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GSWM

Golden State Wealth Management Portfolio holdings

AUM $1.1B
1-Year Est. Return 27.5%
This Fund
S&P 500
This Quarter Est. Return
+8.39%
1 Year Est. Return
+27.5%
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$299M
AUM Growth
-$12.6M
Cap. Flow
-$46.3M
Cap. Flow %
-15.46%
Top 10 Hldgs %
43.18%
Holding
462
New
259
Increased
26
Reduced
130
Closed
37

Top Buys

Rank Stock Value
1
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$30.7M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$22.1M
3
FTSM icon
First Trust Enhanced Short Maturity ETF
FTSM
+$8.12M
4
FVD icon
First Trust Value Line Dividend Fund
FVD
+$7.55M
5
FTCS icon
First Trust Capital Strength ETF
FTCS
+$6.78M

Top Sells

Rank Stock Value
1
IJH icon
iShares Core S&P Mid-Cap ETF
IJH
+$74M
2
QCLN icon
First Trust NASDAQ Clean Edge Green Energy Index Fund
QCLN
+$35.3M
3
IWN icon
iShares Russell 2000 Value ETF
IWN
+$3.5M
4
AAPL icon
Apple
AAPL
+$3.26M
5
CFA icon
VictoryShares US 500 Volatility Wtd ETF
CFA
+$3.26M

Sector Composition

Rank Sector Weight
1 Technology 9.52%
2 Consumer Discretionary 5.56%
3 Financials 4.42%
4 Communication Services 3.39%
5 Healthcare 2.52%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CPRI icon
326
Capri Holdings
CPRI
$1.74B
$50K 0.02%
+2,800
New +$47.5K
JPI
327
DELISTED
Nuveen Preferred Securities & Income Opportunities Fund
JPI
$50K 0.02%
+2,274
New +$50.9K
KHC icon
328
Kraft Heinz
KHC
$30B
$50K 0.02%
+1,654
New +$55.1K
HYLS icon
329
First Trust Exchange-Traded Fund IV First Trust Tactical High Yield ETF
HYLS
$1.64B
$49K 0.02%
+1,045
New +$49.4K
MFIC icon
330
MidCap Financial Investment
MFIC
$804M
$49K 0.02%
+5,920
New +$54.8K
SPTL icon
331
State Street SPDR Portfolio Long Term Treasury ETF
SPTL
$10.8B
$49K 0.02%
+1,047
New +$49.7K
SUN icon
332
Sunoco
SUN
$13.3B
$49K 0.02%
+2,000
New +$50.4K
EBND icon
333
State Street SPDR Bloomberg Emerging Markets Local Bond ETF
EBND
$2.29B
$48K 0.02%
+1,828
New +$48.5K
NLY icon
334
Annaly Capital Management
NLY
$17.4B
$48K 0.02%
+1,690
New +$48.9K
TWOU
335
DELISTED
2U Inc
TWOU
$47K 0.02%
+47
New +$55.9K
CX icon
336
Cemex
CX
$16.3B
$46K 0.02%
12,000
-2,000
-14% -$6.54K
SRVR icon
337
Pacer Data & Infrastructure Real Estate ETF
SRVR
$381M
$45K 0.02%
+1,283
New +$46.5K
HAL icon
338
Halliburton
HAL
$26.6B
$44K 0.01%
+3,653
New +$52.9K
LQDT icon
339
Liquidity Services
LQDT
$1.32B
$44K 0.01%
+5,950
New +$39.2K
NCLH icon
340
Norwegian Cruise Line
NCLH
$8.84B
$44K 0.01%
+2,567
New +$40.6K
PARA
341
DELISTED
Paramount Global Class B
PARA
$44K 0.01%
+1,571
New +$42.1K
RITM icon
342
Rithm Capital
RITM
$5.69B
$44K 0.01%
+5,568
New +$42.9K
CSB icon
343
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
$266M
$42K 0.01%
+1,118
New +$42.6K
UCON icon
344
First Trust Smith Unconstrained Bond ETF
UCON
$3.28B
$42K 0.01%
+1,600
New +$41.9K
DNP icon
345
DNP Select Income Fund
DNP
$4.09B
$40K 0.01%
+4,000
New +$42.5K
GWX icon
346
State Street SPDR S&P International Small Cap ETF
GWX
$913M
$40K 0.01%
+1,321
New +$38.8K
SCHW
347
Charles Schwab
SCHW
$187B
$40K 0.01%
+1,094
New +$38.1K
DSL
348
DoubleLine Income Solutions Fund
DSL
$1.24B
$39K 0.01%
+2,454
New +$39.3K
F icon
349
Ford
F
$55.7B
$39K 0.01%
+5,814
New +$39.4K
BB icon
350
BlackBerry
BB
$5.26B
$37K 0.01%
8,150
-2,500
-23% -$12.1K
12 13
14
15 16

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MAM
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KCM
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DAM
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MIA
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YL
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PWA
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Golden State Wealth Management's Q3 2020 Portfolio in Review

As of Q3 2020, Golden State Wealth Management held 462 positions worth $299M, down 4% from $312M the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Golden State Wealth Management withdrew a net $46.3M in Q3 2020, closing 37 positions and reducing 130 holdings. Its most notable exit was First Trust NASDAQ Clean Edge Green Energy Index Fund, an estimated $35.3M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.5% of assets, up from 9.2% a quarter earlier, followed by Consumer Discretionary and Financials.

Against the trend, Golden State Wealth Management opened a new position in iShares Core S&P 500 ETF worth $22.4M.

  • Golden State Wealth Management's largest Q3 2020 buy was iShares Core S&P 500 ETF: 66,522 shares worth $22.4M.
  • Golden State Wealth Management added most to iShares Core US Aggregate Bond ETF in Q3 2020, an estimated $30.7M increase.
  • Golden State Wealth Management's biggest Q3 2020 reduction was iShares Core S&P Mid-Cap ETF, cutting an estimated $74M.
  • Golden State Wealth Management fully exited First Trust NASDAQ Clean Edge Green Energy Index Fund in Q3 2020, selling an estimated $35.3M.
  • Golden State Wealth Management's ten largest holdings make up 43% of its $299M portfolio in Q3 2020.
  • Golden State Wealth Management opened 259 new positions and closed 37 in Q3 2020.
  • Golden State Wealth Management's portfolio value fell 4% quarter-over-quarter to $299M.

Based on Golden State Wealth Management's 13F filing for Q3 2020, filed 12 Nov 2020.