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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
+12.38%
1 Year Est. Return
+14.4%
3 Year Est. Return
+61.85%
5 Year Est. Return
+240.78%
10 Year Est. Return
–
AUM
$749M
AUM Growth
-$38.8M
Cap. Flow
-$77.3M
Cap. Flow %
-10.31%
Top 10 Hldgs %
25.16%
Holding
633
New
37
Increased
118
Reduced
257
Closed
76

Top Buys

Rank Stock Value
1
TGT icon
Target
TGT
+$4.83M
2
IPG
Interpublic Group of Companies
IPG
+$4.56M
3
RRC icon
Range Resources
RRC
+$4.05M
4
SWK icon
Stanley Black & Decker
SWK
+$1.97M
5
ETP
Energy Transfer Partners L.p.
ETP
+$1.95M

Top Sells

Rank Stock Value
1
TTE icon
TotalEnergies
TTE
+$7.75M
2
CINF icon
Cincinnati Financial
CINF
+$6.43M
3
AAPL icon
Apple
AAPL
+$5.96M
4
JPM icon
JPMorgan Chase
JPM
+$5.76M
5
WLY icon
John Wiley & Sons Class A
WLY
+$5.35M

Sector Composition

Rank Sector Weight
1 Technology 17.46%
2 Consumer Discretionary 10.77%
3 Energy 10.74%
4 Communication Services 10.44%
5 Financials 10.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PFLT icon
476
PennantPark Floating Rate Capital
PFLT
$734M
$196K 0.03%
14,833
-867
-6% -$11.2K
SRC
477
DELISTED
SPIRIT REALTY CAPITAL, INC.
SRC
$194K 0.03%
3,248
+43
+1% +$2.56K
EXAS
478
DELISTED
Exact Sciences
EXAS
$191K 0.03%
10,300
– –
CX icon
479
Cemex
CX
$16.3B
$189K 0.03%
24,715
– –
PMM
480
Franklin Managed Municipal Income Trust
PMM
$272M
$189K 0.03%
23,700
-9,800
-29% -$78K
PHT
481
DELISTED
Pioneer High Income Fund
PHT
$187K 0.03%
17,826
+126
+0.7% +$1.31K
RIG icon
482
Transocean
RIG
$6.39B
$183K 0.02%
17,207
+2,000
+13% +$21.1K
NAT icon
483
Nordic American Tanker
NAT
$1.33B
$182K 0.02%
18,151
-4,728
-21% -$54.9K
PSLV icon
484
Sprott Physical Silver Trust
PSLV
$13.7B
$177K 0.02%
23,899
-2,340
-9% -$17.6K
PML
485
PIMCO Municipal Income Fund II
PML
$491M
$176K 0.02%
12,900
– –
SFL icon
486
SFL Corp
SFL
$1.58B
$172K 0.02%
11,686
-318
-3% -$4.76K
SAN icon
487
Banco Santander
SAN
$210B
$157K 0.02%
37,201
-549
-1% -$2.24K
DIAX
488
DELISTED
Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX
$156K 0.02%
10,838
+25
+0.2% +$366
CXE
489
DELISTED
MFS High Income Municipal Trust
CXE
$154K 0.02%
28,742
– –
DGII icon
490
Digi International
DGII
$3.14B
$154K 0.02%
13,500
– –
DS
491
DELISTED
Drive Shack Inc.
DS
$153K 0.02%
33,814
+11
+0% +$51
RITM icon
492
Rithm Capital
RITM
$5.65B
$151K 0.02%
10,903
-811
-7% -$11.3K
TOVX icon
493
Theriva Biologics
TOVX
$10.6M
$149K 0.02%
10
– –
GGT
494
Gabelli Multimedia Trust
GGT
$176M
$147K 0.02%
+19,398
New +$144K
BOE icon
495
BlackRock Enhanced Global Dividend Trust
BOE
$691M
$146K 0.02%
11,930
– –
PHYS icon
496
Sprott Physical Gold
PHYS
$15.9B
$145K 0.02%
13,278
-1,200
-8% -$13.3K
BKCC
497
DELISTED
BlackRock Capital Investment Corporation
BKCC
$144K 0.02%
17,430
-5,586
-24% -$46.9K
HYT icon
498
BlackRock Corporate High Yield Fund
HYT
$1.37B
$143K 0.02%
13,248
-4,145
-24% -$44.5K
IAU icon
499
iShares Gold Trust
IAU
$65.1B
$141K 0.02%
5,550
– –
NFJ
500
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.44B
$141K 0.02%
11,141
-800
-7% -$10.1K
18 19
20
21 22

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CHP
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MW
Marcum Wealth Cleveland, Ohio $1.16B AUM 6.7% 1-Year Est. Return
TAM
Taurus Asset Management New York $986M AUM 5.04% 1-Year Est. Return
SIA
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CIG
CCM Investment Group Northfield, Minnesota $946M AUM
CCM
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WCF
West Coast Financial Santa Barbara, California $876M AUM 5.74% 1-Year Est. Return

Sheaff Brock Investment Advisors's Q3 2016 Portfolio in Review

As of Q3 2016, Sheaff Brock Investment Advisors held 633 positions worth $749M, down 4.9% from $788M the previous quarter. Its ten largest holdings account for 25% of the portfolio.

Sheaff Brock Investment Advisors withdrew a net $77.3M in Q3 2016, closing 76 positions and reducing 257 holdings. Its most notable exit was Cincinnati Financial, an estimated $6.43M position sold in full.

By sector, the portfolio is most concentrated in Technology at 17% of assets, up from 16% a quarter earlier, followed by Consumer Discretionary and Energy.

Against the trend, Sheaff Brock Investment Advisors opened a new position in Interpublic Group of Companies worth $4.44M.

  • Sheaff Brock Investment Advisors's largest Q3 2016 buy was Interpublic Group of Companies: 198,517 shares worth $4.44M.
  • Sheaff Brock Investment Advisors added most to Target in Q3 2016, an estimated $4.83M increase.
  • Sheaff Brock Investment Advisors's biggest Q3 2016 reduction was TotalEnergies, cutting an estimated $7.75M.
  • Sheaff Brock Investment Advisors fully exited Cincinnati Financial in Q3 2016, selling an estimated $6.43M.
  • Sheaff Brock Investment Advisors's ten largest holdings make up 25% of its $749M portfolio in Q3 2016.
  • Sheaff Brock Investment Advisors opened 37 new positions and closed 76 in Q3 2016.
  • Sheaff Brock Investment Advisors's portfolio value fell 4.9% quarter-over-quarter to $749M.

Based on Sheaff Brock Investment Advisors's 13F filing for Q3 2016, filed 8 Nov 2016.