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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
+5%
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
$655M
AUM Growth
-$2.85M
Cap. Flow
-$24.3M
Cap. Flow %
-3.71%
Top 10 Hldgs %
40.21%
Holding
472
New
41
Increased
127
Reduced
207
Closed
77

Top Buys

Rank Stock Value
1
BRK.A icon
Berkshire Hathaway Class A
BRK.A
+$11.4M
2
DWFI
SPDR Dorsey Wright Fixed Income Allocation ETF
DWFI
+$3.03M
3
GMED icon
Globus Medical
GMED
+$2.16M
4
FVD icon
First Trust Value Line Dividend Fund
FVD
+$1.81M
5
UPS icon
United Parcel Service
UPS
+$1.59M

Top Sells

Rank Stock Value
1
FV icon
First Trust Dorsey Wright Focus 5 ETF
FV
+$3.42M
2
BSJH
Guggenheim BulletShares 2017 High Yield Corporate Bond ETF
BSJH
+$3.12M
3
BA icon
Boeing
BA
+$1.98M
4
OEF icon
iShares S&P 100 ETF
OEF
+$1.74M
5
BX icon
Blackstone
BX
+$1.56M

Sector Composition

Rank Sector Weight
1 Financials 5.65%
2 Technology 4.3%
3 Industrials 4.16%
4 Healthcare 4.04%
5 Energy 2.96%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SA
376
Seabridge Gold
SA
$2.8B
$198K 0.03%
17,782
-232
-1% -$2.75K
RIG icon
377
Transocean
RIG
$5.92B
$169K 0.03%
14,852
-11,400
-43% -$118K
VGM icon
378
Invesco Trust Investment Grade Municipals
VGM
$549M
$165K 0.03%
12,507
– –
CART
379
DELISTED
Carolina Trust BancShares
CART
$162K 0.02%
16,875
-19,250
-53% -$169K
OVV icon
380
Ovintiv
OVV
$17.5B
$153K 0.02%
+2,274
New +$134K
GPRO icon
381
GoPro
GPRO
$116M
$144K 0.02%
19,085
-410
-2% -$3.63K
CEF icon
382
Sprott Physical Gold and Silver Trust
CEF
$7.43B
$141K 0.02%
10,440
+3
+0% +$39
VKQ icon
383
Invesco Municipal Trust
VKQ
$536M
$134K 0.02%
10,700
– –
DX
384
Dynex Capital
DX
$2.99B
$93K 0.01%
4,489
-284
-6% -$6.08K
BBG
385
DELISTED
Bill Barrett Corp
BBG
$75K 0.01%
14,690
– –
HEPA
386
DELISTED
Hepion Pharmaceuticals
HEPA
– –
0
– –
ASTC icon
387
Astrotech Corp
ASTC
$14.5M
$54K 0.01%
506
-1
-0.2% -$105
ASXC
388
DELISTED
Asensus Surgical, Inc.
ASXC
$54K 0.01%
1,923
+461
+32% +$14.2K
NOVN
389
DELISTED
Novan, Inc. Common Stock
NOVN
$51K 0.01%
1,216
-1,601
-57% -$83.4K
CRDF icon
390
Cardiff Oncology
CRDF
$64.3M
$46K 0.01%
1,769
+14
+0.8% +$620
REFR icon
391
Research Frontiers
REFR
$16.1M
$22K ﹤0.01%
19,800
– –
WIN
392
DELISTED
Windstream Holdings Inc
WIN
$20K ﹤0.01%
2,048
-80
-4% -$819
SDRL
393
DELISTED
Seadrill Limited Common Stock
SDRL
$9K ﹤0.01%
117
-45
-28% -$3.59K
ABR icon
394
Arbor Realty Trust
ABR
$960M
– –
-10,000
Closed -$84K
AIVL icon
395
WisdomTree US AI Enhanced Value Fund
AIVL
$426M
– –
-3,558
Closed -$300K
AZO icon
396
AutoZone
AZO
$48.3B
– –
-1,345
Closed -$800K
BABA icon
397
Alibaba
BABA
$269B
– –
-1,914
Closed -$332K
BAC.PRL icon
398
Bank of America Series L
BAC.PRL
$3.95B
– –
-175
Closed -$227K
BIDU icon
399
Baidu
BIDU
$35.8B
– –
-900
Closed -$223K
BNY
400
Bank of New York Mellon
BNY
$108B
– –
-4,133
Closed -$222K
14 15
16
17 18

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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
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PS
Principal Securities Des Moines, Iowa $6.82B AUM 17.15% 1-Year Est. Return
PFA
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RBI
Raiffeisen Bank International Vienna, Austria $6.97B AUM 29.39% 1-Year Est. Return

Prospera Financial Services's Q4 2017 Portfolio in Review

As of Q4 2017, Prospera Financial Services held 472 positions worth $655M, down 0.43% from $657M the previous quarter. Its ten largest holdings account for 40% of the portfolio.

Prospera Financial Services withdrew a net $24.3M in Q4 2017, closing 77 positions and reducing 207 holdings. Its most notable exit was Guggenheim BulletShares 2017 High Yield Corporate Bond ETF, an estimated $3.12M position sold in full.

By sector, the portfolio is most concentrated in Financials at 5.6% of assets, down from 6% a quarter earlier, followed by Technology and Industrials.

Against the trend, Prospera Financial Services opened a new position in Globus Medical worth $2.53M.

  • Prospera Financial Services's largest Q4 2017 buy was Globus Medical: 61,630 shares worth $2.53M.
  • Prospera Financial Services added most to Berkshire Hathaway Class A in Q4 2017, an estimated $11.4M increase.
  • Prospera Financial Services's biggest Q4 2017 reduction was First Trust Dorsey Wright Focus 5 ETF, cutting an estimated $3.42M.
  • Prospera Financial Services fully exited Guggenheim BulletShares 2017 High Yield Corporate Bond ETF in Q4 2017, selling an estimated $3.12M.
  • Prospera Financial Services's ten largest holdings make up 40% of its $655M portfolio in Q4 2017.
  • Prospera Financial Services opened 41 new positions and closed 77 in Q4 2017.
  • Prospera Financial Services's portfolio value fell 0.43% quarter-over-quarter to $655M.

Based on Prospera Financial Services's 13F filing for Q4 2017, filed 24 Jan 2018.