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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
IGC icon
1101
IGC Pharma
IGC
$25.7M
$0 ﹤0.01%
225
– –
IGHG icon
1102
ProShares Investment Grade-Interest Rate Hedged
IGHG
$329M
– –
-33,698
Closed -$2.53M
IWB icon
1103
iShares Russell 1000 ETF
IWB
$49.7B
– –
-78
Closed -$12K
IXUS icon
1104
iShares Core MSCI Total International Stock ETF
IXUS
$59.7B
– –
-200
Closed -$11K
IYJ icon
1105
iShares US Industrials ETF
IYJ
$2.03B
– –
-48
Closed -$3K
IYY icon
1106
iShares Dow Jones US ETF
IYY
$3.05B
– –
-240
Closed -$17K
J icon
1107
Jacobs Solutions
J
$16.7B
– –
-109
Closed -$7K
KEP icon
1108
Korea Electric Power
KEP
$16.1B
– –
-280
Closed -$3K
LEGR icon
1109
First Trust Indxx Innovative Transaction & Process ETF
LEGR
$133M
– –
-700
Closed -$21K
LGMK
1110
DELISTED
LogicMark
LGMK
– –
0
– –
LW icon
1111
Lamb Weston
LW
$7.19B
– –
-650
Closed -$41K
MCHP icon
1112
Microchip Technology
MCHP
$42.8B
– –
-202
Closed -$8K
MNKD icon
1113
MannKind Corp
MNKD
$1.24B
$0 ﹤0.01%
208
– –
MOS icon
1114
The Mosaic Company
MOS
$7.43B
– –
-25
Closed –
MRVL icon
1115
Marvell Technology
MRVL
$194B
– –
-605
Closed -$14K
NAC icon
1116
Nuveen California Quality Municipal Income Fund
NAC
$1.85B
– –
-11,222
Closed -$162K
NCA icon
1117
Nuveen California Municipal Value Fund
NCA
$301M
– –
-9,996
Closed -$100K
NOK icon
1118
Nokia
NOK
$53.4B
$0 ﹤0.01%
3
– –
NTRS icon
1119
Northern Trust
NTRS
$33.6B
– –
-79
Closed -$7K
OBE
1120
Obsidian Energy
OBE
$629M
$0 ﹤0.01%
6
– –
OGI
1121
Organigram Holdings
OGI
$138M
$0 ﹤0.01%
25
– –
OVV icon
1122
Ovintiv
OVV
$16.4B
$0 ﹤0.01%
3
– –
PENN icon
1123
PENN Entertainment
PENN
$2.67B
– –
-280
Closed -$5K
PRTA icon
1124
Prothena Corp
PRTA
$441M
$0 ﹤0.01%
24
– –
RFDI icon
1125
First Trust RiverFront Dynamic Developed International ETF
RFDI
$166M
– –
-400
Closed -$22K
43 44
45
46 47

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PHS
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MAM
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LCM
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KCM
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DAM
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MIA
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YL
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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.