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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
+1.24%
1 Year Est. Return
+27.5%
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$303M
AUM Growth
-$12.2M
Cap. Flow
-$15.4M
Cap. Flow %
-5.07%
Top 10 Hldgs %
32.77%
Holding
1,187
New
63
Increased
318
Reduced
262
Closed
76

Top Buys

Rank Stock Value
1
JPST icon
JPMorgan Ultra-Short Income ETF
JPST
+$4.76M
2
MO icon
Altria Group
MO
+$700K
3
PEG icon
Public Service Enterprise Group
PEG
+$609K
4
VALQ icon
American Century US Quality Value ETF
VALQ
+$592K
5
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$575K

Top Sells

Rank Stock Value
1
IGHG icon
ProShares Investment Grade-Interest Rate Hedged
IGHG
+$2.53M
2
VRP icon
Invesco Variable Rate Preferred ETF
VRP
+$1.77M
3
CMF icon
iShares California Muni Bond ETF
CMF
+$1.59M
4
SLV icon
iShares Silver Trust
SLV
+$1.45M
5
FYX icon
First Trust Small Cap Core AlphaDEX Fund
FYX
+$901K

Sector Composition

Rank Sector Weight
1 Technology 5.71%
2 Financials 5.27%
3 Consumer Discretionary 3.75%
4 Communication Services 3.27%
5 Industrials 3.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MDB icon
501
MongoDB
MDB
$32.1B
$36K 0.01%
300
+245
+445% +$35.4K
NLY icon
502
Annaly Capital Management
NLY
$17.4B
$36K 0.01%
1,027
– –
RDIV icon
503
Invesco S&P Ultra Dividend Revenue ETF
RDIV
$1.38B
$36K 0.01%
950
-350
-27% -$12.9K
XEL icon
504
Xcel Energy
XEL
$48.8B
$36K 0.01%
550
– –
MNK
505
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$36K 0.01%
14,776
– –
SNNA
506
DELISTED
Sienna Biopharmaceuticals, Inc.
SNNA
$36K 0.01%
180,552
– –
FPF
507
First Trust Intermediate Duration Preferred & Income Fund
FPF
$1.08B
$35K 0.01%
1,500
– –
IGSB icon
508
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$23B
$35K 0.01%
658
+280
+74% +$15K
ISRG icon
509
Intuitive Surgical
ISRG
$134B
$35K 0.01%
+195
New +$33.7K
TEL icon
510
TE Connectivity
TEL
$62.6B
$35K 0.01%
372
+2
+0.5% +$184
BLK icon
511
Blackrock
BLK
$176B
$34K 0.01%
76
+22
+41% +$9.8K
DVYE icon
512
iShares Emerging Markets Dividend ETF
DVYE
$1.22B
$34K 0.01%
920
+19
+2% +$745
MJ icon
513
Amplify Alternative Harvest ETF
MJ
$105M
$34K 0.01%
138
+13
+10% +$4.19K
SPTL icon
514
State Street SPDR Portfolio Long Term Treasury ETF
SPTL
$10.6B
$34K 0.01%
817
+336
+70% +$13.4K
STM icon
515
STMicroelectronics
STM
$50B
$34K 0.01%
1,775
– –
CEM
516
DELISTED
ClearBridge MLP and Midstream Fund Inc.
CEM
$34K 0.01%
606
– –
LVUS
517
DELISTED
Hartford Multifactor Low Volatility US Equity ETF
LVUS
$34K 0.01%
1,100
+1,000
+1,000% +$30.6K
INB
518
DELISTED
Cohen & Steers Global Income Builder, Inc.
INB
$34K 0.01%
3,764
-11,634
-76% -$105K
BYND icon
519
Beyond Meat
BYND
$277M
$33K 0.01%
225
-25
-10% -$4.12K
CFO icon
520
VictoryShares US 500 Enhanced Volatility Wtd ETF
CFO
$425M
$33K 0.01%
675
-352
-34% -$17.2K
FLOT icon
521
iShares Floating Rate Bond ETF
FLOT
$10.3B
$33K 0.01%
649
+200
+45% +$10.2K
LHX icon
522
L3Harris
LHX
$53.4B
$33K 0.01%
+156
New +$31.9K
LULU icon
523
lululemon athletica
LULU
$14.6B
$33K 0.01%
170
+70
+70% +$13.1K
OGE icon
524
OGE Energy
OGE
$9.71B
$33K 0.01%
732
– –
OUSM icon
525
ALPS O'Shares US Small-Cap Quality Dividend ETF
OUSM
$907M
$33K 0.01%
1,201
– –
19 20
21
22 23

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PHS
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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 2019 Portfolio in Review

As of Q3 2019, Golden State Wealth Management held 1,187 positions worth $303M, down 3.9% from $315M the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Golden State Wealth Management withdrew a net $15.4M in Q3 2019, closing 76 positions and reducing 262 holdings. Its most notable exit was ProShares Investment Grade-Interest Rate Hedged, an estimated $2.53M position sold in full.

By sector, the portfolio is most concentrated in Technology at 5.7% of assets, down from 6.2% a quarter earlier, followed by Financials and Consumer Discretionary.

Against the trend, Golden State Wealth Management opened a new position in Public Service Enterprise Group worth $633K.

  • Golden State Wealth Management's largest Q3 2019 buy was Public Service Enterprise Group: 10,202 shares worth $633K.
  • Golden State Wealth Management added most to JPMorgan Ultra-Short Income ETF in Q3 2019, an estimated $4.76M increase.
  • Golden State Wealth Management's biggest Q3 2019 reduction was Invesco Variable Rate Preferred ETF, cutting an estimated $1.77M.
  • Golden State Wealth Management fully exited ProShares Investment Grade-Interest Rate Hedged in Q3 2019, selling an estimated $2.53M.
  • Golden State Wealth Management's ten largest holdings make up 33% of its $303M portfolio in Q3 2019.
  • Golden State Wealth Management opened 63 new positions and closed 76 in Q3 2019.
  • Golden State Wealth Management's portfolio value fell 3.9% quarter-over-quarter to $303M.

Based on Golden State Wealth Management's 13F filing for Q3 2019, filed 23 Oct 2019.