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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
+8.05%
1 Year Est. Return
+14.4%
3 Year Est. Return
+61.85%
5 Year Est. Return
+240.78%
10 Year Est. Return
–
AUM
$1.06B
AUM Growth
+$34.3M
Cap. Flow
-$34.8M
Cap. Flow %
-3.29%
Top 10 Hldgs %
41.43%
Holding
578
New
37
Increased
154
Reduced
214
Closed
53

Top Buys

Rank Stock Value
1
PRU icon
Prudential Financial
PRU
+$6.43M
2
LMT icon
Lockheed Martin
LMT
+$6.39M
3
VZ icon
Verizon
VZ
+$6.11M
4
WBA
Walgreens Boots Alliance
WBA
+$2.73M
5
CAT icon
Caterpillar
CAT
+$1.93M

Top Sells

Rank Stock Value
1
DD icon
DuPont de Nemours
DD
+$6.22M
2
AAPL icon
Apple
AAPL
+$5.59M
3
WLL
Whiting Petroleum Corporation
WLL
+$5.46M
4
WMT icon
Walmart Inc
WMT
+$5.4M
5
WHR icon
Whirlpool
WHR
+$5.07M

Sector Composition

Rank Sector Weight
1 Technology 15.16%
2 Financials 12.29%
3 Healthcare 7.87%
4 Consumer Discretionary 7.74%
5 Industrials 7.47%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SJT
501
San Juan Basin Royalty Trust
SJT
$123M
$81K 0.01%
16,300
– –
AKS
502
DELISTED
AK Steel Holding Corp
AKS
$80K 0.01%
16,400
+300
+2% +$1.37K
NRO
503
Neuberger Real Estate Securities Income Fund Inc
NRO
$188M
$74K 0.01%
+15,720
New +$77.1K
NOK icon
504
CALL
Nokia
NOK
$51.5B
$67K 0.01%
12,000
– –
CCEC
505
Capital Clean Energy Carriers
CCEC
$1.34B
$62K 0.01%
3,197
+879
+38% +$18.4K
SNR
506
DELISTED
NEW SENIOR INVESTMENT GROUP INC.
SNR
$62K 0.01%
+10,448
New +$69.2K
TRQ
507
DELISTED
Turquoise Hill Resources Ltd
TRQ
$62K 0.01%
2,928
+120
+4% +$3K
RGSE
508
DELISTED
Real Goods Solar, Inc. Class A
RGSE
$62K 0.01%
+160,000
New +$59.6K
PETX
509
DELISTED
Aratana Therapeutics, Inc.
PETX
$58K 0.01%
10,000
-20,000
-67% -$99.9K
ESNC
510
DELISTED
EnSync Inc
ESNC
$57K 0.01%
225,372
+75,372
+50% +$24.9K
SDT
511
DELISTED
SANDRIDGE MISSISSIPPIAN TRUST I
SDT
$56K 0.01%
42,000
– –
EMX
512
DELISTED
EMX Royalty
EMX
$52K ﹤0.01%
42,732
– –
ANH
513
DELISTED
Anworth Mortgage Asset Corporation
ANH
$52K ﹤0.01%
11,200
-4,000
-26% -$19.6K
NEOS
514
DELISTED
Neos Therapeutics, Inc
NEOS
$49K ﹤0.01%
10,000
-20,000
-67% -$113K
TCRT icon
515
Alaunos Therapeutics
TCRT
$4.79M
$46K ﹤0.01%
97
+17
+21% +$7.29K
OPK icon
516
Opko Health
OPK
$1.04B
$41K ﹤0.01%
11,895
-1,950
-14% -$10.4K
WFT
517
DELISTED
Weatherford International plc
WFT
$31K ﹤0.01%
11,400
– –
DNN icon
518
Denison Mines
DNN
$2.94B
$24K ﹤0.01%
36,700
– –
BTG icon
519
CALL
B2Gold
BTG
$6.7B
$23K ﹤0.01%
+10,000
New +$23.7K
HDSN
520
Hudson Technologies
HDSN
$240M
$17K ﹤0.01%
13,500
-500
-4% -$886
OBE
521
Obsidian Energy
OBE
$683M
$17K ﹤0.01%
2,529
-2,500
-50% -$17.8K
UPL
522
DELISTED
Ultra Petroleum Corp. Common Stock
UPL
$17K ﹤0.01%
14,759
– –
KGJI
523
DELISTED
Kingold Jewelry Inc.
KGJI
$14K ﹤0.01%
2,325
– –
BXE
524
DELISTED
Bellatrix Exploration Ltd.
BXE
$11K ﹤0.01%
10,642
– –
SXE
525
DELISTED
Southcross Energy Partners, L.P.
SXE
– –
0
– –
19 20
21
22 23

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WCF
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Sheaff Brock Investment Advisors's Q3 2018 Portfolio in Review

As of Q3 2018, Sheaff Brock Investment Advisors held 578 positions worth $1.06B, up 3.3% from $1.02B the previous quarter. Its ten largest holdings account for 41% of the portfolio.

Sheaff Brock Investment Advisors withdrew a net $34.8M in Q3 2018, closing 53 positions and reducing 214 holdings. Its most notable exit was Whiting Petroleum Corporation, an estimated $5.46M position sold in full.

By sector, the portfolio is most concentrated in Technology at 15% of assets, up from 15% a quarter earlier, followed by Financials and Healthcare.

Against the trend, Sheaff Brock Investment Advisors opened a new position in American Eagle Outfitters worth $1.08M.

  • Sheaff Brock Investment Advisors's largest Q3 2018 buy was American Eagle Outfitters: 43,321 shares worth $1.08M.
  • Sheaff Brock Investment Advisors added most to Prudential Financial in Q3 2018, an estimated $6.43M increase.
  • Sheaff Brock Investment Advisors's biggest Q3 2018 reduction was DuPont de Nemours, cutting an estimated $6.22M.
  • Sheaff Brock Investment Advisors fully exited Whiting Petroleum Corporation in Q3 2018, selling an estimated $5.46M.
  • Sheaff Brock Investment Advisors's ten largest holdings make up 41% of its $1.06B portfolio in Q3 2018.
  • Sheaff Brock Investment Advisors opened 37 new positions and closed 53 in Q3 2018.
  • Sheaff Brock Investment Advisors's portfolio value rose 3.3% quarter-over-quarter to $1.06B.

Based on Sheaff Brock Investment Advisors's 13F filing for Q3 2018, filed 9 Nov 2018.