Rockefeller Capital Management L.P.
In its 13F for Q4 2025 (holdings as of December 31, 2025, filed March 17, 2026), Rockefeller Capital Management L.P. reported 4,652 stock positions worth $55.5 billion. Its top holding was SS SPDR S&P 500 ETF Trust-US (SPY) at 3.5% of the portfolio, followed by Microsoft (MSFT, 3.4%) and Apple (AAPL, 3.2%). Compared with Q3 2025, it opened 458 new positions, sold out of 220, added to 2,463 and reduced 1,296. The biggest buy was Alphabet Class A (GOOGL, shares +1%) and the biggest sale Salesforce (CRM, shares −84%).
- Most Recent 13F
- Q2 2026
- Location
- NEW YORK, NY
- CIK
- 0001739439
- Portfolio Value
- $55.5B (Q4 2025)
- SEC Filing
- 0001739439-26-000003 ↗ filed Mar 17, 2026
Holdings Value
Holdings 4,652 stocks · $55.5B
| SPY SS SPDR S&P 500 ETF Trust-US | 3.48% | 2,836,810 | $1.9B | Add +6.9% |
| MSFT Microsoft Corp. | 3.44% | 3,948,766 | $1.9B | Add +3.9% |
| AAPL Apple Inc. | 3.19% | 6,504,923 | $1.8B | Add +3.9% |
| NVDA Nvidia Corp. | 2.91% | 8,676,526 | $1.6B | Add +3.2% |
| GOOGL Alphabet Inc. Class A | 2.40% | 4,258,226 | $1.3B | Add +1.3% |
| AMZN Amazon.com Inc. | 2.33% | 5,601,249 | $1.3B | Add +7.7% |
| AVGO Broadcom Inc. | 1.78% | 2,856,066 | $988.5M | Reduce -0.2% |
| VOO Vanguard S&P 500 ETF | 1.55% | 1,375,839 | $862.8M | Add +14.7% |
| JPM JPMorgan Chase & Co. | 1.35% | 2,325,791 | $749.4M | Add +7.8% |
| IVV iShares Core S&P 500 ETF | 1.33% | 1,081,941 | $741.1M | Add +29.8% |
| QQQ Invesco QQQ Trust Series 1 | 1.28% | 1,154,740 | $709.4M | Add +3.3% |
| META Meta Platforms Inc. Class A | 1.23% | 1,031,953 | $681.2M | Add +14.4% |
| GOOG Alphabet Inc. Class C | 1.22% | 2,159,647 | $677.7M | Reduce -1.4% |
| RGEF Rockefeller Global Eqty ETF | 1.12% | 20,290,630 | $622.1M | Reduce -20.1% |
| RSMC Rockefeller US Small-Mid Cap | 0.94% | 20,694,300 | $522.5M | Reduce -25.6% |
| IWF iShares Russell 1000 Growth | 0.92% | 1,073,714 | $508.2M | Add +20.8% |
| LLY Eli Lilly & Co. | 0.88% | 456,573 | $490.7M | Add +5.5% |
| V Visa Inc. Class A | 0.88% | 1,386,265 | $486.2M | Add +4.3% |
| GLD SPDR Gold Shares | 0.67% | 938,260 | $371.8M | Add +13.2% |
| VTI VG Morningstar TS MKT ETF-US | 0.65% | 1,068,311 | $358.2M | Add +11.8% |
| COST Costco Wholesale Corp. | 0.61% | 394,311 | $340.0M | Add +20.4% |
| HD Home Depot Inc. | 0.58% | 934,312 | $321.5M | Add +18.9% |
| IWD iShares Russell 1000 Value E | 0.55% | 1,440,501 | $303.0M | Add +28.5% |
| VEA Vanguard Ftse Developed ETF | 0.52% | 4,662,433 | $291.3M | Add +14.1% |
| VUG Vanguard Mrngstar GR ETF-Sui | 0.52% | 592,916 | $289.3M | Add +40.6% |
| RSP Invesco S&P 500 Equal Weight | 0.49% | 1,434,548 | $274.8M | Add +8.2% |
| BRK.B Berkshire Hathaway Inc. Class B | 0.49% | 543,764 | $273.3M | Add +8.5% |
| XLK SS Technology Select Sector | 0.49% | 1,878,483 | $270.4M | Add +6.5% |
| TSM Taiwan Semiconductor-SP ADR | 0.48% | 872,099 | $265.0M | Add +16.4% |
| VTV Vanguard Mrngstr Val ETF-Aui | 0.46% | 1,347,298 | $257.3M | Add +55.4% |
| UBER Uber Technologies Inc. | 0.45% | 3,071,306 | $251.0M | Add +16.5% |
| TMO Thermo Fisher Scientific Inc. | 0.44% | 422,980 | $245.1M | Add +24.8% |
| CRWD CrowdStrike Holdings Inc. Class A | 0.43% | 511,354 | $239.7M | Add +16.7% |
| IEFA iShares Core MSCI Eafe ETF | 0.42% | 2,620,768 | $234.5M | Add +21.2% |
| GEV GE Vernova Inc. | 0.42% | 357,577 | $233.7M | Add +16.4% |
| BLK BlackRock Inc. | 0.42% | 216,566 | $231.8M | Add +32.9% |
| XOM Exxon Mobil Corp. | 0.42% | 1,923,940 | $231.5M | Add +2.3% |
| CRM Salesforce Inc. | 0.41% | 868,241 | $230.0M | Reduce -84.2% |
| MCD McDonald's Corp. | 0.40% | 728,516 | $222.7M | Add +19.8% |
| CVX Chevron Corp. | 0.40% | 1,456,172 | $221.9M | Add +13.0% |
| VGT Vanguard Info Tech ETF | 0.39% | 287,237 | $216.5M | Add +15.2% |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | 0.39% | 737,477 | $214.0M | Add +22.2% |
| AMGN Amgen Inc. | 0.38% | 642,161 | $210.2M | Add +27.5% |
| EFA iShares MSCI Eafe ETF | 0.37% | 2,134,355 | $205.0M | Add +11.5% |
| SHEL Shell PLC-ADR | 0.37% | 2,774,899 | $203.9M | Reduce -1.4% |
| TJX TJX Companies Inc. filed as TJX COS INC NEW | 0.36% | 1,315,628 | $202.1M | Add +28.5% |
| ABBV Abbvie Inc. | 0.36% | 883,644 | $201.9M | Add +10.1% |
| KO The Coca-Cola Co. | 0.36% | 2,887,604 | $201.9M | Add +33.9% |
| CAT Caterpillar Inc. | 0.36% | 346,392 | $198.4M | Add +22.2% |
| PLTR Palantir Technologies Inc. Class A | 0.35% | 1,097,531 | $195.1M | Reduce -24.7% |
| JNJ Johnson & Johnson | 0.35% | 937,751 | $194.1M | Add +12.7% |
| CSCO Cisco Systems Inc. | 0.34% | 2,484,176 | $191.4M | Add +25.6% |
| IJR iShares Core S&P Small-Cap E | 0.34% | 1,592,209 | $191.4M | Add +11.3% |
| IJH iShares Core S&P Midcap ETF | 0.34% | 2,888,646 | $190.7M | Add +20.3% |
| TSLA Tesla Inc. | 0.34% | 417,941 | $188.0M | Reduce -16.7% |
| WMT Walmart Inc. | 0.34% | 1,677,844 | $186.9M | Add +4.1% |
| VIG Vanguard Dividend Apprec ETF | 0.33% | 828,705 | $182.1M | Add +18.1% |
| MRK Merck & Co. Inc. | 0.33% | 1,722,146 | $181.3M | Add +33.2% |
| PANW Palo Alto Networks Inc. | 0.33% | 982,633 | $181.0M | Add +3.9% |
| RMOP Rockefeller Opport Muni ETF | 0.32% | 7,190,036 | $180.0M | Add +110.5% |
| TEL Te Connectivity PLC | 0.32% | 773,242 | $175.9M | Add +34.3% |
| AMD Advanced Micro Devices | 0.32% | 820,022 | $175.6M | Reduce -19.1% |
| IWM iShares Russell 2000 ETF | 0.32% | 711,278 | $175.1M | Reduce -0.8% |
| NEE Nextera Energy Inc. | 0.31% | 2,167,141 | $174.0M | Add +33.5% |
| ABT Abbott Laboratories | 0.31% | 1,377,659 | $172.6M | Add +27.5% |
| PH Parker Hannifin Corp. | 0.31% | 194,406 | $170.9M | Add +19.6% |
| ANET Arista Networks Inc. | 0.31% | 1,294,621 | $169.6M | Add +36.6% |
| VWO Vanguard Ftse Emerging Marke | 0.31% | 3,150,596 | $169.4M | Add +13.9% |
| IBM Intl Business Machines Corp. filed as INTERNATIONAL BUSINESS MACHS | 0.30% | 564,188 | $167.1M | Add +20.3% |
| IAU iShares Gold Trust | 0.29% | 1,999,238 | $162.3M | Add +19.1% |
| GE General Electric filed as GE AEROSPACE | 0.29% | 521,787 | $160.7M | Add +18.9% |
| SHOP Shopify Inc. Class A | 0.29% | 991,988 | $159.7M | Reduce -13.0% |
| PG The Procter & Gamble Co. | 0.29% | 1,109,236 | $159.0M | Add +11.5% |
| LHX L3HARRIS Technologies Inc. | 0.28% | 536,997 | $157.6M | Add +45.6% |
| EMR Emerson Electric Co. | 0.28% | 1,156,874 | $153.5M | Add +33.8% |
| GS Goldman Sachs Group Inc. | 0.27% | 172,049 | $151.2M | Add +24.7% |
| VEU Vanguard Ftse All-World Ex-U | 0.26% | 1,975,224 | $145.3M | Add +2.9% |
| VT Vanguard Tot World STK ETF | 0.26% | 1,025,743 | $144.7M | Reduce -47.8% |
| BIL SS SPDR BB 1-3M T-Bill ETF | 0.25% | 1,540,704 | $140.8M | Reduce -8.9% |
| LIN Linde PLC | 0.25% | 325,158 | $138.6M | Add +22.2% |
| AXP American Express Co. | 0.25% | 373,859 | $138.3M | Reduce -4.2% |
| NFLX Netflix Inc. | 0.25% | 1,455,474 | $136.5M | Add +19.4% |
| UNP Union Pacific Corp. | 0.24% | 565,523 | $130.8M | Add +29.8% |
| BX Blackstone Inc. | 0.23% | 832,305 | $128.3M | Add +13.4% |
| ORCL Oracle Corp. | 0.22% | 628,097 | $122.4M | Reduce -4.4% |
| AER Aercap Holdings NV | 0.22% | 848,524 | $122.0M | Reduce -14.5% |
| SMH Vaneck Semiconductor ETF | 0.22% | 338,536 | $121.9M | Add +17.8% |
| AMAT Applied Materials Inc. | 0.22% | 468,008 | $120.3M | Reduce -13.8% |
| SOXX iShares Semiconductor ETF | 0.22% | 397,656 | $119.8M | Reduce -0.6% |
| VOT Vngrd Mrngstr MC GRW ETF-Usd | 0.21% | 424,430 | $118.5M | Reduce -0.7% |
| ISRG Intuitive Surgical Inc. | 0.21% | 206,929 | $117.2M | Reduce -6.3% |
| T AT&T Inc. | 0.21% | 4,651,859 | $115.6M | Reduce -5.1% |
| TLT iShares 20+ Year Treasury BD | 0.21% | 1,321,782 | $115.2M | Reduce -2.6% |
| ADI Analog Devices Inc. | 0.21% | 423,037 | $114.7M | Add +32.4% |
| VB Vanguard Most SM-Cap ETF-Usd | 0.21% | 442,942 | $114.3M | Add +15.3% |
| PLD Prologis Inc. | 0.20% | 887,723 | $113.3M | Add +9.9% |
| RTX RTX Corp. | 0.20% | 603,483 | $110.7M | Add +10.5% |
| VZ Verizon Communications Inc. | 0.20% | 2,693,602 | $109.7M | Add +31.6% |
| C Citigroup Inc. | 0.19% | 923,984 | $107.8M | Add +16.1% |
| MA Mastercard Inc. Class A | 0.19% | 186,350 | $106.4M | Add +9.9% |
Other holdings (16): bonds, preferreds, convertibles and warrants · $10.3M (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| PEBBLEBROOK HOTEL TRUST (PEB 6.375 PERP E) | 6.375 PFD SER E | 254,330 | $4.9M | Reduce -1.5% |
| BOEING CO/THE (BA 6 10/15/27) | DEP CONV PFD A | 27,354 | $1.9M | Add +39.0% |
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | 1,241 | $1.5M | Add +19.7% |
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | 1,006 | $1.3M | Add +21.9% |
| FLAGSTAR BANK NA (FLG 6 11/01/51) | UNIT 05/07/2051 | 10,074 | $403K | No change |
| PEBBLEBROOK HOTEL TRUST (PEB 6.3 PERP F) | 6.3 CUM PFD SR F | 9,261 | $178K | No change |
| LXP INDUSTRIAL TRUST (LXP 6.5 PERP C) | PFD CONV SER C | 3,327 | $157K | No change |
| MICROCHIP TECHNOLOGY INC (MCHP 7.5 03/15/28) | DEP SHS REPSTG | 500 | $29K | No change |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | 92 | $2K | Add +411.1% |
| UWM HOLDINGS CORPORATION | *W EXP 01/21/202 | 721,740 | $1K | Add +113.3% |
| EXEEL Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | 7 | $698 | Reduce -36.4% |
| OPENW Opendoor Technologies Inc.-26 | *W EXP 11/20/202 | 473 | $426 | Add +167.9% |
| OPENL Opendoor Technologies Inc.-26 | *W EXP 11/20/202 | 473 | $246 | New |
| OPENZ Opendoor Technologies Inc.-26 | *W EXP 11/20/202 | 473 | $189 | New |
| ACHR.WS Archer Aviation Inc. -CW26 | *W EXP 09/16/202 | 100 | $115 | New |
| PSEWF Paysafe Ltd. -CW26 | *W EXP 03/30/202 | 86 | $0 | No change |
Lines left out (2) · $8 — a value with no share or principal amount
| Security | Class | Shares | Value |
|---|---|---|---|
| CCIF Carlyle Credit Income Fund | SHS BEN INT | 0 | $5 |
| BSCU Invesco Bulletshares 2030 CB | INVSCO 30 CORP | 0 | $3 |
Filed with a value but no share or principal amount (a cash line, a holding rounded to 0 shares), so they are kept out of the holdings, totals and percentages.
Total filed on the 13F, all lines: $55.5B.
Portfolio Sells Q3 2025 → Q4 2025
| CRM Salesforce Inc. | Reduce -84.2% | 0.41% | −2.13 |
| RSMC Rockefeller US Small-Mid Cap | Reduce -25.6% | 0.94% | −0.49 |
| RGEF Rockefeller Global Eqty ETF | Reduce -20.1% | 1.12% | −0.34 |
| SNPS Synopsys Inc. | Reduce -92.1% | 0.02% | −0.33 |
| VT Vanguard Tot World STK ETF | Reduce -47.8% | 0.26% | −0.27 |
| PLTR Palantir Technologies Inc. Class A | Reduce -24.7% | 0.35% | −0.17 |
| ORCL Oracle Corp. | Reduce -4.4% | 0.22% | −0.14 |
| TSLA Tesla Inc. | Reduce -16.7% | 0.34% | −0.10 |
| BABA Alibaba Group Holding-SP ADR | Reduce -9.2% | 0.17% | −0.08 |
| AZO AutoZone Inc. | Reduce -18.6% | 0.10% | −0.07 |
| CPT Camden Property Trust | Reduce -87.6% | 0.01% | −0.07 |
| AVGO Broadcom Inc. | Reduce -0.2% | 1.78% | −0.07 |
| T AT&T Inc. | Reduce -5.1% | 0.21% | −0.06 |
| HUBS HubSpot Inc. | Reduce -95.8% | 0.00% | −0.06 |
| IBN Icici Bank Ltd.-Spon ADR | Reduce -22.5% | 0.13% | −0.05 |
| SNEX Stonex Group Inc. | Reduce -23.9% | 0.10% | −0.05 |
| LOW Lowe's Cos Inc. | Reduce -27.3% | 0.10% | −0.05 |
| VGSH Vanguard Short-Term Treasury | Reduce -40.2% | 0.06% | −0.05 |
| BJ Bj's Wholesale Club Holdings | Reduce -26.3% | 0.10% | −0.05 |
| RSG Republic Services Inc. | Reduce -15.5% | 0.13% | −0.05 |
| SIG Signet Jewelers Ltd. | Reduce -54.7% | 0.03% | −0.05 |
| BIL SS SPDR BB 1-3M T-Bill ETF | Reduce -8.9% | 0.25% | −0.05 |
| RDNT Radnet Inc. | Reduce -27.9% | 0.08% | −0.05 |
| SHOP Shopify Inc. Class A | Reduce -13.0% | 0.29% | −0.04 |
| PRO Pros Holdings Inc. | Sold out | 0.00% | −0.04 |
| BDX Becton Dickinson and Co. | Reduce -26.9% | 0.10% | −0.04 |
| CCI Crown Castle Inc. | Reduce -82.0% | 0.01% | −0.04 |
| MANH Manhattan Associates Inc. | Reduce -96.3% | 0.00% | −0.04 |
| CHKP Check Point Software Tech | Reduce -59.5% | 0.02% | −0.04 |
| STKL Sunopta Inc. | Reduce -55.5% | 0.01% | −0.04 |
| PLUS Eplus Inc. | Reduce -69.0% | 0.02% | −0.04 |
| KFY Korn Ferry | Reduce -22.0% | 0.08% | −0.04 |
| ICE Intercontinental Exchange Inc. | Reduce -11.4% | 0.14% | −0.04 |
| CMS CMS Energy Corp. | Reduce -26.4% | 0.07% | −0.04 |
| MELI MercadoLibre Inc. | Reduce -9.1% | 0.10% | −0.04 |
| MGK Vngrd Mrgstr MG CP GR ETF-Ui | Reduce -12.1% | 0.18% | −0.04 |
| ZTS Zoetis Inc. | Reduce -28.6% | 0.05% | −0.04 |
| ILMN Illumina Inc. | Reduce -80.7% | 0.01% | −0.04 |
| MSTR Strategy Inc. | Reduce -31.4% | 0.02% | −0.04 |
| WD Walker & Dunlop Inc. | Reduce -39.5% | 0.02% | −0.03 |
| CW Curtiss-Wright Corp. | Reduce -74.1% | 0.01% | −0.03 |
| QTWO Q2 Holdings Inc. | Reduce -28.0% | 0.07% | −0.03 |
| AGYS Agilysys Inc. | Reduce -39.4% | 0.06% | −0.03 |
| QCOM Qualcomm Inc. | Reduce -21.7% | 0.10% | −0.03 |
| CARR Carrier Global Corp. | Reduce -22.2% | 0.06% | −0.03 |
| APO Apollo Global Management Inc. | Reduce -25.8% | 0.09% | −0.03 |
| ADP Automatic Data Processing | Reduce -2.6% | 0.12% | −0.03 |
| COP Conocophillips | Reduce -23.4% | 0.07% | −0.03 |
| HASI Ha Sustainable Infrastructur | Reduce -23.6% | 0.08% | −0.03 |
| VOT Vngrd Mrngstr MC GRW ETF-Usd | Reduce -0.7% | 0.21% | −0.03 |
Portfolio Buys Q3 2025 → Q4 2025
| GOOGL Alphabet Inc. Class A | Add +1.3% | 2.40% | +0.40 |
| IVV iShares Core S&P 500 ETF | Add +29.8% | 1.33% | +0.24 |
| LLY Eli Lilly & Co. | Add +5.5% | 0.88% | +0.24 |
| RMOP Rockefeller Opport Muni ETF | Add +110.5% | 0.32% | +0.16 |
| VTV Vanguard Mrngstr Val ETF-Aui | Add +55.4% | 0.46% | +0.15 |
| VUG Vanguard Mrngstar GR ETF-Sui | Add +40.6% | 0.52% | +0.13 |
| TMO Thermo Fisher Scientific Inc. | Add +24.8% | 0.44% | +0.12 |
| VOO Vanguard S&P 500 ETF | Add +14.7% | 1.55% | +0.12 |
| MRK Merck & Co. Inc. | Add +33.2% | 0.33% | +0.11 |
| IWF iShares Russell 1000 Growth | Add +20.8% | 0.92% | +0.10 |
| AMGN Amgen Inc. | Add +27.5% | 0.38% | +0.10 |
| IWD iShares Russell 1000 Value E | Add +28.5% | 0.55% | +0.10 |
| AMZN Amazon.com Inc. | Add +7.7% | 2.33% | +0.09 |
| GLD SPDR Gold Shares | Add +13.2% | 0.67% | +0.09 |
| CAT Caterpillar Inc. | Add +22.2% | 0.36% | +0.09 |
| JPIE JPMorgan Income ETF | Add +1680.7% | 0.09% | +0.09 |
| CGGR Cap Group Growth Equity | Add +593.2% | 0.10% | +0.09 |
| IEF iShares 7-10 Year Treasury B | Add +116.2% | 0.17% | +0.08 |
| KO The Coca-Cola Co. | Add +33.9% | 0.36% | +0.08 |
| CSCO Cisco Systems Inc. | Add +25.6% | 0.34% | +0.08 |
| AVLV Avantis US Large Cap Value | Add +453.8% | 0.10% | +0.08 |
| TJX TJX Companies Inc. | Add +28.5% | 0.36% | +0.07 |
| NEE Nextera Energy Inc. | Add +33.5% | 0.31% | +0.07 |
| SPHQ Invesco S&P 500 Quality ETF | Add +440.5% | 0.09% | +0.07 |
| TEL Te Connectivity PLC | Add +34.3% | 0.32% | +0.07 |
| IUS Invesco Rafi Strategic US Et | Add +11234.5% | 0.07% | +0.07 |
| TSM Taiwan Semiconductor-SP ADR | Add +16.4% | 0.48% | +0.07 |
| AAPL Apple Inc. | Add +3.9% | 3.19% | +0.07 |
| PH Parker Hannifin Corp. | Add +19.6% | 0.31% | +0.07 |
| JAAA Janus Henderson Aaa Clo ETF | Add +129.0% | 0.13% | +0.07 |
| SLV iShares Silver Trust | Add +92.6% | 0.10% | +0.07 |
| RDVY First Trust Rising Dividend | Add +126.1% | 0.12% | +0.06 |
| LHX L3HARRIS Technologies Inc. | Add +45.6% | 0.28% | +0.06 |
| SLB SLB Ltd. | Add +180.1% | 0.10% | +0.06 |
| ZM Zoom Communications Inc. | Add +9882.4% | 0.06% | +0.06 |
| GS Goldman Sachs Group Inc. | Add +24.7% | 0.27% | +0.06 |
| ITOT iShares Core S&P Total U.S. | Add +113.6% | 0.11% | +0.06 |
| EMR Emerson Electric Co. | Add +33.8% | 0.28% | +0.05 |
| IGIB iShares 5-10Y Inv Grade Corp. | Add +330.7% | 0.07% | +0.05 |
| DGRW Wisdomtree U.S. Quality Divi | Add +53.8% | 0.18% | +0.05 |
| IAU iShares Gold Trust | Add +19.1% | 0.29% | +0.05 |
| ADI Analog Devices Inc. | Add +32.4% | 0.21% | +0.05 |
| IEFA iShares Core MSCI Eafe ETF | Add +21.2% | 0.42% | +0.05 |
| GEV GE Vernova Inc. | Add +16.4% | 0.42% | +0.05 |
| NDAQ Nasdaq Inc. | Add +52.2% | 0.15% | +0.05 |
| IEMG iShares Core MSCI Emerging | Add +45.2% | 0.19% | +0.05 |
| CEG Constellation Energy | Add +59.2% | 0.13% | +0.05 |
| JNJ Johnson & Johnson | Add +12.7% | 0.35% | +0.05 |
| FITB Fifth Third Bancorp | Add +51.8% | 0.15% | +0.05 |
| RY Royal Bank of Canada | Add +52.2% | 0.12% | +0.05 |
Notes & Other Activity Q3 2025 → Q4 2025
| PEBBLEBROOK HOTEL TRUST (PEB 6.375 PERP E) | 6.375 PFD SER E | Reduce -1.5% | 254,330 | $4.9M |
| BOEING CO/THE (BA 6 10/15/27) | DEP CONV PFD A | Add +39.0% | 27,354 | $1.9M |
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | Add +19.7% | 1,241 | $1.5M |
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | Add +21.9% | 1,006 | $1.3M |
| HP ENTERPRISE CO (HPE 7.625 09/01/27) | 7.625 MAND CONV | Sold out | 56 | $4Kbefore exit |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | Add +411.1% | 92 | $2K |
| UWM HOLDINGS CORPORATION | *W EXP 01/21/202 | Add +113.3% | 721,740 | $1K |
| EXEEL Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | Reduce -36.4% | 7 | $698 |
| COHEN & STEERS INFRASTRU | RIGHT 10/16/2025 | Sold out | 7,296 | $569before exit |
| OPENW Opendoor Technologies Inc.-26 | *W EXP 11/20/202 | Add +167.9% | 473 | $426 |
| OPENL Opendoor Technologies Inc.-26 | *W EXP 11/20/202 | New | 473 | $246 |
| OPENZ Opendoor Technologies Inc.-26 | *W EXP 11/20/202 | New | 473 | $189 |
| ACHR.WS Archer Aviation Inc. -CW26 | *W EXP 09/16/202 | New | 100 | $115 |
| CLEARBRIDGE ENERGY MI-RT | RIGHT 10/10/2025 | Sold out | 1,629 | $31before exit |
| BTCI Neos Bitcoin High Income ETF | BITC HIG INC ETF | Sold out | 0 | $16before exit |
| CCIF Carlyle Credit Income Fund | SHS BEN INT | New | 0 | $5 |
| BSCU Invesco Bulletshares 2030 CB | INVSCO 30 CORP | New | 0 | $3 |
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 | 4,713 | $65.2B | SPY, AAPL, NVDA, GOOGL, MSFT |
| Q1 2026 | 4,663 | $56.4B | SPY, AAPL, NVDA, MSFT, GOOGL |
| Q4 2025Amended | 4,652 | $55.5B | SPY, MSFT, AAPL, NVDA, GOOGL |
| Q3 2025 | 4,411 | $51.1B | MSFT, SPY, AAPL, NVDA, CRM |
| Q2 2025Amended | 1,712 | $45.6B | MSFT, SPY, NVDA, AAPL, AMZN |
| Q1 2025 | 1,653 | $40.5B | CRM, SPY, AAPL, MSFT, AMZN |
| Q4 2024 | 1,652 | $38.6B | SPY, AAPL, MSFT, AMZN, NVDA |
| Q3 2024 | 1,608 | $37.2B | SPY, AAPL, MSFT, AMZN, NVDA |
| Q2 2024 | 1,622 | $35.2B | MSFT, AAPL, SPY, AMZN, NVDA |
| Q1 2024 | 1,659 | $34.3B | MSFT, SPY, AAPL, AMZN, NVDA |