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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
+12.99%
1 Year Est. Return
+21.03%
3 Year Est. Return
+89.86%
5 Year Est. Return
+102.11%
10 Year Est. Return
–
AUM
$1.46B
AUM Growth
+$291M
Cap. Flow
+$171M
Cap. Flow %
11.71%
Top 10 Hldgs %
20.31%
Holding
753
New
127
Increased
325
Reduced
237
Closed
39

Top Buys

Rank Stock Value
1
SPIP icon
State Street SPDR Portfolio TIPS ETF
SPIP
+$19.8M
2
XLY icon
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
+$15.8M
3
RWR icon
State Street SPDR Dow Jones REIT ETF
RWR
+$13.4M
4
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$11.2M
5
SPMB icon
State Street SPDR Portfolio Mortgage Backed Bond ETF
SPMB
+$10.1M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$29.8M
2
SCHZ icon
Schwab US Aggregate Bond ETF
SCHZ
+$25.4M
3
SCHO icon
Schwab Short-Term US Treasury ETF
SCHO
+$14.8M
4
VGSH icon
Vanguard Short-Term Treasury ETF
VGSH
+$12M
5
XLP icon
State Street Consumer Staples Select Sector SPDR ETF
XLP
+$7.14M

Sector Composition

Rank Sector Weight
1 Technology 10.4%
2 Consumer Discretionary 5.01%
3 Industrials 2.81%
4 Financials 2.61%
5 Healthcare 2.39%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FISV
726
CALL
Fiserv Inc
FISV
$28.2B
– –
-14,595
Closed -$1.5M
FSLY icon
727
CALL
Fastly Inc
FSLY
$4.54B
– –
-15,072
Closed -$1.54M
GRWG icon
728
CALL
GrowGeneration
GRWG
$107M
– –
-140,943
Closed -$2.28M
HTD
729
John Hancock Tax-Advantaged Dividend Income Fund
HTD
$900M
– –
-11,019
Closed -$211K
ILCG icon
730
iShares Morningstar Growth ETF
ILCG
$3.31B
– –
-4,995
Closed -$267K
ILMN icon
731
Illumina
ILMN
$29B
– –
-914
Closed -$275K
LULU icon
732
lululemon athletica
LULU
$13.7B
– –
-1,408
Closed -$464K
MNKD icon
733
MannKind Corp
MNKD
$1.21B
– –
-10,300
Closed -$19K
MRNA icon
734
CALL
Moderna
MRNA
$26B
– –
-8,976
Closed -$960K
NGL icon
735
NGL Energy Partners
NGL
$2.14B
– –
-13,685
Closed -$54K
PGX icon
736
Invesco Preferred ETF
PGX
$3.78B
– –
-14,180
Closed -$209K
QCOM icon
737
CALL
Qualcomm
QCOM
$175B
– –
-9,500
Closed -$1.5M
QEFA icon
738
State Street SPDR MSCI EAFE StrategicFactors ETF
QEFA
$1.08B
– –
-36,790
Closed -$2.27M
QVAL icon
739
Alpha Architect US Quantitative Value ETF
QVAL
$612M
– –
-9,661
Closed -$236K
RDIV icon
740
Invesco S&P Ultra Dividend Revenue ETF
RDIV
$1.4B
– –
-12,317
Closed -$331K
RIG icon
741
CALL
Transocean
RIG
$6.41B
– –
-31,297
Closed -$27K
SCHZ icon
742
Schwab US Aggregate Bond ETF
SCHZ
$10.6B
– –
-905,710
Closed -$25.4M
SHV icon
743
iShares 0-1 Year Treasury Bond ETF
SHV
$20.6B
– –
-2,035
Closed -$535K
SOR
744
Source Capital
SOR
$383M
– –
-5,787
Closed -$213K
SPHD icon
745
Invesco S&P 500 High Dividend Low Volatility ETF
SPHD
$3.42B
– –
-11,039
Closed -$365K
SPY icon
746
State Street SPDR S&P 500 ETF Trust
SPY
$815B
– –
-84,032
Closed -$29.8M
T icon
747
CALL
AT&T
T
$166B
– –
-178,004
Closed -$3.84M
TCPC icon
748
BlackRock TCP Capital
TCPC
$346M
– –
-10,343
Closed -$101K
WFC.PRL icon
749
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.67B
– –
-180
Closed -$242K
XEL icon
750
Xcel Energy
XEL
$49.4B
– –
-3,655
Closed -$252K
27 28 29
30
31

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WAM
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SAM
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KAH
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CWM
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AWM
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Financial Advocates Investment Management's Q4 2020 Portfolio in Review

As of Q4 2020, Financial Advocates Investment Management held 753 positions worth $1.46B, up 25% from $1.17B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Financial Advocates Investment Management deployed $171M of net new capital in Q4 2020, opening 127 new positions and adding to 325 existing holdings. Its largest new stake was State Street SPDR Portfolio TIPS ETF: 643,946 shares worth $20.2M.

By sector, the portfolio is most concentrated in Technology at 10% of assets, up from 9.9% a quarter earlier, followed by Consumer Discretionary and Industrials.

On the sell side, the largest reduction was Schwab Short-Term US Treasury ETF, an estimated $14.8M trimmed.

  • Financial Advocates Investment Management's largest Q4 2020 buy was State Street SPDR Portfolio TIPS ETF: 643,946 shares worth $20.2M.
  • Financial Advocates Investment Management added most to State Street Consumer Discretionary Select Sector SPDR ETF in Q4 2020, an estimated $15.8M increase.
  • Financial Advocates Investment Management's biggest Q4 2020 reduction was Schwab Short-Term US Treasury ETF, cutting an estimated $14.8M.
  • Financial Advocates Investment Management fully exited State Street SPDR S&P 500 ETF Trust in Q4 2020, selling an estimated $29.8M.
  • Financial Advocates Investment Management's ten largest holdings make up 20% of its $1.46B portfolio in Q4 2020.
  • Financial Advocates Investment Management opened 127 new positions and closed 39 in Q4 2020.
  • Financial Advocates Investment Management's portfolio value rose 25% quarter-over-quarter to $1.46B.

Based on Financial Advocates Investment Management's 13F filing for Q4 2020, filed 12 Feb 2021.