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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
+6.8%
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
$262M
AUM Growth
-$867M
Cap. Flow
-$932M
Cap. Flow %
-356.11%
Top 10 Hldgs %
21.54%
Holding
1,727
New
1,155
Increased
43
Reduced
426
Closed
90

Top Buys

Rank Stock Value
1
IYK icon
iShares US Consumer Staples ETF
IYK
+$2.05M
2
IYJ icon
iShares US Industrials ETF
IYJ
+$1.75M
3
EEM icon
iShares MSCI Emerging Markets ETF
EEM
+$1.38M
4
QQQH
NEOS Nasdaq-100 Hedged Equity Income ETF
QQQH
+$974K
5
GNMA icon
iShares GNMA Bond ETF
GNMA
+$899K

Top Sells

Rank Stock Value
1
DWFI
SPDR Dorsey Wright Fixed Income Allocation ETF
DWFI
+$63.8M
2
AAPL icon
Apple
AAPL
+$59.8M
3
FV icon
First Trust Dorsey Wright Focus 5 ETF
FV
+$49.9M
4
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$31.7M
5
QQQ icon
Invesco QQQ Trust
QQQ
+$25.6M

Sector Composition

Rank Sector Weight
1 Financials 10.9%
2 Industrials 9.98%
3 Technology 7.94%
4 Healthcare 6.42%
5 Consumer Discretionary 5%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PFG icon
801
Principal Financial Group
PFG
$24.3B
$28K 0.01%
+688
New +$29.3K
TOK icon
802
iShares MSCI Kokusai Fund
TOK
$244M
$28K 0.01%
+380
New +$28.1K
TSM icon
803
TSMC
TSM
$1.94T
$28K 0.01%
+345
New +$26.2K
UFOX
804
Defiance Space and Connective Tech ETF
UFOX
$795M
$28K 0.01%
+1,000
New +$28.7K
ICPT
805
DELISTED
Intercept Pharmaceuticals, Inc.
ICPT
$28K 0.01%
+683
New +$31.4K
RFAP
806
DELISTED
First Trust RiverFront Dynamic Asia Pacific ETF
RFAP
$28K 0.01%
+564
New +$27.8K
DGL
807
DELISTED
Invesco DB Gold Fund
DGL
$28K 0.01%
+500
New +$28.2K
BEPC icon
808
Brookfield Renewable
BEPC
$5.86B
$27K 0.01%
+692
New +$23.2K
FAAR icon
809
First Trust Alternative Absolute Return Strategy ETF
FAAR
$192M
$27K 0.01%
+1,000
New +$26.8K
FNY icon
810
First Trust Mid Cap Growth AlphaDEX Fund
FNY
$565M
$27K 0.01%
+501
New +$25.8K
ISRA icon
811
VanEck Israel ETF
ISRA
$147M
$27K 0.01%
+750
New +$26.6K
IWN icon
812
iShares Russell 2000 Value ETF
IWN
$14.3B
$27K 0.01%
+271
New +$27.5K
MLPB icon
813
ETRACS Alerian MLP Infrastructure Index ETN Series B due Apr 2 2040
MLPB
$248M
$27K 0.01%
+2,855
New +$30.4K
PCQ
814
Pimco California Municipal Income Fund
PCQ
$163M
$27K 0.01%
+1,552
New +$26.8K
SLF icon
815
Sun Life Financial
SLF
$45.6B
$27K 0.01%
+652
New +$26.4K
SNY icon
816
Sanofi
SNY
$107B
$27K 0.01%
+546
New +$28.1K
USO icon
817
United States Oil Fund
USO
$2.15B
$27K 0.01%
964
-84,184
-99% -$2.46M
MXIM
818
DELISTED
Maxim Integrated Products
MXIM
$27K 0.01%
+397
New +$26.9K
BLV icon
819
Vanguard Long-Term Bond ETF
BLV
$5.74B
$26K 0.01%
+235
New +$26.8K
CWH icon
820
Camping World
CWH
$384M
$26K 0.01%
881
-17,450
-95% -$570K
DBP icon
821
Invesco DB Precious Metals Fund
DBP
$236M
$26K 0.01%
+500
New +$26.5K
FAN icon
822
First Trust Global Wind Energy ETF
FAN
$271M
$26K 0.01%
+1,474
New +$24.7K
FNV icon
823
Franco-Nevada
FNV
$41.3B
$26K 0.01%
+189
New +$28.1K
IJS icon
824
iShares S&P Small-Cap 600 Value ETF
IJS
$8.12B
$26K 0.01%
+424
New +$26.7K
KEY icon
825
KeyCorp
KEY
$23.8B
$26K 0.01%
+2,158
New +$26.3K
31 32
33
34 35

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AG
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AMH
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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 Q3 2020 Portfolio in Review

As of Q3 2020, Prospera Financial Services held 1,727 positions worth $262M, down 77% from $1.13B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Prospera Financial Services withdrew a net $932M in Q3 2020, closing 90 positions and reducing 426 holdings. Its most notable exit was Netflix, an estimated $6.67M position sold in full.

By sector, the portfolio is most concentrated in Financials at 11% of assets, up from 6.9% a quarter earlier, followed by Industrials and Technology.

Against the trend, Prospera Financial Services opened a new position in NEOS Nasdaq-100 Hedged Equity Income ETF worth $924K.

  • Prospera Financial Services's largest Q3 2020 buy was NEOS Nasdaq-100 Hedged Equity Income ETF: 17,898 shares worth $924K.
  • Prospera Financial Services added most to iShares US Consumer Staples ETF in Q3 2020, an estimated $2.05M increase.
  • Prospera Financial Services's biggest Q3 2020 reduction was SPDR Dorsey Wright Fixed Income Allocation ETF, cutting an estimated $63.8M.
  • Prospera Financial Services fully exited Netflix in Q3 2020, selling an estimated $6.67M.
  • Prospera Financial Services's ten largest holdings make up 22% of its $262M portfolio in Q3 2020.
  • Prospera Financial Services opened 1,155 new positions and closed 90 in Q3 2020.
  • Prospera Financial Services's portfolio value fell 77% quarter-over-quarter to $262M.

Based on Prospera Financial Services's 13F filing for Q3 2020, filed 4 Nov 2020.