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SBIA

Sheaff Brock Investment Advisors Portfolio holdings

AUM $1.09B
1-Year Est. Return 14.4%
This Fund
S&P 500
This Quarter Est. Return
+0.2%
1 Year Est. Return
+14.4%
3 Year Est. Return
+61.85%
5 Year Est. Return
+240.78%
10 Year Est. Return
–
AUM
$1.36B
AUM Growth
-$28.3M
Cap. Flow
-$24.7M
Cap. Flow %
-1.82%
Top 10 Hldgs %
47.48%
Holding
576
New
54
Increased
238
Reduced
126
Closed
27

Top Buys

Rank Stock Value
1
CVS icon
CVS Health
CVS
+$6.78M
2
WSM icon
Williams-Sonoma
WSM
+$6.33M
3
STX icon
Seagate
STX
+$5.76M
4
HD icon
Home Depot
HD
+$3.53M
5
V icon
Visa
V
+$3.49M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$20.6M
2
PPG icon
PPG Industries
PPG
+$6.01M
3
BMY icon
Bristol-Myers Squibb
BMY
+$4.77M
4
PG icon
Procter & Gamble
PG
+$4.45M
5
MSFT icon
Microsoft
MSFT
+$3.98M

Sector Composition

Rank Sector Weight
1 Technology 22.95%
2 Consumer Discretionary 9.83%
3 Financials 9.36%
4 Healthcare 6.77%
5 Industrials 5.65%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ETB
501
Eaton Vance Tax-Managed Buy-Write Income Fund
ETB
$458M
$193K 0.01%
+12,075
New +$199K
AOD
502
abrdn Total Dynamic Dividend Fund
AOD
$1.13B
$190K 0.01%
19,480
– –
SRNE
503
DELISTED
Sorrento Therapeutics, Inc.
SRNE
$190K 0.01%
24,850
+4,400
+22% +$37.3K
MFIN icon
504
Medallion Financial
MFIN
$250M
$188K 0.01%
24,000
– –
SVC
505
Service Properties Trust
SVC
$1.05B
$188K 0.01%
3,362
-420
-11% -$23.9K
HRZN icon
506
Horizon Technology Finance
HRZN
$324M
$187K 0.01%
11,498
– –
STNG icon
507
Scorpio Tankers
STNG
$3.7B
$185K 0.01%
+10,000
New +$167K
HTGC icon
508
Hercules Capital
HTGC
$3.14B
$184K 0.01%
11,037
+838
+8% +$14.2K
BIZD icon
509
VanEck BDC Income ETF
BIZD
$1.69B
$180K 0.01%
+10,500
New +$180K
ASG
510
Liberty All-Star Growth Fund
ASG
$345M
$179K 0.01%
+20,661
New +$179K
HYI
511
Western Asset High Yield Opportunity Fund Inc
HYI
$135M
$175K 0.01%
11,000
– –
NEA icon
512
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.4B
$169K 0.01%
11,141
– –
CIM
513
Chimera Investment
CIM
$999M
$167K 0.01%
+3,741
New +$168K
PMO
514
Franklin Municipal Opportunities Trust
PMO
$285M
$164K 0.01%
12,000
– –
PFLT icon
515
PennantPark Floating Rate Capital
PFLT
$744M
$163K 0.01%
12,730
– –
JPS
516
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$155K 0.01%
15,792
+150
+1% +$1.5K
RAD
517
DELISTED
Rite Aid Corporation
RAD
$155K 0.01%
10,912
-15
-0.1% -$236
ERC
518
Allspring Multi-Sector Income Fund
ERC
$261M
$149K 0.01%
11,000
– –
GGT
519
Gabelli Multimedia Trust
GGT
$175M
$141K 0.01%
15,685
+416
+3% +$3.97K
SPGS.U
520
DELISTED
Simon Property Group Acquisition Holdings, Inc. Units, each consisting of one share of Class A common stock and one-fifth of one redeemable warrant
SPGS.U
$139K 0.01%
14,000
– –
NCV
521
Virtus Convertible & Income Fund
NCV
$392M
$138K 0.01%
5,808
+154
+3% +$3.74K
OSUR icon
522
OraSure Technologies
OSUR
$272M
$136K 0.01%
12,033
– –
FEN
523
DELISTED
First Trust Energy Income and Growth Fund
FEN
$136K 0.01%
10,000
– –
CHW
524
Calamos Global Dynamic Income Fund
CHW
$556M
$130K 0.01%
13,635
– –
BKD icon
525
Brookdale Senior Living
BKD
$3.08B
$129K 0.01%
20,500
– –
19 20
21
22 23

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Sheaff Brock Investment Advisors's Q3 2021 Portfolio in Review

As of Q3 2021, Sheaff Brock Investment Advisors held 576 positions worth $1.36B, down 2% from $1.39B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Sheaff Brock Investment Advisors's Q3 2021 filing shows 54 new, 238 increased, 126 reduced and 27 closed positions. Its largest new stake was Williams-Sonoma: 74,774 shares worth $6.63M. The largest sale was Apple, an estimated $20.6M.

By sector, the portfolio is most concentrated in Technology at 23% of assets, down from 24% a quarter earlier, followed by Consumer Discretionary and Financials.

  • Sheaff Brock Investment Advisors's largest Q3 2021 buy was Williams-Sonoma: 74,774 shares worth $6.63M.
  • Sheaff Brock Investment Advisors added most to CVS Health in Q3 2021, an estimated $6.78M increase.
  • Sheaff Brock Investment Advisors's biggest Q3 2021 reduction was Apple, cutting an estimated $20.6M.
  • Sheaff Brock Investment Advisors fully exited PPG Industries in Q3 2021, selling an estimated $6.01M.
  • Sheaff Brock Investment Advisors's ten largest holdings make up 47% of its $1.36B portfolio in Q3 2021.
  • Sheaff Brock Investment Advisors opened 54 new positions and closed 27 in Q3 2021.
  • Sheaff Brock Investment Advisors's portfolio value fell 2% quarter-over-quarter to $1.36B.

Based on Sheaff Brock Investment Advisors's 13F filing for Q3 2021, filed 3 Nov 2021.