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GIA

Gladstone Institutional Advisory Portfolio holdings

AUM $3.16B
1-Year Est. Return 29.04%
This Fund
S&P 500
This Quarter Est. Return
+6.45%
1 Year Est. Return
+29.04%
3 Year Est. Return
+85.59%
5 Year Est. Return
+98.47%
10 Year Est. Return
–
AUM
$408M
AUM Growth
+$14.8M
Cap. Flow
-$9.03M
Cap. Flow %
-2.21%
Top 10 Hldgs %
31.34%
Holding
297
New
15
Increased
95
Reduced
154
Closed
24

Top Buys

Rank Stock Value
1
FTSM icon
First Trust Enhanced Short Maturity ETF
FTSM
+$2.79M
2
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$2.32M
3
FCVT icon
First Trust SSI Strategic Convertible Securities ETF
FCVT
+$2.18M
4
ITOT icon
iShares Core S&P Total US Stock Market ETF
ITOT
+$1.31M
5
FVD icon
First Trust Value Line Dividend Fund
FVD
+$795K

Top Sells

Rank Stock Value
1
FTA icon
First Trust Large Cap Value AlphaDEX Fund
FTA
+$3.79M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$3.77M
3
SCHO icon
Schwab Short-Term US Treasury ETF
SCHO
+$1.5M
4
FNY icon
First Trust Mid Cap Growth AlphaDEX Fund
FNY
+$1.38M
5
FYC icon
First Trust Small Cap Growth AlphaDEX Fund
FYC
+$1.02M

Sector Composition

Rank Sector Weight
1 Technology 3.21%
2 Healthcare 2.3%
3 Energy 2.02%
4 Communication Services 1.83%
5 Financials 1.82%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VHT icon
251
Vanguard Health Care ETF
VHT
$18.1B
$216K 0.05%
1,125
-1,049
-48% -$188K
ARES icon
252
Ares Management
ARES
$28.9B
$213K 0.05%
+5,975
New +$186K
BOTZ icon
253
Global X Robotics & Artificial Intelligence ETF
BOTZ
$3.28B
$213K 0.05%
+9,743
New +$206K
AXP icon
254
American Express
AXP
$227B
$211K 0.05%
1,694
-905
-35% -$108K
ABMD
255
DELISTED
Abiomed Inc
ABMD
$209K 0.05%
1,225
-950
-44% -$176K
FLTR icon
256
VanEck IG Floating Rate ETF
FLTR
$2.94B
$208K 0.05%
8,210
-1,872
-19% -$47.3K
JHB
257
DELISTED
Nuveen Corporate Income November 2021 Target Term Fund
JHB
$207K 0.05%
20,663
-31,500
-60% -$314K
MINT icon
258
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$16.9B
$206K 0.05%
2,026
-338
-14% -$34.4K
RSP icon
259
Invesco S&P 500 Equal Weight ETF
RSP
$97B
$206K 0.05%
1,783
-2,243
-56% -$249K
RTX icon
260
RTX Corp
RTX
$290B
$206K 0.05%
+2,183
New +$198K
CCL icon
261
Carnival Corporation Ltd
CCL
$38.1B
$202K 0.05%
3,983
-1,248
-24% -$55.8K
JD icon
262
JD.com
JD
$44.6B
$201K 0.05%
5,719
-6,823
-54% -$220K
SPSB icon
263
State Street SPDR Portfolio Short Term Corporate Bond ETF
SPSB
$10.4B
$200K 0.05%
6,500
– –
BGIO
264
DELISTED
BlackRock 2022 Global Income Opportunity Trust
BGIO
$173K 0.04%
17,500
– –
IHIT
265
DELISTED
Invesco High Income 2023 Target Term Fund Common Shares of Beneficial Interest, No par value per share
IHIT
$132K 0.03%
12,500
– –
BKCC
266
DELISTED
BlackRock Capital Investment Corporation
BKCC
$126K 0.03%
25,429
-8,346
-25% -$41K
ARQ icon
267
Arq
ARQ
$84.6M
$112K 0.03%
10,621
-7,271
-41% -$86.9K
MUFG icon
268
Mitsubishi UFJ Financial
MUFG
$253B
$71K 0.02%
13,107
+2,464
+23% +$13K
VVR icon
269
Invesco Senior Income Trust
VVR
$457M
$69K 0.02%
16,000
– –
NCV
270
Virtus Convertible & Income Fund
NCV
$378M
$60K 0.01%
2,625
-163
-6% -$3.69K
NVNO
271
enVVeno Medical
NVNO
$7.08M
$17K ﹤0.01%
34
+11
+48% +$5.7K
OPK icon
272
Opko Health
OPK
$985M
$16K ﹤0.01%
11,122
– –
PER
273
DELISTED
SANDRIDGE PERMIAN TRUST
PER
$14K ﹤0.01%
16,080
– –
ACB
274
Aurora Cannabis
ACB
$173M
– –
-112
Closed -$59K
DGRO icon
275
iShares Core Dividend Growth ETF
DGRO
$42.7B
– –
-5,295
Closed -$207K
8 9 10
11
12

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BFA
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FTUS
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EA
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CVA
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BP
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GKWIM
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FAM
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BI
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Gladstone Institutional Advisory's Q4 2019 Portfolio in Review

As of Q4 2019, Gladstone Institutional Advisory held 297 positions worth $408M, up 3.8% from $393M the previous quarter. Its ten largest holdings account for 31% of the portfolio.

Gladstone Institutional Advisory's Q4 2019 filing shows 15 new, 95 increased, 154 reduced and 24 closed positions. Its largest new stake was First Trust Exchange-Traded Fund IV First Trust Tactical High Yield ETF: 14,516 shares worth $708K. The largest sale was First Trust Large Cap Value AlphaDEX Fund, an estimated $3.79M.

By sector, the portfolio is most concentrated in Technology at 3.2% of assets, up from 3% a quarter earlier, followed by Healthcare and Energy.

  • Gladstone Institutional Advisory's largest Q4 2019 buy was First Trust Exchange-Traded Fund IV First Trust Tactical High Yield ETF: 14,516 shares worth $708K.
  • Gladstone Institutional Advisory added most to First Trust Enhanced Short Maturity ETF in Q4 2019, an estimated $2.79M increase.
  • Gladstone Institutional Advisory's biggest Q4 2019 reduction was First Trust Large Cap Value AlphaDEX Fund, cutting an estimated $3.79M.
  • Gladstone Institutional Advisory fully exited ProShares Short Russell2000 in Q4 2019, selling an estimated $882K.
  • Gladstone Institutional Advisory's ten largest holdings make up 31% of its $408M portfolio in Q4 2019.
  • Gladstone Institutional Advisory opened 15 new positions and closed 24 in Q4 2019.
  • Gladstone Institutional Advisory's portfolio value rose 3.8% quarter-over-quarter to $408M.

Based on Gladstone Institutional Advisory's 13F filing for Q4 2019, filed 12 Feb 2020.