Allworth Financial LP's Q3 2024 13F: 193 new positions, 153 exits
Form 13F-HR for the quarter ended Sep 30, 2024 · filed Oct 23, 2024 · 3736 reported positions · accession 0001140361-24-044001
What changed this quarter
| Activity | Security | Weight before | Weight now | Change | Shares | Shares % |
|---|---|---|---|---|---|---|
| New | T ROWE PRICE ETF INC (TSPA) | — | 0.6% | +0.6 pts | +2.82M sh | new |
| Reduced | AMERICAN CENTY ETF TR (AVUS) | 0.7% | 0.1% | −0.6 pts | −1.04M sh | −83% |
| Increased | VANGUARD INDEX FDS (VTI) | 14.5% | 14.5% | 0.0 pts | +134K sh | +2% |
| Increased | VANGUARD BD INDEX FDS (BND) | 8.1% | 8.1% | 0.0 pts | +418K sh | +2% |
| Increased | DIMENSIONAL ETF TRUST (DFAC) | 0.7% | 0.8% | +0.1 pts | +741K sh | +23% |
| Increased | DIMENSIONAL ETF TRUST (DFAX) | 0.6% | 0.8% | +0.1 pts | +908K sh | +25% |
| Increased | VANGUARD BD INDEX FDS (BSV) | 5.9% | 5.8% | −0.1 pts | +310K sh | +3% |
| Increased | SPDR SER TR (SPYV) | 6.4% | 6.5% | +0.1 pts | +461K sh | +2% |
| Increased | SPDR INDEX SHS FDS (SPDW) | 6.7% | 6.8% | +0.1 pts | +573K sh | +2% |
| Increased | SPDR SER TR (SPYG) | 6.6% | 6.7% | 0.0 pts | +250K sh | +2% |
| Increased | DIMENSIONAL ETF TRUST (DFAU) | 0.6% | 0.7% | +0.1 pts | +494K sh | +21% |
| Reduced | PACER FDS TR (PSFF) | 0.3% | 0.1% | −0.1 pts | −634K sh | −45% |
| Increased | ISHARES TR (GOVT) | 4.1% | 4.1% | 0.0 pts | +736K sh | +3% |
| Increased | INNOVATOR ETFS TRUST (PMAY) | 0.1% | 0.1% | +0.1 pts | +362K sh | +126% |
| Reduced | SCHWAB STRATEGIC TR (SCHX) | 0.2% | 0.1% | −0.1 pts | −163K sh | −32% |
| Increased | VANGUARD INDEX FDS (VO) | 2.0% | 2.1% | +0.1 pts | +38,333 sh | +3% |
| Reduced | VANECK ETF TRUST (MOAT) | 0.1% | 0.1% | 0.0 pts | −88,477 sh | −49% |
| Increased | ABBVIE INC (ABBV) | 0.1% | 0.1% | +0.1 pts | +38,273 sh | +79% |
| Increased | ISHARES TR (MBB) | 1.8% | 1.8% | 0.0 pts | +71,046 sh | +2% |
| Increased | 2023 ETF SERIES TRUST II (QLTY) | 1.5% | 1.5% | 0.0 pts | +208K sh | +3% |
| Reduced | ISHARES TR (IVV) | 0.4% | 0.3% | 0.0 pts | −11,744 sh | −11% |
| Increased | DIMENSIONAL ETF TRUST (DFAT) | 0.2% | 0.2% | 0.0 pts | +102K sh | +20% |
| Increased | INNOVATOR ETFS TRUST (KJUL) | 0.0% | 0.0% | 0.0 pts | +184K sh | +2168% |
| Increased | ISHARES TR (USIG) | 1.5% | 1.5% | 0.0 pts | +101K sh | +2% |
| Increased | DIMENSIONAL ETF TRUST (DUHP) | 0.1% | 0.2% | 0.0 pts | +142K sh | +22% |
| Increased | J P MORGAN EXCHANGE TRADED F (JEPI) | 0.4% | 0.4% | 0.0 pts | +80,171 sh | +8% |
| Reduced | INVESCO QQQ TR (QQQ) | 0.4% | 0.4% | 0.0 pts | −9,134 sh | −6% |
| Reduced | GE AEROSPACE (GE) | 0.0% | 0.0% | 0.0 pts | −23,200 sh | −51% |
| Reduced | SPDR SER TR (SPIB) | 0.2% | 0.1% | 0.0 pts | −119K sh | −15% |
| Increased | INVESCO EXCH TRADED FD TR II (RWL) | 1.4% | 1.4% | 0.0 pts | +40,290 sh | +2% |
| Increased | INNOVATOR ETFS TRUST (IJAN) | 0.0% | 0.0% | 0.0 pts | +118K sh | +114487% |
| Increased | ALPS ETF TR (AMLP) | 0.0% | 0.0% | 0.0 pts | +81,527 sh | +312% |
| Reduced | PIMCO ETF TR (CORP) | 0.0% | 0.0% | 0.0 pts | −37,422 sh | −47% |
| Reduced | ISHARES TR (TIP) | 0.0% | 0.0% | 0.0 pts | −30,610 sh | −46% |
| Reduced | ISHARES TR (IJH) | 0.2% | 0.2% | 0.0 pts | −53,248 sh | −9% |
| Increased | QUALCOMM INC (QCOM) | 0.0% | 0.1% | 0.0 pts | +18,102 sh | +45% |
| Reduced | VANGUARD TAX-MANAGED FDS (VEA) | 0.1% | 0.1% | 0.0 pts | −57,670 sh | −13% |
| Increased | ISHARES TR (AGG) | 0.2% | 0.2% | 0.0 pts | +29,458 sh | +10% |
| Reduced | VANGUARD SCOTTSDALE FDS (VMBS) | 0.2% | 0.1% | 0.0 pts | −63,063 sh | −12% |
| Reduced | VANGUARD INTL EQUITY INDEX F (VWO) | 0.2% | 0.2% | 0.0 pts | −61,257 sh | −10% |
| Increased | ABBOTT LABS (ABT) | 0.2% | 0.2% | 0.0 pts | +24,579 sh | +10% |
| Increased | VANECK ETF TRUST (SMB) | 0.1% | 0.1% | 0.0 pts | +162K sh | +15% |
| Increased | SPDR INDEX SHS FDS (SPEM) | 1.5% | 1.6% | +0.1 pts | +67,205 sh | +1% |
| Reduced | EATON VANCE ENHANCED EQUITY (EOI) | 0.0% | 0.0% | 0.0 pts | −136K sh | −51% |
| Reduced | VIRTUS EQUITY & CONV INCM FD (NIE) | 0.0% | 0.0% | 0.0 pts | −116K sh | −56% |
| Increased | VANGUARD INDEX FDS (VBR) | 0.9% | 0.9% | 0.0 pts | +13,198 sh | +2% |
| Increased | ISHARES TR (IJR) | 0.6% | 0.6% | 0.0 pts | +22,436 sh | +3% |
| Increased | INNOVATOR ETFS TRUST (NAPR) | 0.0% | 0.0% | 0.0 pts | +53,943 sh | +129% |
| Exited | SUPER MICRO COMPUTER INC (SMCI) | 0.0% | — | 0.0 pts | −3,076 sh | −100% |
| Increased | SPDR SER TR (SPTM) | 0.4% | 0.4% | 0.0 pts | +36,168 sh | +4% |
The 50 largest of 2,766 changes, by size of the trade. Full holdings for this quarter.
Reported by the fund in its Form 13F filed with the SEC; holdings are as of the quarter-end report date and may have changed since. For informational purposes only — not investment advice or a recommendation to buy or sell any security. FilingExplorer is not affiliated with or endorsed by this fund. How this brief is compiled
* Prior share counts adjusted or corrected for a stock split — changes are measured from the adjusted count:
- WILLIAMS SONOMA INC (WSM): 469 shares as filed last quarter, 469 after adjustment → 466 now (prior share count corrected for a stock split)
- BERKLEY W R CORP (WRB): 1,994 shares as filed last quarter, 1,994 after adjustment → 1,993 now (prior share count corrected for a stock split)
- BROADCOM INC (AVGO): 316K shares as filed last quarter, 316K after adjustment → 316K now (prior share count corrected for a stock split)
† Security identifier (CUSIP) changed — read as one continuing position, not an exit and a new position:
- ESS TECH INC (GWH): 26916J106 → 26916J205, 227 → 181 shares (share count changed with the identifier; not shown as a trade)
- GALMED PHARMACEUTICALS LTD (GLMD): M47238122 → M47238148, 17 → 2 shares (share count changed with the identifier; not shown as a trade)
- SONOMA PHARMACEUTICALS INC (SNOA): 83558L204 → 83558L303, 65 → 3 shares (share count changed with the identifier; not shown as a trade)
- MARKFORGED HOLDING CORPORATI (MKFG): 57064N102 → 57064N201, 68 → 7 shares (share count changed with the identifier; not shown as a trade)
- QUANTUM CORP (QMCO): 747906501 → 747906600, 161 → 8 shares (share count change consistent with a stock split)
- GINKGO BIOWORKS HOLDINGS INC (DNA): 37611X100 → 37611X209, 360 → 7 shares (share count changed with the identifier; not shown as a trade)
- CYBIN INC (CYBN): 23256X100 → 23256X407, 1,000 → 26 shares (share count changed with the identifier; not shown as a trade)
- BARCLAYS BANK PLC (VXX): 06748F324 → 06748M196, 50 → 6 shares (share count changed with the identifier; not shown as a trade)
- SITE CTRS CORP (SITC): 82981J109 → 82981J851, 149 → 65 shares (share count changed with the identifier; not shown as a trade)
- BLACKSKY TECHNOLOGY INC (BKSY): 09263B108 → 09263B207, 16,708 → 2,088 shares (share count change consistent with a stock split)
- FERGUSON ENTERPRISES INC (FERG): G3421J106 → 31488V107, 135 → 92 shares (share count changed with the identifier; not shown as a trade)
- SIRIUSXM HOLDINGS INC (SIRI): 82968B103 → 829933100, 16,931 → 2,695 shares (share count changed with the identifier; not shown as a trade)
- ALLBIRDS INC (BIRD): 01675A109 → 01675A208, 187K → 9,368 shares (share count change consistent with a stock split)
Top 10 positions — 58.1% of the equity book
No changes in the top 10 this quarter
| # | Security | Weight before | Weight now | |
|---|---|---|---|---|
| 1 | VANGUARD INDEX FDS (VTI) | 14.5% | 14.5% | |
| 2 | VANGUARD BD INDEX FDS (BND) | 8.1% | 8.1% | |
| 3 | SPDR INDEX SHS FDS (SPDW) | 6.7% | 6.8% | |
| 4 | SPDR SER TR (SPYG) | 6.6% | 6.7% | |
| 5 | SPDR SER TR (SPYV) | 6.4% | 6.5% | |
| 6 | VANGUARD BD INDEX FDS (BSV) | 5.9% | 5.8% | |
| 7 | ISHARES TR (GOVT) | 4.1% | 4.1% | |
| 8 | VANGUARD INDEX FDS (VO) | 2.0% | 2.1% | |
| 9 | ISHARES TR (MBB) | 1.8% | 1.8% | |
| 10 | APPLE INC (AAPL) | 1.7% | 1.6% |
Weights are each position's reported value as a share of the fund's reported equity positions (options and principal-amount holdings excluded).
Option positions (puts and calls)
Reported separately from the positions above. The value a 13F reports for an option is that of the underlying shares, not the option itself.
| Activity | Security | Type | Shares before | Shares now | Reported value |
|---|---|---|---|---|---|
| New | SPDR S&P 500 ETF TR (SPY) | Call | 0 | 8,800 | $5.05M |
| New | NVIDIA CORPORATION (NVDA) | Put | 0 | 26,000 | $3.16M |