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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
+5%
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
$7.05B
AUM Growth
+$1.06B
Cap. Flow
+$767M
Cap. Flow %
10.88%
Top 10 Hldgs %
58.04%
Holding
2,228
New
242
Increased
704
Reduced
404
Closed
148

Top Buys

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$85.2M
2
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$70.5M
3
BND icon
Vanguard Total Bond Market
BND
+$66.2M
4
VOT icon
Vanguard Morningstar Mid-Cap Growth ETF
VOT
+$46.2M
5
BSV icon
Vanguard Short-Term Bond ETF
BSV
+$38.2M

Top Sells

Rank Stock Value
1
IJJ icon
iShares S&P Mid-Cap 400 Value ETF
IJJ
+$45.1M
2
SPSM icon
State Street SPDR Portfolio S&P 600 Small Cap ETF
SPSM
+$25.1M
3
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$11M
4
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$8.19M
5
IWM icon
iShares Russell 2000 ETF
IWM
+$4.86M

Sector Composition

Rank Sector Weight
1 Technology 2.17%
2 Financials 0.93%
3 Consumer Discretionary 0.63%
4 Healthcare 0.61%
5 Communication Services 0.6%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RVI
2201
DELISTED
Retail Value Inc. Common Shares
RVI
$0 ﹤0.01%
21
-88
-81% -$250
VNE
2202
DELISTED
Veoneer, Inc.
VNE
$0 ﹤0.01%
12
– –
RRD
2203
DELISTED
RR Donnelley & Sons Co.
RRD
$0 ﹤0.01%
23
– –
PAVMW
2204
DELISTED
PAVmed Inc. Warrant
PAVMW
– –
-400
Closed -$1K
YSAC.U
2205
DELISTED
Yellowstone Acquisition Company Units, each consisting of one share of Class A common stock and one-
YSAC.U
– –
-100
Closed -$1K
BMTC
2206
DELISTED
Bryn Mawr Bank Corp
BMTC
$0 ﹤0.01%
+9
New +$423
ADXS
2207
DELISTED
Advaxis Inc
ADXS
– –
-6,666
Closed -$3K
FLGE
2208
DELISTED
Credit Suisse FI Large Cap Growth Enhanced Exchange Traded Notes
FLGE
– –
-623
Closed -$438K
KSU
2209
DELISTED
Kansas City Southern
KSU
– –
-757
Closed -$205K
HRC
2210
DELISTED
HILL-ROM HOLDINGS, INC.
HRC
– –
-5
Closed -$1K
CXP
2211
DELISTED
COLUMBIA PROPERTY TRUST, INC.
CXP
– –
-9,188
Closed -$175K
RAVN
2212
DELISTED
Raven Industries Inc
RAVN
– –
-365
Closed -$21K
RTPYU
2213
DELISTED
Reinvent Technology Partners Y Unit
RTPYU
– –
-160
Closed -$2K
RPAI
2214
DELISTED
RETAIL PROPERTIES OF AMERICA, INC.
RPAI
– –
-2,827
Closed -$36K
BOWXW
2215
DELISTED
BowX Acquisition Corp. Warrant
BOWXW
– –
-10,050
Closed -$21K
CLDR
2216
DELISTED
Cloudera, Inc.
CLDR
– –
-937
Closed -$15K
IEC
2217
DELISTED
IEC Electronics Corp.
IEC
– –
-282
Closed -$4K
BOCH
2218
DELISTED
Bank of Commerce Holdings (CA)
BOCH
– –
-10,387
Closed -$158K
VER
2219
DELISTED
VEREIT, Inc.
VER
– –
-4
Closed –
CEI
2220
DELISTED
Camber Energy, Inc
CEI
– –
-80
Closed -$15K
DISH
2221
DELISTED
DISH Network Corp.
DISH
$0 ﹤0.01%
6
-261
-98% -$9.72K
IBDM
2222
DELISTED
iShares iBonds Dec 2021 Term Corporate ETF
IBDM
– –
-193,214
Closed -$4.78M
IBMJ
2223
DELISTED
iShares iBonds Dec 2021 Term Muni Bond ETF
IBMJ
– –
-900
Closed -$23K
JTA
2224
DELISTED
Nuveen Tax-Advantaged Total Return Strategy Fund
JTA
– –
-439
Closed -$5K
CMO
2225
DELISTED
Capstead Mortgage Corp.
CMO
– –
-4,194
Closed -$28K
86 87 88
89
90

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SC
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Allworth Financial's Q4 2021 Portfolio in Review

As of Q4 2021, Allworth Financial held 2,228 positions worth $7.05B, up 18% from $5.99B the previous quarter. Its ten largest holdings account for 58% of the portfolio.

Allworth Financial deployed $767M of net new capital in Q4 2021, opening 242 new positions and adding to 704 existing holdings. Its largest new stake was IQ ARB Merger Arbitrage ETF: 444,456 shares worth $14.3M.

By sector, the portfolio is most concentrated in Technology at 2.2% of assets, up from 2% a quarter earlier, followed by Financials and Consumer Discretionary.

On the sell side, the largest reduction was iShares S&P Mid-Cap 400 Value ETF, an estimated $45.1M trimmed.

  • Allworth Financial's largest Q4 2021 buy was IQ ARB Merger Arbitrage ETF: 444,456 shares worth $14.3M.
  • Allworth Financial added most to iShares Core S&P 500 ETF in Q4 2021, an estimated $85.2M increase.
  • Allworth Financial's biggest Q4 2021 reduction was iShares S&P Mid-Cap 400 Value ETF, cutting an estimated $45.1M.
  • Allworth Financial fully exited iShares iBonds Dec 2021 Term Corporate ETF in Q4 2021, selling an estimated $4.78M.
  • Allworth Financial's ten largest holdings make up 58% of its $7.05B portfolio in Q4 2021.
  • Allworth Financial opened 242 new positions and closed 148 in Q4 2021.
  • Allworth Financial's portfolio value rose 18% quarter-over-quarter to $7.05B.

Based on Allworth Financial's 13F filing for Q4 2021, filed 21 Jan 2022.