400 | $2.3Mbefore exit |
| U Unity Software Inc. | call | Sold out | 10,000 | $2.1Mbefore exit |
| COIN Coinbase Global Inc. Class A | call | Sold out | 5,000 | $1.9Mbefore exit |
| NVDA Nvidia Corp. | put | Add +566.7% | 2,000 | $1.6M |
| VOO Vanguard S&P 500 ETF | put | Reduce -16.7% | 2,500 | $1.1M |
| MSFT Microsoft Corp. | put | Add +7.1% | 1,500 | $600K |
| AAPL Apple Inc. | put | Sold out | 1,800 | $306Kbefore exit |
| TSLA Tesla Inc. | call | New | 1,000 | $225K |
| RTX RTX Corp. | put | New | 1,500 | $113K |
| PLTR Palantir Technologies Inc. Class A | put | New | 5,000 | $100K |
| PII Polaris Inc. | put | Sold out | 1,000 | $85Kbefore exit |
| LECO Lincoln Electric Holdings | put | New | 300 | $75K |
| MU Micron Technology Inc. | put | New | 700 | $67K |
| META Meta Platforms Inc. Class A | put | New | 100 | $38K |
| MAT Mattel Inc. | call | Sold out | 1,500 | $23Kbefore exit |
| TSLA Tesla Inc. | put | New | 100 | $10K |
| MP MP Materials Corp. | call | Sold out | 100 | $4Kbefore exit |
| UEC Uranium Energy Corp. | call | Sold out | 500 | $3Kbefore exit |
Calls and puts are listed by the shares they cover; their value is not part of the stock holdings above.
Notes & Other Activity Q4 2023 → Q1 2024
| GREAT AJAX CORP (RPT 7.25 04/30/24) | 7.25 CV SR NT 24 | Add +8.2% | 103,502 | $2.6M |
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | Add +4.4% | 1,447 | $1.7M |
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | Reduce -0.7% | 1,341 | $1.6M |
| EL PASO ENERGY CAP TRST (KMI 4.75 03/31/28) | PFD CV TR SEC 28 | Add +4.2% | 22,789 | $1.1M |
| DISH NETWORK CORP (DISH 3.375 08/15/26) | NOTE 3.375% 8/1 · principal | Reduce -4.4% | 1,205,000 | $750K |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | Reduce -0.9% | 15,902 | $685K |
| NEXTERA ENERGY INC (NEE 6.926 09/01/25) | UNIT 09/01/2025 | Reduce -4.5% | 8,834 | $344K |
| DISH NETWORK CORP (DISH 2.375 03/15/24) | NOTE 2.375% 3/1 · principal | Sold out | 345,000 | $342Kbefore exit |
| LYFT INC (LYFT 1.5 05/15/25) | NOTE 1.500% 5/1 · principal | Add +2.5% | 250,000 | $243K |
| UGI CORP (UGI 7.25 06/01/24) | UNIT 06/01/2024 | Sold out | 3,400 | $200Kbefore exit |
| REDWOOD TRUST INC (RWT 5.625 07/15/24) | NOTE 5.625% 7/1 · principal | Reduce -34.0% | 175,000 | $174K |
| PARAMOUNT GLOBAL (SKYD 5.75 04/01/24 A) | 5.75% CONV PFD A | Reduce -7.1% | 10,109 | $139K |
| PENNYMAC CORP (PMT 5.5 11/01/24) | NOTE 5.500%11/0 · principal | Reduce -30.3% | 115,000 | $113K |
| RINGCENTRAL INC (RNG 0 03/01/25) | NOTE 3/0 · principal | Reduce -23.1% | 50,000 | $47K |
| TELADOC HEALTH INC (TDOC 1.25 06/01/27) | NOTE 1.250% 6/0 · principal | Reduce -52.4% | 50,000 | $42K |
| ALTERYX INC (AYX 1 08/01/26) | NOTE 1.000% 8/0 · principal | Sold out | 32,000 | $31Kbefore exit |
| GREENBRIER COS INC (GBX 2.875 02/01/24) | NOTE 2.875% 2/0 · principal | Sold out | 15,000 | $15Kbefore exit |
| NABORS INDUSTRIES INC (NBR 0.75 01/15/24) | NOTE 0.750% 1/1 · principal | Sold out | 15,000 | $14Kbefore exit |
| BLACKSTONE MORTGAGE TR (BXMT 5.5 03/15/27) | NOTE 5.500% 3/1 · principal | New | 15,000 | $13K |
| SKGRW SK Growth Opportunities -29 | *W EXP 06/28/202 | New | 20,216 | $10K |
| CORENERGY INFRASTRUCTURE (CORR 5.875 08/15/25) | NOTE 5.875% 8/1 · principal | Sold out | 10,000 | $7Kbefore exit |
| SQFTW Presidio Property TRST -CW27 | *W EXP 01/24/202 | Sold out | 12,707 | $762before exit |
Bonds, preferreds, convertibles and warrants; not part of the stock holdings or percentages above.