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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
UCON icon
1701
First Trust Smith Unconstrained Bond ETF
UCON
$3.27B
– –
-61,422
Closed -$1.58M
VECO icon
1702
Veeco
VECO
$3.05B
$0 ﹤0.01%
+19
New +$242
VGSH icon
1703
Vanguard Short-Term Treasury ETF
VGSH
$29.3B
– –
-18,311
Closed -$1.14M
VIRT icon
1704
Virtu Financial
VIRT
$5.11B
– –
-29,225
Closed -$690K
VMBS icon
1705
Vanguard Mortgage-Backed Securities ETF
VMBS
$15.4B
– –
-4,187
Closed -$228K
VOE icon
1706
Vanguard Morningstar Mid-Cap Value ETF
VOE
$23.7B
– –
-3,818
Closed -$365K
VOO icon
1707
Vanguard S&P 500 ETF
VOO
$979B
– –
-2,934
Closed -$832K
VOOG icon
1708
Vanguard S&P 500 Growth ETF
VOOG
$25.9B
– –
-9,552
Closed -$298K
VTV icon
1709
Vanguard Morningstar Value ETF
VTV
$188B
– –
-15,695
Closed -$1.56M
XOM icon
1710
ExxonMobil
XOM
$644B
– –
-136,893
Closed -$6.12M
ZS icon
1711
Zscaler
ZS
$24.5B
– –
-2,668
Closed -$292K
BSJO
1712
DELISTED
Invesco BulletShares 2024 High Yield Corporate Bond ETF
BSJO
– –
-31,431
Closed -$737K
SWAV
1713
DELISTED
Shockwave Medical, Inc. Common Stock
SWAV
– –
-5,632
Closed -$267K
FIF
1714
DELISTED
FIRST TRUST ENERGY INFRASTRUCTURE FUND
FIF
– –
-17,650
Closed -$177K
IMGN
1715
DELISTED
Immunogen Inc
IMGN
$0 ﹤0.01%
+122
New +$493
HALL
1716
DELISTED
Hallmark Financial Services, Inc.
HALL
$0 ﹤0.01%
+8
New +$249
RTL
1717
DELISTED
The Necessity Retail REIT, Inc. Class A Common Stock
RTL
– –
-15,018
Closed -$119K
MAXR
1718
DELISTED
Maxar Technologies Inc. Common Stock
MAXR
$0 ﹤0.01%
+18
New +$398
KL
1719
DELISTED
Kirkland Lake Gold Ltd Ordinary
KL
– –
-6,836
Closed -$282K
BSCL
1720
DELISTED
Invesco BulletShares 2021 Corporate Bond ETF
BSCL
– –
-32,732
Closed -$699K
LORL
1721
DELISTED
Loral Space and Communications, Inc.
LORL
$0 ﹤0.01%
+13
New +$265
CXO
1722
DELISTED
CONCHO RESOURCES INC.
CXO
$0 ﹤0.01%
+7
New +$349
GPOR
1723
DELISTED
Gulfport Energy Corp.
GPOR
$0 ﹤0.01%
+600
New +$514
BSCN
1724
DELISTED
Invesco BulletShares 2023 Corporate Bond ETF
BSCN
– –
-31,337
Closed -$682K
BSCM
1725
DELISTED
Invesco BulletShares 2022 Corporate Bond ETF
BSCM
– –
-30,963
Closed -$676K
66 67 68
69
70

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EDRH
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GAM
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CIA
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PS
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PFA
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RBI
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STA
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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.