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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
+6.52%
1 Year Est. Return
+14.4%
3 Year Est. Return
+61.85%
5 Year Est. Return
+240.78%
10 Year Est. Return
–
AUM
$771M
AUM Growth
+$10M
Cap. Flow
-$29.1M
Cap. Flow %
-3.77%
Top 10 Hldgs %
23.96%
Holding
593
New
30
Increased
142
Reduced
253
Closed
64

Top Buys

Rank Stock Value
1
DFS
Discover Financial Services
DFS
+$5.55M
2
RF icon
Regions Financial
RF
+$1.45M
3
PCAR icon
PACCAR
PCAR
+$1.37M
4
BWA icon
BorgWarner
BWA
+$1.34M
5
TROW icon
T. Rowe Price
TROW
+$1.3M

Top Sells

Rank Stock Value
1
CVS icon
CVS Health
CVS
+$4.5M
2
FNF icon
Fidelity National Financial
FNF
+$1.92M
3
MS icon
Morgan Stanley
MS
+$1.75M
4
ARR
Armour Residential REIT
ARR
+$1.63M
5
BMY icon
Bristol-Myers Squibb
BMY
+$1.55M

Sector Composition

Rank Sector Weight
1 Technology 17.25%
2 Financials 15.74%
3 Consumer Discretionary 10.01%
4 Healthcare 9.76%
5 Industrials 9.62%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PML
476
PIMCO Municipal Income Fund II
PML
$493M
$176K 0.02%
13,384
– –
GRX
477
Gabelli Healthcare & Wellness Trust
GRX
$146M
$173K 0.02%
16,741
+4,200
+33% +$41.9K
MHI
478
DELISTED
Pioneer Municipal High Income Fund
MHI
$165K 0.02%
13,900
+700
+5% +$8.31K
CHK
479
DELISTED
Chesapeake Energy Corporation
CHK
$156K 0.02%
197
-73
-27% -$56.9K
ADAM
480
Adamas Trust
ADAM
$883M
$153K 0.02%
6,199
-1,033
-14% -$25.9K
SAN icon
481
Banco Santander
SAN
$210B
$153K 0.02%
24,407
-2,642
-10% -$16.7K
JHB
482
DELISTED
Nuveen Corporate Income November 2021 Target Term Fund
JHB
$152K 0.02%
+15,300
New +$153K
VER
483
DELISTED
VEREIT, Inc.
VER
$147K 0.02%
3,777
– –
GGT
484
Gabelli Multimedia Trust
GGT
$174M
$146K 0.02%
16,075
-6,533
-29% -$58K
FSM icon
485
Fortuna Silver Mines
FSM
$3.07B
$144K 0.02%
27,540
+1,500
+6% +$6.76K
MFIC icon
486
MidCap Financial Investment
MFIC
$804M
$144K 0.02%
8,489
-72
-0.8% -$1.29K
RQI icon
487
Cohen & Steers Quality Income Realty Fund
RQI
$1.69B
$142K 0.02%
11,226
– –
SJT
488
San Juan Basin Royalty Trust
SJT
$118M
$134K 0.02%
16,300
– –
UPL
489
DELISTED
Ultra Petroleum Corp. Common Stock
UPL
$134K 0.02%
14,759
-163
-1% -$1.42K
SRC
490
DELISTED
SPIRIT REALTY CAPITAL, INC.
SRC
$130K 0.02%
3,367
– –
DGII icon
491
Digi International
DGII
$3.1B
$129K 0.02%
13,500
– –
BWP
492
DELISTED
Boardwalk Pipeline Partners
BWP
$129K 0.02%
+10,020
New +$142K
JPS
493
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$127K 0.02%
12,460
– –
HDSN
494
Hudson Technologies
HDSN
$235M
$124K 0.02%
20,500
+750
+4% +$4.57K
GPM
495
DELISTED
Guggenheim Enhanced Equity Income Fund
GPM
$121K 0.02%
13,651
-1,650
-11% -$14.4K
ORC
496
Orchid Island Capital
ORC
$1.31B
$119K 0.02%
2,573
-110
-4% -$5.41K
OCSL icon
497
Oaktree Specialty Lending
OCSL
$1.14B
$114K 0.01%
7,751
-5,070
-40% -$81.2K
NG icon
498
NovaGold Resources
NG
$3.33B
$103K 0.01%
26,300
– –
NOK icon
499
Nokia
NOK
$52.3B
$99K 0.01%
21,203
– –
NCV
500
Virtus Convertible & Income Fund
NCV
$390M
$98K 0.01%
3,481
-750
-18% -$21.2K
18 19
20
21 22

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CHP
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MW
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TAM
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CCM
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WCF
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Sheaff Brock Investment Advisors's Q4 2017 Portfolio in Review

As of Q4 2017, Sheaff Brock Investment Advisors held 593 positions worth $771M, up 1.3% from $761M the previous quarter. Its ten largest holdings account for 24% of the portfolio.

Sheaff Brock Investment Advisors withdrew a net $29.1M in Q4 2017, closing 64 positions and reducing 253 holdings. Its most notable exit was Huntsman Corp, an estimated $1.25M 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 Financials and Consumer Discretionary.

Against the trend, Sheaff Brock Investment Advisors opened a new position in PACCAR worth $1.38M.

  • Sheaff Brock Investment Advisors's largest Q4 2017 buy was PACCAR: 29,010 shares worth $1.38M.
  • Sheaff Brock Investment Advisors added most to Discover Financial Services in Q4 2017, an estimated $5.55M increase.
  • Sheaff Brock Investment Advisors's biggest Q4 2017 reduction was CVS Health, cutting an estimated $4.5M.
  • Sheaff Brock Investment Advisors fully exited Huntsman Corp in Q4 2017, selling an estimated $1.25M.
  • Sheaff Brock Investment Advisors's ten largest holdings make up 24% of its $771M portfolio in Q4 2017.
  • Sheaff Brock Investment Advisors opened 30 new positions and closed 64 in Q4 2017.
  • Sheaff Brock Investment Advisors's portfolio value rose 1.3% quarter-over-quarter to $771M.

Based on Sheaff Brock Investment Advisors's 13F filing for Q4 2017, filed 12 Feb 2018.