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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
-1.31%
1 Year Est. Return
+19.1%
3 Year Est. Return
+48.37%
5 Year Est. Return
+178.6%
10 Year Est. Return
–
AUM
$872M
AUM Growth
+$53.4M
Cap. Flow
+$65.4M
Cap. Flow %
7.5%
Top 10 Hldgs %
29.37%
Holding
240
New
16
Increased
67
Reduced
121
Closed
17

Top Buys

Rank Stock Value
1
POWL icon
Powell Industries
POWL
+$64.1M
2
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$29.5M
3
VOO icon
Vanguard S&P 500 ETF
VOO
+$12.6M
4
XLK icon
State Street Technology Select Sector SPDR ETF
XLK
+$10.8M
5
CVS icon
CVS Health
CVS
+$8.38M

Top Sells

Rank Stock Value
1
PJUN icon
Innovator US Equity Power Buffer ETF June
PJUN
+$27.4M
2
PMAY icon
Innovator US Equity Power Buffer ETF May
PMAY
+$8.5M
3
AMGN icon
Amgen
AMGN
+$6.29M
4
WRK
WestRock Company
WRK
+$5.32M
5
IWM icon
iShares Russell 2000 ETF
IWM
+$5.19M

Sector Composition

Rank Sector Weight
1 Technology 18.98%
2 Industrials 13.59%
3 Financials 9.78%
4 Healthcare 8.42%
5 Consumer Discretionary 5.72%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SCHP icon
201
Schwab US TIPS ETF
SCHP
$16.3B
$259K 0.03%
8,286
+1,640
+25% +$51.8K
T icon
202
AT&T
T
$159B
$253K 0.03%
12,386
+663
+6% +$13.9K
BA icon
203
Boeing
BA
$171B
$250K 0.03%
1,136
-5
-0.4% -$1.11K
RPM icon
204
RPM International
RPM
$13.7B
$246K 0.03%
3,170
-182
-5% -$15.3K
VCSH icon
205
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$239K 0.03%
+2,901
New +$240K
RSG icon
206
Republic Services
RSG
$64.8B
$237K 0.03%
1,972
-41
-2% -$4.91K
SHOP icon
207
Shopify
SHOP
$152B
$236K 0.03%
1,740
-60
-3% -$8.99K
XLB icon
208
State Street Materials Select Sector SPDR ETF
XLB
$8.5B
$231K 0.03%
+5,846
New +$243K
MCD icon
209
McDonald's
MCD
$192B
$229K 0.03%
948
-38
-4% -$9.07K
NSC icon
210
Norfolk Southern
NSC
$75.4B
$226K 0.03%
946
– –
XEL icon
211
Xcel Energy
XEL
$48.8B
$223K 0.03%
3,567
– –
GM icon
212
General Motors
GM
$80.4B
$217K 0.02%
4,112
-73,986
-95% -$3.93M
CMCSA icon
213
Comcast
CMCSA
$85B
$215K 0.02%
+3,836
New +$224K
FOCS
214
DELISTED
Focus Financial Partners Inc. Class A
FOCS
$209K 0.02%
+3,998
New +$204K
SONY icon
215
Sony
SONY
$137B
$207K 0.02%
+9,370
New +$196K
INFO
216
DELISTED
IHS Markit Ltd. Common Shares
INFO
$201K 0.02%
1,724
-176
-9% -$20.8K
NAD icon
217
Nuveen Quality Municipal Income Fund
NAD
$2.74B
$182K 0.02%
11,621
– –
AMPE
218
DELISTED
Ampio Pharmaceuticals Inc.
AMPE
$171K 0.02%
342
– –
OBDC icon
219
Blue Owl Capital
OBDC
$5.34B
$155K 0.02%
+10,954
New +$159K
JRO
220
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$133K 0.02%
13,342
– –
FISK
221
Empire State Realty OP LP Series 250
FISK
$1.42B
$128K 0.01%
13,565
– –
KZIA
222
Kazia Therapeutics
KZIA
$144M
$120K 0.01%
2,125
– –
LITS
223
Lite Strategy Inc
LITS
$32.8M
$84K 0.01%
1,518
– –
ANET icon
224
Arista Networks
ANET
$227B
– –
-10,560
Closed -$239K
DOCU
225
DocuSign
DOCU
$10.5B
– –
-881
Closed -$246K
6 7 8
9
10

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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 2021 Portfolio in Review

As of Q3 2021, Transform Wealth held 240 positions worth $872M, up 6.5% from $819M the previous quarter. Its ten largest holdings account for 29% of the portfolio.

Transform Wealth deployed $65.4M of net new capital in Q3 2021, opening 16 new positions and adding to 67 existing holdings. Its largest new stake was Innovator US Equity Power Buffer ETF July: 987,964 shares worth $29.4M.

By sector, the portfolio is most concentrated in Technology at 19% of assets, down from 21% a quarter earlier, followed by Industrials and Financials.

On the sell side, the largest reduction was Amgen, an estimated $6.29M trimmed.

  • Transform Wealth's largest Q3 2021 buy was Innovator US Equity Power Buffer ETF July: 987,964 shares worth $29.4M.
  • Transform Wealth added most to Powell Industries in Q3 2021, an estimated $64.1M increase.
  • Transform Wealth's biggest Q3 2021 reduction was Amgen, cutting an estimated $6.29M.
  • Transform Wealth fully exited Innovator US Equity Power Buffer ETF June in Q3 2021, selling an estimated $27.4M.
  • Transform Wealth's ten largest holdings make up 29% of its $872M portfolio in Q3 2021.
  • Transform Wealth opened 16 new positions and closed 17 in Q3 2021.
  • Transform Wealth's portfolio value rose 6.5% quarter-over-quarter to $872M.

Based on Transform Wealth's 13F filing for Q3 2021, filed 15 Oct 2021.