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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
GSS
1051
DELISTED
Golden Star Resources Ltd.
GSS
– –
-1,600
Closed -$5K
RDS.A
1052
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
– –
-1,386
Closed -$82K
RDS.B
1053
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
– –
-700
Closed -$42K
BSCL
1054
DELISTED
Invesco BulletShares 2021 Corporate Bond ETF
BSCL
– –
-6,757
Closed -$144K
PCI
1055
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
– –
-82,321
Closed -$2.02M
JAX
1056
DELISTED
J. Alexander's Holdings, Inc.
JAX
– –
-147
Closed -$2K
PFPT
1057
DELISTED
Proofpoint, Inc.
PFPT
– –
-100
Closed -$13K
MXIM
1058
DELISTED
Maxim Integrated Products
MXIM
– –
-300
Closed -$17K
USCR
1059
DELISTED
U S Concrete, Inc.
USCR
– –
-3,285
Closed -$182K
IPFF
1060
DELISTED
iShares International Preferred Stock ETF
IPFF
– –
-12,972
Closed -$196K
MIE
1061
DELISTED
COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC.
MIE
– –
-221
Closed -$2K
ALXN
1062
DELISTED
Alexion Pharmaceuticals
ALXN
– –
-2
Closed –
WORK
1063
DELISTED
Slack Technologies, Inc.
WORK
– –
-3,710
Closed -$88K
GRUB
1064
DELISTED
Just Eat Takeaway.com N.V. American Depositary Shares
GRUB
– –
-95
Closed -$11K
PRSP
1065
DELISTED
Perspecta Inc. Common Stock
PRSP
– –
-7
Closed –
APHA
1066
DELISTED
Aphria Inc. Common Shares
APHA
– –
-560
Closed -$3K
CXO
1067
DELISTED
CONCHO RESOURCES INC.
CXO
– –
-3
Closed –
FIT
1068
DELISTED
Fitbit, Inc. Class A common stock
FIT
– –
-300
Closed -$1K
AIG.WS
1069
DELISTED
American International Group, Inc.
AIG.WS
– –
-10
Closed –
WPX
1070
DELISTED
WPX Energy, Inc.
WPX
– –
-100
Closed -$1K
TIF
1071
DELISTED
Tiffany & Co.
TIF
– –
-50
Closed -$5K
HDS
1072
DELISTED
HD Supply Holdings, Inc.
HDS
– –
-200
Closed -$8K
DNKN
1073
DELISTED
Dunkin' Brands Group, Inc.
DNKN
– –
-43
Closed -$3K
BITA
1074
DELISTED
Bitauto Holdings Limited
BITA
– –
-300
Closed -$4K
AXAS
1075
DELISTED
Abraxas Petroleum Corp
AXAS
– –
-50
Closed -$1K
41 42
43
44 45

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MAM
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KCM
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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.