DUMONT & BLAKE INVESTMENT ADVISORS LLC's Q3 2023 13F: 3 new positions, 5 exits
Form 13F-HR for the quarter ended Sep 30, 2023 · filed Oct 30, 2023 · 184 reported positions · accession 0001287618-23-000005
What changed this quarter
| Activity | Security | Weight before | Weight now | Change | Shares | Shares % |
|---|---|---|---|---|---|---|
| Reduced | Bristol-Myers Squibb Co (BMY) | 0.5% | 0.2% | −0.3 pts | −14,352 sh | −59% |
| New | DaVita Inc (DVA) | — | 0.3% | +0.3 pts | +8,200 sh | new |
| New | iShares S&P 500 Index Fund (IVV) | — | 0.1% | +0.1 pts | +582 sh | new |
| Increased | Technology Select Sector SPDR (XLK) | 0.8% | 0.9% | +0.1 pts | +1,476 sh | +11% |
| Exited | Omnicom Group (OMC) | 0.1% | — | −0.1 pts | −2,631 sh | −100% |
| New | Phillips 66 (PSX) | — | 0.1% | +0.1 pts | +1,957 sh | new |
| Exited | Hyster-Yale Materials Handling (HY) | 0.1% | — | −0.1 pts | −4,225 sh | −100% |
| Exited | Tapestry Inc (TPR) | 0.1% | — | −0.1 pts | −5,451 sh | −100% |
| Exited | A O Smith Corp (AOS) | 0.1% | — | −0.1 pts | −2,870 sh | −100% |
| Exited | Snap-On Inc (SNA) | 0.1% | — | −0.1 pts | −698 sh | −100% |
| Increased | VanEck Morningstar Wide Moat E (MOAT) | 0.2% | 0.2% | 0.0 pts | +1,459 sh | +20% |
| Increased | SPDR Blackstone Senior Loan ET (SRLN) | 0.2% | 0.2% | 0.0 pts | +2,503 sh | +21% |
| Reduced | Consumer Staples Select Sector (XLP) | 0.1% | 0.1% | 0.0 pts | −1,338 sh | −22% |
| Increased | SPDR Portfolio S&P 500 High Di (SPYD) | 0.2% | 0.2% | 0.0 pts | +2,576 sh | +14% |
| Increased | SPDR S&P 500 ETF Trust (SPY) | 8.9% | 8.9% | +0.1 pts | +203 sh | 0% |
| Increased | iShares Russell Microcap Index (IWC) | 1.4% | 1.4% | 0.0 pts | +726 sh | +2% |
| Increased | 3M Co (MMM) | 0.2% | 0.2% | 0.0 pts | +603 sh | +9% |
| Reduced | Schwab S&P 500 Index Fund | 2.2% | 2.2% | 0.0 pts | −727 sh | −1% |
| Increased | iShares S&P Midcap 400 Growth (IJK) | 0.8% | 0.8% | 0.0 pts | +655 sh | +2% |
| Reduced | Texas Instruments Inc (TXN) | 0.5% | 0.4% | −0.1 pts | −282 sh | −3% |
| Increased | iShares S&P 500 Value Index (IVE) | 0.5% | 0.5% | 0.0 pts | +290 sh | +3% |
| Increased | Invesco S&P 500 Equal Weight E (RSP) | 4.8% | 4.7% | −0.1 pts | +295 sh | 0% |
| Reduced | Marsh & McLennan Cos Inc (MRSH) | 0.6% | 0.7% | 0.0 pts | −206 sh | −2% |
| Increased | SPDR S&P MidCap 400 ETF Trust (MDY) | 3.2% | 3.2% | 0.0 pts | +72 sh | 0% |
| Increased | iShares S&P Midcap 400/BARRA V (IJJ) | 0.6% | 0.6% | 0.0 pts | +310 sh | +2% |
| Increased | iShares S&P 500 Growth (IVW) | 1.3% | 1.3% | 0.0 pts | +445 sh | +1% |
| Reduced | iShares Goldman Sachs Nat Res (IGE) | 0.2% | 0.2% | 0.0 pts | −696 sh | −6% |
| Reduced | Apple Inc (AAPL) | 4.6% | 4.2% | −0.4 pts | −167 sh | 0% |
| Reduced | Amazon.com Inc (AMZN) | 1.0% | 1.0% | 0.0 pts | −214 sh | −1% |
| Increased | Nvidia Corp (NVDA) | 0.2% | 0.2% | 0.0 pts | +57 sh | +4% |
| Reduced | iShares MSCI Mexico Capped Inv (EWW) | 0.2% | 0.2% | 0.0 pts | −425 sh | −4% |
| Increased | iShares S&P Smallcap 600/BARRA (IJT) | 1.4% | 1.4% | 0.0 pts | +224 sh | +1% |
| Increased | iShares Russell 2000 Index Fun (IWM) | 2.0% | 2.0% | 0.0 pts | +127 sh | 0% |
| Reduced | Industrial Select Sector SPDR (XLI) | 0.1% | 0.1% | 0.0 pts | −219 sh | −6% |
| Reduced | Bank of New York Mellon Corp (BK) | 0.1% | 0.1% | 0.0 pts | −510 sh | −7% |
| Increased | Communication Services Sector (XLC) | 0.5% | 0.6% | 0.0 pts | +331 sh | +1% |
| Increased | Chevron Corp (CVX) | 0.5% | 0.6% | +0.1 pts | +126 sh | +1% |
| Reduced | Waste Management Inc (WM) | 0.1% | 0.1% | 0.0 pts | −130 sh | −6% |
| Reduced | Verizon Communications Inc (VZ) | 0.2% | 0.1% | 0.0 pts | −598 sh | −4% |
| Reduced | First Trust Dow Jones Internet (FDN) | 0.4% | 0.4% | 0.0 pts | −115 sh | −1% |
| Reduced | Barings Corporate Investors (MCI) | 0.2% | 0.3% | 0.0 pts | −1,149 sh | −2% |
| Reduced | Exxon Mobil Corp (XOM) | 0.7% | 0.8% | +0.1 pts | −148 sh | −1% |
| Increased | Vanguard Telecommunication Ser (VOX) | 0.8% | 0.8% | 0.0 pts | +165 sh | +1% |
| Reduced | Eaton Corp PLC (ETN) | 0.2% | 0.2% | 0.0 pts | −80 sh | −3% |
| Reduced | General Mills Inc (GIS) | 0.5% | 0.4% | −0.1 pts | −255 sh | −1% |
| Increased | iShares MSCI EAFE Index (EFA) | 1.1% | 1.1% | 0.0 pts | +232 sh | 0% |
| Reduced | BNY Mellon Midcap Index Fund | 0.9% | 0.9% | 0.0 pts | −561 sh | −1% |
| Increased | Invesco QQQ Trust Series 1 (QQQ) | 4.7% | 4.7% | 0.0 pts | +42 sh | 0% |
| Reduced | FedEx Corp (FDX) | 0.4% | 0.5% | 0.0 pts | −55 sh | −1% |
| Reduced | Iron Mountain Inc (IRM) | 0.6% | 0.6% | 0.0 pts | −244 sh | −1% |
The 50 largest of 171 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
Top 10 positions — 37.6% of the equity book
No changes in the top 10 this quarter
| # | Security | Weight before | Weight now | |
|---|---|---|---|---|
| 1 | SPDR S&P 500 ETF Trust (SPY) | 8.9% | 8.9% | |
| 2 | Invesco QQQ Trust Series 1 (QQQ) | 4.7% | 4.7% | |
| 3 | Invesco S&P 500 Equal Weight E (RSP) | 4.8% | 4.7% | |
| 4 | Apple Inc (AAPL) | 4.6% | 4.2% | |
| 5 | Microsoft Corp (MSFT) | 3.7% | 3.5% | |
| 6 | SPDR S&P MidCap 400 ETF Trust (MDY) | 3.2% | 3.2% | |
| 7 | iShares DJ Select Dividend Ind (DVY) | 2.5% | 2.5% | |
| 8 | Schwab S&P 500 Index Fund | 2.2% | 2.2% | |
| 9 | iShares Russell 2000 Index Fun (IWM) | 2.0% | 2.0% | |
| 10 | Vanguard High Dividend Yield E (VYM) | 1.6% | 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 | Unum Group (UNM) | Put | 0 | 200 | $10K |