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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
+8.56%
1 Year Est. Return
+21.03%
3 Year Est. Return
+89.86%
5 Year Est. Return
+102.11%
10 Year Est. Return
–
AUM
$1.17B
AUM Growth
+$117M
Cap. Flow
+$45.5M
Cap. Flow %
3.88%
Top 10 Hldgs %
22.31%
Holding
703
New
97
Increased
237
Reduced
263
Closed
77

Top Buys

Rank Stock Value
1
SPYM
State Street SPDR Portfolio S&P 500 ETF
SPYM
+$25.2M
2
GLD icon
SPDR Gold Trust
GLD
+$23.8M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$21M
4
AMZN icon
Amazon
AMZN
+$18.6M
5
SCHZ icon
Schwab US Aggregate Bond ETF
SCHZ
+$10.9M

Top Sells

Rank Stock Value
1
EDV icon
Vanguard World Funds Extended Duration ETF
EDV
+$9.76M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$6.58M
3
DIS icon
Walt Disney
DIS
+$5M
4
ILCG icon
iShares Morningstar Growth ETF
ILCG
+$4.04M
5
T icon
AT&T
T
+$3.75M

Sector Composition

Rank Sector Weight
1 Technology 9.9%
2 Consumer Discretionary 4.47%
3 Industrials 2.56%
4 Healthcare 2.33%
5 Financials 2.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BMY.RT
601
DELISTED
Bristol-Myers Squibb Company Contingent Value Rights
BMY.RT
$156K 0.01%
+69,012
New +$197K
ZUO
602
DELISTED
Zuora, Inc.
ZUO
$140K 0.01%
13,575
+1,350
+11% +$15.6K
BOE icon
603
BlackRock Enhanced Global Dividend Trust
BOE
$693M
$138K 0.01%
14,456
– –
KEY icon
604
KeyCorp
KEY
$24.6B
$134K 0.01%
+11,220
New +$137K
MHI
605
DELISTED
Pioneer Municipal High Income Fund
MHI
$132K 0.01%
11,408
-2,473
-18% -$29.1K
CHY
606
Calamos Convertible and High Income Fund
CHY
$1.08B
$131K 0.01%
+11,206
New +$133K
SAND
607
DELISTED
Sandstorm Gold
SAND
$120K 0.01%
+14,250
New +$132K
PMM
608
Franklin Managed Municipal Income Trust
PMM
$272M
$118K 0.01%
15,464
– –
ERIC icon
609
Ericsson
ERIC
$33.4B
$113K 0.01%
10,420
– –
BGR icon
610
BlackRock Energy and Resources Trust
BGR
$426M
$111K 0.01%
18,576
-15,847
-46% -$109K
TCPC icon
611
BlackRock TCP Capital
TCPC
$350M
$101K 0.01%
10,343
– –
HL icon
612
Hecla Mining
HL
$11.8B
$97K 0.01%
19,148
-5,498
-22% -$29.1K
BDJ icon
613
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.76B
$84K 0.01%
+11,503
New +$85.7K
GEL icon
614
Genesis Energy
GEL
$1.93B
$81K 0.01%
18,071
– –
SIRI icon
615
SiriusXM
SIRI
$9.54B
$77K 0.01%
1,439
-6
-0.4% -$344
ET icon
616
Energy Transfer Partners
ET
$72.4B
$76K 0.01%
14,121
-3,849
-21% -$24.4K
NGL icon
617
NGL Energy Partners
NGL
$2.15B
$54K ﹤0.01%
13,685
+2,100
+18% +$8.62K
ASAP
618
DELISTED
Waitr Holdings Inc. Common Stock
ASAP
$40K ﹤0.01%
620
-207
-25% -$17.2K
MBII
619
DELISTED
Marrone Bio Innovations, Inc.
MBII
$38K ﹤0.01%
+30,925
New +$37.6K
PAVM icon
620
PAVmed
PAVM
$32.2M
$35K ﹤0.01%
+44
New +$39.1K
RIG icon
621
CALL
Transocean
RIG
$6.38B
$27K ﹤0.01%
31,297
-10,141
-24% -$16.6K
MNKD icon
622
MannKind Corp
MNKD
$1.19B
$19K ﹤0.01%
10,300
– –
VTGN icon
623
VistaGen Therapeutics
VTGN
$11.6M
$16K ﹤0.01%
770
– –
DCOY
624
Decoy Therapeutics
DCOY
$1.91M
– –
0
– –
MTNB icon
625
Matinas BioPharma
MTNB
$1.49M
$8K ﹤0.01%
200
– –
23 24
25
26 27

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Financial Advocates Investment Management's Q3 2020 Portfolio in Review

As of Q3 2020, Financial Advocates Investment Management held 703 positions worth $1.17B, up 11% from $1.06B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Financial Advocates Investment Management deployed $45.5M of net new capital in Q3 2020, opening 97 new positions and adding to 237 existing holdings. Its largest new stake was SPDR Gold Trust: 132,385 shares worth $23.5M.

By sector, the portfolio is most concentrated in Technology at 9.9% of assets, up from 9.4% a quarter earlier, followed by Consumer Discretionary and Industrials.

On the sell side, the largest reduction was Vanguard World Funds Extended Duration ETF, an estimated $9.76M trimmed.

  • Financial Advocates Investment Management's largest Q3 2020 buy was SPDR Gold Trust: 132,385 shares worth $23.5M.
  • Financial Advocates Investment Management added most to State Street SPDR Portfolio S&P 500 ETF in Q3 2020, an estimated $25.2M increase.
  • Financial Advocates Investment Management's biggest Q3 2020 reduction was Vanguard World Funds Extended Duration ETF, cutting an estimated $9.76M.
  • Financial Advocates Investment Management fully exited Walt Disney in Q3 2020, selling an estimated $5M.
  • Financial Advocates Investment Management's ten largest holdings make up 22% of its $1.17B portfolio in Q3 2020.
  • Financial Advocates Investment Management opened 97 new positions and closed 77 in Q3 2020.
  • Financial Advocates Investment Management's portfolio value rose 11% quarter-over-quarter to $1.17B.

Based on Financial Advocates Investment Management's 13F filing for Q3 2020, filed 4 Nov 2020.