HARBOUR INVESTMENTS INC's Q3 2026 13F: 236 new positions, 378 exits
Form 13F-HR for the quarter ended Sep 30, 2026 · filed Nov 9, 2026 · 4620 reported positions · accession 0000810121-26-000006
What changed this quarter
| Activity | Security | Weight before | Weight now | Change | Shares | Shares % |
|---|---|---|---|---|---|---|
| Reduced | ISHARES CORE S&P 500 ETF (IVV) | 1.3% | 1.0% | −0.4 pts | −45,763 sh | −35% |
| Reduced | APPLE INC COM (AAPL) | 1.8% | 1.8% | 0.0 pts | −97,340 sh | −21% |
| Reduced | VANGUARD S&P 500 ETF (VOO) | 3.8% | 4.0% | +0.1 pts | −34,268 sh | −8% |
| Reduced | STATE STREET SPDR PORTFOLIO S&P 500 ETF (SPYM) | 0.9% | 0.7% | −0.2 pts | −223K sh | −28% |
| New | U.S. SMALL CAP PORTFOLIO ETF (DFASZZZZ) | — | 0.3% | +0.3 pts | +253K sh | new |
| Exited | DIMENSIONAL U.S. SMALL CAP ETF (DFAS) | 0.3% | — | −0.3 pts | −239K sh | −100% |
| Reduced | CATERPILLAR INC COM (CAT) | 0.5% | 0.2% | −0.4 pts | −21,793 sh | −57% |
| Increased | FT VEST LADDERED AUTOCALLABLE BARRIER & INCOME ETF (ACYN) | 0.1% | 0.4% | +0.3 pts | +822K sh | +173% |
| Reduced | FRANKLIN INTERNATIONAL CORE DIVIDEND TILT INDEX FUND (DIVI) | 0.3% | 0.1% | −0.2 pts | −382K sh | −78% |
| Reduced | VANGUARD DIVIDEND APPRECIATION ETF (VIG) | 0.6% | 0.4% | −0.2 pts | −68,865 sh | −37% |
| Reduced | JPMORGAN ULTRA-SHORT INCOME ETF (JPST) | 0.3% | 0.1% | −0.2 pts | −284K sh | −63% |
| Increased | FT VEST LADDERED AUTOCALLABLE BARRIER & RESILIENT INCOME ETF (ACYS) | 0.1% | 0.2% | +0.2 pts | +582K sh | +287% |
| Reduced | FIRST TRUST CORE INVESTMENT GRADE ETF (FTCB) | 0.8% | 0.7% | −0.1 pts | −584K sh | −20% |
| Reduced | FT VEST LADDERED NASDAQ BUFFER ETF (BUFQ) | 0.2% | 0.1% | −0.1 pts | −279K sh | −72% |
| Reduced | VANGUARD SHORT-TERM CORPORATE BOND ETF (VCSH) | 0.2% | 0.1% | −0.1 pts | −143K sh | −62% |
| Reduced | ISHARES CORE TOTAL USD BOND MARKET ETF (IUSB) | 0.2% | 0.1% | −0.1 pts | −246K sh | −62% |
| Reduced | DEERE & CO COM (DE) | 0.2% | 0.1% | −0.1 pts | −16,141 sh | −65% |
| Increased | STATE STREET MULTI-ASSET REAL RETURN ETF (RLY) | 0.0% | 0.2% | +0.1 pts | +279K sh | +7688% |
| Reduced | FIDELITY TOTAL BOND ETF (FBND) | 0.5% | 0.4% | −0.1 pts | −229K sh | −29% |
| Reduced | MICROSOFT CORP COM (MSFT) | 0.7% | 0.9% | +0.2 pts | −18,641 sh | −14% |
| Reduced | PIMCO ACTIVE BOND EXCHANGE-TRADED FUND (BOND) | 0.1% | 0.0% | −0.1 pts | −98,085 sh | −82% |
| Reduced | EATON VANCE TOTAL RETURN BOND ETF (EVTR) | 0.2% | 0.1% | −0.1 pts | −166K sh | −68% |
| Reduced | ISHARES CORE MSCI EMERGING MARKETS ETF (IEMG) | 0.1% | 0.0% | −0.1 pts | −93,059 sh | −77% |
| Reduced | VANGUARD FTSE DEVELOPED MARKETS ETF (VEA) | 0.7% | 0.7% | 0.0 pts | −107K sh | −14% |
| Increased | PACER ARISTOTLE PACIFIC FLOATING RATE HIGH INCOME ETF (FLRT) | 0.0% | 0.1% | +0.1 pts | +153K sh | +518% |
| Reduced | INVESCO S&P 500 EQUAL WEIGHT ETF (RSP) | 0.3% | 0.3% | −0.1 pts | −33,481 sh | −28% |
| Increased | AVANTIS EMERGING MARKETS EQUITY ETF (AVEM) | 1.5% | 1.7% | +0.2 pts | +73,008 sh | +6% |
| Reduced | VANGUARD INFORMATION TECHNOLOGY ETF (VGT) | 0.6% | 0.5% | 0.0 pts | −53,596 sh | −16% |
| Reduced | NVIDIA CORPORATION COM (NVDA) | 0.9% | 1.0% | +0.1 pts | −29,418 sh | −9% |
| Reduced | INVESCO QQQ TRUST SERIES I (QQQ) | 2.9% | 3.1% | +0.2 pts | −8,677 sh | −3% |
| Reduced | FT VEST LADDERED BUFFER ETF (BUFR) | 1.3% | 1.4% | +0.1 pts | −170K sh | −6% |
| Increased | VANECK GOLD MINERS ETF (GDX) | 0.2% | 0.3% | +0.1 pts | +71,367 sh | +46% |
| Reduced | ISHARES MBS ETF (MBB) | 0.1% | 0.0% | −0.1 pts | −68,086 sh | −74% |
| Reduced | Q3 ALL-SEASON TACTICAL ADVANTAGE ETF (QTAC) | 0.2% | 0.1% | −0.1 pts | −230K sh | −38% |
| Reduced | VANGUARD S&P MID-CAP 400 GROWTH ETF (IVOG) | 0.1% | 0.0% | −0.1 pts | −42,247 sh | −85% |
| Reduced | ISHARES S&P 500 GROWTH ETF (IVW) | 1.0% | 1.0% | +0.1 pts | −39,030 sh | −7% |
| Reduced | INVESCO NASDAQ 100 ETF (QQQM) | 0.2% | 0.1% | −0.1 pts | −18,098 sh | −44% |
| Reduced | SEAGATE TECHNOLOGY HLDNGS PLC ORD SHS (STX) | 0.1% | 0.0% | −0.1 pts | −5,777 sh | −83% |
| Increased | ECOLAB INC COM (ECL) | 0.0% | 0.1% | +0.1 pts | +18,782 sh | +636% |
| Reduced | AMAZON COM INC COM (AMZN) | 0.6% | 0.6% | 0.0 pts | −20,587 sh | −11% |
| Reduced | PROCTER & GAMBLE CO COM (PG) | 0.8% | 0.8% | 0.0 pts | −35,200 sh | −9% |
| Reduced | FIRST TRUST NASDAQ SEMICONDUCTOR ETF (FTXL) | 0.1% | 0.0% | −0.1 pts | −19,893 sh | −82% |
| Reduced | T. ROWE PRICE CAPITAL APPRECIATION EQUITY ETF (TCAF) | 0.1% | 0.0% | −0.1 pts | −118K sh | −73% |
| Increased | STATE STREET SPDR DOW JONES INDUSTRIAL AVERAGE ETF TRUST (DIA) | 0.1% | 0.2% | +0.1 pts | +9,720 sh | +57% |
| Reduced | JPMORGAN U.S. QUALITY FACTOR ETF (JQUA) | 0.4% | 0.4% | 0.0 pts | −66,764 sh | −14% |
| Increased | ISHARES INTEREST RATE HEDGED CORPORATE BOND ETF (LQDH) | 0.0% | 0.1% | +0.1 pts | +52,759 sh | +2142% |
| Reduced | RPM INTL INC COM (RPM) | 0.1% | 0.0% | −0.1 pts | −48,053 sh | −97% |
| Reduced | FIRST TRUST LARGE CAP VALUE ALPHADEX FUND (FTA) | 0.1% | 0.0% | −0.1 pts | −49,716 sh | −62% |
| Reduced | JOHNSON & JOHNSON COM (JNJ) | 0.2% | 0.2% | 0.0 pts | −17,303 sh | −25% |
| Reduced | BERKSHIRE HATHAWAY INC DEL CL B NEW (BRK-B) | 0.2% | 0.2% | 0.0 pts | −9,171 sh | −27% |
The 50 largest of 3,902 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:
- BNY MELLON US SMALL CAP CORE EQUITY ETF (BKSE): 7 shares as filed last quarter, 21 after adjustment → 21 now (prior share count adjusted for a stock split)
- BNY MELLON US MID CAP CORE EQUITY ETF (BKMC): 18 shares as filed last quarter, 54 after adjustment → 54 now (prior share count adjusted for a stock split)
- BNY MELLON EMERGING MARKETS EQUITY ETF (BKEM): 36 shares as filed last quarter, 108 after adjustment → 108 now (prior share count adjusted for a stock split)
- RUSH ENTERPRISES INC CL B (RUSHB): 70 shares as filed last quarter, 105 after adjustment → 149 now (prior share count adjusted for a stock split)
- RUSH ENTERPRISES INC CL A (RUSHA): 233 shares as filed last quarter, 350 after adjustment → 349 now (prior share count adjusted for a stock split)
- BNY MELLON US LARGE CAP CORE EQUITY ETF (BKLC): 775 shares as filed last quarter, 2,325 after adjustment → 2,198 now (prior share count adjusted for a stock split)
- STONEX GROUP INC COM (SNEX): 3,987 shares as filed last quarter, 5,981 after adjustment → 5,368 now (prior share count adjusted for a stock split)
- BNY MELLON INTERNATIONAL EQUITY ETF (BKIE): 2,152 shares as filed last quarter, 6,456 after adjustment → 15,767 now (prior share count adjusted for a stock split)
† Security identifier (CUSIP) changed — read as one continuing position, not an exit and a new position:
- ALTSHARES MERGER ARBITRAGE ETF (ARB): 02210T108 → 03875R791, 76 → 76 shares
- REVELATION BIOSCIENCES INC COM 2025 (REVB): 76135L606 → 76135L887, 41 → 41 shares
- OCEAN PWR TECHNOLOGIES INC COM NEW (OPTT): 674870506 → 674870605, 300 → 10 shares (share count changed with the identifier; not shown as a trade)
- GAUZY LTD SHS (GAUZ): M4757U106 → M4757U114, 325 → 16 shares (share count changed with the identifier; not shown as a trade)
- ODYSSEY MARINE EXPL INC COM NEW (OMEX): 676118201 → 676118300, 510 → 1,010 shares (share count changed with the identifier; not shown as a trade)
- CRITEO S A ORD SHS (CRTO): 226718104 → L20675101, 46 → 46 shares
- BEYOND MEAT INC COM (BYND): 08862E109 → 08862E307, 1,403 → 18 shares (share count changed with the identifier; not shown as a trade)
- ABERDEEN INTER INCOME FD SHS OF BEN INTS (MIN): 55273C107 → 55273C206, 660 → 660 shares
- TRULIEVE CANNABIS CORP SUB VTG SHS (TRLV): 89788C104 → 89790E106, 1,177 → 277 shares (share count changed with the identifier; not shown as a trade)
- NATIONAL HEALTHCARE PPTYS INC COMMON STOCK (NHP): 42226B501 → 42226B600, 900 → 900 shares
- DFA REAL ESTATE SECURITIES PORTFOLIO: ETF CLASS SHARES (DFAR): 25434V823 → 25239Y147, 612 → 612 shares
- TEVA PHARMACEUTICAL INDS LTD SHS (TEVA): 881624209 → M8769Q102, 1,551 → 1,418 shares (share count changed with the identifier; not shown as a trade)
- UBS ASSET MGMT HIGH YIELD CR SHS BEN INT NEW (DHY): 22544F103 → 22544F202, 208K → 12,477 shares (share count changed with the identifier; not shown as a trade)
- ONEOK INC COM (OKE): 682680103 → 30609A109, 7,145 → 6,160 shares (share count changed with the identifier; not shown as a trade)
- U.S. VECTOR EQUITY PORTFOLIO: ETF CLASS SHARES (DXUV): 25434V559 → 25239Y154, 51,847 → 54,205 shares (share count changed with the identifier; not shown as a trade)
- U.S. SMALL CAP VALUE PORTFOLIO: ETF CLASS SHARES (DFSV): 25434V815 → 25239Y170, 930K → 971K shares (share count changed with the identifier; not shown as a trade)
- U.S. HIGH RELATIVE PROFITABILITY PORTFOLIO: ETF CLASS SHARES (DUHP): 25434V831 → 25239Y196, 1.14M → 1.18M shares (share count changed with the identifier; not shown as a trade)
Top 10 positions — 19.6% of the equity book
Changes in the top 10 this quarter: CGCP entered · IVV left
| # | Security | Weight before | Weight now | |
|---|---|---|---|---|
| 1 | VANGUARD S&P 500 ETF (VOO) | 3.8% | 4.0% | |
| 2 | INVESCO QQQ TRUST SERIES I (QQQ) | 2.9% | 3.1% | |
| 3 | FIRST TRUST SMID CAP RISING DIVIDEND ACHIEVERS ETF (SDVY) | 2.3% | 2.4% | |
| 4 | APPLE INC COM (AAPL) | 1.8% | 1.8% | |
| 5 | AVANTIS EMERGING MARKETS EQUITY ETF (AVEM) | 1.5% | 1.7% | |
| 6 | FIRST TRUST SMITH UNCONSTRAINED BOND ETF (UCON) | 1.4% | 1.5% | |
| 7 | FT VEST LADDERED BUFFER ETF (BUFR) | 1.3% | 1.4% | |
| 8 | ISHARES CORE S&P MID-CAP ETF (IJH) | 1.3% | 1.4% | |
| 9 | STATE STREET SPDR S&P 500 ETF (SPY) | 1.0% | 1.2% | |
| 10 | CAPITAL GROUP CORE PLUS INCOME ETF (CGCP) | 1.0% | 1.1% | Entered the top 10 |
| — | ISHARES CORE S&P 500 ETF (IVV) | 1.3% | 1.0% | Left the top 10 |
Weights are each position's reported value as a share of the fund's reported equity positions (options and principal-amount holdings excluded).