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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
IDU icon
451
iShares US Utilities ETF
IDU
$1.35B
$3.91K ﹤0.01%
53
– –
VOT icon
452
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$19.7B
$3.9K ﹤0.01%
20
– –
RSPM icon
453
Invesco S&P 500 Equal Weight Materials ETF
RSPM
$186M
$3.88K ﹤0.01%
125
– –
SCHP icon
454
Schwab US TIPS ETF
SCHP
$16.2B
$3.48K ﹤0.01%
138
– –
ISTB icon
455
iShares Core 1-5 Year USD Bond ETF
ISTB
$5.12B
$3.48K ﹤0.01%
75
– –
VNQI icon
456
Vanguard Global ex-US Real Estate ETF
VNQI
$3.52B
$3.46K ﹤0.01%
89
– –
RSPT icon
457
Invesco S&P 500 Equal Weight Technology ETF
RSPT
$5.86B
$2.81K ﹤0.01%
100
– –
VGK icon
458
Vanguard FTSE Europe ETF
VGK
$31B
$2.78K ﹤0.01%
48
– –
IYF icon
459
iShares US Financials ETF
IYF
$4.4B
$2.24K ﹤0.01%
30
– –
XBI icon
460
State Street SPDR S&P Biotech ETF
XBI
$10.4B
$1.9K ﹤0.01%
26
– –
DIM icon
461
WisdomTree International MidCap Dividend Fund
DIM
$168M
$1.63K ﹤0.01%
29
– –
ILTB icon
462
iShares Core 10+ Year USD Bond ETF
ILTB
$591M
$1.56K ﹤0.01%
33
– –
DLS icon
463
WisdomTree International SmallCap Dividend Fund
DLS
$1.07B
$1.55K ﹤0.01%
27
– –
VPL icon
464
Vanguard FTSE Pacific ETF
VPL
$8.36B
$1.54K ﹤0.01%
23
– –
IFLN
465
Invesco Bloomberg Enhanced Fallen Angels ETF
IFLN
$306M
$1.54K ﹤0.01%
90
– –
REMX icon
466
VanEck Rare Earth/Strategic Metals ETF
REMX
$2.3B
$1.33K ﹤0.01%
20
– –
POTX
467
DELISTED
Global X Cannabis ETF
POTX
$1.07K ﹤0.01%
161
+1
+0.6% +$7
REZ icon
468
iShares Residential and Multisector Real Estate ETF
REZ
$860M
$989 ﹤0.01%
15
– –
PGHY icon
469
Invesco Global ex-US High Yield Corporate Bond ETF
PGHY
$227M
$623 ﹤0.01%
33
– –
SCHA icon
470
Schwab U.S Small- Cap ETF
SCHA
$23B
$580 ﹤0.01%
28
-38
-58% -$834
FNDF icon
471
Schwab Fundamental International Large Company Index ETF
FNDF
$25.5B
$443 ﹤0.01%
14
– –
KBWY icon
472
Invesco KBW Premium Yield Equity REIT ETF
KBWY
$305M
$437 ﹤0.01%
25
– –
SRVR icon
473
Pacer Data & Infrastructure Real Estate ETF
SRVR
$378M
$415 ﹤0.01%
16
– –
EDV icon
474
Vanguard World Funds Extended Duration ETF
EDV
$3.46B
$280 ﹤0.01%
+4
New +$314
XMVM icon
475
Invesco S&P MidCap Value with Momentum ETF
XMVM
$504M
$46 ﹤0.01%
1
– –
17 18
19
20 21

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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
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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.