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Transform Wealth Portfolio holdings

AUM $1.65B
1-Year Est. Return 19.1%
This Fund
S&P 500
This Quarter Est. Return
-1.04%
1 Year Est. Return
+19.1%
3 Year Est. Return
+48.37%
5 Year Est. Return
+178.6%
10 Year Est. Return
–
AUM
$948M
AUM Growth
-$164M
Cap. Flow
-$149M
Cap. Flow %
-15.66%
Top 10 Hldgs %
27.84%
Holding
284
New
24
Increased
64
Reduced
142
Closed
44

Top Buys

Rank Stock Value
1
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$18.4M
2
PAPR icon
Innovator US Equity Power Buffer ETF April
PAPR
+$12.5M
3
BR icon
Broadridge
BR
+$6.32M
4
CPAY icon
Corpay
CPAY
+$6.05M
5
CRH icon
CRH
CRH
+$6.01M

Top Sells

Rank Stock Value
1
XLK icon
State Street Technology Select Sector SPDR ETF
XLK
+$16M
2
PAUG icon
Innovator US Equity Power Buffer ETF August
PAUG
+$12.6M
3
SGOV icon
iShares 0-3 Month Treasury Bond ETF
SGOV
+$10.5M
4
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$9.09M
5
SCHB icon
Schwab US Broad Market ETF
SCHB
+$8.55M

Sector Composition

Rank Sector Weight
1 Technology 21.59%
2 Healthcare 10.34%
3 Financials 6.93%
4 Consumer Discretionary 6.86%
5 Energy 5.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VIG icon
226
Vanguard Dividend Appreciation ETF
VIG
$111B
$216K 0.02%
1,381
-1,302
-49% -$211K
VB icon
227
Vanguard Morningstar Small-Cap ETF
VB
$79.5B
$214K 0.02%
1,130
-1,126
-50% -$224K
CI icon
228
Cigna
CI
$73.7B
$212K 0.02%
740
-171
-19% -$48.8K
UNP icon
229
Union Pacific
UNP
$174B
$210K 0.02%
1,030
-1
-0.1% -$218
DOW icon
230
Dow Inc
DOW
$21.9B
$207K 0.02%
4,024
-2,941
-42% -$158K
MOAT icon
231
VanEck Morningstar Wide Moat ETF
MOAT
$11.9B
$203K 0.02%
+2,682
New +$214K
JMM icon
232
Nuveen Multi-Market Income Fund
JMM
$54.6M
$148K 0.02%
26,244
-26,020
-50% -$151K
FMY
233
First Trust Mortgage Income Fund
FMY
$49M
$130K 0.01%
+11,600
New +$131K
JFR icon
234
Nuveen Floating Rate Income Fund
JFR
$1.24B
$127K 0.01%
+15,312
New +$123K
EGF
235
DELISTED
Blackrock Enhanced Government Fund, Inc.
EGF
$123K 0.01%
12,475
-12,475
-50% -$122K
FISK
236
Empire State Realty OP LP Series 250
FISK
$1.42B
$108K 0.01%
13,565
– –
FSCO
237
FS Credit Opportunities Corp
FSCO
$1B
$95.1K 0.01%
17,545
– –
AJG icon
238
Arthur J. Gallagher & Co
AJG
$64.1B
– –
-1,086
Closed -$238K
BALL icon
239
Ball Corp
BALL
$17.3B
– –
-3,534
Closed -$206K
CTVA icon
240
Corteva
CTVA
$52.6B
– –
-4,200
Closed -$241K
D icon
241
Dominion Energy
D
$60.8B
– –
-4,292
Closed -$222K
DD icon
242
DuPont de Nemours
DD
$18.5B
– –
-2,713
Closed -$243K
DEM icon
243
WisdomTree Emerging Markets High Dividend Fund
DEM
$3.9B
– –
-68,897
Closed -$2.64M
DFAC icon
244
Dimensional US Core Equity 2 ETF
DFAC
$47.9B
– –
-9,322
Closed -$253K
DFS
245
DELISTED
Discover Financial Services
DFS
– –
-2,734
Closed -$319K
ECL icon
246
Ecolab
ECL
$78.1B
– –
-1,265
Closed -$237K
EW icon
247
Edwards Lifesciences
EW
$49.6B
– –
-2,888
Closed -$272K
FIS icon
248
Fidelity National Information Services
FIS
$23.1B
– –
-6,343
Closed -$347K
FNDA icon
249
Schwab Fundamental US Small Company Index ETF
FNDA
$9.12B
– –
-8,692
Closed -$219K
FNDE icon
250
Schwab Fundamental Emerging Markets Large Company Index ETF
FNDE
$9.72B
– –
-8,229
Closed -$220K
8 9
10
11 12

Similar funds

PAME
Parvus Asset Management Europe London, United Kingdom $1.67B AUM
UH
Unigestion Holding Geneva, Switzerland $1.7B AUM 9.06% 1-Year Est. Return
AP
Adero Partners Pleasanton, California $1.53B AUM 5.52% 1-Year Est. Return
ST
Sabal Trust St. Petersburg, Florida $1.8B AUM 8.75% 1-Year Est. Return
MBA
Maple-Brown Abbott Barangaroo, Australia $1.47B AUM 27.26% 1-Year Est. Return
FP
Foundry Partners Minneapolis, Minnesota $1.89B AUM 9.84% 1-Year Est. Return
CC
Callan Capital La Jolla, California $1.35B AUM 8.35% 1-Year Est. Return
SIA
Schechter Investment Advisors Birmingham, Michigan $1.21B AUM 8.73% 1-Year Est. Return

Transform Wealth's Q3 2023 Portfolio in Review

As of Q3 2023, Transform Wealth held 284 positions worth $948M, down 15% from $1.11B the previous quarter. Its ten largest holdings account for 28% of the portfolio.

Transform Wealth withdrew a net $149M in Q3 2023, closing 44 positions and reducing 142 holdings. Its most notable exit was Innovator US Equity Power Buffer ETF September, an estimated $9.09M position sold in full.

By sector, the portfolio is most concentrated in Technology at 22% of assets, up from 19% a quarter earlier, followed by Healthcare and Financials.

Against the trend, Transform Wealth opened a new position in Broadridge worth $6.42M.

  • Transform Wealth's largest Q3 2023 buy was Broadridge: 35,691 shares worth $6.42M.
  • Transform Wealth added most to PGIM Ultra Short Bond ETF in Q3 2023, an estimated $18.4M increase.
  • Transform Wealth's biggest Q3 2023 reduction was State Street Technology Select Sector SPDR ETF, cutting an estimated $16M.
  • Transform Wealth fully exited Innovator US Equity Power Buffer ETF September in Q3 2023, selling an estimated $9.09M.
  • Transform Wealth's ten largest holdings make up 28% of its $948M portfolio in Q3 2023.
  • Transform Wealth opened 24 new positions and closed 44 in Q3 2023.
  • Transform Wealth's portfolio value fell 15% quarter-over-quarter to $948M.

Based on Transform Wealth's 13F filing for Q3 2023, filed 11 Oct 2023.