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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
+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
CRF
526
Cornerstone Total Return Fund
CRF
$1.18B
$125K 0.01%
10,243
– –
HYB
527
DELISTED
New America High Income Fund, Inc.
HYB
$125K 0.01%
13,096
– –
DNP icon
528
DNP Select Income Fund
DNP
$4.11B
$119K 0.01%
+11,156
New +$120K
ETJ
529
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$573M
$114K 0.01%
10,625
– –
EMX
530
DELISTED
EMX Royalty
EMX
$109K 0.01%
42,732
– –
ATYR
531
aTyr Pharma
ATYR
$51.5M
$100K 0.01%
+11,000
New +$65.8K
SAN icon
532
Banco Santander
SAN
$210B
$97K 0.01%
26,647
– –
SRTS icon
533
Sensus Healthcare
SRTS
$50.9M
$96K 0.01%
26,714
+10,000
+60% +$36.6K
GPM
534
DELISTED
Guggenheim Enhanced Equity Income Fund
GPM
$93K 0.01%
10,000
– –
ADAM
535
Adamas Trust
ADAM
$920M
$89K 0.01%
5,206
– –
OIA icon
536
Invesco Municipal Income Opportunities Trust
OIA
$290M
$80K 0.01%
10,000
– –
AMPE
537
DELISTED
Ampio Pharmaceuticals Inc.
AMPE
$78K 0.01%
157
+34
+28% +$15.8K
JMM icon
538
Nuveen Multi-Market Income Fund
JMM
$55.2M
$75K 0.01%
10,000
– –
OCSL icon
539
Oaktree Specialty Lending
OCSL
$1.13B
$74K 0.01%
3,483
– –
UUUU icon
540
Energy Fuels
UUUU
$3.68B
$72K 0.01%
10,263
– –
CXE
541
DELISTED
MFS High Income Municipal Trust
CXE
$68K 0.01%
13,000
– –
SNES icon
542
SenesTech
SNES
$6.78M
$67K ﹤0.01%
19
– –
CRON
543
Cronos Group
CRON
$1.13B
$60K ﹤0.01%
10,610
-150
-1% -$1.02K
CIF
544
DELISTED
MFS Intermediate High Income Fund
CIF
$53K ﹤0.01%
17,480
+1,435
+9% +$4.5K
AAIC
545
DELISTED
Arlington Asset Investment Corp.
AAIC
$43K ﹤0.01%
11,445
– –
DHY
546
Credit Suisse High Yield Credit Fund
DHY
$242M
$30K ﹤0.01%
+12,000
New +$30.1K
OGI
547
Organigram Holdings
OGI
$175M
$28K ﹤0.01%
3,054
– –
SPPI
548
DELISTED
Spectrum Pharmaceuticals Inc
SPPI
$27K ﹤0.01%
+12,600
New +$34.4K
AMD icon
549
CALL
Advanced Micro Devices
AMD
$776B
– –
-4,000
Closed -$376K
BEP icon
550
Brookfield Renewable
BEP
$10.3B
– –
-5,200
Closed -$201K
19 20 21
22
23

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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 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.