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

0$500.0M$1.0B$1.5B$2.0B Q1 2024: $1.2B Q1 2024 Q2 2024: $1.2B Q2 2024 Q3 2024: $1.2B Q3 2024 Q4 2024: $1.3B Q4 2024 Q1 2025: $1.3B Q1 2025 Q2 2025: $1.2B Q2 2025 Q3 2025: $1.2B Q3 2025 Q4 2025: $1.5B Q4 2025 Q1 2026: $1.5B $1.5B Q1 2026 Q2 2026: $1.7B Q2 2026

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
RTX RTX Corp. 0.09% 7,149 $1.4M Reduce -1.4%
WMT Walmart Inc. 0.09% 10,947 $1.4M Reduce -0.3%
UNH Unitedhealth Group Inc. 0.09% 4,807 $1.3M Reduce -4.3%
USMV iShares MSCI USA Min Vol Fac 0.09% 13,519 $1.3M Reduce -8.3%
BNY Bank of New York Mellon Corp. filed as BANK NEW YORK MELLON CORP 0.09% 10,555 $1.3M Reduce -7.0%
CSCO Cisco Systems Inc. 0.08% 15,978 $1.2M Reduce -6.2%
XRNPX Cohen & Steers REIT and Pref 0.08% 62,000 $1.2M Add +14.8%
DE Deere & Co. 0.08% 2,114 $1.2M Add +6.8%
TPL Texas Pacific Land Corp. 0.08% 2,450 $1.2M Reduce -37.2%
MYN BlackRock Muniyield NY QLTY 0.08% 120,893 $1.2M Add +49.3%
GE General Electric filed as GE AEROSPACE 0.08% 4,079 $1.2M Add +74.2%
GWW WW Grainger Inc. 0.08% 1,050 $1.1M No change
UMH Umh Properties Inc. filed as UMH PPTYS INC 0.08% 78,150 $1.1M Reduce -1.0%
IVOV Vanguard S&P Mid-Cap 400 Val 0.08% 10,985 $1.1M No change
QQQ Invesco QQQ Trust Series 1 0.08% 1,914 $1.1M Reduce -0.2%
JJSF J & J Snack Foods Corp. 0.07% 13,880 $1.1M Reduce -0.4%
PFE Pfizer Inc. 0.07% 39,110 $1.1M Reduce -2.9%
EEMV iShares MSCI Emg MKT Min Vol 0.07% 16,883 $1.1M Add +2.9%
VEA Vanguard Ftse Developed ETF 0.07% 15,953 $1.0M Reduce -21.8%
PGX Invesco Preferred ETF 0.07% 93,815 $1.0M Add +1.3%
MU Micron Technology Inc. 0.07% 3,000 $1.0M Reduce -9.1%
RQI Cohen & Steers Qual Inc. RLTY 0.07% 82,000 $988K No change
LOAN Manhattan Bridge Capital Inc. 0.07% 217,785 $969K No change
MS Morgan Stanley 0.07% 5,866 $965K Add +8.8%
EFV iShares MSCI Eafe Value ETF 0.07% 12,903 $959K Reduce -26.9%
KEX Kirby Corp. 0.07% 7,200 $957K No change
HWM Howmet Aerospace Inc. 0.06% 4,000 $935K Reduce -2.7%
MA Mastercard Inc. Class A 0.06% 1,840 $919K Reduce -6.6%
INTC Intel Corp. 0.06% 19,600 $865K Reduce -4.8%
SPY SS SPDR S&P 500 ETF Trust-US 0.06% 1,324 $861K Reduce -1.1%
HON Honeywell International Inc. 0.06% 3,719 $841K No change
VTV Vanguard Mrngstr Val ETF-Aui 0.06% 4,251 $834K Reduce -2.8%
SYF Synchrony Financial 0.06% 11,900 $809K No change
T AT&T Inc. 0.05% 27,664 $802K No change
TER Teradyne Inc. 0.05% 2,585 $766K No change
CCS Century Communities Inc. 0.05% 13,200 $757K Add +13.8%
BSJS Invesco Bulletshares 2028 HY 0.05% 34,900 $757K Reduce -1.1%
EXPE Expedia Group Inc. 0.05% 3,275 $756K Add +156.9%
BLDR Builders Firstsource Inc. 0.05% 9,100 $749K No change
ABBV Abbvie Inc. 0.05% 3,415 $743K No change
IJH iShares Core S&P Midcap ETF 0.05% 10,985 $742K Reduce -2.9%
XYL Xylem Inc. 0.05% 6,095 $728K Reduce -4.1%
USFD US Foods Holding Corp. 0.05% 7,860 $725K No change
CLX Clorox Company 0.05% 6,897 $715K No change
AXP American Express Co. 0.05% 2,359 $714K Reduce -11.4%
CEF Sprott Physical Gold and Sil 0.05% 14,636 $698K Reduce -95.8%
FCT First Trust SNR FL RT Inc. II 0.05% 72,300 $697K No change
AFL Aflac Inc. 0.05% 6,318 $693K No change
XAWFX Alliancebernstein GL Hi Inc. 0.05% 67,850 $690K No change
BBWI Bath & Body Works Inc. 0.05% 36,700 $685K Add +0.8%
FLDR Fidelity Low Durat Fact ETF 0.05% 13,300 $666K Add +19.8%
CBRE CBRE Group Inc. Class A 0.05% 4,900 $664K Reduce -6.8%
UNP Union Pacific Corp. 0.04% 2,679 $650K No change
RFI Cohen & Steers Tot Ret RLTY 0.04% 57,500 $641K No change
PI Impinj Inc. 0.04% 6,200 $637K Add +8.8%
OLN Olin Corp. 0.04% 21,225 $631K New
KMB Kimberly-Clark Corp. 0.04% 6,529 $630K No change
AL Sumisho Air Lease Corp. filed as AIR LEASE CORP 0.04% 9,600 $623K Reduce -14.3%
XLK SS Technology Select Sector 0.04% 4,684 $623K Reduce -1.7%
PG The Procter & Gamble Co. 0.04% 4,243 $613K Add +6.8%
DIS The Walt Disney Co. filed as DISNEY WALT CO 0.04% 6,280 $605K Reduce -43.8%
LMT Lockheed Martin Corp. 0.04% 986 $596K Add +0.1%
TDW Tidewater Inc. 0.04% 7,100 $593K Reduce -1.4%
MRP Millrose Properties 0.04% 20,901 $585K Reduce -8.2%
YUMC Yum China Holdings Inc. 0.04% 11,708 $571K No change
TGT Target Corp. 0.04% 4,700 $570K New
CM Can Imperial BK of Commerce filed as CANADIAN IMPERIAL BANK OF CO 0.04% 6,000 $569K No change
DOC Healthpeak Properties Inc. 0.04% 34,315 $564K Add +4.6%
XFRAX BlackRock Fltng RT Inc. Strat 0.04% 51,100 $563K No change
NSC Norfolk Southern Corp. 0.04% 1,960 $563K No change
XRN Chiron Real Estate Inc. 0.04% 16,910 $559K Add +3.0%
IBTJ iShares Ibonds Dec 2029 Term 0.04% 25,044 $547K Add +1.8%
VSS Vanguard Ftse All Wo X-US SC 0.04% 3,733 $544K Reduce -32.3%
GEV GE Vernova Inc. 0.04% 617 $539K No change
HD Home Depot Inc. 0.04% 1,635 $538K Reduce -8.9%
MMM 3M Co. 0.04% 3,682 $535K No change
GHC Graham Holdings Co. Class B 0.04% 500 $529K New
ASML ASML Holding NV-NY Reg SHS filed as ASML HLDG NV 0.04% 400 $528K Reduce -5.9%
VLGEA Village Super Market Class A 0.04% 12,500 $528K Reduce -13.2%
CAT Caterpillar Inc. 0.04% 745 $528K No change
BN Brookfield Corp. 0.04% 13,000 $526K New
BA The Boeing Co. 0.04% 2,600 $517K Reduce -0.9%
DGX Quest Diagnostics Inc. 0.04% 2,622 $514K No change
ALL Allstate Corp. 0.03% 2,470 $512K No change
VV Vngrd Mrgstr LRG-Cap ETF-Usd 0.03% 1,680 $502K Reduce -26.3%
BSJQ Invesco Bulletshares 2026 HY 0.03% 21,500 $498K No change
V Visa Inc. Class A 0.03% 1,639 $495K Reduce -5.8%
ACHR Archer Aviation Inc. Class A 0.03% 94,500 $489K New
VMI Valmont Industries 0.03% 1,200 $479K No change
PEG Public Service Enterprise GP 0.03% 5,784 $468K Reduce -6.5%
CSX CSX Corp. 0.03% 11,400 $468K No change
INGR Ingredion Inc. 0.03% 4,000 $451K New
IBDS Ishrs Ibnds Dec 27 Corp. ETF 0.03% 18,172 $440K No change
BLW BlackRock Ltd. Durat Inc. TR 0.03% 34,150 $430K No change
AME Ametek Inc. 0.03% 2,000 $429K No change
HY Hyster-Yale Inc. 0.03% 13,000 $423K New
MFIC Midcap Financial Investment 0.03% 37,267 $419K No change
XLP SS Consumer Staples Sel Sect 0.03% 5,085 $417K No change
PPT Franklin Premir Inc. Trust-Ui 0.03% 117,000 $415K No change
MLM Martin Marietta Materials 0.03% 700 $412K Reduce -5.0%
KO The Coca-Cola Co. 0.03% 5,400 $411K No change
VZ Verizon Communications Inc. 0.03% 8,100 $407K Reduce -11.0%
WFC Wells Fargo & Co. 0.03% 5,000 $398K Reduce -31.5%
BDJ BlackRock Enhanced Eqty DVD 0.03% 45,862 $395K Add +9.6%
FOR Forestar Group Inc. 0.03% 16,000 $391K New
BSL Blackstone SNR Fltng RT 0.03% 29,800 $386K No change
UHAL.B U-Haul Holding Co.-Non Voting 0.03% 8,590 $384K New
HRI Herc Holdings Inc. filed as HERC HLDGS INC 0.03% 3,840 $382K New
XLV SS Health Care Select Sector 0.03% 2,574 $377K No change
TT Trane Technologies PLC 0.03% 900 $375K No change
MOS The Mosaic Co. 0.03% 14,700 $375K No change
ELV Elevance Health Inc. 0.02% 1,250 $366K No change
DFIV Dimensional International Va 0.02% 6,838 $361K No change
SONY Sony Group Corp. - SP ADR 0.02% 17,246 $357K Reduce -24.4%
ORCL Oracle Corp. 0.02% 2,371 $349K Reduce -4.9%
IBMO iShares Ibonds Dec 2026 Term 0.02% 13,601 $349K Add +28.8%
GD General Dynamics Corp. 0.02% 1,010 $347K Reduce -3.2%
AMD Advanced Micro Devices 0.02% 1,700 $346K Reduce -0.5%
BMY Bristol-Myers Squibb Co. 0.02% 5,700 $346K No change
ATKR Atkore Inc. 0.02% 5,800 $342K New
RWT Redwood Trust Inc. 0.02% 60,700 $341K No change
MCD McDonald's Corp. 0.02% 1,091 $339K No change
IWF iShares Russell 1000 Growth 0.02% 794 $339K Reduce -36.2%
XBI SS SPDR S&P Biotech ETF 0.02% 2,650 $338K Reduce -3.6%
VCRM Vanguard Core Tax-Ex Bond 0.02% 4,456 $335K No change
NAZ Nuveen Az QLTY Muni Inc. 0.02% 27,500 $330K Add +10.0%
MTB M & T Bank Corp. filed as M & T BK CORP 0.02% 1,585 $328K No change
IHI iShares U.S. Medical Devices 0.02% 5,900 $315K No change
FPE FT-Preferred Secur & Inc. ETF 0.02% 17,700 $314K No change
AJG Arthur J Gallagher & Co. filed as GALLAGHER ARTHUR J & CO 0.02% 1,400 $303K No change
NAN Nuveen NY QLTY Muni Inc. 0.02% 27,000 $301K No change
ABT Abbott Laboratories 0.02% 2,907 $298K No change
VWO Vanguard Ftse Emerging Marke 0.02% 5,462 $295K Reduce -41.6%
PRU Prudential Financial Inc. 0.02% 3,000 $293K No change
SOXL Direx Dail Semi Bu 3X Et-Usd 0.02% 6,000 $287K No change
SUB iShares Short-Term National 0.02% 2,694 $287K New
CNH CNH Industrial NV 0.02% 25,000 $286K New
MUB iShares National Muni Bond E 0.02% 2,691 $286K New
VTN Invesco TR for Invest GRD NY 0.02% 26,000 $284K No change
PSX Phillips 66 0.02% 1,550 $282K No change
AMTM Amentum Holdings Inc. 0.02% 10,736 $280K Reduce -1.2%
XEFRX Eaton Vance Sr FLTG Rate TR 0.02% 26,500 $279K No change
SO The Southern Co. 0.02% 2,879 $278K No change
MPA BlackRock Muniyield Pa Qltyv 0.02% 25,000 $276K No change
SPGI S&P Global Inc. 0.02% 633 $269K No change
RPV Invesco S&P 500 Pure Value E 0.02% 2,500 $268K No change
AVUS Avantis U.S. Equity ETF 0.02% 2,389 $266K Add +7.6%
PHIN Phinia Inc. 0.02% 3,859 $264K New
IXUS iShares Core Intl Stock ETF 0.02% 3,025 $262K No change
VLO Valero Energy Corp. 0.02% 1,050 $259K New
HSIC Henry Schein Inc. filed as SCHEIN HENRY INC 0.02% 3,400 $251K No change
ED Consolidated Edison Inc. 0.02% 2,182 $247K New
XLF SS Financial Select Sector 0.02% 5,000 $247K No change
SYK Stryker Corp. 0.02% 750 $246K Reduce -8.1%
IWM iShares Russell 2000 ETF 0.02% 988 $245K Reduce -5.9%
NU Nu Holdings Ltd./Cayman Isl-A filed as NU HLDGS LTD 0.02% 17,045 $245K No change
JPST JPMorgan Ultra-Short Income 0.02% 4,811 $243K Reduce -12.9%
MICC The Magnum Ice Cream Co. NV 0.02% 16,281 $243K Reduce -12.1%
ADBE Adobe Inc. 0.02% 1,000 $243K Add +42.9%
VMO Invesco Municipal Opport 0.02% 25,500 $243K No change
NEE Nextera Energy Inc. 0.02% 2,600 $241K Reduce -20.8%
XNEAX Nuveen Amt-FR QLTY Muni Inc. 0.02% 21,500 $241K Reduce -7.5%
WAT Waters Corp. 0.02% 802 $239K Add +0.3%
MDY State Street SPDR S&P Midcap 0.02% 387 $238K Reduce -11.2%
COF Capital One Financial Corp. 0.02% 1,301 $237K Reduce -6.1%
VLY Valley National Bancorp 0.02% 19,000 $233K No change
GM General Motors Co. 0.02% 3,100 $231K No change
META Meta Platforms Inc. Class A 0.02% 403 $231K Reduce -7.4%
EEM iShares MSCI Emerging Market 0.02% 4,039 $229K No change
IQLT iShares MSCI International Q 0.02% 4,896 $226K Reduce -41.0%
STLD Steel Dynamics Inc. 0.02% 1,246 $224K No change
ICCC Immucell Corp. 0.02% 35,000 $222K No change
EPD Enterprise Products Partners 0.02% 5,850 $221K Reduce -44.8%
BX Blackstone Inc. 0.01% 1,900 $218K Reduce -3.1%
LPX Louisiana-Pacific Corp. 0.01% 3,000 $218K New
SPOT Spotify Technology SA 0.01% 445 $216K Reduce -1.1%
AXON Axon Enterprise Inc. 0.01% 500 $212K No change
COST Costco Wholesale Corp. 0.01% 212 $211K Reduce -9.8%
EFG iShares MSCI Eafe Growth ETF 0.01% 1,880 $209K No change
MIY BlackRock Muniyield Mi QLTY 0.01% 17,500 $208K No change
NET Cloudflare Inc. Class A 0.01% 1,000 $206K New
GATX Gatx Corp. 0.01% 1,200 $205K No change
NOC Northrop Grumman Corp. 0.01% 300 $205K New
PFL PIMCO Income Strategy Fund 0.01% 24,100 $193K No change
PFN PIMCO Income Strategy FD II 0.01% 26,200 $181K No change
RAND Rand Capital Corp. 0.01% 14,000 $165K No change
JPC Nuveen Prefered & Income Opp 0.01% 18,373 $139K No change
ANGI Angi Inc. 0.01% 19,988 $137K Add +26.7%
EVN Eaton Vance Muni Inc. TR 0.01% 12,500 $130K No change
EFT Eaton Vance Fltng RT Inc. TR 0.01% 10,800 $116K No change
LAND Gladstone Land Corp. 0.01% 11,000 $112K No change
MUC BlackRock Munihold Ca QLTY 0.01% 10,253 $107K New
VVR Invesco Senior Income Trust 0.01% 28,000 $90K Reduce -26.3%
NUV Nuveen Municipal Value 0.01% 10,000 $90K New
REFR Research Frontiers Inc. 0.01% 97,500 $90K No change
MPT Medical Properties Trust Inc. 0.01% 18,500 $86K Reduce -39.7%
EHI Western Asset Global High Inc. 0.01% 13,458 $79K No change
MERC Mercer International Inc. 0.01% 54,500 $77K Reduce -23.6%
FCO Abrdn Global Income Fund Inc. 0.00% 18,400 $58K Reduce -5.2%
EQS Equus Total Return Inc. 0.00% 31,287 $58K No change
PIM Franklin Master Interm IT-Ui filed as PUTNAM MASTER INTER INCOME T 0.00% 11,000 $36K No change
MLCI Mount Logan Capital Inc. 0.00% 10,000 $36K Reduce -28.6%
BEEM Beam Global 0.00% 15,000 $22K No change
OPK Opko Health Inc. 0.00% 17,000 $19K 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

QuarterPositions13F Reported ValueTop Holdings
Q2 2026 311$1.7BIBDU, GLW, SMTH, DCRE, IVV
Q1 2026 304$1.5BSMTH, IBDU, GLW, DCRE, IVV
Q4 2025 295$1.5BSMTH, IBDU, DCRE, GLW, MSFT
Q3 2025 309$1.2BSMTH, IBDU, IVV, DCRE, GLW
Q2 2025 306$1.2BSMTH, IBDU, IVV, DCRE, GLW
Q1 2025 308$1.3BSMTH, IBDU, IVV, DCRE, GLW
Q4 2024 292$1.3BIBDS, DSTL, AAPL, MSFT, SMTH
Q3 2024 308$1.2BIBDS, DSTL, MSFT, LLY, AAPL
Q2 2024 308$1.2BIBDS, DSTL, MSFT, LLY, AAPL
Q1 2024 309$1.2BIBDS, DSTL, MSFT, RSP, CEF