Prospera Financial Services Inc's Q3 2026 13F: 183 new positions, 141 exits

Form 13F-HR for the quarter ended Sep 30, 2026 · filed Nov 4, 2026 · 1509 reported positions · accession 0001541625-26-000004

View the filing on SEC.gov

What changed this quarter

Activity Security Weight before Weight now Change Shares Shares %
New EXXONMOBIL HOLDINGS CORP (XOMZZZZ) — 1.0% +1.0 pts +405K sh new
Exited EXXON MOBIL CORP (XOM) 0.8% — −0.8 pts −410K sh −100%
Increased NVIDIA CORPORATION (NVDA) 3.4% 3.7% +0.3 pts +225K sh +19%
Increased APPLE INC (AAPL) 3.6% 4.4% +0.8 pts +133K sh +16%
Increased SPACE EXPLORATION TECHN CORP (SPCX) 0.1% 0.6% +0.5 pts +312K sh +1112%
Reduced ISHARES TR (IWD) 0.6% 0.1% −0.5 pts −146K sh −88%
Increased LISTED FDS TR (MAGS) 0.0% 0.4% +0.4 pts +478K sh +11497%
Exited ABBVIE INC (ABBV) 0.4% — −0.4 pts −96,118 sh −100%
Increased MICROSOFT CORP (MSFT) 1.6% 2.3% +0.7 pts +49,081 sh +17%
Increased AUTOMATIC DATA PROCESSING IN (ADP) 0.1% 0.4% +0.3 pts +80,405 sh +266%
Increased WORKDAY INC (WDAY) 0.0% 0.3% +0.3 pts +118K sh +1515%
Increased AMAZON COM INC (AMZN) 1.6% 1.7% +0.1 pts +96,007 sh +21%
Increased CISCO SYS INC (CSCO) 0.3% 0.5% +0.2 pts +218K sh +127%
Increased FORTINET INC (FTNT) 0.0% 0.3% +0.3 pts +147K sh +3024%
Increased BROADCOM INC (AVGO) 1.1% 1.1% 0.0 pts +58,770 sh +28%
Reduced ARM HOLDINGS PLC (ARM) 0.5% 0.0% −0.5 pts −92,511 sh −95%
Reduced WESTERN DIGITAL CORP (WDC) 0.6% 0.1% −0.5 pts −47,623 sh −79%
Exited ALPS ETF TR (RFDA) 0.2% — −0.2 pts −220K sh −100%
Reduced WALMART INC (WMT) 0.7% 0.5% −0.2 pts −133K sh −30%
Increased SPDR SERIES TRUST (SPYG) 0.0% 0.2% +0.2 pts +138K sh +1304%
Exited ALPS ETF TR (AMLP) 0.2% — −0.2 pts −274K sh −100%
Increased ISHARES TR (SGOV) 0.2% 0.3% +0.2 pts +154K sh +146%
Increased VISA INC (V) 0.5% 0.7% +0.2 pts +37,371 sh +40%
Increased ADVANCED MICRO DEVICES INC (AMD) 0.5% 0.6% +0.1 pts +29,468 sh +45%
Increased JOHNSON & JOHNSON (JNJ) 0.6% 0.8% +0.2 pts +53,882 sh +31%
Reduced ISHARES TR (IYJ) 0.2% 0.0% −0.2 pts −89,662 sh −96%
New ISHARES TR (IHE) — 0.2% +0.2 pts +131K sh new
New ISHARES TR (IEO) — 0.2% +0.2 pts +92,845 sh new
Increased VANGUARD INDEX FDS (VOO) 0.6% 0.7% +0.1 pts +19,843 sh +35%
Increased WISDOMTREE TR (DGRW) 0.1% 0.3% +0.2 pts +139K sh +211%
Increased ISHARES TR (IBB) 0.0% 0.2% +0.2 pts +59,853 sh +2205%
Increased MASTERCARD INCORPORATED (MA) 0.2% 0.4% +0.2 pts +20,268 sh +79%
Increased FIRST TR EXCHANGE-TRADED ALP (FYC) 0.0% 0.2% +0.2 pts +112K sh +2358%
Increased ISHARES S&P GSCI COMMODITY- (GSG) 0.0% 0.2% +0.2 pts +334K sh +569%
Increased VANGUARD WORLD FD (MGK) 0.4% 0.5% +0.1 pts +137K sh +41%
Increased MICRON TECHNOLOGY INC (MU) 0.8% 0.7% −0.1 pts +13,274 sh +27%
Increased INVESCO EXCH TRD SLF IDX FD (BSCT) 0.1% 0.2% +0.1 pts +632K sh +313%
Reduced FIRST TR EXCHANGE-TRADED FD (RDVI) 0.3% 0.1% −0.2 pts −412K sh −58%
Increased INVESCO EXCH TRD SLF IDX FD (BSCS) 0.1% 0.2% +0.1 pts +570K sh +304%
Reduced ISHARES TR (IYZ) 0.2% 0.0% −0.2 pts −299K sh −92%
Exited WARNER BROS DISCOVERY INC (WBD) 0.1% — −0.1 pts −380K sh −100%
Increased JPMORGAN CHASE & CO (JPM) 1.1% 1.2% +0.1 pts +33,583 sh +15%
Reduced APPLIED MATLS INC (AMAT) 0.7% 0.2% −0.5 pts −28,683 sh −40%
Increased AMPHENOL CORP (APH) 0.1% 0.2% +0.1 pts +137K sh +204%
Reduced INTEL CORP (INTC) 0.5% 0.1% −0.5 pts −164K sh −62%
Increased INVESCO EXCH TRD SLF IDX FD (BSCU) 0.0% 0.2% +0.1 pts +659K sh +385%
Increased INVESCO EXCH TRD SLF IDX FD (BSCR) 0.1% 0.2% +0.1 pts +544K sh +283%
Increased FIRST TR EXCHANGE-TRADED ALP (FYX) 0.0% 0.1% +0.1 pts +75,959 sh +2019%
Increased COSTCO WHOLESALE CORPORATION (COST) 0.4% 0.5% +0.1 pts +10,350 sh +40%
Increased ISHARES TR (IJS) 0.0% 0.2% +0.1 pts +78,890 sh +938%

The 50 largest of 1,614 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

† Security identifier (CUSIP) changed — read as one continuing position, not an exit and a new position:

  • ONEOK INC NEW (OKE): 682680103 → 30609A109, 9,976 → 9,963 shares
  • DFA INVT DIMENSIONS GROUP IN (DCOR): 25434V625 → 25239Y220, 33,573 → 41,598 shares (share count changed with the identifier; not shown as a trade)
  • TEVA PHARMACEUTICAL INDS LTD (TEVA): 881624209 → M8769Q102, 135K → 150K shares (share count changed with the identifier; not shown as a trade)

Top 10 positions — 18.9% of the equity book

Changes in the top 10 this quarter: JPM entered · SPY entered · CAT left · GOOG left

# Security Weight before Weight now
1 APPLE INC (AAPL) 3.6% 4.4%
2 NVIDIA CORPORATION (NVDA) 3.4% 3.7%
3 MICROSOFT CORP (MSFT) 1.6% 2.3%
4 AMAZON COM INC (AMZN) 1.6% 1.7%
5 INVESCO QQQ TR (QQQ) 1.4% 1.2%
6 FIRST TR EXCHANGE TRADED FD (RDVY) 1.3% 1.2%
7 JPMORGAN CHASE & CO (JPM) 1.1% 1.2% Entered the top 10
8 BROADCOM INC (AVGO) 1.1% 1.1%
9 ALPHABET INC (GOOGL) 1.4% 1.1%
10 STATE STR SPDR S&P 500 ETF T (SPY) 1.1% 1.0% Entered the top 10
— CATERPILLAR INC (CAT) 1.5% 0.8% Left the top 10
— ALPHABET INC (GOOG) 1.2% 0.9% 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).