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PFS

Prospera Financial Services Portfolio holdings

AUM $6.89B
1-Year Est. Return 37.41%
This Fund
S&P 500
This Quarter Est. Return
+3.95%
1 Year Est. Return
+37.41%
3 Year Est. Return
+97.4%
5 Year Est. Return
+116.36%
10 Year Est. Return
+359.89%
AUM
$456M
AUM Growth
+$60.6M
Cap. Flow
+$48.3M
Cap. Flow %
10.59%
Top 10 Hldgs %
49.51%
Holding
336
New
47
Increased
119
Reduced
108
Closed
36

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$10.8M
2
FV icon
First Trust Dorsey Wright Focus 5 ETF
FV
+$9.93M
3
XLY icon
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
+$6.47M
4
XLK icon
State Street Technology Select Sector SPDR ETF
XLK
+$6.24M
5
DAL icon
Delta Air Lines
DAL
+$5.09M

Top Sells

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$16.5M
2
SHV icon
iShares 0-1 Year Treasury Bond ETF
SHV
+$4.54M
3
BSJF
GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF
BSJF
+$3.01M
4
XLV icon
State Street Health Care Select Sector SPDR ETF
XLV
+$1.6M
5
F icon
Ford
F
+$1.51M

Sector Composition

Rank Sector Weight
1 Technology 4.6%
2 Industrials 3.74%
3 Communication Services 3.63%
4 Consumer Staples 3.02%
5 Energy 2.9%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GLAD icon
276
Gladstone Capital
GLAD
$425M
$161K 0.04%
11,000
– –
JPC icon
277
Nuveen Preferred & Income Opportunities Fund
JPC
$2.89B
$145K 0.03%
+15,850
New +$145K
HEPA
278
DELISTED
Hepion Pharmaceuticals
HEPA
– –
0
– –
SPLS
279
DELISTED
Staples Inc
SPLS
$140K 0.03%
14,816
-3,649
-20% -$42.8K
SUNE
280
DELISTED
SUNEDISON, INC COM
SUNE
$137K 0.03%
27,000
+17,000
+170% +$104K
FCX icon
281
Freeport-McMoran
FCX
$90B
$135K 0.03%
19,903
-3,037
-13% -$28.9K
ADAM
282
Adamas Trust
ADAM
$777M
$128K 0.03%
6,021
+2,050
+52% +$46.3K
BRW
283
Saba Capital Income & Opportunities Fund
BRW
$336M
$127K 0.03%
12,555
-1,250
-9% -$12.6K
EINC icon
284
VanEck Energy Income ETF
EINC
$102M
$124K 0.03%
1,767
-3,108
-64% -$299K
ASTC icon
285
Astrotech Corp
ASTC
$14.5M
$123K 0.03%
536
-9
-2% -$2.43K
DSU icon
286
BlackRock Debt Strategies Fund
DSU
$591M
$108K 0.02%
10,678
– –
MCR
287
DELISTED
MFS Charter Income Trust
MCR
$108K 0.02%
14,189
– –
AA icon
288
Alcoa
AA
$11.7B
$105K 0.02%
+4,437
New +$99K
VVR icon
289
Invesco Senior Income Trust
VVR
$456M
$105K 0.02%
26,104
– –
RMT
290
Royce Micro-Cap Trust
RMT
$736M
$93K 0.02%
+12,804
New +$99.6K
HIO
291
Western Asset High Income Opportunity Fund
HIO
$335M
$92K 0.02%
19,638
– –
ARP
292
DELISTED
ATLAS RESOURCE PARTNERS L P COM UIT REPSTG LTD PTNRS
ARP
$81K 0.02%
78,450
-4,550
-5% -$9.31K
MITK icon
293
Mitek Systems
MITK
$762M
$78K 0.02%
18,860
-7,300
-28% -$29.3K
REFR icon
294
Research Frontiers
REFR
$16.1M
$73K 0.02%
14,100
– –
SIRI icon
295
SiriusXM
SIRI
$10B
$46K 0.01%
1,130
-300
-21% -$12.1K
CHK
296
DELISTED
Chesapeake Energy Corporation
CHK
$46K 0.01%
+51
New +$63.4K
VNR
297
DELISTED
Vanguard Natural Resources, LLC
VNR
$43K 0.01%
14,500
-864
-6% -$5.28K
AGNC icon
298
AGNC Investment
AGNC
$12.3B
– –
-10,000
Closed -$187K
BBY icon
299
Best Buy
BBY
$18B
– –
-5,609
Closed -$208K
CAT icon
300
Caterpillar
CAT
$409B
– –
-3,902
Closed -$209K
10 11
12
13 14

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AG
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AMH
Aspex Management (HK) Central, Hong Kong $6.9B AUM 28.37% 1-Year Est. Return
EDRH
Edmond de Rothschild Holding Chambesy, Switzerland $6.91B AUM 19.7% 1-Year Est. Return
GAM
Groupama Asset Management Paris, France $6.85B AUM 43.37% 1-Year Est. Return
CIA
Capital Investment Advisors Atlanta, Georgia $6.84B AUM 17.28% 1-Year Est. Return
PS
Principal Securities Des Moines, Iowa $6.82B AUM 17.15% 1-Year Est. Return
PFA
Pure Financial Advisors San Diego, California $6.97B AUM 16.14% 1-Year Est. Return
RBI
Raiffeisen Bank International Vienna, Austria $6.97B AUM 29.39% 1-Year Est. Return

Prospera Financial Services's Q4 2015 Portfolio in Review

As of Q4 2015, Prospera Financial Services held 336 positions worth $456M, up 15% from $395M the previous quarter. Its ten largest holdings account for 50% of the portfolio.

Prospera Financial Services deployed $48.3M of net new capital in Q4 2015, opening 47 new positions and adding to 119 existing holdings. Its largest new stake was Delta Air Lines: 102,905 shares worth $5.22M.

By sector, the portfolio is most concentrated in Technology at 4.6% of assets, up from 2.8% a quarter earlier, followed by Industrials and Communication Services.

On the sell side, the largest reduction was iShares 1-3 Year Treasury Bond ETF, an estimated $16.5M trimmed.

  • Prospera Financial Services's largest Q4 2015 buy was Delta Air Lines: 102,905 shares worth $5.22M.
  • Prospera Financial Services added most to Apple in Q4 2015, an estimated $10.8M increase.
  • Prospera Financial Services's biggest Q4 2015 reduction was iShares 1-3 Year Treasury Bond ETF, cutting an estimated $16.5M.
  • Prospera Financial Services fully exited GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF in Q4 2015, selling an estimated $3.01M.
  • Prospera Financial Services's ten largest holdings make up 50% of its $456M portfolio in Q4 2015.
  • Prospera Financial Services opened 47 new positions and closed 36 in Q4 2015.
  • Prospera Financial Services's portfolio value rose 15% quarter-over-quarter to $456M.

Based on Prospera Financial Services's 13F filing for Q4 2015, filed 12 Jan 2016.