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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
+5.46%
1 Year Est. Return
+14.4%
3 Year Est. Return
+61.85%
5 Year Est. Return
+240.78%
10 Year Est. Return
–
AUM
$761M
AUM Growth
+$1.59M
Cap. Flow
-$33.6M
Cap. Flow %
-4.42%
Top 10 Hldgs %
22.94%
Holding
648
New
41
Increased
190
Reduced
212
Closed
81

Top Buys

Rank Stock Value
1
T icon
AT&T
T
+$6.24M
2
WHR icon
Whirlpool
WHR
+$5.66M
3
BMY icon
Bristol-Myers Squibb
BMY
+$5.41M
4
MS icon
Morgan Stanley
MS
+$1.45M
5
CAT icon
Caterpillar
CAT
+$1.42M

Top Sells

Rank Stock Value
1
META icon
Meta Platforms (Facebook)
META
+$5.67M
2
LAMR icon
Lamar Advertising Co
LAMR
+$5.57M
3
IPG
Interpublic Group of Companies
IPG
+$4.89M
4
VLO icon
Valero Energy
VLO
+$4.79M
5
ADTN icon
Adtran
ADTN
+$2.89M

Sector Composition

Rank Sector Weight
1 Technology 16.37%
2 Financials 14.51%
3 Healthcare 11.26%
4 Industrials 9.34%
5 Consumer Discretionary 9.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GPM
526
DELISTED
Guggenheim Enhanced Equity Income Fund
GPM
$131K 0.02%
15,301
– –
JPS
527
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$130K 0.02%
12,460
-25,850
-67% -$265K
SRC
528
DELISTED
SPIRIT REALTY CAPITAL, INC.
SRC
$129K 0.02%
3,367
-223
-6% -$8.24K
UPL
529
DELISTED
Ultra Petroleum Corp. Common Stock
UPL
$129K 0.02%
14,922
– –
SJT
530
San Juan Basin Royalty Trust
SJT
$118M
$128K 0.02%
16,300
– –
GRX
531
Gabelli Healthcare & Wellness Trust
GRX
$146M
$127K 0.02%
12,541
– –
NOK icon
532
Nokia
NOK
$52.3B
$127K 0.02%
21,203
-90,343
-81% -$562K
NCV
533
Virtus Convertible & Income Fund
NCV
$390M
$120K 0.02%
+4,231
New +$119K
NAT icon
534
Nordic American Tanker
NAT
$1.37B
$118K 0.02%
22,107
-580
-3% -$3.18K
FSM icon
535
Fortuna Silver Mines
FSM
$3.07B
$114K 0.02%
26,040
+14,400
+124% +$67.5K
CVRR
536
DELISTED
CVR Refining, LP
CVRR
– –
0
– –
FAX
537
abrdn Asia-Pacific Income Fund
FAX
$600M
$109K 0.01%
3,528
+357
+11% +$11K
NG icon
538
NovaGold Resources
NG
$3.33B
$108K 0.01%
26,300
– –
PNNT
539
Pennant Park Investment Corp
PNNT
$241M
$102K 0.01%
13,550
-1,750
-11% -$13.2K
OIA icon
540
Invesco Municipal Income Opportunities Trust
OIA
$292M
$97K 0.01%
12,333
+2,000
+19% +$15.8K
TRQ
541
DELISTED
Turquoise Hill Resources Ltd
TRQ
$87K 0.01%
2,808
– –
JVA icon
542
Coffee Holding Co
JVA
$20M
$83K 0.01%
18,700
– –
KERX
543
DELISTED
Keryx Biopharmaceuticals Inc
KERX
$82K 0.01%
11,500
– –
CCEC
544
Capital Clean Energy Carriers
CCEC
$1.35B
$78K 0.01%
3,175
– –
NDRO
545
DELISTED
Enduro Royalty Trust
NDRO
$78K 0.01%
18,000
– –
AKS
546
DELISTED
AK Steel Holding Corp
AKS
$77K 0.01%
13,800
+200
+1% +$1.14K
TCRT icon
547
Alaunos Therapeutics
TCRT
$4.86M
$74K 0.01%
80
– –
FGP
548
DELISTED
Ferrellgas Partners, L.P.
FGP
$65K 0.01%
12,741
+4
+0% +$19
ANH
549
DELISTED
Anworth Mortgage Asset Corporation
ANH
$61K 0.01%
10,200
– –
MFIN icon
550
Medallion Financial
MFIN
$250M
$56K 0.01%
25,600
– –
20 21
22
23 24

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CHP
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MW
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TAM
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SIA
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CCM
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WCF
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Sheaff Brock Investment Advisors's Q3 2017 Portfolio in Review

As of Q3 2017, Sheaff Brock Investment Advisors held 648 positions worth $761M, up 0.21% from $760M the previous quarter. Its ten largest holdings account for 23% of the portfolio.

Sheaff Brock Investment Advisors withdrew a net $33.6M in Q3 2017, closing 81 positions and reducing 212 holdings. Its most notable exit was Lamar Advertising Co, an estimated $5.57M position sold in full.

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

Against the trend, Sheaff Brock Investment Advisors opened a new position in Whirlpool worth $5.84M.

  • Sheaff Brock Investment Advisors's largest Q3 2017 buy was Whirlpool: 31,679 shares worth $5.84M.
  • Sheaff Brock Investment Advisors added most to AT&T in Q3 2017, an estimated $6.24M increase.
  • Sheaff Brock Investment Advisors's biggest Q3 2017 reduction was Meta Platforms (Facebook), cutting an estimated $5.67M.
  • Sheaff Brock Investment Advisors fully exited Lamar Advertising Co in Q3 2017, selling an estimated $5.57M.
  • Sheaff Brock Investment Advisors's ten largest holdings make up 23% of its $761M portfolio in Q3 2017.
  • Sheaff Brock Investment Advisors opened 41 new positions and closed 81 in Q3 2017.
  • Sheaff Brock Investment Advisors's portfolio value rose 0.21% quarter-over-quarter to $761M.

Based on Sheaff Brock Investment Advisors's 13F filing for Q3 2017, filed 13 Nov 2017.