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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
+10.09%
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
$3.02B
AUM Growth
+$434M
Cap. Flow
+$181M
Cap. Flow %
5.99%
Top 10 Hldgs %
18.87%
Holding
1,133
New
127
Increased
429
Reduced
454
Closed
82

Top Buys

Rank Stock Value
1
XOM icon
ExxonMobil
XOM
+$18.5M
2
BUFR icon
FT Vest Fund of Buffer ETFs
BUFR
+$13.2M
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$12.7M
4
FTSM icon
First Trust Enhanced Short Maturity ETF
FTSM
+$11.7M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$11.5M

Top Sells

Rank Stock Value
1
FV icon
First Trust Dorsey Wright Focus 5 ETF
FV
+$31.8M
2
SPIP icon
State Street SPDR Portfolio TIPS ETF
SPIP
+$12.2M
3
BIL icon
State Street SPDR Bloomberg 1-3 Month T-Bill ETF
BIL
+$7.03M
4
PDP icon
Invesco Dorsey Wright Momentum ETF
PDP
+$6.99M
5
IYK icon
iShares US Consumer Staples ETF
IYK
+$6.65M

Sector Composition

Rank Sector Weight
1 Technology 13.49%
2 Financials 6.53%
3 Healthcare 4.81%
4 Industrials 4.22%
5 Energy 4.07%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FCVT icon
1001
First Trust SSI Strategic Convertible Securities ETF
FCVT
$113M
$205K 0.01%
6,137
-561
-8% -$17.5K
OXLC
1002
Oxford Lane Capital
OXLC
$824M
$204K 0.01%
8,260
+396
+5% +$9.76K
NTB icon
1003
Bank of N.T. Butterfield & Son
NTB
$2.4B
$203K 0.01%
6,345
-13,783
-68% -$391K
IDXX icon
1004
Idexx Laboratories
IDXX
$43.9B
$202K 0.01%
+364
New +$171K
MELI icon
1005
Mercado Libre
MELI
$92.3B
$201K 0.01%
+128
New +$181K
SHLS icon
1006
Shoals Technologies Group
SHLS
$1.57B
$200K 0.01%
12,891
-3,372
-21% -$51K
CHS
1007
DELISTED
Chicos FAS, Inc.
CHS
$200K 0.01%
+26,425
New +$198K
PDT
1008
John Hancock Premium Dividend Fund
PDT
$637M
$197K 0.01%
18,479
+815
+5% +$8.22K
BANC icon
1009
Banc of California
BANC
$3.21B
$189K 0.01%
14,047
-30,168
-68% -$373K
RMI
1010
RiverNorth Opportunistic Municipal Income Fund
RMI
$97.7M
$187K 0.01%
12,303
-529
-4% -$7.74K
RITM icon
1011
Rithm Capital
RITM
$5.15B
$180K 0.01%
16,849
+1,776
+12% +$17.7K
USA icon
1012
Liberty All-Star Equity Fund
USA
$1.76B
$159K 0.01%
24,998
-597
-2% -$3.63K
FEI
1013
DELISTED
FIRST TRUST MLP AND ENERGY INCOME FUND
FEI
$147K ﹤0.01%
17,158
+585
+4% +$4.88K
OIA icon
1014
Invesco Municipal Income Opportunities Trust
OIA
$293M
$141K ﹤0.01%
22,154
+4,214
+23% +$24.7K
VVR icon
1015
Invesco Senior Income Trust
VVR
$456M
$139K ﹤0.01%
34,000
– –
CNCR
1016
DELISTED
ETF Series Solutions Trust Range Cancer Therapeutics ETF
CNCR
$135K ﹤0.01%
10,000
– –
JOBY icon
1017
Joby Aviation
JOBY
$7.25B
$109K ﹤0.01%
16,325
+1,875
+13% +$11.6K
MQ icon
1018
Marqeta
MQ
$1.85B
$104K ﹤0.01%
3,712
+995
+37% +$23.8K
HYT icon
1019
BlackRock Corporate High Yield Fund
HYT
$1.35B
$98.9K ﹤0.01%
+10,492
New +$91.9K
PLUG icon
1020
Plug Power
PLUG
$2.87B
$88.1K ﹤0.01%
19,571
+3,406
+21% +$17.9K
GLDD
1021
DELISTED
Great Lakes Dredge & Dock
GLDD
$84.5K ﹤0.01%
11,000
– –
STEM icon
1022
Stem
STEM
$50M
$80.8K ﹤0.01%
1,042
-161
-13% -$11.1K
SIRI icon
1023
SiriusXM
SIRI
$10.5B
$79.7K ﹤0.01%
1,458
-100
-6% -$4.8K
EXG icon
1024
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
$2.92B
$79.7K ﹤0.01%
10,319
-528
-5% -$3.92K
LYG icon
1025
Lloyds Banking Group
LYG
$89B
$75.2K ﹤0.01%
31,462
+3,059
+11% +$6.55K
39 40
41
42 43

Similar funds

AG
AIA Group Hong Kong $6.88B AUM 20.97% 1-Year Est. Return
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 2023 Portfolio in Review

As of Q4 2023, Prospera Financial Services held 1,133 positions worth $3.02B, up 17% from $2.59B the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Prospera Financial Services deployed $181M of net new capital in Q4 2023, opening 127 new positions and adding to 429 existing holdings. Its largest new stake was FT Vest Fund of Nasdaq-100 Buffer ETFs: 295,108 shares worth $7.97M.

By sector, the portfolio is most concentrated in Technology at 13% of assets, down from 14% a quarter earlier, followed by Financials and Healthcare.

On the sell side, the largest reduction was First Trust Dorsey Wright Focus 5 ETF, an estimated $31.8M trimmed.

  • Prospera Financial Services's largest Q4 2023 buy was FT Vest Fund of Nasdaq-100 Buffer ETFs: 295,108 shares worth $7.97M.
  • Prospera Financial Services added most to ExxonMobil in Q4 2023, an estimated $18.5M increase.
  • Prospera Financial Services's biggest Q4 2023 reduction was First Trust Dorsey Wright Focus 5 ETF, cutting an estimated $31.8M.
  • Prospera Financial Services fully exited State Street SPDR Portfolio TIPS ETF in Q4 2023, selling an estimated $12.2M.
  • Prospera Financial Services's ten largest holdings make up 19% of its $3.02B portfolio in Q4 2023.
  • Prospera Financial Services opened 127 new positions and closed 82 in Q4 2023.
  • Prospera Financial Services's portfolio value rose 17% quarter-over-quarter to $3.02B.

Based on Prospera Financial Services's 13F filing for Q4 2023, filed 14 Feb 2024.