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Cape Investment Advisory Portfolio holdings

AUM $374M
1-Year Est. Return 21.53%
This Fund
S&P 500
This Quarter Est. Return
+10.19%
1 Year Est. Return
+21.53%
3 Year Est. Return
+65.19%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$205M
AUM Growth
+$28.1M
Cap. Flow
+$10.5M
Cap. Flow %
5.14%
Top 10 Hldgs %
38.12%
Holding
1,232
New
304
Increased
322
Reduced
185
Closed
99

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$2.1M
2
BIL icon
State Street SPDR Bloomberg 1-3 Month T-Bill ETF
BIL
+$1.36M
3
CMG icon
Chipotle Mexican Grill
CMG
+$832K
4
SCHY icon
Schwab International Dividend Equity ETF
SCHY
+$616K
5
POCT icon
Innovator US Equity Power Buffer ETF October
POCT
+$613K

Top Sells

Rank Stock Value
1
VUG icon
Vanguard Morningstar Growth ETF
VUG
+$735K
2
QQQ icon
Invesco QQQ Trust
QQQ
+$632K
3
GFEB icon
FT Vest US Equity Moderate Buffer ETF February
GFEB
+$610K
4
XOM icon
ExxonMobil
XOM
+$554K
5
TSOC
Innovator Triple Stacker ETF - October
TSOC
+$482K

Sector Composition

Rank Sector Weight
1 Technology 10.29%
2 Financials 7.18%
3 Consumer Discretionary 5.59%
4 Communication Services 5.48%
5 Healthcare 5.2%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OPTT icon
1101
Ocean Power Technologies
OPTT
$49.9M
$158 ﹤0.01%
500
– –
PHT
1102
DELISTED
Pioneer High Income Fund
PHT
$157 ﹤0.01%
+22
New +$153
CGC
1103
Canopy Growth
CGC
$410M
$153 ﹤0.01%
30
-1
-3% -$6
SNDL icon
1104
Sundial Growers
SNDL
$320M
$151 ﹤0.01%
92
– –
EFR
1105
Eaton Vance Senior Floating-Rate Fund
EFR
$317M
$139 ﹤0.01%
+11
New +$134
EBND icon
1106
State Street SPDR Bloomberg Emerging Markets Local Bond ETF
EBND
$2.29B
$127 ﹤0.01%
6
– –
ONEQ icon
1107
Fidelity Nasdaq Composite Index ETF
ONEQ
$10.9B
$119 ﹤0.01%
2
– –
SUNW
1108
DELISTED
Sunworks, Inc.
SUNW
$117 ﹤0.01%
500
– –
HPS
1109
John Hancock Preferred Income Fund III
HPS
$458M
$113 ﹤0.01%
+8
New +$104
NOTE
1110
DELISTED
FiscalNote
NOTE
$113 ﹤0.01%
+8
New +$132
GTX icon
1111
Garrett Motion
GTX
$5.57B
$106 ﹤0.01%
11
– –
IONS icon
1112
Ionis Pharmaceuticals
IONS
$9.4B
$101 ﹤0.01%
2
-4
-67% -$192
AMC icon
1113
AMC Entertainment Holdings
AMC
$2.31B
$98 ﹤0.01%
16
– –
TDAY
1114
USA Today Co
TDAY
$1.06B
$90 ﹤0.01%
39
– –
EFT
1115
Eaton Vance Floating-Rate Income Trust
EFT
$288M
$88 ﹤0.01%
+7
New +$85
NUGT icon
1116
Direxion Daily Gold Miners Index Bull 2X ETF
NUGT
$1.21B
$70 ﹤0.01%
2
– –
SPIR icon
1117
Spire Global
SPIR
$555M
$70 ﹤0.01%
+9
New +$46
AFMD
1118
DELISTED
Affimed
AFMD
$63 ﹤0.01%
10
– –
WKHS icon
1119
Workhorse Group
WKHS
$36.3M
– –
0
– –
ACB
1120
Aurora Cannabis
ACB
$185M
$45 ﹤0.01%
10
– –
BPT
1121
DELISTED
BP Prudhoe Bay Royalty Trust
BPT
$40 ﹤0.01%
16
– –
VBIV
1122
DELISTED
VBI Vaccines, Inc. New Common Stock (Canada)
VBIV
$39 ﹤0.01%
+66
New +$40
CLOV icon
1123
Clover Health Investments
CLOV
$2.51B
$24 ﹤0.01%
25
– –
TORO icon
1124
Toro Corp
TORO
$191M
$20 ﹤0.01%
4
– –
CTRM icon
1125
Castor Maritime
CTRM
$19.7M
$19 ﹤0.01%
5
– –
43 44
45
46 47

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HPM
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CAG
Compass Advisory Group Melville, New York $374M AUM 14.59% 1-Year Est. Return
LWMNY
Landmark Wealth Management (New York) Melville, New York $373M AUM 12.01% 1-Year Est. Return
CIM
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BHC
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HPC
Highland Peak Capital Old Greenwich, Connecticut $373M AUM 80.02% 1-Year Est. Return
JC
Joho Capital New York $373M AUM 18.89% 1-Year Est. Return

Cape Investment Advisory's Q4 2023 Portfolio in Review

As of Q4 2023, Cape Investment Advisory held 1,232 positions worth $205M, up 16% from $176M the previous quarter. Its ten largest holdings account for 38% of the portfolio.

Cape Investment Advisory deployed $10.5M of net new capital in Q4 2023, opening 304 new positions and adding to 322 existing holdings. Its largest new stake was Thornburg Income Builder Opportunities Trust: 24,627 shares worth $382K.

By sector, the portfolio is most concentrated in Technology at 10% of assets, up from 8.5% a quarter earlier, followed by Financials and Consumer Discretionary.

On the sell side, the largest reduction was Vanguard Morningstar Growth ETF, an estimated $735K trimmed.

  • Cape Investment Advisory's largest Q4 2023 buy was Thornburg Income Builder Opportunities Trust: 24,627 shares worth $382K.
  • Cape Investment Advisory added most to Apple in Q4 2023, an estimated $2.1M increase.
  • Cape Investment Advisory's biggest Q4 2023 reduction was Vanguard Morningstar Growth ETF, cutting an estimated $735K.
  • Cape Investment Advisory fully exited FT Vest US Equity Moderate Buffer ETF February in Q4 2023, selling an estimated $610K.
  • Cape Investment Advisory's ten largest holdings make up 38% of its $205M portfolio in Q4 2023.
  • Cape Investment Advisory opened 304 new positions and closed 99 in Q4 2023.
  • Cape Investment Advisory's portfolio value rose 16% quarter-over-quarter to $205M.

Based on Cape Investment Advisory's 13F filing for Q4 2023, filed 12 Feb 2024.