Whipplewood Advisors, LLC
In its 13F for Q3 2025 (holdings as of September 30, 2025, filed November 6, 2025), Whipplewood Advisors, LLC reported 293 stock positions worth $152.0 million. Its top holding was Janus Henderson Aaa Clo ETF (JAAA) at 5.6% of the portfolio, followed by Inn Defined Wealth Shield (BALT, 3.1%) and Tesla (TSLA, 3.0%). Compared with Q2 2025, it opened 7 new positions, sold out of 916, added to 62 and reduced 161. The biggest buy was Janus Henderson Aaa Clo ETF (JAAA, shares +22%) and the biggest sale Microsoft (MSFT, shares −49%).
- Most Recent 13F
- Q2 2026
- Location
- LITTLETON, CO
- CIK
- 0002052510
- Portfolio Value
- $152.0M (Q3 2025)
- SEC Filing
- 0002052510-25-000006 ↗ filed Nov 6, 2025
Holdings Value
Holdings 293 stocks · $152.0M
| JAAA Janus Henderson Aaa Clo ETF | 5.56% | 166,366 | $8.4M | Add +21.7% |
| BALT Inn Defined Wealth Shield | 3.08% | 142,669 | $4.7M | Add +4.1% |
| TSLA Tesla Inc. | 3.03% | 10,356 | $4.6M | Reduce -5.6% |
| VIG Vanguard Dividend Apprec ETF | 2.59% | 18,215 | $3.9M | Reduce -0.1% |
| JEPI JPMorgan Equity Premium Inco | 2.54% | 67,669 | $3.9M | Add +1.2% |
| ARKK ARK Innovation ETF | 2.37% | 41,794 | $3.6M | Reduce -2.6% |
| MTUM iShares MSCI USA Momentum Fa | 2.36% | 13,965 | $3.6M | Reduce -4.7% |
| VT Vanguard Tot World STK ETF | 2.25% | 24,805 | $3.4M | Reduce -10.8% |
| AAPL Apple Inc. | 2.18% | 13,004 | $3.3M | Reduce -20.9% |
| RDVI FT Vest Rising Dividend Achi | 2.18% | 128,040 | $3.3M | Reduce -0.7% |
| VIGI Vanguard Int Div App Indx FD | 2.04% | 34,600 | $3.1M | Add +2.5% |
| WEA Western Asset Premier Bond | 2.02% | 273,510 | $3.1M | Add +0.6% |
| VEA Vanguard Ftse Developed ETF | 1.92% | 48,834 | $2.9M | Reduce -38.2% |
| FNDF Schwab Fndmn Intl LRG Co. ETF | 1.78% | 63,099 | $2.7M | Add +0.2% |
| JEPQ JPM Nasdaq Equity Premium filed as J P MORGAN EXCHANGE TRADED F | 1.47% | 38,893 | $2.2M | Reduce -2.3% |
| MSFT Microsoft Corp. | 1.45% | 4,270 | $2.2M | Reduce -49.2% |
| EIC Eagle Point Income Co.-USA Inc. | 1.41% | 159,762 | $2.2M | Reduce -0.7% |
| DFP Flaherty & Crumrine DYN Pref | 1.37% | 96,089 | $2.1M | Add +2.2% |
| TAFI AB Tax Aware Short Dur Muni filed as AB ACTIVE ETFS INC | 1.34% | 80,556 | $2.0M | New |
| IVV iShares Core S&P 500 ETF | 1.29% | 2,929 | $2.0M | Reduce -11.8% |
| EPD Enterprise Products Partners | 1.26% | 61,190 | $1.9M | No change |
| SFLR Innovator Eqty MGD Floor ETF | 1.19% | 50,070 | $1.8M | Reduce -0.3% |
| FNDX Schwab Fndmntl US LRG Co. ETF | 1.10% | 63,738 | $1.7M | Reduce -0.3% |
| VWO Vanguard Ftse Emerging Marke | 1.09% | 30,609 | $1.7M | Reduce -18.7% |
| NVDA Nvidia Corp. | 1.05% | 8,575 | $1.6M | Reduce -56.5% |
| ALAI Alger AI Enable & Adopt ETF | 1.01% | 40,976 | $1.5M | Add +4.0% |
| MSD Morgan Stanley Emrg MKT Debt | 1.00% | 206,769 | $1.5M | Add +6.4% |
| FNDE Schwab Fndmntl Em MRK Eq ETF | 0.99% | 41,521 | $1.5M | Reduce -0.7% |
| ARCC Ares Capital Corp. | 0.98% | 73,108 | $1.5M | Add +76.3% |
| PRF Invesco Rafi US 1000 ETF | 0.98% | 32,982 | $1.5M | Add +0.8% |
| GBDC Golub Capital BDC Inc. | 0.94% | 104,062 | $1.4M | Add +55.0% |
| BXSL Blackstone Secured Lending F | 0.93% | 54,486 | $1.4M | Add +114.8% |
| NIM Nuveen Select Maturit Muni | 0.93% | 153,172 | $1.4M | Add +4.3% |
| EEMV iShares MSCI Emg MKT Min Vol | 0.91% | 21,602 | $1.4M | Add +1.2% |
| MCD McDonald's Corp. | 0.90% | 4,497 | $1.4M | Reduce -5.6% |
| PRFZ Inv Rafi US 1500 SM-Usd Inc. | 0.87% | 29,212 | $1.3M | Reduce -2.5% |
| SCHM Schwab US Mid Cap ETF | 0.84% | 43,208 | $1.3M | Reduce -2.6% |
| SDVD FT Vest Smid Rising Dividend | 0.83% | 58,647 | $1.3M | Add +2.3% |
| MOTI Vaneck Mstar Int Moat ETF | 0.77% | 31,649 | $1.2M | Add +4.8% |
| FRTY Alger Mid Cap 40 ETF | 0.73% | 49,758 | $1.1M | Add +6.8% |
| BUFR FT Vest Lad Buffervetf-Usd I | 0.71% | 32,284 | $1.1M | Add +0.9% |
| MOAT Vaneck Morningstar Wide Moat | 0.71% | 10,817 | $1.1M | Reduce -11.4% |
| IIM Invesco Value Municipal Inco | 0.69% | 83,814 | $1.1M | Add +9.6% |
| EVN Eaton Vance Muni Inc. TR | 0.68% | 93,607 | $1.0M | Add +4.3% |
| DSU BlackRock Debt Strategies | 0.68% | 96,749 | $1.0M | Add +0.9% |
| PHK PIMCO High Income Fund | 0.67% | 205,264 | $1.0M | Add +0.3% |
| PFN PIMCO Income Strategy FD II | 0.66% | 132,859 | $1.0M | Add +0.1% |
| VKI Invesco Adv Muni Inc. TR II | 0.66% | 114,779 | $1.0M | Add +5.5% |
| EFAX State Street SPDR MSCI Eafe | 0.66% | 20,297 | $1.0M | Add +4.1% |
| IGI Western Asst Inv GR Oppor TR | 0.66% | 59,774 | $998K | Add +0.4% |
| QFLR Innovator Nasdaq-100 MF ETF | 0.63% | 28,945 | $960K | Reduce -4.8% |
| OBDC Blue Owl Capital Corp. | 0.63% | 74,805 | $955K | Add +9.7% |
| GOOGL Alphabet Inc. Class A | 0.62% | 3,905 | $949K | Reduce -23.2% |
| JPST JPMorgan Ultra-Short Income | 0.62% | 18,675 | $947K | Reduce -1.6% |
| NVG Nuveen Amt-FR Muni CRDT | 0.60% | 74,439 | $915K | Add +7.2% |
| QQQ Invesco QQQ Trust Series 1 | 0.59% | 1,484 | $891K | Reduce -3.6% |
| VKQ Invesco Municipal Trust | 0.57% | 90,313 | $872K | Add +9.3% |
| XNEAX Nuveen Amt-FR QLTY Muni Inc. | 0.56% | 75,195 | $856K | Add +5.0% |
| MGC Vngrd Mrngstr MG Cap ETF-Usd | 0.54% | 3,378 | $825K | Reduce -2.1% |
| GBAB Guggenheim Taxable Municipal | 0.54% | 52,760 | $822K | Add +0.5% |
| BAB Invesco Taxable Municipal Bo | 0.53% | 29,738 | $812K | Add +0.9% |
| SPLV Invesco S&P 500 Low Volatili | 0.52% | 10,751 | $790K | Add +6.4% |
| TSI TCW Strategic Income Fund | 0.52% | 159,568 | $785K | Add +0.8% |
| MMD Nylim Mackay Definedterm Mun filed as NYLI MACKAY DEFINEDTERM MUNI | 0.49% | 49,571 | $750K | Add +2.5% |
| JULH Innov Prem Inc. 20 Barr-July | 0.49% | 29,791 | $746K | Add +5.0% |
| OCTH Innvtr PR INC20 Bar ETF-Oct | 0.49% | 30,828 | $741K | Add +3.5% |
| APRH Innov Prem Inc. 20 Barr-April | 0.49% | 29,828 | $739K | Add +3.7% |
| JANH Innov Prem Inc. 20 Barr - Jan | 0.49% | 29,833 | $739K | Add +2.8% |
| VGM Invesco Trust for Investmen | 0.48% | 71,500 | $724K | Add +9.2% |
| SBI Western Asset Intermediate | 0.47% | 89,424 | $707K | Add +5.1% |
| EPRF Innovat S&P Invest GRD Pref | 0.45% | 37,800 | $691K | Add +5.2% |
| AMZN Amazon.com Inc. | 0.42% | 2,920 | $641K | Reduce -63.5% |
| NZF Nuveen Municipal Credit Inc. | 0.38% | 46,142 | $580K | Add +8.2% |
| PML PIMCO Municipal Income FD II | 0.38% | 73,017 | $578K | New |
| SPGP Invesco S&P 500 Garp ETF | 0.37% | 4,905 | $557K | Reduce -3.1% |
| XYLG Global X S&P 500 Covc & GRW | 0.34% | 17,787 | $512K | Add +1.9% |
| ET Energy Transfer LP | 0.34% | 29,691 | $509K | No change |
| MFIC Midcap Financial Investment | 0.33% | 42,042 | $504K | Reduce -33.6% |
| PIE Invesco Dorsey Wright Emergi | 0.33% | 20,380 | $497K | Reduce -0.6% |
| HEEM iShares Crncy Hedgd MSCI Em | 0.32% | 14,574 | $490K | Reduce -0.4% |
| FSK FS KKR Capital Corp. | 0.32% | 32,791 | $490K | Add +35.9% |
| WELL Welltower Inc. | 0.32% | 2,706 | $482K | Reduce -3.4% |
| CGBD Carlyle Secured Lending Inc. | 0.31% | 38,090 | $476K | Add +9.4% |
| XMMO Invesco S&P Midcap Momentum | 0.31% | 3,507 | $474K | Add +0.5% |
| CGDV Cap Group Dividend Value filed as CAPITAL GROUP DIVIDEND VALUE | 0.30% | 10,770 | $453K | Add +1.4% |
| SKYY First Trust Cloud Computing | 0.28% | 3,221 | $433K | Reduce -0.5% |
| QCOM Qualcomm Inc. | 0.28% | 2,571 | $428K | Reduce -9.7% |
| MPV Barings Participation Invest | 0.27% | 20,238 | $408K | Reduce -7.1% |
| WSM Williams-Sonoma Inc. | 0.26% | 2,000 | $391K | Reduce -1.0% |
| BCD Abrdn Bloomberg All Commodit filed as ABRDN ETFS | 0.26% | 11,368 | $391K | Reduce -0.6% |
| JPRE JPMorgan Realty Income ETF | 0.26% | 8,121 | $389K | Reduce -0.8% |
| UNP Union Pacific Corp. | 0.25% | 1,630 | $385K | Reduce -7.8% |
| PREF Pri Spe Pre Sec Acti-Usd Inc. | 0.25% | 19,818 | $379K | Add +1.2% |
| SMMU PIMCO SHRT TRM Muni BND ETF | 0.25% | 7,405 | $374K | Add +3.5% |
| AMD Advanced Micro Devices | 0.24% | 2,300 | $372K | Reduce -5.7% |
| GOOG Alphabet Inc. Class C | 0.24% | 1,500 | $365K | Reduce -57.5% |
| XMQTX BlackRock Muniyield QLTY II | 0.23% | 35,014 | $351K | Add +3.4% |
| VTWO Vanguard Russell 2000 ETF | 0.20% | 3,183 | $311K | Add +0.7% |
| VFC VF Corp. | 0.20% | 21,125 | $305K | Reduce -6.8% |
| PDI PIMCO Dynamic Income Fund | 0.20% | 15,291 | $303K | Reduce -12.4% |
Portfolio Sells Q2 2025 → Q3 2025
| MSFT Microsoft Corp. | Reduce -49.2% | 1.45% | −0.84 |
| VUG Vanguard Mrngstar GR ETF-Sui | Reduce -93.3% | 0.07% | −0.72 |
| NVDA Nvidia Corp. | Reduce -56.5% | 1.05% | −0.66 |
| VTV Vanguard Mrngstr Val ETF-Aui | Reduce -97.1% | 0.02% | −0.60 |
| APP AppLovin Corp. Class A | Sold out | 0.00% | −0.58 |
| VEA Vanguard Ftse Developed ETF | Reduce -38.2% | 1.92% | −0.55 |
| AMZN Amazon.com Inc. | Reduce -63.5% | 0.42% | −0.54 |
| META Meta Platforms Inc. Class A | Sold out | 0.00% | −0.54 |
| OCSL Oaktree Specialty Lending Co. | Reduce -97.1% | 0.02% | −0.53 |
| TSM Taiwan Semiconductor-SP ADR | Reduce -93.9% | 0.04% | −0.37 |
| NFLX Netflix Inc. | Reduce -90.5% | 0.04% | −0.35 |
| SE Sea Ltd.-ADR | Sold out | 0.00% | −0.33 |
| SCHX Schwab US Large-Cap ETF | Reduce -97.6% | 0.01% | −0.32 |
| V Visa Inc. Class A | Reduce -74.5% | 0.11% | −0.27 |
| HOOD Robinhood Markets Inc. Class A | Sold out | 0.00% | −0.27 |
| CION Cion Investment Corp. | Reduce -97.2% | 0.01% | −0.27 |
| XPMFX PIMCO Municipal Income Fund | Sold out | 0.00% | −0.26 |
| GSBD Goldman Sachs BDC Inc. | Reduce -97.0% | 0.01% | −0.25 |
| IEFA iShares Core MSCI Eafe ETF | Sold out | 0.00% | −0.25 |
| AVGO Broadcom Inc. | Sold out | 0.00% | −0.24 |
| IEMG iShares Core MSCI Emerging | Reduce -86.2% | 0.05% | −0.24 |
| SPOT Spotify Technology SA | Sold out | 0.00% | −0.22 |
| JPM JPMorgan Chase & Co. | Sold out | 0.00% | −0.22 |
| RACE Ferrari NV | Sold out | 0.00% | −0.21 |
| MELI MercadoLibre Inc. | Sold out | 0.00% | −0.21 |
| MCK McKesson Corp. | Sold out | 0.00% | −0.16 |
| PM Philip Morris International | Reduce -70.5% | 0.07% | −0.16 |
| SEIM Sei Qim US Large Cap Momentu | Reduce -94.2% | 0.01% | −0.15 |
| SEIV Sei Qim US Large Cap Value A | Reduce -91.5% | 0.02% | −0.15 |
| GE General Electric | Sold out | 0.00% | −0.15 |
| AJG Arthur J Gallagher & Co. | Sold out | 0.00% | −0.14 |
| VRTX Vertex Pharmaceuticals Inc. | Sold out | 0.00% | −0.14 |
| COST Costco Wholesale Corp. | Sold out | 0.00% | −0.14 |
| AZN Astrazeneca PLC-Spons ADR | Sold out | 0.00% | −0.14 |
| SCHA Schwab US Small-Cap ETF | Reduce -95.7% | 0.01% | −0.13 |
| LLY Eli Lilly & Co. | Reduce -96.3% | 0.01% | −0.13 |
| VBK Van Morst SML-Cap Gro-Usd Inc. | Sold out | 0.00% | −0.13 |
| NVO Novo-Nordisk A/S-Spons ADR | Reduce -76.5% | 0.04% | −0.12 |
| NOW ServiceNow Inc. | Sold out | 0.00% | −0.12 |
| LIN Linde PLC | Sold out | 0.00% | −0.12 |
| CRWD CrowdStrike Holdings Inc. Class A | Sold out | 0.00% | −0.11 |
| JNJ Johnson & Johnson | Reduce -82.5% | 0.04% | −0.11 |
| IBN Icici Bank Ltd.-Spon ADR | Sold out | 0.00% | −0.11 |
| TLN Talen Energy Corp. | Sold out | 0.00% | −0.11 |
| MFIC Midcap Financial Investment | Reduce -33.6% | 0.33% | −0.11 |
| NVS Novartis AG-Sponsored ADR | Sold out | 0.00% | −0.10 |
| GEV GE Vernova Inc. | Sold out | 0.00% | −0.10 |
| GOOG Alphabet Inc. Class C | Reduce -57.5% | 0.24% | −0.10 |
| LPLA LPL Financial Holdings Inc. | Sold out | 0.00% | −0.10 |
| COR Cencora Inc. | Sold out | 0.00% | −0.10 |
Portfolio Buys Q2 2025 → Q3 2025
| JAAA Janus Henderson Aaa Clo ETF | Add +21.7% | 5.56% | +1.75 |
| TAFI AB Tax Aware Short Dur Muni | New | 1.34% | +1.34 |
| BALT Inn Defined Wealth Shield | Add +4.1% | 3.08% | +0.66 |
| BXSL Blackstone Secured Lending F | Add +114.8% | 0.93% | +0.51 |
| ARCC Ares Capital Corp. | Add +76.3% | 0.98% | +0.48 |
| JEPI JPMorgan Equity Premium Inco | Add +1.2% | 2.54% | +0.45 |
| WEA Western Asset Premier Bond | Add +0.6% | 2.02% | +0.40 |
| FNDF Schwab Fndmn Intl LRG Co. ETF | Add +0.2% | 1.78% | +0.40 |
| GBDC Golub Capital BDC Inc. | Add +55.0% | 0.94% | +0.40 |
| PML PIMCO Municipal Income FD II | New | 0.38% | +0.38 |
| VIGI Vanguard Int Div App Indx FD | Add +2.5% | 2.04% | +0.37 |
| ALAI Alger AI Enable & Adopt ETF | Add +4.0% | 1.01% | +0.34 |
| DFP Flaherty & Crumrine DYN Pref | Add +2.2% | 1.37% | +0.31 |
| FRTY Alger Mid Cap 40 ETF | Add +6.8% | 0.73% | +0.24 |
| PRF Invesco Rafi US 1000 ETF | Add +0.8% | 0.98% | +0.22 |
| IIM Invesco Value Municipal Inco | Add +9.6% | 0.69% | +0.20 |
| NIM Nuveen Select Maturit Muni | Add +4.3% | 0.93% | +0.20 |
| MOTI Vaneck Mstar Int Moat ETF | Add +4.8% | 0.77% | +0.20 |
| HTGC Hercules Capital Inc. | New | 0.19% | +0.19 |
| SDVD FT Vest Smid Rising Dividend | Add +2.3% | 0.83% | +0.19 |
| EVN Eaton Vance Muni Inc. TR | Add +4.3% | 0.68% | +0.18 |
| MSD Morgan Stanley Emrg MKT Debt | Add +6.4% | 1.00% | +0.18 |
| EEMV iShares MSCI Emg MKT Min Vol | Add +1.2% | 0.91% | +0.17 |
| VKI Invesco Adv Muni Inc. TR II | Add +5.5% | 0.66% | +0.16 |
| VKQ Invesco Municipal Trust | Add +9.3% | 0.57% | +0.16 |
| EFAX State Street SPDR MSCI Eafe | Add +4.1% | 0.66% | +0.15 |
| BUFR FT Vest Lad Buffervetf-Usd I | Add +0.9% | 0.71% | +0.15 |
| NVG Nuveen Amt-FR Muni CRDT | Add +7.2% | 0.60% | +0.15 |
| VGM Invesco Trust for Investmen | Add +9.2% | 0.48% | +0.13 |
| PHK PIMCO High Income Fund | Add +0.3% | 0.67% | +0.13 |
| XNEAX Nuveen Amt-FR QLTY Muni Inc. | Add +5.0% | 0.56% | +0.13 |
| PFN PIMCO Income Strategy FD II | Add +0.1% | 0.66% | +0.12 |
| DSU BlackRock Debt Strategies | Add +0.9% | 0.68% | +0.12 |
| XPCQX PIMCO California Muni Inc. FD | New | 0.12% | +0.12 |
| SPLV Invesco S&P 500 Low Volatili | Add +6.4% | 0.52% | +0.12 |
| IGI Western Asst Inv GR Oppor TR | Add +0.4% | 0.66% | +0.11 |
| SBI Western Asset Intermediate | Add +5.1% | 0.47% | +0.11 |
| GBAB Guggenheim Taxable Municipal | Add +0.5% | 0.54% | +0.11 |
| EPRF Innovat S&P Invest GRD Pref | Add +5.2% | 0.45% | +0.11 |
| BAB Invesco Taxable Municipal Bo | Add +0.9% | 0.53% | +0.10 |
| JULH Innov Prem Inc. 20 Barr-July | Add +5.0% | 0.49% | +0.10 |
| NZF Nuveen Municipal Credit Inc. | Add +8.2% | 0.38% | +0.10 |
| MMD Nylim Mackay Definedterm Mun | Add +2.5% | 0.49% | +0.10 |
| OCTH Innvtr PR INC20 Bar ETF-Oct | Add +3.5% | 0.49% | +0.10 |
| APRH Innov Prem Inc. 20 Barr-April | Add +3.7% | 0.49% | +0.10 |
| JANH Innov Prem Inc. 20 Barr - Jan | Add +2.8% | 0.49% | +0.09 |
| TSI TCW Strategic Income Fund | Add +0.8% | 0.52% | +0.09 |
| OBDC Blue Owl Capital Corp. | Add +9.7% | 0.63% | +0.09 |
| XYLG Global X S&P 500 Covc & GRW | Add +1.9% | 0.34% | +0.07 |
| CGDV Cap Group Dividend Value | Add +1.4% | 0.30% | +0.07 |
Notes & Other Activity Q2 2025 → Q3 2025
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 | 636 | $148.6M | JAAA, NPFE, JPLD, MTUM, VIG |
| Q1 2026 | 1,065 | $192.7M | JAAA, NPFE, JPLD, BALT, WEA |
| Q4 2025 | 503 | $155.6M | JAAA, BALT, TSLA, WEA, VIG |
| Q3 2025 | 293 | $152.0M | JAAA, BALT, TSLA, VIG, JEPI |
| Q2 2025 | 1,202 | $182.0M | JAAA, VEA, BALT, MSFT, JEPI |
| Q1 2025 | 1,209 | $168.8M | JAAA, VEA, AAPL, JEPI, VIG |
| Q4 2024 | 1,183 | $175.9M | JAAA, TSLA, AAPL, VEA, MSFT |