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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
+7.1%
1 Year Est. Return
+27.5%
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$523M
AUM Growth
+$220M
Cap. Flow
+$199M
Cap. Flow %
37.97%
Top 10 Hldgs %
85.3%
Holding
1,126
New
15
Increased
16
Reduced
23
Closed
1,071

Top Buys

Rank Stock Value
1
SCHB icon
Schwab US Broad Market ETF
SCHB
+$56.5M
2
FTA icon
First Trust Large Cap Value AlphaDEX Fund
FTA
+$54M
3
JPUS
JPMorgan Diversified Return US Equity ETF
JPUS
+$52.2M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$51.2M
5
SCHE icon
Schwab Emerging Markets Equity ETF
SCHE
+$49.8M

Top Sells

Rank Stock Value
1
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$28.3M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$11.3M
3
CFA icon
VictoryShares US 500 Volatility Wtd ETF
CFA
+$9.26M
4
AAPL icon
Apple
AAPL
+$7.65M
5
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$6.1M

Sector Composition

Rank Sector Weight
1 Technology 0.94%
2 Industrials 0.85%
3 Financials 0.19%
4 Real Estate 0.16%
5 Consumer Staples 0.16%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PDI icon
676
PIMCO Dynamic Income Fund
PDI
$7.44B
– –
-11,078
Closed -$360K
PDX
677
PIMCO Dynamic Income Strategy Fund
PDX
$963M
– –
-500
Closed -$9K
PEG icon
678
Public Service Enterprise Group
PEG
$37.7B
– –
-10,202
Closed -$633K
PEP icon
679
PepsiCo
PEP
$190B
– –
-2,054
Closed -$282K
PFF icon
680
iShares Preferred and Income Securities ETF
PFF
$13.3B
– –
-13,695
Closed -$514K
PGF icon
681
Invesco Financial Preferred ETF
PGF
$673M
– –
-1,600
Closed -$30K
PGR icon
682
Progressive
PGR
$125B
– –
-690
Closed -$53K
PGX icon
683
Invesco Preferred ETF
PGX
$3.79B
– –
-26,774
Closed -$402K
PH icon
684
Parker-Hannifin
PH
$136B
– –
-465
Closed -$84K
PHO icon
685
Invesco Water Resources ETF
PHO
$2.09B
– –
-482
Closed -$18K
PJP icon
686
Invesco Pharmaceuticals ETF
PJP
$479M
– –
-219
Closed -$12K
PK icon
687
Park Hotels & Resorts
PK
$2.98B
– –
-1,856
Closed -$46K
PKG icon
688
Packaging Corp of America
PKG
$22.8B
– –
-219
Closed -$23K
PKW icon
689
Invesco BuyBack Achievers ETF
PKW
$1.76B
– –
-1,427
Closed -$89K
PLD icon
690
Prologis
PLD
$132B
– –
-255
Closed -$22K
PM icon
691
Philip Morris
PM
$295B
– –
-3,744
Closed -$284K
PNC icon
692
PNC Financial Services
PNC
$101B
– –
-383
Closed -$54K
PNR icon
693
Pentair
PNR
$11B
– –
-72
Closed -$3K
PPBI
694
DELISTED
Pacific Premier Bancorp
PPBI
– –
-4,335
Closed -$135K
PPG icon
695
PPG Industries
PPG
$26.7B
– –
-109
Closed -$13K
PPL
696
PPL Corp
PPL
$26.7B
– –
-400
Closed -$13K
PRF icon
697
Invesco FTSE RAFI US 1000 ETF
PRF
$10B
– –
-595
Closed -$14K
PRNT icon
698
The 3D Printing ETF
PRNT
$65M
– –
-855
Closed -$18K
PRTA icon
699
Prothena Corp
PRTA
$452M
– –
-24
Closed –
PRU icon
700
Prudential Financial
PRU
$42B
– –
-1,036
Closed -$93K
26 27
28
29 30

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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 Q4 2019 Portfolio in Review

As of Q4 2019, Golden State Wealth Management held 1,126 positions worth $523M, up 73% from $303M the previous quarter. Its ten largest holdings account for 85% of the portfolio.

Golden State Wealth Management deployed $199M of net new capital in Q4 2019, opening 15 new positions and adding to 16 existing holdings. Its largest new stake was Schwab US Broad Market ETF: 4,608,684 shares worth $59.1M.

By sector, the portfolio is most concentrated in Technology at 0.94% of assets, down from 5.7% a quarter earlier, followed by Industrials and Financials.

On the sell side, the largest reduction was iShares Core US Aggregate Bond ETF, an estimated $28.3M trimmed.

  • Golden State Wealth Management's largest Q4 2019 buy was Schwab US Broad Market ETF: 4,608,684 shares worth $59.1M.
  • Golden State Wealth Management added most to Invesco QQQ Trust in Q4 2019, an estimated $51.2M increase.
  • Golden State Wealth Management's biggest Q4 2019 reduction was iShares Core US Aggregate Bond ETF, cutting an estimated $28.3M.
  • Golden State Wealth Management fully exited VictoryShares US 500 Volatility Wtd ETF in Q4 2019, selling an estimated $9.26M.
  • Golden State Wealth Management's ten largest holdings make up 85% of its $523M portfolio in Q4 2019.
  • Golden State Wealth Management opened 15 new positions and closed 1,071 in Q4 2019.
  • Golden State Wealth Management's portfolio value rose 73% quarter-over-quarter to $523M.

Based on Golden State Wealth Management's 13F filing for Q4 2019, filed 13 Feb 2020.