Shufro Rose & Co. LLC
In its 13F for Q1 2026 (holdings as of March 31, 2026, filed May 15, 2026), Shufro Rose & Co. LLC reported 304 stock positions worth $1.5 billion. Its top holding was Alps SMTH Cor BD Plus ETF (SMTH) at 9.0% of the portfolio, followed by iShares Ibonds Dec 2029 Term (IBDU, 6.3%) and Corning (GLW, 5.6%). Compared with Q4 2025, it opened 25 new positions, sold out of 16, added to 72 and reduced 111. The biggest buy was Vaneck Merk Gold ETF (OUNZ, shares +2196%) and the biggest sale Vngrd Mrngst SL-CP Val ETF-U (VBR, shares −72%).
- Most Recent 13F
- Q2 2026
- Location
- NEW YORK, NY
- CIK
- 0000908195
- Portfolio Value
- $1.5B (Q1 2026)
- SEC Filing
- 0000908195-26-000002 ↗ filed May 15, 2026
Holdings Value
Holdings 304 stocks · $1.5B
| SMTH Alps SMTH Cor BD Plus ETF | 8.96% | 5,106,384 | $131.5M | Add +5.1% |
| IBDU iShares Ibonds Dec 2029 Term | 6.31% | 3,978,128 | $92.5M | Add +4.5% |
| GLW Corning Inc. | 5.63% | 607,533 | $82.6M | Reduce -16.9% |
| DCRE DBL Comm Real Est Debt | 5.42% | 1,531,335 | $79.6M | Add +4.8% |
| IVV iShares Core S&P 500 ETF | 3.79% | 85,201 | $55.7M | Add +11.9% |
| AAPL Apple Inc. | 3.39% | 196,063 | $49.8M | Add +1.7% |
| LLY Eli Lilly & Co. | 2.82% | 44,944 | $41.3M | Reduce -0.4% |
| MSFT Microsoft Corp. | 2.81% | 111,238 | $41.2M | Add +1.9% |
| GDX Vaneck Gold Miners ETF | 2.48% | 397,235 | $36.5M | Reduce -0.6% |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | 2.43% | 123,931 | $35.6M | Add +6.2% |
| JPM JPMorgan Chase & Co. | 2.29% | 113,998 | $33.5M | Add +0.3% |
| BRK.B Berkshire Hathaway Inc. Class B | 2.27% | 69,414 | $33.3M | Reduce -0.1% |
| IBDR iShares Ibonds Dec 2026 Term | 2.05% | 1,243,779 | $30.1M | Add +4.4% |
| RSP Invesco S&P 500 Equal Weight | 2.05% | 156,365 | $30.0M | Reduce -2.1% |
| TMO Thermo Fisher Scientific Inc. | 1.93% | 57,739 | $28.4M | Add +0.9% |
| GLD SPDR Gold Shares | 1.81% | 61,702 | $26.5M | Add +0.2% |
| VOO Vanguard S&P 500 ETF | 1.72% | 42,177 | $25.2M | Reduce -0.2% |
| TXN Texas Instruments Inc. | 1.63% | 123,404 | $24.0M | Add +1.4% |
| COHR Coherent Corp. | 1.62% | 99,977 | $23.8M | Reduce -5.3% |
| AVY Avery Dennison Corp. | 1.42% | 120,964 | $20.9M | Add +3.1% |
| BSCQ Invesco Bulletshares 2026 CB | 1.36% | 1,021,513 | $20.0M | Reduce -14.1% |
| QCOM Qualcomm Inc. | 1.34% | 152,514 | $19.6M | Add +2.5% |
| IBM Intl Business Machines Corp. filed as INTERNATIONAL BUSINESS MACHS | 1.22% | 73,874 | $17.9M | Add +2.6% |
| AMZN Amazon.com Inc. | 1.17% | 82,131 | $17.1M | Reduce -0.2% |
| BSCS Invesco Bulletshares 2028 CB | 1.14% | 821,597 | $16.8M | Add +2.2% |
| OUNZ Vaneck Merk Gold ETF | 1.08% | 353,101 | $15.9M | Add +2195.7% |
| BSCT Invesco Bulletshares 2029 CB | 1.08% | 850,769 | $15.9M | Add +2.2% |
| QUAL iShares MSCI USA Quality Fac | 1.07% | 82,208 | $15.8M | Add +7.1% |
| TSEL Touchstone Sands Sel GR ETF | 0.98% | 579,154 | $14.3M | Add +26.2% |
| JCI Johnson Controls Internation | 0.92% | 103,441 | $13.5M | Reduce -1.9% |
| VCSH Vanguard S/T Corp. Bond ETF | 0.90% | 166,330 | $13.2M | Add +1.5% |
| AMGN Amgen Inc. | 0.89% | 37,011 | $13.0M | Reduce -1.9% |
| VTI VG Morningstar TS MKT ETF-US | 0.83% | 38,187 | $12.3M | Add +4.2% |
| VCIT Vanguard Int-Term Corporate | 0.79% | 139,572 | $11.5M | Add +1.2% |
| VBR Vngrd Mrngst SL-CP Val ETF-U | 0.67% | 44,966 | $9.8M | Reduce -72.0% |
| VGIT Vanguard Intermediate-Term T | 0.62% | 152,749 | $9.1M | Add +2.0% |
| CRM Salesforce Inc. | 0.59% | 46,621 | $8.7M | Reduce -4.7% |
| VGSH Vanguard Short-Term Treasury | 0.58% | 145,157 | $8.5M | Add +5.5% |
| XOM Exxon Mobil Corp. | 0.56% | 48,639 | $8.3M | Reduce -1.4% |
| MTUM iShares MSCI USA Momentum Fa | 0.54% | 33,008 | $7.9M | Add +1.4% |
| KLAC KLA Corp. | 0.48% | 4,803 | $7.1M | Reduce -1.0% |
| CVX Chevron Corp. | 0.43% | 30,189 | $6.2M | Reduce -4.3% |
| ICSH iShares Ultra Short Duration | 0.41% | 120,098 | $6.1M | Reduce -4.9% |
| DFIC Dimensional International Co. | 0.40% | 163,529 | $5.8M | Add +14.8% |
| ECL Ecolab Inc. | 0.38% | 21,101 | $5.6M | Add +0.5% |
| UL Unilever PLC-Sponsored ADR | 0.36% | 91,523 | $5.2M | Add +0.2% |
| LEN Lennar Corp. Class A | 0.35% | 59,002 | $5.1M | Reduce -1.0% |
| AZO AutoZone Inc. | 0.34% | 1,461 | $4.9M | Reduce -4.0% |
| JNJ Johnson & Johnson | 0.33% | 19,882 | $4.9M | Reduce -18.0% |
| SENEA Seneca Foods Corp. Class A | 0.30% | 29,100 | $4.4M | Reduce -6.4% |
| IMTM iShares MSCI Intl Momentum F | 0.28% | 85,713 | $4.1M | Add +1.8% |
| P Everpure Inc. Class A | 0.28% | 68,850 | $4.1M | Add +17.6% |
| PEP Pepsico Inc. | 0.27% | 25,706 | $4.0M | Reduce -2.7% |
| ITW Illinois Tool Works | 0.26% | 14,714 | $3.8M | Reduce -4.5% |
| PANW Palo Alto Networks Inc. | 0.25% | 23,331 | $3.7M | Add +1667.5% |
| SGOV iShares 0-3 Month Treasury B | 0.24% | 35,629 | $3.6M | New |
| NVDA Nvidia Corp. | 0.24% | 20,147 | $3.5M | Add +4.3% |
| AVDV Avantis Intl S/C Value ETF | 0.23% | 33,868 | $3.4M | Add +0.5% |
| IEFA iShares Core MSCI Eafe ETF | 0.23% | 37,248 | $3.4M | Reduce -0.1% |
| GOOGL Alphabet Inc. Class A | 0.23% | 11,722 | $3.4M | Reduce -0.9% |
| O Realty Income Corp. | 0.21% | 51,550 | $3.2M | Add +0.1% |
| NYT New York Times Co. Class A | 0.21% | 37,165 | $3.1M | No change |
| IJR iShares Core S&P Small-Cap E | 0.21% | 24,897 | $3.1M | Add +2.5% |
| MET Metlife Inc. | 0.20% | 41,228 | $2.9M | Reduce -3.8% |
| NKE Nike Inc. Class B | 0.20% | 54,975 | $2.9M | Reduce -1.0% |
| GSLC Goldman Activebeta US LC ETF | 0.20% | 23,108 | $2.9M | Reduce -0.4% |
| BRK.A Berkshire Hathaway Inc. Class A | 0.20% | 4 | $2.9M | New |
| LNG Cheniere Energy Inc. | 0.19% | 9,900 | $2.8M | Reduce -0.3% |
| AVIV Avantis Intl LRG Cap Val ETF | 0.18% | 35,510 | $2.7M | Add +10.5% |
| IBDV iShares Ibonds Dec 2030 Corp. | 0.17% | 115,706 | $2.5M | New |
| DFEM Dimensional Emrg MRKT Core | 0.17% | 71,378 | $2.5M | Add +14.5% |
| EFAV iShares MSCI Eafe Min Vol Fa | 0.16% | 26,082 | $2.4M | Add +2.3% |
| IEMG iShares Core MSCI Emerging | 0.16% | 34,067 | $2.4M | Add +1.8% |
| ENB Enbridge Inc. | 0.16% | 43,534 | $2.4M | Reduce -7.5% |
| KDP Keurig Dr Pepper Inc. | 0.16% | 88,800 | $2.3M | Add +12.3% |
| BAC Bank of America Corp. filed as BANK AMERICA CORP | 0.15% | 45,393 | $2.2M | Add +1.9% |
| GOOG Alphabet Inc. Class C | 0.14% | 7,352 | $2.1M | Reduce -15.3% |
| VRSK Verisk Analytics Inc. | 0.14% | 11,052 | $2.1M | Reduce -0.3% |
| PPIH Perma-Pipe International Hol | 0.14% | 70,000 | $2.1M | No change |
| REGN Regeneron Pharmaceuticals | 0.14% | 2,598 | $2.0M | Reduce -1.4% |
| PFF iShares Preferred & Income S | 0.13% | 60,675 | $1.8M | Add +22.2% |
| YUM Yum! Brands Inc. | 0.12% | 11,708 | $1.8M | No change |
| MPC Marathon Petroleum Corp. | 0.12% | 7,118 | $1.7M | Reduce -1.4% |
| MRK Merck & Co. Inc. | 0.12% | 14,197 | $1.7M | Reduce -1.3% |
| NEAR iShares SH Dba ETF Usd Inc. | 0.11% | 33,096 | $1.7M | Add +1.4% |
| FLOT iShares Floating Rate Bond E | 0.11% | 33,000 | $1.7M | Add +90.8% |
| MDT Medtronic PLC | 0.11% | 19,229 | $1.7M | Reduce -4.3% |
| J Jacobs Solutions Inc. | 0.11% | 13,060 | $1.7M | Reduce -2.2% |
| EUSA iShares MSCI USA Equal Weigh | 0.11% | 16,235 | $1.7M | Reduce -1.2% |
| SHEL Shell PLC-ADR | 0.11% | 17,550 | $1.6M | No change |
| WD Walker & Dunlop Inc. | 0.11% | 36,347 | $1.6M | Reduce -6.8% |
| EQIX Equinix Inc. | 0.11% | 1,627 | $1.6M | Add +4.4% |
| NTR Nutrien Ltd. | 0.10% | 20,020 | $1.5M | Reduce -10.1% |
| AVES Avantis Emerging Markets Val | 0.10% | 25,103 | $1.5M | Add +7.3% |
| LRCX Lam Research Corp. | 0.10% | 7,000 | $1.5M | No change |
| COP Conocophillips | 0.10% | 11,200 | $1.5M | Reduce -5.9% |
| ALK Alaska Air Group Inc. | 0.10% | 38,800 | $1.4M | Add +63.7% |
| AVGO Broadcom Inc. | 0.10% | 4,600 | $1.4M | Reduce -8.8% |
| PPLI People Inc. filed as IAC INC | 0.10% | 35,400 | $1.4M | Reduce -5.3% |
| BSCR Invesco Bulletshares 2027 CB | 0.09% | 70,688 | $1.4M | No change |
Options reported separately and not counted above: REGN puts ($1.9M), SPY puts ($715K), AAPL puts ($431K).
Portfolio Sells Q4 2025 → Q1 2026
| VBR Vngrd Mrngst SL-CP Val ETF-U | Reduce -72.0% | 0.67% | −1.65 |
| CEF Sprott Physical Gold and Sil | Reduce -95.8% | 0.05% | −1.05 |
| LLY Eli Lilly & Co. | Reduce -0.4% | 2.82% | −0.48 |
| CRM Salesforce Inc. | Reduce -4.7% | 0.59% | −0.29 |
| BSCQ Invesco Bulletshares 2026 CB | Reduce -14.1% | 1.36% | −0.22 |
| AMZN Amazon.com Inc. | Reduce -0.2% | 1.17% | −0.13 |
| BRK.B Berkshire Hathaway Inc. Class B | Reduce -0.1% | 2.27% | −0.11 |
| WBD Warner Bros Discovery Inc. | Sold out | 0.00% | −0.09 |
| VOO Vanguard S&P 500 ETF | Reduce -0.2% | 1.72% | −0.08 |
| LEN Lennar Corp. Class A | Reduce -1.0% | 0.35% | −0.07 |
| WD Walker & Dunlop Inc. | Reduce -6.8% | 0.11% | −0.05 |
| DIS The Walt Disney Co. | Reduce -43.8% | 0.04% | −0.05 |
| NKE Nike Inc. Class B | Reduce -1.0% | 0.20% | −0.04 |
| GOOG Alphabet Inc. Class C | Reduce -15.3% | 0.14% | −0.04 |
| BR Broadridge Financial Solutio | Sold out | 0.00% | −0.04 |
| RSP Invesco S&P 500 Equal Weight | Reduce -2.1% | 2.05% | −0.04 |
| MET Metlife Inc. | Reduce -3.8% | 0.20% | −0.03 |
| MHN BlackRock Muniholding NY QLT | Sold out | 0.00% | −0.03 |
| VRSK Verisk Analytics Inc. | Reduce -0.3% | 0.14% | −0.03 |
| UNH Unitedhealth Group Inc. | Reduce -4.3% | 0.09% | −0.02 |
| GOOGL Alphabet Inc. Class A | Reduce -0.9% | 0.23% | −0.02 |
| AVGO Broadcom Inc. | Reduce -8.8% | 0.10% | −0.02 |
| EFV iShares MSCI Eafe Value ETF | Reduce -26.9% | 0.07% | −0.02 |
| FSK FS KKR Capital Corp. | Sold out | 0.00% | −0.02 |
| ICSH iShares Ultra Short Duration | Reduce -4.9% | 0.41% | −0.02 |
| WFC Wells Fargo & Co. | Reduce -31.5% | 0.03% | −0.02 |
| AXP American Express Co. | Reduce -11.4% | 0.05% | −0.02 |
| MDT Medtronic PLC | Reduce -4.3% | 0.11% | −0.02 |
| TSLA Tesla Inc. | Sold out | 0.00% | −0.02 |
| IWF iShares Russell 1000 Growth | Reduce -36.2% | 0.02% | −0.02 |
| VEA Vanguard Ftse Developed ETF | Reduce -21.8% | 0.07% | −0.02 |
| VSS Vanguard Ftse All Wo X-US SC | Reduce -32.3% | 0.04% | −0.02 |
| ADP Automatic Data Processing | Sold out | 0.00% | −0.02 |
| BND Vanguard Total Bond Market | Sold out | 0.00% | −0.02 |
| SONY Sony Group Corp. - SP ADR | Reduce -24.4% | 0.02% | −0.02 |
| GEM Goldman Sachs Activebeta Em | Sold out | 0.00% | −0.01 |
| SNPS Synopsys Inc. | Sold out | 0.00% | −0.01 |
| VV Vngrd Mrgstr LRG-Cap ETF-Usd | Reduce -26.3% | 0.03% | −0.01 |
| AZO AutoZone Inc. | Reduce -4.0% | 0.34% | −0.01 |
| GIFI Gulf Island Fabrication Inc. | Sold out | 0.00% | −0.01 |
| DSTL Distillate US Fundamental St | Sold out | 0.00% | −0.01 |
| VWO Vanguard Ftse Emerging Marke | Reduce -41.6% | 0.02% | −0.01 |
| MA Mastercard Inc. Class A | Reduce -6.6% | 0.06% | −0.01 |
| ICLN iShares Global Clean Energy | Sold out | 0.00% | −0.01 |
| FLG Flagstar Bank NA | Sold out | 0.00% | −0.01 |
| CBRE CBRE Group Inc. Class A | Reduce -6.8% | 0.05% | −0.01 |
| GSLC Goldman Activebeta US LC ETF | Reduce -0.4% | 0.20% | −0.01 |
| JJSF J & J Snack Foods Corp. | Reduce -0.4% | 0.07% | −0.01 |
| IQLT iShares MSCI International Q | Reduce -41.0% | 0.02% | −0.01 |
| JNJ Johnson & Johnson | Reduce -18.0% | 0.33% | −0.01 |
Portfolio Buys Q4 2025 → Q1 2026
| OUNZ Vaneck Merk Gold ETF | Add +2195.7% | 1.08% | +1.04 |
| SMTH Alps SMTH Cor BD Plus ETF | Add +5.1% | 8.96% | +0.36 |
| DCRE DBL Comm Real Est Debt | Add +4.8% | 5.42% | +0.27 |
| IBDU iShares Ibonds Dec 2029 Term | Add +4.5% | 6.31% | +0.25 |
| IVV iShares Core S&P 500 ETF | Add +11.9% | 3.79% | +0.25 |
| SGOV iShares 0-3 Month Treasury B | New | 0.24% | +0.24 |
| PANW Palo Alto Networks Inc. | Add +1667.5% | 0.25% | +0.24 |
| TXN Texas Instruments Inc. | Add +1.4% | 1.63% | +0.20 |
| BRK.A Berkshire Hathaway Inc. Class A | New | 0.20% | +0.20 |
| IBDV iShares Ibonds Dec 2030 Corp. | New | 0.17% | +0.17 |
| GLD SPDR Gold Shares | Add +0.2% | 1.81% | +0.15 |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | Add +6.2% | 2.43% | +0.12 |
| IBDR iShares Ibonds Dec 2026 Term | Add +4.4% | 2.05% | +0.09 |
| TSEL Touchstone Sands Sel GR ETF | Add +26.2% | 0.98% | +0.09 |
| DFIC Dimensional International Co. | Add +14.8% | 0.40% | +0.06 |
| FLOT iShares Floating Rate Bond E | Add +90.8% | 0.11% | +0.05 |
| OLN Olin Corp. | New | 0.04% | +0.04 |
| TGT Target Corp. | New | 0.04% | +0.04 |
| QUAL iShares MSCI USA Quality Fac | Add +7.1% | 1.07% | +0.04 |
| GHC Graham Holdings Co. Class B | New | 0.04% | +0.04 |
| BN Brookfield Corp. | New | 0.04% | +0.04 |
| ACHR Archer Aviation Inc. Class A | New | 0.03% | +0.03 |
| INGR Ingredion Inc. | New | 0.03% | +0.03 |
| GE General Electric | Add +74.2% | 0.08% | +0.03 |
| VGSH Vanguard Short-Term Treasury | Add +5.5% | 0.58% | +0.03 |
| HY Hyster-Yale Inc. | New | 0.03% | +0.03 |
| DFEM Dimensional Emrg MRKT Core | Add +14.5% | 0.17% | +0.03 |
| EQIX Equinix Inc. | Add +4.4% | 0.11% | +0.03 |
| EXPE Expedia Group Inc. | Add +156.9% | 0.05% | +0.03 |
| FOR Forestar Group Inc. | New | 0.03% | +0.03 |
| UHAL.B U-Haul Holding Co.-Non Voting | New | 0.03% | +0.03 |
| HRI Herc Holdings Inc. | New | 0.03% | +0.03 |
| AVIV Avantis Intl LRG Cap Val ETF | Add +10.5% | 0.18% | +0.03 |
| MYN BlackRock Muniyield NY QLTY | Add +49.3% | 0.08% | +0.02 |
| ATKR Atkore Inc. | New | 0.02% | +0.02 |
| PFF iShares Preferred & Income S | Add +22.2% | 0.13% | +0.02 |
| SUB iShares Short-Term National | New | 0.02% | +0.02 |
| MUB iShares National Muni Bond E | New | 0.02% | +0.02 |
| CNH CNH Industrial NV | New | 0.02% | +0.02 |
| DE Deere & Co. | Add +6.8% | 0.08% | +0.02 |
| BSCS Invesco Bulletshares 2028 CB | Add +2.2% | 1.14% | +0.02 |
| PHIN Phinia Inc. | New | 0.02% | +0.02 |
| VLO Valero Energy Corp. | New | 0.02% | +0.02 |
| O Realty Income Corp. | Add +0.1% | 0.21% | +0.02 |
| ED Consolidated Edison Inc. | New | 0.02% | +0.02 |
| BSCT Invesco Bulletshares 2029 CB | Add +2.2% | 1.08% | +0.02 |
| ALK Alaska Air Group Inc. | Add +63.7% | 0.10% | +0.02 |
| AVDV Avantis Intl S/C Value ETF | Add +0.5% | 0.23% | +0.02 |
| LPX Louisiana-Pacific Corp. | New | 0.01% | +0.01 |
| NET Cloudflare Inc. Class A | New | 0.01% | +0.01 |
Options Activity Q4 2025 → Q1 2026
| REGN Regeneron Pharmaceuticals | put | New | 2,500 | $1.9M |
| SPY SS SPDR S&P 500 ETF Trust-US | put | New | 1,100 | $715K |
| AAPL Apple Inc. | put | New | 1,700 | $431K |
Calls and puts are listed by the shares they cover; their value is not part of the stock holdings above.
Notes & Other Activity Q4 2025 → Q1 2026
| AON Aon PLC Class A | SHS CL A · principal | Sold out | 10,000 | $3.5Mbefore exit |
| REGN Regeneron Pharmaceuticals | COM · principal | Sold out | 2,500 | $1.9Mbefore exit |
| SPY SS SPDR S&P 500 ETF Trust-US | TR UNIT · principal | Sold out | 1,200 | $818Kbefore exit |
| ALBEMARLE CORP (ALB 7.25 03/01/27) | 7.25% DEP SHS A | Sold out | 9,850 | $585Kbefore exit |
| COIN Coinbase Global Inc. Class A | COM CL A · principal | Sold out | 1,000 | $226Kbefore 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 | 311 | $1.7B | IBDU, GLW, SMTH, DCRE, IVV |
| Q1 2026 | 304 | $1.5B | SMTH, IBDU, GLW, DCRE, IVV |
| Q4 2025 | 295 | $1.5B | SMTH, IBDU, DCRE, GLW, MSFT |
| Q3 2025 | 309 | $1.2B | SMTH, IBDU, IVV, DCRE, GLW |
| Q2 2025 | 306 | $1.2B | SMTH, IBDU, IVV, DCRE, GLW |
| Q1 2025 | 308 | $1.3B | SMTH, IBDU, IVV, DCRE, GLW |
| Q4 2024 | 292 | $1.3B | IBDS, DSTL, AAPL, MSFT, SMTH |
| Q3 2024 | 308 | $1.2B | IBDS, DSTL, MSFT, LLY, AAPL |
| Q2 2024 | 308 | $1.2B | IBDS, DSTL, MSFT, LLY, AAPL |
| Q1 2024 | 309 | $1.2B | IBDS, DSTL, MSFT, RSP, CEF |