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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
+2%
1 Year Est. Return
+10.52%
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$133M
AUM Growth
-$22.1M
Cap. Flow
-$24M
Cap. Flow %
-17.98%
Top 10 Hldgs %
34.97%
Holding
128
New
16
Increased
13
Reduced
68
Closed
26

Top Buys

Rank Stock Value
1
ACWI icon
iShares MSCI ACWI ETF
ACWI
+$3.37M
2
PGX icon
Invesco Preferred ETF
PGX
+$2.28M
3
VWOB icon
Vanguard Emerging Markets Government Bond ETF
VWOB
+$1.37M
4
USB icon
US Bancorp
USB
+$897K
5
DD icon
DuPont de Nemours
DD
+$833K

Top Sells

Rank Stock Value
1
META icon
Meta Platforms (Facebook)
META
+$4.03M
2
PFF icon
iShares Preferred and Income Securities ETF
PFF
+$2.7M
3
TBF icon
ProShares Short 20+ Year Treasury ETF
TBF
+$2.33M
4
VGK icon
Vanguard FTSE Europe ETF
VGK
+$2.26M
5
EMB icon
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
+$1.62M

Sector Composition

Rank Sector Weight
1 Technology 6.89%
2 Healthcare 5.88%
3 Financials 4.66%
4 Consumer Staples 3.82%
5 Industrials 3.49%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IEFA icon
101
iShares Core MSCI EAFE ETF
IEFA
$191B
$200K 0.15%
3,732
-334
-8% -$17.9K
MFG icon
102
Mizuho Financial
MFG
$125B
$75K 0.06%
+20,784
New +$72.4K
BTI icon
103
British American Tobacco
BTI
$128B
– –
-3,686
Closed -$235K
CAH icon
104
Cardinal Health
CAH
$55.2B
– –
-8,412
Closed -$654K
DUK icon
105
Duke Energy
DUK
$96.9B
– –
-2,636
Closed -$211K
EEM icon
106
iShares MSCI Emerging Markets ETF
EEM
$28.9B
– –
-5,644
Closed -$211K
EMB icon
107
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$14.6B
– –
-13,812
Closed -$1.62M
FDIS icon
108
Fidelity MSCI Consumer Discretionary Index ETF
FDIS
$1.72B
– –
-12,231
Closed -$385K
HYT icon
109
BlackRock Corporate High Yield Fund
HYT
$1.36B
– –
-10,137
Closed -$110K
IGSB icon
110
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$22.9B
– –
-8,254
Closed -$436K
KTF
111
DWS Municipal Income Trust
KTF
$347M
– –
-19,950
Closed -$281K
LYB icon
112
LyondellBasell Industries
LYB
$19.6B
– –
-12,261
Closed -$989K
META icon
113
Meta Platforms (Facebook)
META
$1.5T
– –
-31,422
Closed -$4.03M
PFF icon
114
iShares Preferred and Income Securities ETF
PFF
$13.3B
– –
-68,319
Closed -$2.7M
SJM icon
115
J.M. Smucker
SJM
$12.6B
– –
-5,246
Closed -$711K
SPLV icon
116
Invesco S&P 500 Low Volatility ETF
SPLV
$7.21B
– –
-5,704
Closed -$237K
TBF icon
117
ProShares Short 20+ Year Treasury ETF
TBF
$105M
– –
-111,003
Closed -$2.33M
TNL icon
118
Travel + Leisure Co
TNL
$4.72B
– –
-16,601
Closed -$505K
VGK icon
119
Vanguard FTSE Europe ETF
VGK
$30.8B
– –
-46,447
Closed -$2.26M
WFC icon
120
Wells Fargo
WFC
$266B
– –
-20,044
Closed -$888K
WLK icon
121
Westlake Corp
WLK
$8.95B
– –
-12,831
Closed -$686K
XLP icon
122
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.8B
– –
-7,072
Closed -$376K
XLRE icon
123
State Street Real Estate Select Sector SPDR ETF
XLRE
$8.63B
– –
-16,696
Closed -$547K
XLU icon
124
State Street Utilities Select Sector SPDR ETF
XLU
$22.9B
– –
-15,366
Closed -$376K
MCRO
125
DELISTED
IQ Hedge Macro Tracker
MCRO
– –
-30,236
Closed -$763K
2 3 4
5
6

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Cetera Investment Management's Q4 2016 Portfolio in Review

As of Q4 2016, Cetera Investment Management held 128 positions worth $133M, down 14% from $156M the previous quarter. Its ten largest holdings account for 35% of the portfolio.

Cetera Investment Management withdrew a net $24M in Q4 2016, closing 26 positions and reducing 68 holdings. Its most notable exit was Meta Platforms (Facebook), an estimated $4.03M position sold in full.

By sector, the portfolio is most concentrated in Technology at 6.9% of assets, up from 6.8% a quarter earlier, followed by Healthcare and Financials.

Against the trend, Cetera Investment Management opened a new position in Invesco Preferred ETF worth $2.23M.

  • Cetera Investment Management's largest Q4 2016 buy was Invesco Preferred ETF: 156,576 shares worth $2.23M.
  • Cetera Investment Management added most to iShares MSCI ACWI ETF in Q4 2016, an estimated $3.37M increase.
  • Cetera Investment Management's biggest Q4 2016 reduction was iShares MBS ETF, cutting an estimated $1.44M.
  • Cetera Investment Management fully exited Meta Platforms (Facebook) in Q4 2016, selling an estimated $4.03M.
  • Cetera Investment Management's ten largest holdings make up 35% of its $133M portfolio in Q4 2016.
  • Cetera Investment Management opened 16 new positions and closed 26 in Q4 2016.
  • Cetera Investment Management's portfolio value fell 14% quarter-over-quarter to $133M.

Based on Cetera Investment Management's 13F filing for Q4 2016, filed 13 Feb 2017.