HCIA

Hochman Cole Investment Advisors Portfolio holdings

AUM $255M

2021 Q3 2021 Q2 2021 Q1 2020 Q4 2020 Q3 2020 Q2 2020 Q1 2019 Q4 2019 Q3 2019 Q2 2019 Q1 2018 Q4 2018 Q3 2018 Q2 2018 Q1 2017 Q4 2017 Q3 2017 Q2 2017 Q1 2016 Q4 2016 Q3 2016 Q2 2016 Q1 2015 Q4

This Quarter Return

+6.76%

1 Year Return

+23.26%

3 Year Return

+42.65%

5 Year Return

+86.17%

10 Year Return

–

AUM

$161M

AUM Growth

+$161M (+5.6%)

Cap. Flow

-$138K

Cap. Flow % of AUM

-0.09%

Top 10 Holdings % Top 10 Hldgs %

45.8%

Holding

113

New

Increased

Reduced

Closed

Top Buys

1	iShares 1-5 Year Investment Grade Corporate Bond ETF IGSB	$1.06M
2	SPDR Dow Jones Industrial Average ETF Trust DIA	$418K
3	Nuveen AMT-Free Municipal Value Fund NUW	$415K
4	Utilities Select Sector SPDR Fund XLU	$399K
5	Brown-Forman Class B BF.B	$279K

Top Sells

1	First Trust Preferred Securities and Income ETF FPE	$1.56M
2	First Trust Global Tactical Commodity Strategy Fund FTGC	$958K
3	EQC.PRD Equity Commonwealth 6 1/2% Series D Cumulative Convertible Preferred Shares EQC.PRD	$602K
4	JPMorgan Chase JPM	$212K
5	IBM IBM	$210K

Sector Composition

1	Healthcare	4.17%
2	Technology	1.69%
3	Financials	1.51%
4	Communication Services	1.5%
5	Energy	0.84%

Communication Services

Advertising Agencies

Broadcasting

Electronic Gaming & Multimedia

Entertainment

Internet Content & Information

Publishing

Telecom Services

Consumer Discretionary

Apparel Manufacturing

Apparel Retail

Auto Manufacturers

Auto Parts

Auto & Truck Dealerships

Department Stores

Footwear & Accessories

Furnishings, Fixtures & Appliances

Gambling

Home Improvement Retail

Internet Retail

Leisure

Lodging

Luxury Goods

Packaging & Containers

Personal Services

Recreational Vehicles

Residential Construction

Resorts & Casinos

Restaurants

Specialty Retail

Textile Manufacturing

Travel Services

Consumer Staples

Beverages - Brewers

Beverages - Non-Alcoholic

Beverages - Wineries & Distilleries

Confectioners

Discount Stores

Education & Training Services

Farm Products

Food Distribution

Grocery Stores

Household & Personal Products

Packaged Foods

Tobacco

Energy

Oil & Gas Drilling

Oil & Gas Equipment & Services

Oil & Gas Exploration & Production

Oil & Gas Integrated

Oil & Gas Midstream

Oil & Gas Refining & Marketing

Thermal Coal

Uranium

Financials

Asset Management

Banks - Diversified

Banks - Regional

Capital Markets

Credit Services

Diversified Insurance

Financial Conglomerates

Financial Data & Stock Exchanges

Insurance Brokers

Life Insurance

Mortgage Finance

Property & Casualty Insurance

Reinsurance

Shell Companies

Specialty - Insurance

Healthcare

Biotechnology

Diagnostics & Research

Drug Manufacturers - General

Drug Manufacturers - Specialty & Generic

Healthcare Plans

Health Information Services

Medical Care Facilities

Medical Devices

Medical Distribution

Medical Instruments & Supplies

Pharmaceutical Retailers

Industrials

Aerospace & Defense

Airlines

Airports & Air Services

Building Products & Equipment

Business Equipment & Supplies

Conglomerates

Consulting Services

Electrical Equipment & Parts

Engineering & Construction

Farm & Heavy Construction Machinery

Industrial Distribution

Infrastructure Operations

Integrated Freight & Logistics

Marine Shipping

Metal Fabrication

Pollution & Treatment Controls

Railroads

Rental & Leasing Services

Security & Protection Services

Specialty Business Services

Specialty Industrial Machinery

Staffing & Employment Services

Tools & Accessories

Trucking

Waste Management

Materials

Agricultural Inputs

Aluminum

Building Materials

Chemicals

Coking Coal

Copper

Gold

Lumber & Wood Production

Other Industrial Metals & Mining

Other Precious Metals & Mining

Paper & Paper Products

Silver

Specialty Chemicals

Steel

Real Estate

Diversified REIT

Healthcare Facilities REIT

Hotel & Motel REIT

Industrial REIT

Mortgage REIT

Office REIT

Real Estate Development

Real Estate Diversified

Real Estate Services

Residential REIT

Retail REIT

Specialty REIT

Technology

Communication Equipment

Computer Hardware

Consumer Electronics

Electronic Components

Electronics & Computer Distribution

Information Technology Services

Scientific & Technical Instruments

Semiconductor Equipment & Materials

Semiconductors

Software - Application

Software - Infrastructure

Solar

Utilities

Diversified Utilities

Electric Utilities

Gas Utilities

Independent Power Producers

Renewable Electricity

Water Utilities

#	Name	Market Value	Portfolio Weight	Shares or Principal	Shares Change %	Capital Flow
101	101 First Trust Industrials/Producer Durables AlphaDEX Fund FXR $1.89B	$224K	0.14%	+5,285	New	+$224K
102	102 Invesco Bloomberg MVP Multi-factor ETF BMVP $112M	$223K	0.14%	2,101	–	–
103	103 First Trust RiverFront Dynamic Developed International ETF RFDI $126M	$222K	0.14%	3,593 -572	-14%	-$35.3K
104	104 iShares US Energy ETF IYE $1.2B	$219K	0.14%	5,224	–	–
105	105 ALPS Equal Sector Weight ETF EQL $549M	$217K	0.14%	2,976	–	–
106	106 ALPS O'Shares US Small-Cap Quality Dividend ETF OUSM $987M	$215K	0.13%	7,567 +158	+2%	+$4.49K
107	107 First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF LMBS $5.3B	$213K	0.13%	4,188	–	–
108	108 iShares MSCI USA Momentum Factor ETF MTUM $18.1B	$202K	0.13%	+1,700	New	+$202K
109	109 Fate Therapeutics FATE $120M	–	–	-12,471	Closed	-$141K
110	110 First Trust Global Tactical Commodity Strategy Fund FTGC $2.23B	–	–	-46,322	Closed	-$958K
111	111 IBM IBM $227B	–	–	-1,502	Closed	-$210K
112	112 JPMorgan Chase JPM $829B	–	–	-2,038	Closed	-$212K
113	EQC.PRD 113 DELISTED Equity Commonwealth 6 1/2% Series D Cumulative Convertible Preferred Shares EQC.PRD	–	–	-23,140	Closed	-$602K