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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
MNK
1076
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
– –
-14,776
Closed -$36K
DNI
1077
DELISTED
Dividend and Income Fund
DNI
– –
-1,000
Closed -$12K
AMTD
1078
DELISTED
TD Ameritrade Holding Corp
AMTD
– –
-100
Closed -$5K
NBL
1079
DELISTED
Noble Energy, Inc.
NBL
– –
-76
Closed -$2K
ETFC
1080
DELISTED
E*Trade Financial Corporation
ETFC
– –
-1,300
Closed -$57K
ZN
1081
DELISTED
Zion Oil & Gas, Inc.
ZN
– –
-6,228
Closed -$2K
LOGM
1082
DELISTED
LogMein, Inc.
LOGM
– –
-9
Closed -$1K
SCIJ
1083
DELISTED
Global X Scientific Beta Japan ETF
SCIJ
– –
-550
Closed -$15K
LVUS
1084
DELISTED
Hartford Multifactor Low Volatility US Equity ETF
LVUS
– –
-1,100
Closed -$34K
GCAP
1085
DELISTED
Gain Capital Holdings, Inc.
GCAP
– –
-300
Closed -$2K
DNR
1086
DELISTED
Denbury Resources, Inc.
DNR
– –
-800
Closed -$1K
LM
1087
DELISTED
Legg Mason, Inc.
LM
– –
-191
Closed -$7K
LK
1088
DELISTED
Luckin Coffee Inc. American Depositary Shares
LK
– –
-1,720
Closed -$33K
TIVO
1089
DELISTED
Tivo Inc
TIVO
– –
-16
Closed –
UNT
1090
DELISTED
UNIT Corporation
UNT
– –
-100
Closed –
JCP
1091
DELISTED
J.C. Penney Company, Inc.
JCP
– –
-10
Closed –
AGN
1092
DELISTED
Allergan plc
AGN
– –
-142
Closed -$24K
TSG
1093
DELISTED
The Stars Group Inc.
TSG
– –
-150
Closed -$2K
RTN
1094
DELISTED
Raytheon Company
RTN
– –
-1,799
Closed -$353K
S
1095
DELISTED
Sprint Corporation
S
– –
-41
Closed –
PEGI
1096
DELISTED
Pattern Energy Group Inc. Class A
PEGI
– –
-2,740
Closed -$74K
INXN
1097
DELISTED
Interxion Holding N.V.
INXN
– –
-250
Closed -$20K
INF
1098
DELISTED
BROOKFIELD GLOBAL LISTED INFRASTRUCTURE INCOME FUND INC.
INF
– –
-962
Closed -$13K
ESGL
1099
DELISTED
Invesco ESG Revenue ETF
ESGL
– –
-1,741
Closed -$56K
GHII
1100
DELISTED
Invesco S&P High Income Infrastructure ETF
GHII
– –
-140
Closed -$4K
42 43
44
45 46

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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.