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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
NLY icon
501
Annaly Capital Management
NLY
$17.3B
– –
-29,946
Closed -$599K
OXY icon
502
Occidental Petroleum
OXY
$58.6B
– –
-3,570
Closed -$210K
OXY.WS icon
503
Occidental Petroleum Corp Warrants
OXY.WS
$34.5B
– –
-454
Closed -$16.9K
PLD icon
504
Prologis
PLD
$132B
– –
-1,663
Closed -$204K
PNC icon
505
PNC Financial Services
PNC
$100B
– –
-2,245
Closed -$283K
QCOM icon
506
Qualcomm
QCOM
$170B
– –
-1,769
Closed -$211K
SO icon
507
Southern Company
SO
$105B
– –
-5,208
Closed -$366K
SPIB icon
508
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF
SPIB
$11.5B
– –
-435
Closed -$14K
SPLB icon
509
State Street SPDR Portfolio Long Term Corporate Bond ETF
SPLB
$1.18B
– –
-608
Closed -$14.1K
SPMB icon
510
State Street SPDR Portfolio Mortgage Backed Bond ETF
SPMB
$7.03B
– –
-5,223
Closed -$114K
SPSB icon
511
State Street SPDR Portfolio Short Term Corporate Bond ETF
SPSB
$10.8B
– –
-988
Closed -$29.1K
SPTI icon
512
State Street SPDR Portfolio Intermediate Term Treasury ETF
SPTI
$10.6B
– –
-1,032
Closed -$29.2K
SPTL icon
513
State Street SPDR Portfolio Long Term Treasury ETF
SPTL
$10.7B
– –
-469
Closed -$14K
TDIV icon
514
First Trust NASDAQ Technology Dividend Index Fund
TDIV
$4.42B
– –
-59
Closed -$3.46K
VCIT icon
515
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$67.5B
– –
-668
Closed -$52.8K
VCLT icon
516
Vanguard Long-Term Corporate Bond ETF
VCLT
$8.74B
– –
-34
Closed -$2.67K
VCSH icon
517
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.9B
– –
-817
Closed -$61.8K
VGIT icon
518
Vanguard Intermediate-Term Treasury ETF
VGIT
$42.3B
– –
-61
Closed -$3.58K
VGSH icon
519
Vanguard Short-Term Treasury ETF
VGSH
$30.2B
– –
-277
Closed -$16K
VMBS icon
520
Vanguard Mortgage-Backed Securities ETF
VMBS
$15.6B
– –
-1,273
Closed -$58.5K
VONG icon
521
Vanguard Russell 1000 Growth ETF
VONG
$45.6B
– –
-197
Closed -$13.9K
VONV icon
522
Vanguard Russell 1000 Value ETF
VONV
$22B
– –
-75
Closed -$5.19K
YUM icon
523
Yum! Brands
YUM
$39.7B
– –
-1,465
Closed -$203K
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
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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.