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AF

Allworth Financial Portfolio holdings

AUM $24.7B
1-Year Est. Return 15.55%
This Fund
S&P 500
This Quarter Est. Return
-0.72%
1 Year Est. Return
+15.55%
3 Year Est. Return
+40.96%
5 Year Est. Return
+37.38%
10 Year Est. Return
+114.67%
AUM
$5.99B
AUM Growth
+$583M
Cap. Flow
+$639M
Cap. Flow %
10.66%
Top 10 Hldgs %
61.06%
Holding
2,035
New
426
Increased
743
Reduced
169
Closed
46

Top Buys

Rank Stock Value
1
VO icon
Vanguard Morningstar Mid-Cap ETF
VO
+$76.3M
2
BND icon
Vanguard Total Bond Market
BND
+$40.7M
3
VTI icon
Vanguard Morningstar Total Stock Market ETF
VTI
+$37.2M
4
BSV icon
Vanguard Short-Term Bond ETF
BSV
+$35.3M
5
DFAX icon
Dimensional World ex US Core Equity 2 ETF
DFAX
+$26.6M

Top Sells

Rank Stock Value
1
PSK icon
State Street SPDR ICE Preferred Securities ETF
PSK
+$17.2M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$5.81M
3
IAGG icon
iShares Core International Aggregate Bond Fund
IAGG
+$5.14M
4
JPST icon
JPMorgan Ultra-Short Income ETF
JPST
+$3.83M
5
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$2.58M

Sector Composition

Rank Sector Weight
1 Technology 2.04%
2 Financials 1.02%
3 Communication Services 0.71%
4 Healthcare 0.62%
5 Consumer Discretionary 0.58%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VRTV
2001
DELISTED
VERITIV CORPORATION
VRTV
$0 ﹤0.01%
5
– –
PACW
2002
DELISTED
PacWest Bancorp
PACW
$0 ﹤0.01%
+6
New +$249
PTRA
2003
DELISTED
Proterra Inc. Common Stock
PTRA
$0 ﹤0.01%
5
– –
SPPI
2004
DELISTED
Spectrum Pharmaceuticals Inc
SPPI
– –
-333
Closed -$1K
TDW.WS.A
2005
DELISTED
Tidewater Inc. Series A Warrants to purchase shares of common stock (expiring July 31, 2023)
TDW.WS.A
$0 ﹤0.01%
10
– –
TDW.WS.B
2006
DELISTED
Tidewater Inc. Series B Warrants to purchase shares of common stock (expiring July 31, 2023)
TDW.WS.B
$0 ﹤0.01%
11
– –
SI
2007
DELISTED
Silvergate Capital Corporation
SI
$0 ﹤0.01%
+2
New +$214
OIG
2008
DELISTED
Orbital Infrastructure Group, Inc. Common Stock
OIG
$0 ﹤0.01%
1
– –
LHCG
2009
DELISTED
LHC Group LLC
LHCG
$0 ﹤0.01%
+1
New +$188
IGACU
2010
DELISTED
IG Acquisition Corp. Unit
IGACU
– –
-100
Closed -$1K
TEN
2011
DELISTED
Tenneco Inc. Class A Voting Common Stock
TEN
$0 ﹤0.01%
30
– –
TMBR
2012
DELISTED
Timber Pharmaceuticals, Inc.
TMBR
$0 ﹤0.01%
4
– –
RJN
2013
DELISTED
AB Svensk Ekportkredit ELEMENTS Linked to the Rogers International Commodity Index-Energy Total Return
RJN
$0 ﹤0.01%
+28
New +$68
CHNG
2014
DELISTED
Change Healthcare Inc. Common Stock
CHNG
$0 ﹤0.01%
+14
New +$305
NP
2015
DELISTED
Neenah, Inc. Common Stock
NP
– –
-17
Closed -$1K
SRGA
2016
DELISTED
Surgalign Holdings, Inc. Common Stock
SRGA
$0 ﹤0.01%
3
– –
EPAY
2017
DELISTED
Bottomline Technologies Inc
EPAY
$0 ﹤0.01%
+3
New +$121
EVFM
2018
DELISTED
Evofem Biosciences, Inc. Common Stock
EVFM
$0 ﹤0.01%
1
– –
MYC
2019
DELISTED
Blackrock Muni Yield California Fund, Inc.
MYC
– –
-7,000
Closed -$108K
RVI
2020
DELISTED
Retail Value Inc. Common Shares
RVI
$0 ﹤0.01%
109
– –
VNE
2021
DELISTED
Veoneer, Inc.
VNE
$0 ﹤0.01%
12
– –
RRD
2022
DELISTED
RR Donnelley & Sons Co.
RRD
$0 ﹤0.01%
23
– –
JAX
2023
DELISTED
J. Alexander's Holdings, Inc.
JAX
– –
-88
Closed -$1K
MXIM
2024
DELISTED
Maxim Integrated Products
MXIM
– –
-2,131
Closed -$225K
USCR
2025
DELISTED
U S Concrete, Inc.
USCR
– –
-409
Closed -$30K
78 79 80
81
82

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Allworth Financial's Q3 2021 Portfolio in Review

As of Q3 2021, Allworth Financial held 2,035 positions worth $5.99B, up 11% from $5.41B the previous quarter. Its ten largest holdings account for 61% of the portfolio.

Allworth Financial deployed $639M of net new capital in Q3 2021, opening 426 new positions and adding to 743 existing holdings. Its largest new stake was Dimensional World ex US Core Equity 2 ETF: 1,003,454 shares worth $26M.

By sector, the portfolio is most concentrated in Technology at 2% of assets, up from 1.6% a quarter earlier, followed by Financials and Communication Services.

On the sell side, the largest reduction was State Street SPDR ICE Preferred Securities ETF, an estimated $17.2M trimmed.

  • Allworth Financial's largest Q3 2021 buy was Dimensional World ex US Core Equity 2 ETF: 1,003,454 shares worth $26M.
  • Allworth Financial added most to Vanguard Morningstar Mid-Cap ETF in Q3 2021, an estimated $76.3M increase.
  • Allworth Financial's biggest Q3 2021 reduction was State Street SPDR ICE Preferred Securities ETF, cutting an estimated $17.2M.
  • Allworth Financial fully exited CorVel in Q3 2021, selling an estimated $320K.
  • Allworth Financial's ten largest holdings make up 61% of its $5.99B portfolio in Q3 2021.
  • Allworth Financial opened 426 new positions and closed 46 in Q3 2021.
  • Allworth Financial's portfolio value rose 11% quarter-over-quarter to $5.99B.

Based on Allworth Financial's 13F filing for Q3 2021, filed 2 Nov 2021.