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FAIM

Financial Advocates Investment Management Portfolio holdings

AUM $178M
1-Year Est. Return 21.03%
This Fund
S&P 500
This Quarter Est. Return
+7.04%
1 Year Est. Return
+21.03%
3 Year Est. Return
+89.86%
5 Year Est. Return
+102.11%
10 Year Est. Return
–
AUM
$939M
AUM Growth
+$63.5M
Cap. Flow
-$327K
Cap. Flow %
-0.03%
Top 10 Hldgs %
23.03%
Holding
547
New
65
Increased
254
Reduced
160
Closed
38

Top Buys

Rank Stock Value
1
IVE icon
iShares S&P 500 Value ETF
IVE
+$3.59M
2
SPLV icon
Invesco S&P 500 Low Volatility ETF
SPLV
+$3.25M
3
PDP icon
Invesco Dorsey Wright Momentum ETF
PDP
+$2.58M
4
AMD icon
Advanced Micro Devices
AMD
+$2.46M
5
IEFA icon
iShares Core MSCI EAFE ETF
IEFA
+$2.39M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$21M
2
FTSM icon
First Trust Enhanced Short Maturity ETF
FTSM
+$12.2M
3
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$8.98M
4
FNY icon
First Trust Mid Cap Growth AlphaDEX Fund
FNY
+$8.41M
5
EFAV icon
iShares MSCI EAFE Min Vol Factor ETF
EFAV
+$6.12M

Sector Composition

Rank Sector Weight
1 Technology 7.61%
2 Consumer Discretionary 3.62%
3 Healthcare 2.73%
4 Financials 2.61%
5 Industrials 2.38%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ERIC icon
501
Ericsson
ERIC
$33.8B
$96K 0.01%
10,970
– –
MCN
502
Madison Covered Call & Equity Strategy Fund
MCN
$119M
$74K 0.01%
11,150
-8,350
-43% -$54K
NBSE
503
DELISTED
NeuBase Therapeutics, Inc. Common Stock
NBSE
$72K 0.01%
+500
New +$58.6K
ACB
504
Aurora Cannabis
ACB
$237M
$71K 0.01%
272
-15
-5% -$5.59K
DCOY
505
Decoy Therapeutics
DCOY
$1.92M
– –
-1
Closed -$160K
BMY.RT
506
DELISTED
Bristol-Myers Squibb Company Contingent Value Rights
BMY.RT
$39K ﹤0.01%
+12,725
New +$33.1K
JASN
507
DELISTED
Jason Industries, Inc.
JASN
$27K ﹤0.01%
+71,460
New +$18.6K
MTNB icon
508
Matinas BioPharma
MTNB
$1.52M
$23K ﹤0.01%
+200
New +$11.6K
NBRV
509
DELISTED
Nabriva Therapeutics plc Ordinary Shares Ireland
NBRV
$17K ﹤0.01%
+52
New +$23.9K
VTGN icon
510
VistaGen Therapeutics
VTGN
$11.7M
$16K ﹤0.01%
770
– –
ANGL icon
511
VanEck Fallen Angel High Yield Bond ETF
ANGL
$3.12B
– –
-32,812
Closed -$962K
ARCC icon
512
Ares Capital
ARCC
$14.4B
– –
-35,204
Closed -$1.39M
BIDU icon
513
Baidu
BIDU
$35.3B
– –
-1,946
Closed -$200K
BKNG icon
514
Booking.com
BKNG
$159B
– –
-3,000
Closed -$236K
BMY icon
515
CALL
Bristol-Myers Squibb
BMY
$131B
– –
-575
Closed -$640K
BOH icon
516
Bank of Hawaii
BOH
$3.14B
– –
-6,766
Closed -$581K
CWB icon
517
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.77B
– –
-5,108
Closed -$268K
DOW icon
518
Dow Inc
DOW
$22B
– –
-31,301
Closed -$882K
FAAR icon
519
First Trust Alternative Absolute Return Strategy ETF
FAAR
$198M
– –
-7,880
Closed -$206K
FNY icon
520
First Trust Mid Cap Growth AlphaDEX Fund
FNY
$606M
– –
-187,903
Closed -$8.41M
HL icon
521
Hecla Mining
HL
$12B
– –
-15,922
Closed -$28K
IMCG icon
522
iShares Morningstar Mid-Cap Growth ETF
IMCG
$4.18B
– –
-74,238
Closed -$3.01M
IQDF icon
523
FlexShares International Quality Dividend Index Fund
IQDF
$1.18B
– –
-2,576
Closed -$208K
LRGF icon
524
iShares US Equity Factor ETF
LRGF
$3.74B
– –
-57,584
Closed -$1.84M
LUMN icon
525
Lumen
LUMN
$6.48B
– –
-12,358
Closed -$154K
18 19 20
21
22

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Financial Advocates Investment Management's Q4 2019 Portfolio in Review

As of Q4 2019, Financial Advocates Investment Management held 547 positions worth $939M, up 7.2% from $876M the previous quarter. Its ten largest holdings account for 23% of the portfolio.

Financial Advocates Investment Management's Q4 2019 filing shows 65 new, 254 increased, 160 reduced and 38 closed positions. Its largest new stake was LPL Financial: 16,729 shares worth $1.54M. The largest sale was State Street SPDR S&P 500 ETF Trust, an estimated $21M.

By sector, the portfolio is most concentrated in Technology at 7.6% of assets, up from 6.5% a quarter earlier, followed by Consumer Discretionary and Healthcare.

  • Financial Advocates Investment Management's largest Q4 2019 buy was LPL Financial: 16,729 shares worth $1.54M.
  • Financial Advocates Investment Management added most to iShares S&P 500 Value ETF in Q4 2019, an estimated $3.59M increase.
  • Financial Advocates Investment Management's biggest Q4 2019 reduction was First Trust Enhanced Short Maturity ETF, cutting an estimated $12.2M.
  • Financial Advocates Investment Management fully exited State Street SPDR S&P 500 ETF Trust in Q4 2019, selling an estimated $21M.
  • Financial Advocates Investment Management's ten largest holdings make up 23% of its $939M portfolio in Q4 2019.
  • Financial Advocates Investment Management opened 65 new positions and closed 38 in Q4 2019.
  • Financial Advocates Investment Management's portfolio value rose 7.2% quarter-over-quarter to $939M.

Based on Financial Advocates Investment Management's 13F filing for Q4 2019, filed 13 Feb 2020.