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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
CMO
501
DELISTED
Capstead Mortgage Corp.
CMO
$141K 0.02%
14,950
– –
NG icon
502
NovaGold Resources
NG
$3.34B
$140K 0.02%
25,000
-21,800
-47% -$136K
AMLP icon
503
Alerian MLP ETF
AMLP
$13.2B
$137K 0.02%
2,158
-1,622
-43% -$103K
OXSQ icon
504
Oxford Square Capital
OXSQ
$153M
$135K 0.02%
23,260
+1,710
+8% +$10K
TWO
505
Two Harbors Investment
TWO
$1.27B
$134K 0.02%
1,968
+193
+11% +$13.6K
CHRD icon
506
Chord Energy
CHRD
$7.62B
$128K 0.02%
11,200
– –
PNNT
507
Pennant Park Investment Corp
PNNT
$242M
$128K 0.02%
17,000
+1,250
+8% +$9.4K
REM icon
508
iShares Mortgage Real Estate ETF
REM
$537M
$128K 0.02%
3,035
+1
+0% +$42
JRO
509
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$126K 0.02%
11,400
-2,000
-15% -$21.4K
NUV icon
510
Nuveen Municipal Value Fund
NUV
$1.9B
$119K 0.02%
11,200
– –
ORC
511
Orchid Island Capital
ORC
$1.3B
$117K 0.02%
2,239
– –
VER
512
DELISTED
VEREIT, Inc.
VER
$115K 0.02%
2,213
-560
-20% -$29.1K
PIM
513
Franklin Master Intermediate Income Trust
PIM
$151M
$114K 0.02%
25,772
-2,000
-7% -$8.88K
OBCI
514
DELISTED
Ocean Bio-Chem Inc
OBCI
$114K 0.02%
40,500
+5,000
+14% +$12.4K
OMER icon
515
Omeros
OMER
$956M
$112K 0.01%
10,000
– –
JCP
516
DELISTED
J.C. Penney Company, Inc.
JCP
$110K 0.01%
11,900
+500
+4% +$4.76K
BDJ icon
517
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.74B
$109K 0.01%
13,757
-5,000
-27% -$39.9K
ETJ
518
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$573M
$109K 0.01%
11,600
+1,000
+9% +$9.72K
MEMP
519
DELISTED
Memorial Production Partners LP Common Units
MEMP
$105K 0.01%
58,844
-4,537
-7% -$8.01K
CHW
520
Calamos Global Dynamic Income Fund
CHW
$552M
$102K 0.01%
13,635
-13,571
-50% -$99.9K
SJT
521
San Juan Basin Royalty Trust
SJT
$123M
$96K 0.01%
16,300
+300
+2% +$1.88K
JVA icon
522
Coffee Holding Co
JVA
$19.8M
$93K 0.01%
16,700
+3,750
+29% +$21.3K
GPM
523
DELISTED
Guggenheim Enhanced Equity Income Fund
GPM
$91K 0.01%
11,650
– –
CCEC
524
Capital Clean Energy Carriers
CCEC
$1.34B
$89K 0.01%
3,889
+643
+20% +$15.5K
TRQ
525
DELISTED
Turquoise Hill Resources Ltd
TRQ
$83K 0.01%
2,808
– –
19 20
21
22 23

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CHP
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MW
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TAM
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SIA
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CIG
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CCM
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WCF
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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.