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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
+14.32%
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
$1.45B
AUM Growth
+$1.19B
Cap. Flow
+$1.09B
Cap. Flow %
75.2%
Top 10 Hldgs %
28.45%
Holding
1,765
New
130
Increased
487
Reduced
37
Closed
1,095

Top Buys

Rank Stock Value
1
FV icon
First Trust Dorsey Wright Focus 5 ETF
FV
+$97M
2
AAPL icon
Apple
AAPL
+$66.4M
3
PDP icon
Invesco Dorsey Wright Momentum ETF
PDP
+$37.1M
4
DWFI
SPDR Dorsey Wright Fixed Income Allocation ETF
DWFI
+$31.2M
5
SPLV icon
Invesco S&P 500 Low Volatility ETF
SPLV
+$30.1M

Top Sells

Rank Stock Value
1
GLD icon
SPDR Gold Trust
GLD
+$2.74M
2
VGLT icon
Vanguard Long-Term Treasury ETF
VGLT
+$1.72M
3
IYJ icon
iShares US Industrials ETF
IYJ
+$1.64M
4
GDX icon
VanEck Gold Miners ETF
GDX
+$514K
5
IPKW icon
Invesco International BuyBack Achievers ETF
IPKW
+$440K

Sector Composition

Rank Sector Weight
1 Technology 13.93%
2 Financials 6.56%
3 Consumer Discretionary 5.78%
4 Industrials 5.44%
5 Healthcare 5.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AAL icon
651
American Airlines Group
AAL
$9.82B
$178K 0.01%
11,278
+11,117
+6,905% +$154K
NUV icon
652
Nuveen Municipal Value Fund
NUV
$1.91B
$171K 0.01%
15,400
+2,000
+15% +$21.9K
EQT icon
653
EQT Corp
EQT
$32.9B
$151K 0.01%
11,874
+11,804
+16,863% +$170K
VKQ icon
654
Invesco Municipal Trust
VKQ
$541M
$151K 0.01%
11,787
+11,100
+1,616% +$138K
RTL
655
DELISTED
The Necessity Retail REIT, Inc. Class A Common Stock
RTL
$146K 0.01%
+19,604
New +$138K
SSL icon
656
Sasol
SSL
$7.4B
$144K 0.01%
16,201
+4,591
+40% +$34.4K
CHI
657
Calamos Convertible Opportunities and Income Fund
CHI
$968M
$139K 0.01%
10,300
– –
NLY icon
658
Annaly Capital Management
NLY
$17.3B
$133K 0.01%
3,951
+3,777
+2,171% +$117K
BDJ icon
659
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.7B
$131K 0.01%
+15,416
New +$121K
ING icon
660
ING
ING
$92.9B
$131K 0.01%
13,880
+4,762
+52% +$40.9K
PBR icon
661
Petrobras
PBR
$120B
$125K 0.01%
11,123
+10,732
+2,745% +$95.2K
AOD
662
abrdn Total Dynamic Dividend Fund
AOD
$1.08B
$113K 0.01%
12,759
+4,248
+50% +$35.3K
HEPA
663
DELISTED
Hepion Pharmaceuticals
HEPA
$86K 0.01%
+39
New +$101K
KALA icon
664
KALA BIO
KALA
$12.5M
$69K ﹤0.01%
4
+1
+33% +$18.8K
ASXC
665
DELISTED
Asensus Surgical, Inc.
ASXC
$58K ﹤0.01%
93,231
+53,000
+132% +$24.2K
ASAP
666
DELISTED
Waitr Holdings Inc. Common Stock
ASAP
$42K ﹤0.01%
745
-50
-6% -$3.22K
NOVN
667
DELISTED
Novan, Inc. Common Stock
NOVN
$31K ﹤0.01%
3,861
-6,221
-62% -$34K
NMTR
668
DELISTED
9 Meters Biopharma
NMTR
$13K ﹤0.01%
750
– –
AA icon
669
Alcoa
AA
$11.3B
– –
-316
Closed -$4K
A icon
670
Agilent Technologies
A
$39.6B
– –
-20
Closed -$2K
AAP icon
671
Advance Auto Parts
AAP
$3.53B
– –
-545
Closed -$84K
AB icon
672
AllianceBernstein
AB
$3.47B
– –
-489
Closed -$13K
ABM icon
673
ABM Industries
ABM
$2.89B
– –
-135
Closed -$5K
ACA icon
674
Arcosa
ACA
$7.11B
– –
-218
Closed -$10K
ACB
675
Aurora Cannabis
ACB
$169M
– –
-7
Closed –
25 26
27
28 29

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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 2020 Portfolio in Review

As of Q4 2020, Prospera Financial Services held 1,765 positions worth $1.45B, up 455% from $262M the previous quarter. Its ten largest holdings account for 28% of the portfolio.

Prospera Financial Services deployed $1.09B of net new capital in Q4 2020, opening 130 new positions and adding to 487 existing holdings. Its largest new stake was Alphabet (Google) Class C: 74,140 shares worth $6.49M.

By sector, the portfolio is most concentrated in Technology at 14% of assets, up from 7.9% a quarter earlier, followed by Financials and Consumer Discretionary.

On the sell side, the largest reduction was SPDR Gold Trust, an estimated $2.74M trimmed.

  • Prospera Financial Services's largest Q4 2020 buy was Alphabet (Google) Class C: 74,140 shares worth $6.49M.
  • Prospera Financial Services added most to First Trust Dorsey Wright Focus 5 ETF in Q4 2020, an estimated $97M increase.
  • Prospera Financial Services's biggest Q4 2020 reduction was SPDR Gold Trust, cutting an estimated $2.74M.
  • Prospera Financial Services fully exited Vanguard Long-Term Treasury ETF in Q4 2020, selling an estimated $1.72M.
  • Prospera Financial Services's ten largest holdings make up 28% of its $1.45B portfolio in Q4 2020.
  • Prospera Financial Services opened 130 new positions and closed 1,095 in Q4 2020.
  • Prospera Financial Services's portfolio value rose 455% quarter-over-quarter to $1.45B.

Based on Prospera Financial Services's 13F filing for Q4 2020, filed 12 Feb 2021.