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Sonora Investment Management Portfolio holdings

AUM $798M
1-Year Est. Return 17.61%
This Fund
S&P 500
This Quarter Est. Return
+6.94%
1 Year Est. Return
+17.61%
3 Year Est. Return
+32.82%
5 Year Est. Return
+55.86%
10 Year Est. Return
–
AUM
$1.21B
AUM Growth
+$126M
Cap. Flow
+$41.6M
Cap. Flow %
3.45%
Top 10 Hldgs %
19.08%
Holding
1,962
New
108
Increased
215
Reduced
241
Closed
206

Top Buys

Rank Stock Value
1
MET.PRF icon
MetLife Inc 4.75% Series F Preferred Stock
MET.PRF
+$12.4M
2
DLR.PRL icon
Digital Realty Trust 5.200% Series L Preferred Stock
DLR.PRL
+$4.46M
3
USB icon
US Bancorp
USB
+$3.2M
4
KO icon
Coca-Cola
KO
+$2.67M
5
AMZN icon
Amazon
AMZN
+$2.52M

Top Sells

Rank Stock Value
1
MET.PRE icon
MetLife Inc 5.625% Series E Preferred Stock
MET.PRE
+$10.7M
2
INTC icon
Intel
INTC
+$1.13M
3
KMI icon
Kinder Morgan
KMI
+$773K
4
SRNE
Sorrento Therapeutics, Inc.
SRNE
+$689K
5
TFC.PRH
Truist Financial Corporation Depositary Shares, each representing a 1/1,000th interest in a share of
TFC.PRH
+$607K

Sector Composition

Rank Sector Weight
1 Miscellaneous 53.02%
2 Technology 13.33%
3 Consumer Staples 6.13%
4 Industrials 5.32%
5 Healthcare 5.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPTM icon
1026
State Street SPDR Portfolio S&P 1500 Composite Stock Market ETF
SPTM
$14B
– –
-83
Closed -$3K
SPYG icon
1027
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
$54.6B
– –
-70
Closed -$4K
SPYV icon
1028
State Street SPDR Portfolio S&P 500 Value ETF
SPYV
$36.8B
– –
-87
Closed -$3K
SSL icon
1029
Sasol
SSL
$7.58B
$0 ﹤0.01%
50
– –
SWK icon
1030
Stanley Black & Decker
SWK
$14.8B
– –
-15
Closed -$2K
TAP icon
1031
Molson Coors Class B
TAP
$7.73B
– –
-37
Closed -$1K
TEVA icon
1032
Teva Pharmaceuticals
TEVA
$42.5B
– –
-400
Closed -$4K
TIP icon
1033
iShares TIPS Bond ETF
TIP
$15B
– –
-800
Closed -$101K
TNL icon
1034
Travel + Leisure Co
TNL
$4.36B
– –
-75
Closed -$2K
UAA icon
1035
Under Armour
UAA
$2.18B
– –
-100
Closed -$1K
USHY icon
1036
iShares Broad USD High Yield Corporate Bond ETF
USHY
$29B
– –
-85
Closed -$3K
VBR icon
1037
Vanguard Morningstar Small-Cap Value ETF
VBR
$37.6B
– –
-35
Closed -$4K
VCLT icon
1038
Vanguard Long-Term Corporate Bond ETF
VCLT
$8.81B
– –
-71
Closed -$8K
VCSH icon
1039
Vanguard Short-Term Corporate Bond ETF
VCSH
$45B
– –
-1,300
Closed -$108K
VDC icon
1040
Vanguard Consumer Staples ETF
VDC
$7.94B
– –
-100
Closed -$16K
VOX icon
1041
Vanguard Communication Services ETF
VOX
$5.88B
– –
-28
Closed -$3K
WATT icon
1042
Energous
WATT
$61.4M
– –
0
– –
WFC.PRL icon
1043
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.64B
– –
-5
Closed -$7K
WH icon
1044
Wyndham Hotels & Resorts
WH
$5.64B
– –
-75
Closed -$4K
XLU icon
1045
State Street Utilities Select Sector SPDR ETF
XLU
$21.9B
– –
-42
Closed -$1K
NTRP icon
1046
NextTrip
NTRP
$23.7M
– –
0
– –
QNTM
1047
Quantum Biopharma Class B Subordinate Voting Shares
QNTM
$129
– –
-2
Closed –
CFG.PRD
1048
DELISTED
Citizens Financial Group, Inc. Depositary Shares, each representing a 1/40th Interest in a Share of 6.350% Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series D
CFG.PRD
– –
-83
Closed -$2K
WRK
1049
DELISTED
WestRock Company
WRK
– –
-780
Closed -$27K
NTG
1050
DELISTED
Tortoise Midstream Energy Fund, Inc. Common Stock
NTG
– –
-100
Closed -$1K
40 41
42
43 44

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AG
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FMT
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KFM
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CCP
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BCA
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DIC
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Sonora Investment Management's Q4 2020 Portfolio in Review

As of Q4 2020, Sonora Investment Management held 1,962 positions worth $1.21B, up 12% from $1.08B the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Sonora Investment Management deployed $41.6M of net new capital in Q4 2020, opening 108 new positions and adding to 215 existing holdings. Its largest new stake was Fifth Third Bancorp Depositary Shares 4.95% Preferred Stock Series K: 84,885 shares worth $2.35M.

By sector, the portfolio is most concentrated in Miscellaneous at 53% of assets, down from 57% a quarter earlier, followed by Technology and Consumer Staples.

On the sell side, the largest reduction was Intel, an estimated $1.13M trimmed.

  • Sonora Investment Management's largest Q4 2020 buy was Fifth Third Bancorp Depositary Shares 4.95% Preferred Stock Series K: 84,885 shares worth $2.35M.
  • Sonora Investment Management added most to MetLife Inc 4.75% Series F Preferred Stock in Q4 2020, an estimated $12.4M increase.
  • Sonora Investment Management's biggest Q4 2020 reduction was Intel, cutting an estimated $1.13M.
  • Sonora Investment Management fully exited MetLife Inc 5.625% Series E Preferred Stock in Q4 2020, selling an estimated $10.7M.
  • Sonora Investment Management's ten largest holdings make up 19% of its $1.21B portfolio in Q4 2020.
  • Sonora Investment Management opened 108 new positions and closed 206 in Q4 2020.
  • Sonora Investment Management's portfolio value rose 12% quarter-over-quarter to $1.21B.

Based on Sonora Investment Management's 13F filing for Q4 2020, filed 13 Jan 2021.