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AWM

AE Wealth Management Portfolio holdings

AUM $18.5B
1-Year Est. Return 19.51%
This Fund
S&P 500
This Quarter Est. Return
-0.52%
1 Year Est. Return
+19.51%
3 Year Est. Return
+56.23%
5 Year Est. Return
+62.83%
10 Year Est. Return
–
AUM
$12.1B
AUM Growth
+$689M
Cap. Flow
+$803M
Cap. Flow %
6.62%
Top 10 Hldgs %
20.53%
Holding
1,750
New
170
Increased
910
Reduced
499
Closed
135

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$126M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$75.7M
3
VUG icon
Vanguard Growth ETF
VUG
+$68.2M
4
CWB icon
State Street SPDR Bloomberg Convertible Securities ETF
CWB
+$67.5M
5
PDP icon
Invesco Dorsey Wright Momentum ETF
PDP
+$62.7M

Top Sells

Rank Stock Value
1
VXF icon
Vanguard Extended Market ETF
VXF
+$61.7M
2
ANGL icon
VanEck Fallen Angel High Yield Bond ETF
ANGL
+$58M
3
QUAL icon
iShares MSCI USA Quality Factor ETF
QUAL
+$57.8M
4
MGK icon
Vanguard Mega Cap Growth ETF
MGK
+$56.4M
5
IWY icon
iShares Russell Top 200 Growth ETF
IWY
+$51.7M

Sector Composition

Rank Sector Weight
1 Technology 8.31%
2 Financials 4.14%
3 Consumer Discretionary 3.5%
4 Healthcare 2.87%
5 Communication Services 2.75%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RNG icon
901
RingCentral
RNG
$4.83B
$908K 0.01%
4,174
-410
-9% -$104K
DTM icon
902
DT Midstream
DTM
$13.9B
$907K 0.01%
+19,618
New +$858K
CROX icon
903
Crocs
CROX
$6.63B
$906K 0.01%
+6,311
New +$866K
JEPI icon
904
JPMorgan Equity Premium Income ETF
JEPI
$45.5B
$905K 0.01%
15,188
+7,596
+100% +$467K
KDP icon
905
Keurig Dr Pepper
KDP
$42.8B
$905K 0.01%
26,495
-43,043
-62% -$1.51M
PLUG icon
906
Plug Power
PLUG
$2.65B
$905K 0.01%
35,440
-7,834
-18% -$210K
CTRA
907
DELISTED
Coterra Energy
CTRA
$903K 0.01%
41,499
+20,894
+101% +$358K
GWX icon
908
State Street SPDR S&P International Small Cap ETF
GWX
$839M
$900K 0.01%
23,390
+6,712
+40% +$262K
CWEN icon
909
Clearway Energy Class C
CWEN
$4.79B
$895K 0.01%
29,565
+2,653
+10% +$79K
ROK icon
910
Rockwell Automation
ROK
$51.1B
$888K 0.01%
3,019
+221
+8% +$67.9K
WMC
911
DELISTED
Western Asset Mortgage Capital Corporation
WMC
$888K 0.01%
34,022
+11,353
+50% +$324K
MPWR icon
912
Monolithic Power Systems
MPWR
$61.4B
$884K 0.01%
1,824
-174
-9% -$79.1K
SPLK
913
DELISTED
Splunk Inc
SPLK
$883K 0.01%
6,099
-262
-4% -$38.1K
CLH icon
914
Clean Harbors
CLH
$17.2B
$877K 0.01%
8,442
-1,169
-12% -$115K
OBDC icon
915
Blue Owl Capital
OBDC
$5.35B
$876K 0.01%
62,058
+14,850
+31% +$215K
MFEM icon
916
PIMCO RAFI Dynamic Multi-Factor Emerging Markets Equity ETF
MFEM
$137M
$874K 0.01%
29,665
-348
-1% -$10.4K
FAUG icon
917
FT Vest US Equity Buffer ETF August
FAUG
$1.18B
$872K 0.01%
23,915
+8,038
+51% +$298K
LIN icon
918
Linde
LIN
$236B
$869K 0.01%
2,962
-21
-0.7% -$6.38K
KBWB icon
919
Invesco KBW Bank ETF
KBWB
$6.72B
$864K 0.01%
12,881
+3,111
+32% +$202K
FXZ icon
920
First Trust Materials AlphaDEX Fund
FXZ
$366M
$862K 0.01%
15,401
+3,394
+28% +$194K
PFLT icon
921
PennantPark Floating Rate Capital
PFLT
$698M
$858K 0.01%
67,096
-2,521
-4% -$32.7K
SPWR
922
DELISTED
SunPower Corporation Common Stock
SPWR
$857K 0.01%
37,808
+16,342
+76% +$382K
NATH icon
923
Nathan's Famous
NATH
$403M
$856K 0.01%
14,000
– –
SNV
924
DELISTED
Synovus
SNV
$856K 0.01%
19,492
+2,176
+13% +$92K
GSIE icon
925
Goldman Sachs ActiveBeta International Equity ETF
GSIE
$5.9B
$852K 0.01%
24,948
-4,196
-14% -$149K
35 36
37
38 39

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SA
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NC
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BBHC
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TAF
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JAM
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CWP
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HNB
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NAM
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AE Wealth Management's Q3 2021 Portfolio in Review

As of Q3 2021, AE Wealth Management held 1,750 positions worth $12.1B, up 6% from $11.4B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

AE Wealth Management deployed $803M of net new capital in Q3 2021, opening 170 new positions and adding to 910 existing holdings. Its largest new stake was iShares S&P 100 ETF: 302,328 shares worth $59.7M.

By sector, the portfolio is most concentrated in Technology at 8.3% of assets, up from 8.2% a quarter earlier, followed by Financials and Consumer Discretionary.

On the sell side, the largest reduction was Vanguard Extended Market ETF, an estimated $61.7M trimmed.

  • AE Wealth Management's largest Q3 2021 buy was iShares S&P 100 ETF: 302,328 shares worth $59.7M.
  • AE Wealth Management added most to State Street SPDR S&P 500 ETF Trust in Q3 2021, an estimated $126M increase.
  • AE Wealth Management's biggest Q3 2021 reduction was Vanguard Extended Market ETF, cutting an estimated $61.7M.
  • AE Wealth Management fully exited iShares ESG Optimized MSCI USA ETF in Q3 2021, selling an estimated $12.1M.
  • AE Wealth Management's ten largest holdings make up 21% of its $12.1B portfolio in Q3 2021.
  • AE Wealth Management opened 170 new positions and closed 135 in Q3 2021.
  • AE Wealth Management's portfolio value rose 6% quarter-over-quarter to $12.1B.

Based on AE Wealth Management's 13F filing for Q3 2021, filed 1 Nov 2021.