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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
TMO icon
76
Thermo Fisher Scientific
TMO
$220B
$644K 0.22%
1,459
-317
-18% -$131K
FEX icon
77
First Trust Large Cap Core AlphaDEX Fund
FEX
$1.61B
$629K 0.21%
+9,943
New +$624K
AEP icon
78
American Electric Power
AEP
$68.4B
$620K 0.21%
7,581
-451
-6% -$37.1K
VEA icon
79
Vanguard FTSE Developed Markets ETF
VEA
$236B
$612K 0.2%
+14,964
New +$614K
MCD icon
80
McDonald's
MCD
$195B
$609K 0.2%
2,777
-745
-21% -$153K
XLV icon
81
State Street Health Care Select Sector SPDR ETF
XLV
$42.7B
$603K 0.2%
5,715
+200
+4% +$21.1K
AMD icon
82
Advanced Micro Devices
AMD
$789B
$601K 0.2%
7,336
-166
-2% -$12.3K
ESGU icon
83
iShares ESG Aware MSCI USA ETF
ESGU
$18.4B
$600K 0.2%
7,869
-13,284
-63% -$1M
T icon
84
AT&T
T
$163B
$582K 0.19%
27,023
-6,191
-19% -$138K
JNJ icon
85
Johnson & Johnson
JNJ
$625B
$575K 0.19%
3,864
-4,598
-54% -$680K
ROK icon
86
Rockwell Automation
ROK
$49B
$574K 0.19%
2,600
-18
-0.7% -$4.02K
FXH icon
87
First Trust Health Care AlphaDEX Fund
FXH
$1.08B
$567K 0.19%
+5,990
New +$561K
PFE icon
88
Pfizer
PFE
$153B
$565K 0.19%
16,238
-4,762
-23% -$167K
ABT icon
89
Abbott
ABT
$187B
$564K 0.19%
5,186
+1,154
+29% +$117K
VALQ icon
90
American Century US Quality Value ETF
VALQ
$340M
$560K 0.19%
14,840
+7,420
+100% +$279K
RDVY icon
91
First Trust Rising Dividend Achievers ETF
RDVY
$25.6B
$556K 0.19%
+16,985
New +$551K
BAC icon
92
Bank of America
BAC
$442B
$555K 0.19%
23,019
-12,280
-35% -$306K
VWO icon
93
Vanguard FTSE Emerging Markets ETF
VWO
$124B
$548K 0.18%
12,672
+81
+0.6% +$3.52K
FSKR
94
DELISTED
FS KKR Capital Corp. II
FSKR
$534K 0.18%
36,314
-43,368
-54% -$620K
ADBE icon
95
Adobe
ADBE
$105B
$532K 0.18%
1,084
-217
-17% -$101K
TDIV icon
96
First Trust NASDAQ Technology Dividend Index Fund
TDIV
$4.44B
$530K 0.18%
+12,116
New +$531K
SPYM
97
State Street SPDR Portfolio S&P 500 ETF
SPYM
$168B
$525K 0.18%
+13,336
New +$519K
MRK icon
98
Merck
MRK
$318B
$523K 0.17%
6,612
-5,191
-44% -$407K
SBUX icon
99
Starbucks
SBUX
$120B
$508K 0.17%
5,916
-1,383
-19% -$110K
EFA icon
100
iShares MSCI EAFE ETF
EFA
$80.2B
$505K 0.17%
7,938
+2,247
+39% +$144K
2 3
4
5 6

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MAM
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KCM
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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.