Quarterly 13F snapshot: US-listed longs only, no performance figures — 13F data cannot support them.
Reported portfolio value by quarter (12 quarters reported)
$108M in Q4 2020 → $97.4M now. Hover for any quarter.
As reported for the quarter ended September 30, 2023. Activity is the change in share count since the prior quarter's filing.
| Holding | % of portfolio | Activity | Shares | Value |
|---|---|---|---|---|
| Apple Inc | 11.9% | Trimmed 0.4% | 67,918 | $11.6M |
| AE Alps ETF Tr | 4.0% | Added 2.9% | 92,554 | $3.91M |
| GX Global X Fds | 4.0% | Added 2.8% | 92,144 | $3.91M |
| ES Etfis Ser Tr I | 3.9% | Added 2.9% | 109,337 | $3.82M |
| GX Global X Fds | 3.9% | Added 3.0% | 85,166 | $3.8M |
| IT Ishares Tr | 3.6% | Added 2.5% | 116,036 | $3.5M |
| IE Invesco Exch Traded Fd Tr Ii | 3.5% | Added 2.7% | 306,874 | $3.36M |
| Capital Southwest Corp | 2.9% | Added 1.1% | 122,481 | $2.8M |
| Meta Platforms Inc | 2.4% | Added 24% | 7,659 | $2.3M |
| Hercules Capital Inc | 2.3% | Added 0.9% | 138,408 | $2.27M |
| SS Sixth Street Specialty Lendi | 2.0% | Added 1.1% | 96,655 | $1.98M |
| Microsoft Corp | 2.0% | Added 5.0% | 6,250 | $1.97M |
| DE Devon Energy Corp New | 2.0% | Added 2.9% | 40,030 | $1.91M |
| Ares Capital Corp | 1.9% | Added 2.5% | 97,265 | $1.89M |
| EL Eli Lilly & Co | 1.9% | Added 0.2% | 3,510 | $1.89M |
| Netflix Inc | 1.9% | Added 1.1% | 4,908 | $1.85M |
| MS Main Str Cap Corp | 1.8% | Added 3.6% | 42,454 | $1.72M |
| PI Pennantpark Invt Corp | 1.7% | Added 2.0% | 252,512 | $1.66M |
| Blue Owl Capital Corporation | 1.7% | Added 3.4% | 118,606 | $1.64M |
| PF Pennantpark Floating Rate Ca | 1.7% | Added 1.7% | 153,476 | $1.64M |
| Rithm Capital Corp | 1.6% | Added 3.3% | 171,452 | $1.59M |
| Amazon Com Inc | 1.5% | Added 7.5% | 11,870 | $1.51M |
| TV Triplepoint Venture Growth B | 1.5% | Added 2.1% | 143,506 | $1.5M |
| Nvidia Corporation | 1.5% | Added 50% | 3,442 | $1.5M |
| AI Agnc Invt Corp | 1.5% | Added 3.8% | 155,588 | $1.47M |
| AC Annaly Capital Management In | 1.4% | Added 4.9% | 70,182 | $1.32M |
| FK Fs Kkr Cap Corp | 1.3% | Added 3.2% | 64,873 | $1.28M |
| MF Mfa Finl Inc | 1.3% | Added 2.1% | 129,667 | $1.25M |
| ET Energy Transfer L P Call | 1.2% | New | 30,000 | $1.22M |
| Exxon Mobil Corp | 1.2% | Trimmed 1.0% | 10,232 | $1.2M |
| EV Eaton Vance Tax-managed Dive | 1.2% | Added 3.2% | 103,233 | $1.19M |
| CW Costco Whsl Corp New | 1.0% | Added 14% | 1,682 | $950K |
| Alphabet Inc | 1.0% | Added 8.6% | 7,111 | $931K |
| Star Bulk Carriers Corp. | 0.9% | Added 2.6% | 46,347 | $894K |
| HJ Hancock John Tax-advantaged | 0.9% | Added 5.1% | 48,872 | $868K |
| Broadcom Inc | 0.9% | Trimmed 3.8% | 1,036 | $860K |
| PN Pioneer Nat Res Co | 0.9% | Added 15% | 3,710 | $852K |
| Invesco Mortgage Capital Inc | 0.8% | Added 8.0% | 82,579 | $827K |
| Visa Inc | 0.8% | Added 0.1% | 3,432 | $789K |
| OP Occidental Pete Corp | 0.8% | Trimmed 1.0% | 11,296 | $733K |
| Conocophillips | 0.7% | Trimmed 1.0% | 5,979 | $716K |
| Booking Holdings Inc | 0.7% | Added 19% | 217 | $669K |
| GX Global X Fds | 0.7% | Added 10% | 34,644 | $652K |
| CN Chevron Corp New | 0.6% | Trimmed 1.6% | 3,737 | $630K |
| HJ Hancock John Pfd Income Fd I | 0.6% | Added 2.5% | 40,524 | $586K |
| HJ Hancock John Pfd Income Fd I | 0.6% | Added 2.4% | 43,769 | $583K |
| GX Global X Fds | 0.6% | Added 11% | 25,333 | $582K |
| HJ Hancock John Pfd Income Fd | 0.6% | Added 2.5% | 39,793 | $580K |
| Salesforce Inc | 0.6% | Added 16% | 2,717 | $551K |
| Unitedhealth Group Inc | 0.6% | Added 8.1% | 1,083 | $546K |
| Uber Technologies Inc | 0.5% | Trimmed 1.8% | 11,212 | $516K |
| Shopify Inc | 0.5% | Added 4.2% | 8,586 | $469K |
| Home Depot Inc | 0.5% | Added 49% | 1,520 | $459K |
| Advanced Micro Devices Inc | 0.5% | Added 41% | 4,425 | $455K |
| Foot Locker Inc Put | 0.5% | New | 30,000 | $450K |
| ET Energy Transfer L P | 0.5% | New | 31,912 | $448K |
| Las Vegas Sands Corp | 0.4% | Added 22% | 9,348 | $429K |
| M Mcdonalds Corp | 0.4% | Trimmed 1.5% | 1,619 | $427K |
| PB Petroleo Brasileiro Sa Petro | 0.4% | Added 1.2% | 27,199 | $408K |
| Workday Inc | 0.4% | Trimmed 1.1% | 1,753 | $377K |
Showing top 60 of 80 positions.
What changed each quarter, from the filings' own share counts. Largest moves first; most recent 8 quarters.
quarter ended September 30, 2023 · filed October 31, 2023
| Company | Action | Shares changed | Value of change | % of portfolio |
|---|---|---|---|---|
| ET Energy Transfer L P | New | +30,000 | +$1.22M | 1.2% |
| Nvidia Corporation | Added | +1,152 | +$501K | 1.5% |
| Foot Locker Inc | New | +30,000 | +$450K | 0.5% |
| ET Energy Transfer L P | New | +31,912 | +$448K | 0.5% |
| Meta Platforms Inc | Added | +1,478 | +$444K | 2.4% |
| Caterpillar Inc | New | +1,092 | +$298K | 0.3% |
| Fifth Third Bancorp | Exited | −10,000 | −$262K | — |
| DW Disney Walt Co | Exited | −2,567 | −$229K | — |
| Palo Alto Networks Inc | New | +958 | +$225K | 0.2% |
| LC Lowes Cos Inc | Exited | −912 | −$206K | — |
Showing the 10 largest of 82 changes.
quarter ended June 30, 2023 · filed July 13, 2023
| Company | Action | Shares changed | Value of change | % of portfolio |
|---|---|---|---|---|
| Boeing Co | Exited | −16,681 | −$3.54M | — |
| F& Flaherty & Crumrine Pfd Secs | Exited | −178,488 | −$2.47M | — |
| LE Lilly Eli & Co | New | +3,502 | +$1.64M | 1.8% |
| Amazon Com Inc | New | +11,046 | +$1.44M | 1.6% |
| OP Office Pptys Income Tr | Exited | −114,890 | −$1.41M | — |
| Netflix Inc | Added | +2,818 | +$1.24M | 2.3% |
| Meta Platforms Inc | Added | +4,004 | +$1.15M | 1.9% |
| GX Global X Fds | Trimmed | −23,521 | −$1.01M | 3.8% |
| AE Alps ETF Tr | Trimmed | −24,539 | −$962K | 3.8% |
| Broadcom Inc | New | +1,077 | +$934K | 1.0% |
Showing the 10 largest of 82 changes.
quarter ended March 31, 2023 · filed May 11, 2023
| Company | Action | Shares changed | Value of change | % of portfolio |
|---|---|---|---|---|
| ES Etfis Ser Tr I | Trimmed | −104,551 | −$3.32M | 4.7% |
| GX Global X Fds | Trimmed | −71,675 | −$2.98M | 5.2% |
| AE Alps ETF Tr | Trimmed | −70,284 | −$2.72M | 5.2% |
| GX Global X Fds | Trimmed | −66,554 | −$2.66M | 5.2% |
| Amazon Com Inc | Exited | −24,824 | −$2.09M | — |
| Hercules Capital Inc | New | +139,680 | +$1.8M | 2.1% |
| SS Sixth Street Specialty Lendi | New | +97,329 | +$1.78M | 2.1% |
| Alphabet Inc | Exited | −19,993 | −$1.77M | — |
| Capital Southwest Corp | New | +98,413 | +$1.75M | 2.1% |
| TV Triplepoint Venture Growth B | New | +143,334 | +$1.73M | 2.0% |
Showing the 10 largest of 108 changes.
quarter ended December 31, 2022 · filed January 20, 2023
| Company | Action | Shares changed | Value of change | % of portfolio |
|---|---|---|---|---|
| DE Devon Energy Corp New | Trimmed | −55,394 | −$3.41M | 1.3% |
| Boeing Co | New | +11,700 | +$2.23M | 2.3% |
| Albemarle Corp | Exited | −4,290 | −$1.13M | — |
| RT Raytheon Technologies Corp | New | +10,644 | +$1.07M | 1.1% |
| Morgan Stanley | Exited | −12,637 | −$998K | — |
| BA Bank America Corp | New | +29,381 | +$973K | 1.0% |
| WF Wells Fargo Co New | New | +23,102 | +$954K | 1.0% |
| Citigroup Inc | New | +20,899 | +$945K | 1.0% |
| OP Office Pptys Income Tr | New | +70,795 | +$945K | 1.0% |
| Expedia Group Inc | New | +10,275 | +$900K | 0.9% |
Showing the 10 largest of 88 changes.
quarter ended September 30, 2022 · filed October 14, 2022
| Company | Action | Shares changed | Value of change | % of portfolio |
|---|---|---|---|---|
| GX Global X Fds | Trimmed | −54,905 | −$2.06M | 7.0% |
| AE Alps ETF Tr | Trimmed | −53,006 | −$1.94M | 7.2% |
| GX Global X Fds | Trimmed | −47,124 | −$1.86M | 7.4% |
| Alphabet Inc | Added | +18,844 | +$1.81M | 2.0% |
| ES Etfis Ser Tr I | Trimmed | −53,186 | −$1.51M | 7.0% |
| F& Flaherty & Crumrine Pfd Secs | Trimmed | −95,529 | −$1.42M | 1.9% |
| Amazon Com Inc | Added | +12,549 | +$1.42M | 2.8% |
| IT Ishares Tr | Trimmed | −41,949 | −$1.33M | 3.5% |
| IE Invesco Exch Traded Fd Tr Ii | Trimmed | −110,797 | −$1.32M | 3.2% |
| ER Eog Res Inc | New | +9,057 | +$1.01M | 1.1% |
Showing the 10 largest of 80 changes.
quarter ended June 30, 2022 · filed July 12, 2022
| Company | Action | Shares changed | Value of change | % of portfolio |
|---|---|---|---|---|
| DE Devon Energy Corp New | Added | +49,245 | +$2.71M | 4.4% |
| F& Flaherty & Crumrine Pfd Secs | Trimmed | −101,480 | −$1.7M | 3.7% |
| BO Bk Of America Corp | Exited | −37,105 | −$1.53M | — |
| Block Inc | Exited | −10,162 | −$1.38M | — |
| Exxon Mobil Corp | Exited | −13,859 | −$1.15M | — |
| Goldman Sachs Group Inc | Exited | −3,452 | −$1.14M | — |
| Citigroup Inc | Exited | −21,259 | −$1.14M | — |
| PH Paypal Hldgs Inc | Exited | −9,708 | −$1.12M | — |
| Boeing Co | Exited | −5,613 | −$1.08M | — |
| Amazon Com Inc | Added | +10,098 | +$1.07M | 1.2% |
Showing the 10 largest of 91 changes.
quarter ended March 31, 2022 · filed April 18, 2022
| Company | Action | Shares changed | Value of change | % of portfolio |
|---|---|---|---|---|
| X Xilinx Inc | Exited | −49,687 | −$10.5M | — |
| AE Alps ETF Tr | Added | +101,482 | +$3.89M | 7.3% |
| F& Flaherty & Crumrine Pfd Secs | Added | +194,439 | +$3.83M | 5.1% |
| GX Global X Fds | Added | +81,496 | +$3.48M | 7.9% |
| GX Global X Fds | Added | +85,875 | +$3.46M | 7.2% |
| ES Etfis Ser Tr I | Added | +111,530 | +$3.36M | 6.8% |
| IT Ishares Tr | Added | +78,827 | +$2.87M | 4.4% |
| IE Invesco Exch Traded Fd Tr Ii | Added | +182,512 | +$2.48M | 4.0% |
| Star Bulk Carriers Corp. | New | +65,697 | +$1.95M | 1.6% |
| MC Mosaic Co New | New | +25,245 | +$1.68M | 1.4% |
Showing the 10 largest of 137 changes.
quarter ended December 31, 2021 · filed January 21, 2022
| Company | Action | Shares changed | Value of change | % of portfolio |
|---|---|---|---|---|
| Moderna Inc | Exited | −25,722 | −$9.9M | — |
| X Xilinx Inc | Added | +21,833 | +$4.63M | 8.5% |
| Pfizer Inc | New | +28,185 | +$1.66M | 1.3% |
| Nvidia Corporation | Added | +5,086 | +$1.5M | 1.7% |
| Novavax Inc | Exited | −7,058 | −$1.46M | — |
| Roku Inc | Exited | −3,975 | −$1.25M | — |
| Expedia Group Inc | Added | +6,566 | +$1.19M | 1.1% |
| RJ Raymond James Finl Inc | New | +11,088 | +$1.11M | 0.9% |
| JF Jefferies Finl Group Inc | New | +28,271 | +$1.1M | 0.9% |
| Alcoa Corp | New | +16,452 | +$980K | 0.8% |
Showing the 10 largest of 170 changes.
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