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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
INB
1101
DELISTED
Cohen & Steers Global Income Builder, Inc.
INB
– –
-3,764
Closed -$34K
FTNW
1102
DELISTED
FTE Networks, Inc.
FTNW
– –
-2
Closed –
SNNA
1103
DELISTED
Sienna Biopharmaceuticals, Inc.
SNNA
– –
-180,552
Closed -$36K
BSCJ
1104
DELISTED
Invesco BulletShares 2019 Corporate Bond ETF
BSCJ
– –
-6,662
Closed -$140K
STI
1105
DELISTED
SunTrust Banks, Inc.
STI
– –
-100
Closed -$7K
BPL
1106
DELISTED
Buckeye Partners, L.P.
BPL
– –
-3,425
Closed -$141K
IPOA.U
1107
DELISTED
Social Capital Hedosophia Holdings Corp.
IPOA.U
– –
-1,000
Closed -$11K
VSM
1108
DELISTED
Versum Materials, Inc.
VSM
– –
-12
Closed -$1K
ATVI
1109
DELISTED
Activision Blizzard
ATVI
– –
-1,372
Closed -$73K
DISH
1110
DELISTED
DISH Network Corp.
DISH
– –
-229
Closed -$8K
VIA
1111
DELISTED
Viacom Inc. Class A
VIA
– –
-50
Closed -$1K
SIVB
1112
DELISTED
SVB Financial Group
SIVB
– –
-176
Closed -$37K
BSCN
1113
DELISTED
Invesco BulletShares 2023 Corporate Bond ETF
BSCN
– –
-6,600
Closed -$141K
BSCM
1114
DELISTED
Invesco BulletShares 2022 Corporate Bond ETF
BSCM
– –
-6,581
Closed -$141K
BSCK
1115
DELISTED
Invesco BulletShares 2020 Corporate Bond ETF
BSCK
– –
-6,630
Closed -$141K
PEI
1116
DELISTED
Pennsylvania Real Estate Investment Trust
PEI
– –
-333
Closed -$29K
BBL
1117
DELISTED
BHP Group Plc American Depositary Shares (Each representing two Ordinary Shares)
BBL
– –
-200
Closed -$9K
FUD
1118
DELISTED
E-TRACS UBS Bloomberg CMCI Food ETN
FUD
– –
-50
Closed -$1K
UN
1119
DELISTED
Unilever NV New York Registry Shares
UN
– –
-310
Closed -$19K
FTR
1120
DELISTED
Frontier Communications Corp.
FTR
– –
-46
Closed –
CELG
1121
DELISTED
Celgene Corp
CELG
– –
-606
Closed -$60K
SLY
1122
DELISTED
SPDR S&P 600 Small Cap ETF (based on S&P SmallCap 600 Index--symbol SML)
SLY
– –
-1,110
Closed -$75K
GPM
1123
DELISTED
Guggenheim Enhanced Equity Income Fund
GPM
– –
-600
Closed -$5K
CZR
1124
DELISTED
Caesars Entertainment Corporation
CZR
– –
-600
Closed -$7K
GCVRZ
1125
DELISTED
Sanofi Contingent Value Rights
GCVRZ
– –
-40
Closed –
42 43 44
45
46

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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.