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CIM

Cetera Investment Management Portfolio holdings

AUM $79.1M
1-Year Est. Return 10.52%
This Fund
S&P 500
This Quarter Est. Return
+3.05%
1 Year Est. Return
+10.52%
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$156M
AUM Growth
-$14.2M
Cap. Flow
-$18.7M
Cap. Flow %
-12.01%
Top 10 Hldgs %
32.89%
Holding
119
New
7
Increased
2
Reduced
97
Closed
7

Top Buys

Rank Stock Value
1
VFH icon
Vanguard Financials ETF
VFH
+$2.05M
2
HEFA icon
iShares Currency Hedged MSCI EAFE ETF
HEFA
+$1.95M
3
XLF icon
State Street Financial Select Sector SPDR ETF
XLF
+$1.72M
4
SJM icon
J.M. Smucker
SJM
+$770K
5
CAH icon
Cardinal Health
CAH
+$680K

Top Sells

Rank Stock Value
1
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$3.71M
2
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$2.75M
3
EMC
EMC CORPORATION
EMC
+$1.72M
4
SH icon
ProShares Short S&P500
SH
+$1.63M
5
MBB icon
iShares MBS ETF
MBB
+$673K

Sector Composition

Rank Sector Weight
1 Technology 6.84%
2 Healthcare 6.13%
3 Consumer Staples 4.02%
4 Financials 3.86%
5 Communication Services 3.72%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EFAV icon
101
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.42B
$268K 0.17%
3,955
-3,544
-47% -$238K
FDN icon
102
First Trust Dow Jones Internet Index Fund ETF
FDN
$5.33B
$248K 0.16%
3,041
-416
-12% -$32.4K
SPLV icon
103
Invesco S&P 500 Low Volatility ETF
SPLV
$7.21B
$237K 0.15%
5,704
-1,276
-18% -$54K
BTI icon
104
British American Tobacco
BTI
$128B
$235K 0.15%
3,686
-338
-8% -$21.4K
SUB icon
105
iShares Short-Term National Muni Bond ETF
SUB
$11.3B
$234K 0.15%
2,210
-1,979
-47% -$210K
VUG icon
106
Vanguard Morningstar Growth ETF
VUG
$225B
$227K 0.15%
12,144
– –
IEFA icon
107
iShares Core MSCI EAFE ETF
IEFA
$191B
$224K 0.14%
4,066
-8,908
-69% -$481K
XOM icon
108
ExxonMobil
XOM
$643B
$215K 0.14%
2,460
-858
-26% -$76.1K
DUK icon
109
Duke Energy
DUK
$96.9B
$211K 0.14%
2,636
– –
EEM icon
110
iShares MSCI Emerging Markets ETF
EEM
$28.9B
$211K 0.14%
5,644
-610
-10% -$22.3K
NTT
111
DELISTED
Nippon Telegraph & Telephone
NTT
$203K 0.13%
4,439
-368
-8% -$17.2K
HYT icon
112
BlackRock Corporate High Yield Fund
HYT
$1.36B
$110K 0.07%
10,137
– –
IWR icon
113
iShares Russell Mid-Cap ETF
IWR
$56.3B
– –
-4,812
Closed -$202K
OEFA
114
ALPS O'Shares International Developed Quality Dividend ETF
OEFA
$36.7M
– –
-9,406
Closed -$219K
PGX icon
115
Invesco Preferred ETF
PGX
$3.8B
– –
-15,500
Closed -$236K
SH icon
116
ProShares Short S&P500
SH
$914M
– –
-10,244
Closed -$1.63M
VCIT icon
117
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$66B
– –
-2,517
Closed -$225K
FIG
118
DELISTED
Fortress Investment Group Llc
FIG
– –
-10,000
Closed -$44K
EMC
119
DELISTED
EMC CORPORATION
EMC
– –
-63,385
Closed -$1.72M
1 2 3 4
5

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FCM
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TCM
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FHC
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KFS
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JRM
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SFA
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ACPVT
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Cetera Investment Management's Q3 2016 Portfolio in Review

As of Q3 2016, Cetera Investment Management held 119 positions worth $156M, down 8.4% from $170M the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Cetera Investment Management withdrew a net $18.7M in Q3 2016, closing 7 positions and reducing 97 holdings. Its most notable exit was EMC CORPORATION, an estimated $1.72M position sold in full.

By sector, the portfolio is most concentrated in Technology at 6.8% of assets, down from 7.4% a quarter earlier, followed by Healthcare and Consumer Staples.

Against the trend, Cetera Investment Management opened a new position in Vanguard Financials ETF worth $2.05M.

  • Cetera Investment Management's largest Q3 2016 buy was Vanguard Financials ETF: 41,606 shares worth $2.05M.
  • Cetera Investment Management added most to iShares Currency Hedged MSCI EAFE ETF in Q3 2016, an estimated $1.95M increase.
  • Cetera Investment Management's biggest Q3 2016 reduction was iShares iBoxx $ High Yield Corporate Bond ETF, cutting an estimated $3.71M.
  • Cetera Investment Management fully exited EMC CORPORATION in Q3 2016, selling an estimated $1.72M.
  • Cetera Investment Management's ten largest holdings make up 33% of its $156M portfolio in Q3 2016.
  • Cetera Investment Management opened 7 new positions and closed 7 in Q3 2016.
  • Cetera Investment Management's portfolio value fell 8.4% quarter-over-quarter to $156M.

Based on Cetera Investment Management's 13F filing for Q3 2016, filed 15 Nov 2016.