Prospera Financial Services Portfolio holdings
Prospera Financial Services has been in business since 1982 and works as both an investment adviser and a brokerage. Prospera Financial, LLC owns it outright, and is itself majority owned and run, indirectly, by co-chief executives David Stringer and Tim Edwards and secretary Richard Pascuzzi. Its advisers offer clients its own Summit advisory programs and financial planning, plus programs from Envestnet, SEI and AssetMark, and most can also advise on insurance through its affiliate Prospera Life & Annuity.
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
NVIDIA
NVDA
|
+$48.3M |
| 2 |
SpaceX
SPCX
|
+$43.1M |
| 3 |
Apple
AAPL
|
+$42.8M |
| 4 |
Listed Funds Trust Roundhill Magnificent Seven ETF
MAGS
|
+$32.5M |
| 5 |
Cisco
CSCO
|
+$24.5M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares Russell 1000 Value ETF
IWD
|
+$36.9M |
| 2 |
Arm
ARM
|
+$25.2M |
| 3 |
AbbVie
ABBV
|
+$24.2M |
| 4 |
Western Digital
WDC
|
+$23.2M |
| 5 |
Intel
INTC
|
+$16.7M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Miscellaneous | 41.65% |
| 2 | Technology | 20.94% |
| 3 | Financials | 7.06% |
| 4 | Industrials | 6.96% |
| 5 | Healthcare | 5.31% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | Held Since | |
|---|---|---|---|---|---|---|---|
1451
Nuveen Municipal High Income Opportunity Fund
NMZ
$1.94B
| $162K | ﹤0.01% |
+18,291
| New | +$182K |
2026 Q3
0 quarters
|
|
1452
Cingulate
CING
$61.9M
| $161K | ﹤0.01% |
32,250
+2,350
| +8% | +$11.9K |
2026 Q1
2 quarters
|
|
1453
D-Wave Quantum Inc
QBTS
$4.05B
| $160K | ﹤0.01% |
+15,062
| New | +$279K |
2026 Q3
0 quarters
|
|
1454
SoundHound AI
SOUN
$2.01B
| $157K | ﹤0.01% |
37,240
+9,150
| +33% | +$60.4K |
2024 Q1
10 quarters
|
|
1455
Electrovaya
ELVA
$245M
| $153K | ﹤0.01% |
+28,922
| New | +$225K |
2026 Q3
0 quarters
|
|
1456
FinVolution Group
FINV
$694M
| $146K | ﹤0.01% |
51,434
-942
| -2% | -$3.93K |
2023 Q2
13 quarters
|
|
1457
BlackRock Credit Allocation Income Trust
BTZ
$897M
| $144K | ﹤0.01% |
15,200
+123
| +0.8% | +$1.23K |
2025 Q2
5 quarters
|
|
1458
YieldMax META Option Income Strategy ETF
FBY
$94.4M
| $140K | ﹤0.01% |
17,770
+400
| +2% | +$3.62K |
2025 Q2
5 quarters
|
|
1459
Ladder Capital
LADR
$1.12B
| $138K | ﹤0.01% |
15,113
-8,196
| -35% | -$79.5K |
2025 Q4
3 quarters
|
|
1460
Greenland Mines Ltd
GRML
$52.6M
| $137K | ﹤0.01% |
+29,830
| New | +$263K |
2026 Q3
0 quarters
|
|
1461
YieldMax NVDA Option Income Strategy ETF
NVDY
$1.15B
| $134K | ﹤0.01% |
11,987
-100
| -0.8% | -$1.26K |
2025 Q2
5 quarters
|
|
1462
PG&E
PCG
$28.6B
| $134K | ﹤0.01% |
+10,143
| New | +$163K |
2026 Q3
0 quarters
|
|
1463
PennyMac Mortgage Investment
PMT
$685M
| $128K | ﹤0.01% |
+17,198
| New | +$163K |
2026 Q3
0 quarters
|
|
1464
Gray Television
GTN
$507M
| $122K | ﹤0.01% |
27,078
-2,042
| -7% | -$9.19K |
2025 Q4
3 quarters
|
|
1465
Lloyds Banking Group
LYG
$72.7B
| $119K | ﹤0.01% |
23,761
-4,007
| -14% | -$24K |
2023 Q2
13 quarters
|
|
1466
ImmunityBio
IBRX
$9.15B
| $117K | ﹤0.01% |
14,160
+1,700
| +14% | +$13.6K |
2026 Q2
1 quarter
|
|
1467
Invesco Advantage Municipal Income Trust II
VKI
$381M
| $114K | ﹤0.01% |
+13,542
| New | +$120K |
2026 Q3
0 quarters
|
|
1468
Eaton Vance Limited Duration Income Fund
EVV
$1.01B
| $113K | ﹤0.01% |
13,282
+154
| +1% | +$1.39K |
2026 Q2
1 quarter
|
|
1469
Sprott Physical Platinum and Palladium Trust
SPPP
$485M
| $113K | ﹤0.01% |
10,000
| – | – |
2025 Q4
3 quarters
|
|
1470
Guggenheim Strategic Opportunities Fund
GOF
$2.01B
| $111K | ﹤0.01% |
12,679
-1,259
| -9% | -$12.5K |
2026 Q1
2 quarters
|
|
1471
Sweetgreen
SG
$1.43B
| $111K | ﹤0.01% |
10,000
| – | – |
2026 Q1
2 quarters
|
|
1472
Ondas Inc
ONDS
$3.1B
| $110K | ﹤0.01% |
+17,350
| New | +$136K |
2026 Q3
0 quarters
|
|
1473
NIO
NIO
$8.49B
| $109K | ﹤0.01% |
33,913
+3,598
| +12% | +$15.7K |
2021 Q1
22 quarters
|
|
1474
BigBear.ai
BBAI
$1.07B
| $109K | ﹤0.01% |
41,789
+10,000
| +31% | +$30.1K |
2025 Q3
4 quarters
|
|
1475
Ardelyx
ARDX
$724M
| $102K | ﹤0.01% |
+33,822
| New | +$145K |
2026 Q3
0 quarters
|
|
Similar funds
Prospera Financial Services's Q3 2026 Portfolio in Review
As of Q3 2026, Prospera Financial Services held 1,651 positions worth $7.73B, up 12% from $6.89B the previous quarter. Its ten largest holdings account for 19% of the portfolio.
Prospera Financial Services deployed $900M of net new capital in Q3 2026, opening 183 new positions and adding to 799 existing holdings. Its largest new stake was iShares US Pharmaceuticals ETF: 130,953 shares worth $14.1M.
By sector, the portfolio is most concentrated in Miscellaneous at 42% of assets, down from 43% a quarter earlier, followed by Technology and Financials.
On the sell side, the largest reduction was iShares Russell 1000 Value ETF, an estimated $36.9M trimmed.
- Prospera Financial Services's largest Q3 2026 buy was iShares US Pharmaceuticals ETF: 130,953 shares worth $14.1M.
- Prospera Financial Services added most to NVIDIA in Q3 2026, an estimated $48.3M increase.
- Prospera Financial Services's biggest Q3 2026 reduction was iShares Russell 1000 Value ETF, cutting an estimated $36.9M.
- Prospera Financial Services fully exited AbbVie in Q3 2026, selling an estimated $24.2M.
- Prospera Financial Services's ten largest holdings make up 19% of its $7.73B portfolio in Q3 2026.
- Prospera Financial Services opened 183 new positions and closed 140 in Q3 2026.
- Prospera Financial Services's portfolio value rose 12% quarter-over-quarter to $7.73B.
Based on Prospera Financial Services's 13F filing for Q3 2026, filed 4 Nov 2026.