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EFS

Essex Financial Services Portfolio holdings

AUM $2.01B
1-Year Est. Return 31.39%
This Fund
S&P 500
This Quarter Est. Return
+1.41%
1 Year Est. Return
+31.39%
3 Year Est. Return
+87.7%
5 Year Est. Return
+120.01%
10 Year Est. Return
+431.03%
AUM
$306M
AUM Growth
+$10.5M
Cap. Flow
+$10.6M
Cap. Flow %
3.46%
Top 10 Hldgs %
27.86%
Holding
307
New
26
Increased
112
Reduced
74
Closed
20

Top Buys

Rank Stock Value
1
PKW icon
Invesco BuyBack Achievers ETF
PKW
+$796K
2
JPM icon
JPMorgan Chase
JPM
+$721K
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$647K
4
TD icon
Toronto Dominion Bank
TD
+$471K
5
IBB icon
iShares Biotechnology ETF
IBB
+$408K

Top Sells

Rank Stock Value
1
IBM icon
IBM
IBM
+$667K
2
VOD icon
Vodafone
VOD
+$404K
3
CVX icon
Chevron
CVX
+$396K
4
EDIV icon
State Street SPDR S&P Emerging Markets Dividend ETF
EDIV
+$394K
5
ACAS
American Capital Ltd
ACAS
+$313K

Sector Composition

Rank Sector Weight
1 Healthcare 14.96%
2 Energy 14.81%
3 Financials 14.74%
4 Industrials 13.49%
5 Consumer Staples 9.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BFK
276
DELISTED
BlackRock Municipal Income Trust
BFK
$172K 0.06%
12,900
– –
NRK icon
277
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$918M
$167K 0.05%
+13,082
New +$165K
MMU
278
Western Asset Managed Municipals Fund
MMU
$551M
$159K 0.05%
+12,444
New +$157K
PSEC icon
279
Prospect Capital
PSEC
$1.15B
$131K 0.04%
+12,166
New +$135K
ICCC icon
280
ImmuCell
ICCC
$99.3M
$114K 0.04%
23,776
– –
OGE icon
281
OGE Energy
OGE
$9.69B
$110K 0.04%
10,000
– –
OCSL icon
282
Oaktree Specialty Lending
OCSL
$1.12B
$105K 0.03%
3,707
– –
CXH
283
DELISTED
MFS Investment Grade Municipal Trust
CXH
$102K 0.03%
11,380
– –
TRST
284
Trustco Bank Corp NY
TRST
$963M
$98K 0.03%
2,796
– –
MFIC icon
285
MidCap Financial Investment
MFIC
$795M
$89K 0.03%
3,583
– –
PLAG icon
286
Planet Green Holdings
PLAG
$17.1M
$54K 0.02%
+180
New +$47.9K
UEC icon
287
Uranium Energy
UEC
$5.62B
$19K 0.01%
14,200
– –
DDD icon
288
3D Systems Corp
DDD
$603M
– –
-2,188
Closed -$203K
EDIV icon
289
State Street SPDR S&P Emerging Markets Dividend ETF
EDIV
$1.22B
– –
-10,093
Closed -$394K
LQD icon
290
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$32.7B
– –
-2,086
Closed -$238K
RIG icon
291
Transocean
RIG
$6.37B
– –
-4,402
Closed -$218K
SAN icon
292
Banco Santander
SAN
$211B
– –
-12,253
Closed -$101K
SIRI icon
293
SiriusXM
SIRI
$9.59B
– –
-5,180
Closed -$181K
TNK icon
294
Teekay Tankers
TNK
$2.81B
– –
-2,071
Closed -$65K
UPS icon
295
United Parcel Service
UPS
$88.4B
– –
-2,023
Closed -$213K
XLP icon
296
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.7B
– –
-5,042
Closed -$217K
CGRN
297
DELISTED
Capstone Green Energy Corporation Common Stock
CGRN
– –
-155
Closed -$40K
MIC
298
DELISTED
Macquarie Infrastructure Holdings, LLC
MIC
– –
-3,900
Closed -$212K
KSU
299
DELISTED
Kansas City Southern
KSU
– –
-2,100
Closed -$260K
WFT
300
DELISTED
Weatherford International plc
WFT
– –
-10,230
Closed -$158K
9 10 11
12
13

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MYAM
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LGM
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RCM
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BGM
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AF
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CAM
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SC
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Essex Financial Services's Q1 2014 Portfolio in Review

As of Q1 2014, Essex Financial Services held 307 positions worth $306M, up 3.5% from $296M the previous quarter. Its ten largest holdings account for 28% of the portfolio.

Essex Financial Services deployed $10.6M of net new capital in Q1 2014, opening 26 new positions and adding to 112 existing holdings. Its largest new stake was Invesco FTSE RAFI US 1000 ETF: 39,325 shares worth $666K.

By sector, the portfolio is most concentrated in Healthcare at 15% of assets, up from 14% a quarter earlier, followed by Energy and Financials.

On the sell side, the largest reduction was IBM, an estimated $667K trimmed.

  • Essex Financial Services's largest Q1 2014 buy was Invesco FTSE RAFI US 1000 ETF: 39,325 shares worth $666K.
  • Essex Financial Services added most to Invesco BuyBack Achievers ETF in Q1 2014, an estimated $796K increase.
  • Essex Financial Services's biggest Q1 2014 reduction was IBM, cutting an estimated $667K.
  • Essex Financial Services fully exited State Street SPDR S&P Emerging Markets Dividend ETF in Q1 2014, selling an estimated $394K.
  • Essex Financial Services's ten largest holdings make up 28% of its $306M portfolio in Q1 2014.
  • Essex Financial Services opened 26 new positions and closed 20 in Q1 2014.
  • Essex Financial Services's portfolio value rose 3.5% quarter-over-quarter to $306M.

Based on Essex Financial Services's 13F filing for Q1 2014, filed 8 May 2014.