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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
+12.85%
1 Year Est. Return
+29.04%
3 Year Est. Return
+85.59%
5 Year Est. Return
+98.47%
10 Year Est. Return
–
AUM
$502M
AUM Growth
+$83.4M
Cap. Flow
+$38.4M
Cap. Flow %
7.64%
Top 10 Hldgs %
30.28%
Holding
329
New
60
Increased
108
Reduced
123
Closed
33

Top Buys

Rank Stock Value
1
FTSM icon
First Trust Enhanced Short Maturity ETF
FTSM
+$11.1M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$8.75M
3
FTCS icon
First Trust Capital Strength ETF
FTCS
+$5.11M
4
WCLD
WisdomTree Cloud Computing Fund
WCLD
+$4.83M
5
FDN icon
First Trust Dow Jones Internet Index Fund ETF
FDN
+$4.32M

Top Sells

Rank Stock Value
1
FIXD icon
First Trust Smith Opportunistic Fixed Income ETF
FIXD
+$4.87M
2
FPE icon
First Trust Preferred Securities and Income ETF
FPE
+$4.32M
3
FTSL icon
First Trust Senior Loan Fund ETF
FTSL
+$3.06M
4
ITOT icon
iShares Core S&P Total US Stock Market ETF
ITOT
+$1.88M
5
VMBS icon
Vanguard Mortgage-Backed Securities ETF
VMBS
+$1.3M

Sector Composition

Rank Sector Weight
1 Technology 5.88%
2 Consumer Discretionary 4.19%
3 Healthcare 3.13%
4 Communication Services 2.4%
5 Industrials 1.75%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AXP icon
301
American Express
AXP
$227B
– –
-3,578
Closed -$359K
AZN icon
302
AstraZeneca
AZN
$263B
– –
-3,281
Closed -$360K
BEEM icon
303
Beam Global
BEEM
$23.3M
– –
-29,250
Closed -$356K
BLK icon
304
Blackrock
BLK
$169B
– –
-662
Closed -$373K
BNDX icon
305
Vanguard Total International Bond ETF
BNDX
$81.9B
– –
-3,443
Closed -$200K
DBEF icon
306
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
$9.17B
– –
-8,368
Closed -$256K
EOSE icon
307
Eos Energy Enterprises
EOSE
$1.22B
– –
-11,000
Closed -$110K
GILD icon
308
Gilead Sciences
GILD
$162B
– –
-5,204
Closed -$329K
GS icon
309
Goldman Sachs
GS
$300B
– –
-1,678
Closed -$337K
GSK icon
310
GSK
GSK
$104B
– –
-6,526
Closed -$307K
KNDI
311
Kandi Technologies Group
KNDI
$67.5M
– –
-13,555
Closed -$84K
LULU icon
312
lululemon athletica
LULU
$13.5B
– –
-1,179
Closed -$388K
NDRA icon
313
ENDRA Life Sciences
NDRA
$5.97M
– –
-1
Closed -$15K
NVNO
314
enVVeno Medical
NVNO
$7.08M
– –
-46
Closed -$17K
OPEN icon
315
Opendoor
OPEN
$3.64B
– –
-14,518
Closed -$267K
QS icon
316
QuantumScape Corp
QS
$3.21B
– –
-14,500
Closed -$243K
REGN icon
317
Regeneron Pharmaceuticals
REGN
$78.5B
– –
-530
Closed -$297K
RDNW
318
RideNow Group
RDNW
$238M
– –
-9,800
Closed -$261K
SBIO icon
319
ALPS Medical Breakthroughs ETF
SBIO
$201M
– –
-12,001
Closed -$494K
SDOT icon
320
Sadot Group
SDOT
$14M
– –
-6
Closed -$16K
FIRY
321
Firy Inc
FIRY
$148M
– –
-638
Closed -$155K
DM
322
DELISTED
Desktop Metal, Inc.
DM
– –
-6,495
Closed -$701K
FSR
323
DELISTED
Fisker Inc.
FSR
– –
-13,250
Closed -$191K
BKCC
324
DELISTED
BlackRock Capital Investment Corporation
BKCC
– –
-17,295
Closed -$42K
CLVS
325
DELISTED
Clovis Oncology, Inc.
CLVS
– –
-61,100
Closed -$356K
10 11 12
13
14

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BFA
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FTUS
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EA
Emerald Advisers Leola, Pennsylvania $3.16B AUM 109.58% 1-Year Est. Return
CVA
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BP
BNP Paribas Paris, France $3.15B AUM 22.54% 1-Year Est. Return
GKWIM
Gerber Kawasaki Wealth & Investment Management Santa Monica, California $3.14B AUM 22.62% 1-Year Est. Return
FAM
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BI
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Gladstone Institutional Advisory's Q4 2020 Portfolio in Review

As of Q4 2020, Gladstone Institutional Advisory held 329 positions worth $502M, up 20% from $419M the previous quarter. Its ten largest holdings account for 30% of the portfolio.

Gladstone Institutional Advisory deployed $38.4M of net new capital in Q4 2020, opening 60 new positions and adding to 108 existing holdings. Its largest new stake was First Trust Mid Cap Growth AlphaDEX Fund: 37,496 shares worth $2.45M.

By sector, the portfolio is most concentrated in Technology at 5.9% of assets, down from 6% a quarter earlier, followed by Consumer Discretionary and Healthcare.

On the sell side, the largest reduction was First Trust Smith Opportunistic Fixed Income ETF, an estimated $4.87M trimmed.

  • Gladstone Institutional Advisory's largest Q4 2020 buy was First Trust Mid Cap Growth AlphaDEX Fund: 37,496 shares worth $2.45M.
  • Gladstone Institutional Advisory added most to First Trust Enhanced Short Maturity ETF in Q4 2020, an estimated $11.1M increase.
  • Gladstone Institutional Advisory's biggest Q4 2020 reduction was First Trust Smith Opportunistic Fixed Income ETF, cutting an estimated $4.87M.
  • Gladstone Institutional Advisory fully exited Desktop Metal, Inc. in Q4 2020, selling an estimated $701K.
  • Gladstone Institutional Advisory's ten largest holdings make up 30% of its $502M portfolio in Q4 2020.
  • Gladstone Institutional Advisory opened 60 new positions and closed 33 in Q4 2020.
  • Gladstone Institutional Advisory's portfolio value rose 20% quarter-over-quarter to $502M.

Based on Gladstone Institutional Advisory's 13F filing for Q4 2020, filed 16 Feb 2021.