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FFA

Founders Financial Alliance Portfolio holdings

AUM $754M
1-Year Est. Return 27.39%
This Fund
S&P 500
This Quarter Est. Return
-3.77%
1 Year Est. Return
+27.39%
3 Year Est. Return
+84.94%
5 Year Est. Return
+101.53%
10 Year Est. Return
–
AUM
$229M
AUM Growth
-$25.1M
Cap. Flow
-$14.7M
Cap. Flow %
-6.42%
Top 10 Hldgs %
30.06%
Holding
523
New
15
Increased
85
Reduced
229
Closed
48

Top Buys

Rank Stock Value
1
GSBD icon
Goldman Sachs BDC
GSBD
+$336K
2
ETN icon
Eaton
ETN
+$274K
3
DUK icon
Duke Energy
DUK
+$260K
4
PNNT
Pennant Park Investment Corp
PNNT
+$232K
5
PCF
High Income Securities Fund
PCF
+$232K

Top Sells

Rank Stock Value
1
NLY icon
Annaly Capital Management
NLY
+$599K
2
BSV icon
Vanguard Short-Term Bond ETF
BSV
+$590K
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$512K
4
SO icon
Southern Company
SO
+$366K
5
AMZN icon
Amazon
AMZN
+$358K

Sector Composition

Rank Sector Weight
1 Technology 22.61%
2 Financials 9.2%
3 Healthcare 6.84%
4 Consumer Discretionary 5.98%
5 Consumer Staples 5.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PGX icon
351
Invesco Preferred ETF
PGX
$3.76B
$31.1K 0.01%
2,845
-258
-8% -$2.88K
BIL icon
352
State Street SPDR Bloomberg 1-3 Month T-Bill ETF
BIL
$46.7B
$30.9K 0.01%
336
-1,051
-76% -$96.3K
IJJ icon
353
iShares S&P Mid-Cap 400 Value ETF
IJJ
$8.99B
$30.1K 0.01%
298
-66
-18% -$7.05K
PCY icon
354
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.39B
$30.1K 0.01%
1,646
+14
+0.9% +$269
PGF icon
355
Invesco Financial Preferred ETF
PGF
$667M
$29.9K 0.01%
2,123
– –
IGIB icon
356
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$29.7K 0.01%
611
-565
-48% -$28.1K
BLV icon
357
Vanguard Long-Term Bond ETF
BLV
$5.69B
$29.3K 0.01%
437
– –
BND icon
358
Vanguard Total Bond Market
BND
$161B
$29.3K 0.01%
420
-256
-38% -$18.3K
SPLV icon
359
Invesco S&P 500 Low Volatility ETF
SPLV
$7.17B
$28.3K 0.01%
482
+6
+1% +$371
HPE icon
360
Hewlett Packard
HPE
$72.4B
$28K 0.01%
+1,612
New +$27.7K
IXG icon
361
iShares Global Financials ETF
IXG
$697M
$27.4K 0.01%
389
– –
EINC icon
362
VanEck Energy Income ETF
EINC
$78.5M
$27.4K 0.01%
421
-35
-8% -$2.29K
SHYG icon
363
iShares 0-5 Year High Yield Corporate Bond ETF
SHYG
$7.59B
$26.7K 0.01%
651
+9
+1% +$372
SLYV icon
364
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
$5.04B
$26.6K 0.01%
367
– –
GNOM icon
365
Global X Genomics & Biotechnology ETF
GNOM
$87.5M
$26.4K 0.01%
648
– –
XHB icon
366
State Street SPDR S&P Homebuilders ETF
XHB
$1.58B
$26.2K 0.01%
342
-2
-0.6% -$163
IEZ icon
367
iShares US Oil Equipment & Services ETF
IEZ
$383M
$25.7K 0.01%
1,069
– –
IAI icon
368
iShares US Broker-Dealers & Securities Exchanges ETF
IAI
$1.36B
$25.3K 0.01%
278
– –
SMLF icon
369
iShares US Small Cap Equity Factor ETF
SMLF
$4.28B
$25.2K 0.01%
487
– –
QUAL icon
370
iShares MSCI USA Quality Factor ETF
QUAL
$48.1B
$24.9K 0.01%
189
-1,548
-89% -$211K
NEAR icon
371
iShares Short Maturity Bond ETF
NEAR
$4.88B
$24.5K 0.01%
492
-27
-5% -$1.34K
IXN icon
372
iShares Global Tech ETF
IXN
$9.17B
$24.1K 0.01%
417
– –
VXF icon
373
Vanguard Extended Market ETF
VXF
$31.8B
$23.9K 0.01%
167
– –
HYMB icon
374
State Street SPDR Nuveen ICE High Yield Municipal Bond ETF
HYMB
$3.36B
$23.8K 0.01%
1,000
– –
TLT icon
375
iShares 20+ Year Treasury Bond ETF
TLT
$40.5B
$23.6K 0.01%
266
-74
-22% -$7.11K
13 14
15
16 17

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JGUA
John G. Ullman & Associates Corning, New York $754M AUM 60.05% 1-Year Est. Return
HCM
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FSCM
Front Street Capital Management Missoula, Montana $754M AUM 73.72% 1-Year Est. Return
RMC
Resources Management Corp West Hartford, Connecticut $753M AUM 20.77% 1-Year Est. Return
BEC
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GFM
GCQ Funds Management Sydney, Australia $753M AUM 2.76% 1-Year Est. Return
TPW
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MWA
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Founders Financial Alliance's Q3 2023 Portfolio in Review

As of Q3 2023, Founders Financial Alliance held 523 positions worth $229M, down 9.9% from $254M the previous quarter. Its ten largest holdings account for 30% of the portfolio.

Founders Financial Alliance withdrew a net $14.7M in Q3 2023, closing 48 positions and reducing 229 holdings. Its most notable exit was Annaly Capital Management, an estimated $599K position sold in full.

By sector, the portfolio is most concentrated in Technology at 23% of assets, down from 23% a quarter earlier, followed by Financials and Healthcare.

Against the trend, Founders Financial Alliance opened a new position in Goldman Sachs BDC worth $340K.

  • Founders Financial Alliance's largest Q3 2023 buy was Goldman Sachs BDC: 23,325 shares worth $340K.
  • Founders Financial Alliance added most to Eaton in Q3 2023, an estimated $274K increase.
  • Founders Financial Alliance's biggest Q3 2023 reduction was Vanguard Short-Term Bond ETF, cutting an estimated $590K.
  • Founders Financial Alliance fully exited Annaly Capital Management in Q3 2023, selling an estimated $599K.
  • Founders Financial Alliance's ten largest holdings make up 30% of its $229M portfolio in Q3 2023.
  • Founders Financial Alliance opened 15 new positions and closed 48 in Q3 2023.
  • Founders Financial Alliance's portfolio value fell 9.9% quarter-over-quarter to $229M.

Based on Founders Financial Alliance's 13F filing for Q3 2023, filed 13 Nov 2023.