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Sheaff Brock Investment Advisors Portfolio holdings

AUM $1.09B
1-Year Est. Return 14.4%
This Fund
S&P 500
This Quarter Est. Return
+5.71%
1 Year Est. Return
+14.4%
3 Year Est. Return
+61.85%
5 Year Est. Return
+240.78%
10 Year Est. Return
–
AUM
$791M
AUM Growth
+$41.3M
Cap. Flow
+$8.16M
Cap. Flow %
1.03%
Top 10 Hldgs %
22.1%
Holding
669
New
111
Increased
254
Reduced
168
Closed
59

Top Buys

Rank Stock Value
1
CVS icon
CVS Health
CVS
+$6.09M
2
WMT icon
Walmart Inc
WMT
+$5.61M
3
RTX icon
RTX Corp
RTX
+$5.52M
4
MCD icon
McDonald's
MCD
+$5.26M
5
PFE icon
Pfizer
PFE
+$4.27M

Top Sells

Rank Stock Value
1
TWX
Time Warner Inc
TWX
+$6.65M
2
AAPL icon
Apple
AAPL
+$5.5M
3
JNJ icon
Johnson & Johnson
JNJ
+$5.2M
4
UPS icon
United Parcel Service
UPS
+$4.54M
5
T icon
AT&T
T
+$2.75M

Sector Composition

Rank Sector Weight
1 Technology 16.51%
2 Financials 12.34%
3 Energy 10.58%
4 Industrials 10.46%
5 Consumer Discretionary 10.39%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TFCFA
251
DELISTED
Twenty-First Century Fox, Inc. Class A
TFCFA
$616K 0.08%
+21,951
New +$591K
MDY icon
252
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27.1B
$610K 0.08%
2,021
– –
SPXX icon
253
Nuveen S&P 500 Dynamic Overwrite Fund
SPXX
$344M
$610K 0.08%
42,340
+5,385
+15% +$74.4K
KMB icon
254
Kimberly-Clark
KMB
$36.5B
$608K 0.08%
5,327
+1,207
+29% +$140K
VBK icon
255
Vanguard Morningstar Small-Cap Growth ETF
VBK
$24.6B
$596K 0.08%
4,475
– –
LUV icon
256
Southwest Airlines
LUV
$23B
$595K 0.08%
11,941
+4,231
+55% +$190K
VOO icon
257
Vanguard S&P 500 ETF
VOO
$1.03T
$595K 0.08%
2,898
-390
-12% -$78.3K
BOND icon
258
PIMCO Active Bond Exchange-Traded Fund
BOND
$8.49B
$593K 0.08%
5,699
+49
+0.9% +$5.16K
FUSB icon
259
First US Bancshares
FUSB
$90.8M
$593K 0.08%
+53,416
New +$566K
WLL
260
DELISTED
Whiting Petroleum Corporation
WLL
$593K 0.08%
164
-7
-4% -$21K
EEP
261
DELISTED
Enbridge Energy Partners
EEP
$586K 0.07%
22,982
-1,887
-8% -$46K
BX icon
262
Blackstone
BX
$110B
$584K 0.07%
21,599
+1,639
+8% +$42.5K
UNP icon
263
Union Pacific
UNP
$174B
$582K 0.07%
5,618
+1,302
+30% +$128K
RAI
264
DELISTED
Reynolds American Inc
RAI
$571K 0.07%
10,195
-2,461
-19% -$131K
SLB icon
265
SLB Ltd
SLB
$75B
$570K 0.07%
6,788
-6,670
-50% -$547K
AMD icon
266
Advanced Micro Devices
AMD
$789B
$568K 0.07%
+50,053
New +$420K
MNK
267
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$567K 0.07%
11,385
+1,172
+11% +$69K
PXD
268
DELISTED
Pioneer Natural Resource Co.
PXD
$562K 0.07%
3,119
+333
+12% +$61K
RVLT
269
DELISTED
Revolution Lighting Technologies, Inc. - Class A
RVLT
$559K 0.07%
101,594
– –
WWE
270
DELISTED
World Wrestling Entertainment
WWE
$554K 0.07%
30,100
– –
LOW icon
271
Lowe's Companies
LOW
$125B
$553K 0.07%
7,769
-1,812
-19% -$128K
CTRE icon
272
CareTrust REIT
CTRE
$9.74B
$538K 0.07%
35,133
– –
NOK icon
273
Nokia
NOK
$52.3B
$537K 0.07%
111,546
+115
+0.1% +$542
VOT icon
274
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$19.8B
$536K 0.07%
5,072
– –
HON icon
275
Honeywell
HON
$78B
$532K 0.07%
5,086
+2,098
+70% +$213K
9 10
11
12 13

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Sheaff Brock Investment Advisors's Q4 2016 Portfolio in Review

As of Q4 2016, Sheaff Brock Investment Advisors held 669 positions worth $791M, up 5.5% from $749M the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Sheaff Brock Investment Advisors's Q4 2016 filing shows 111 new, 254 increased, 168 reduced and 59 closed positions. Its largest new stake was Morgan Stanley: 30,285 shares worth $1.28M. The largest sale was Time Warner Inc, an estimated $6.65M.

By sector, the portfolio is most concentrated in Technology at 17% of assets, down from 17% a quarter earlier, followed by Financials and Energy.

  • Sheaff Brock Investment Advisors's largest Q4 2016 buy was Morgan Stanley: 30,285 shares worth $1.28M.
  • Sheaff Brock Investment Advisors added most to CVS Health in Q4 2016, an estimated $6.09M increase.
  • Sheaff Brock Investment Advisors's biggest Q4 2016 reduction was Time Warner Inc, cutting an estimated $6.65M.
  • Sheaff Brock Investment Advisors fully exited Lear in Q4 2016, selling an estimated $1.76M.
  • Sheaff Brock Investment Advisors's ten largest holdings make up 22% of its $791M portfolio in Q4 2016.
  • Sheaff Brock Investment Advisors opened 111 new positions and closed 59 in Q4 2016.
  • Sheaff Brock Investment Advisors's portfolio value rose 5.5% quarter-over-quarter to $791M.

Based on Sheaff Brock Investment Advisors's 13F filing for Q4 2016, filed 24 Jan 2017.