Sheaff Brock Investment Advisors LLC's Q1 2022 13F: 31 new positions, 66 exits
Form 13F-HR for the quarter ended Mar 31, 2022 · filed May 6, 2022 · 524 reported positions · accession 0001606587-22-000985 · Amended
What changed this quarter
| Activity | Security | Weight before | Weight now | Change | Shares | Shares % |
|---|---|---|---|---|---|---|
| New | LISTED FD TR (IPDP) | — | 1.4% | +1.4 pts | +937K sh | new |
| Increased | MERCK & CO INC (MRK) | 0.2% | 1.1% | +1.0 pts | +129K sh | +457% |
| New | LISTED FD TR (IPPP) | — | 0.8% | +0.8 pts | +843K sh | new |
| Increased | ORACLE CORP (ORCL) | 0.4% | 1.0% | +0.5 pts | +71,320 sh | +122% |
| Reduced | APPLE INC (AAPL) | 17.1% | 17.1% | 0.0 pts | −32,012 sh | −3% |
| Reduced | MEDTRONIC PLC (MDT) | 0.5% | 0.1% | −0.3 pts | −40,982 sh | −78% |
| Reduced | 3M CO (MMM) | 0.8% | 0.3% | −0.5 pts | −30,111 sh | −58% |
| Reduced | INTERNATIONAL BUSINESS MACHS (IBM) | 0.6% | 0.2% | −0.4 pts | −31,584 sh | −64% |
| Increased | MICROSOFT CORP (MSFT) | 1.7% | 2.0% | +0.2 pts | +11,729 sh | +19% |
| Reduced | DOW INC (DOW) | 0.8% | 0.6% | −0.2 pts | −53,047 sh | −32% |
| Increased | NVIDIA CORPORATION (NVDA) | 2.4% | 2.6% | +0.2 pts | +12,180 sh | +13% |
| Increased | ALPHABET INC (GOOG) | 2.0% | 2.3% | +0.2 pts | +883 sh | +11% |
| Reduced | INVESCO QQQ TR (QQQ) | 1.1% | 0.9% | −0.2 pts | −4,931 sh | −15% |
| Reduced | ISHARES TR (MTUM) | 0.3% | 0.1% | −0.2 pts | −9,461 sh | −52% |
| Reduced | ABBVIE INC (ABBV) | 1.1% | 1.2% | +0.1 pts | −9,384 sh | −10% |
| Reduced | EXXON MOBIL CORP (XOM) | 0.6% | 0.7% | +0.1 pts | −16,720 sh | −15% |
| New | HOULIHAN LOKEY INC (HLI) | — | 0.1% | +0.1 pts | +14,230 sh | new |
| Reduced | CVS HEALTH CORP (CVS) | 0.8% | 0.7% | −0.1 pts | −11,800 sh | −13% |
| Exited | ZIFF DAVIS INC (ZD) | 0.1% | — | −0.1 pts | −11,200 sh | −100% |
| New | CBRE GROUP INC (CBRE) | — | 0.1% | +0.1 pts | +11,900 sh | new |
| New | EDWARDS LIFESCIENCES CORP (EW) | — | 0.1% | +0.1 pts | +9,129 sh | new |
| New | HARTFORD FINL SVCS GROUP INC (HIG) | — | 0.1% | +0.1 pts | +13,402 sh | new |
| Exited | CINCINNATI FINL CORP (CINF) | 0.1% | — | −0.1 pts | −8,700 sh | −100% |
| Reduced | BRISTOL-MYERS SQUIBB CO (BMY) | 0.3% | 0.3% | 0.0 pts | −12,526 sh | −22% |
| Exited | AMERICAN FIN TR INC (RTL) | 0.1% | — | −0.1 pts | −100K sh | −100% |
| Increased | ALPHABET INC (GOOGL) | 0.7% | 0.8% | +0.1 pts | +307 sh | +10% |
| Increased | UNITED PARCEL SERVICE INC (UPS) | 0.9% | 1.0% | +0.1 pts | +3,867 sh | +8% |
| Increased | CSX CORP (CSX) | 0.1% | 0.1% | +0.1 pts | +22,000 sh | +100% |
| Reduced | KLA CORP (KLAC) | 1.0% | 0.8% | −0.2 pts | −2,121 sh | −8% |
| Increased | MORGAN STANLEY (MS) | 0.0% | 0.1% | +0.1 pts | +8,737 sh | +297% |
| Reduced | GLOBUS MED INC (GMED) | 0.2% | 0.1% | −0.1 pts | −10,132 sh | −33% |
| Exited | ROCKWELL AUTOMATION INC (ROK) | 0.1% | — | −0.1 pts | −1,473 sh | −100% |
| Reduced | UNITEDHEALTH GROUP INC (UNH) | 0.8% | 0.8% | 0.0 pts | −1,449 sh | −8% |
| Reduced | TERADYNE INC (TER) | 0.1% | 0.0% | −0.1 pts | −6,058 sh | −75% |
| Increased | SPDR S&P 500 ETF TR (SPY) | 0.6% | 0.7% | +0.1 pts | +1,449 sh | +9% |
| Increased | VANGUARD INDEX FDS (VOO) | 0.1% | 0.2% | +0.1 pts | +1,549 sh | +49% |
| Reduced | QUALCOMM INC (QCOM) | 1.2% | 1.0% | −0.2 pts | −3,971 sh | −5% |
| Exited | PRICE T ROWE GROUP INC (TROW) | 0.1% | — | −0.1 pts | −3,206 sh | −100% |
| Exited | HP INC (HPQ) | 0.1% | — | −0.1 pts | −16,392 sh | −100% |
| New | NETAPP INC (NTAP) | — | 0.1% | +0.1 pts | +6,900 sh | new |
| Reduced | SELECT SECTOR SPDR TR (XLK) | 0.2% | 0.1% | −0.1 pts | −3,533 sh | −26% |
| Reduced | SELECT SECTOR SPDR TR (XLV) | 0.1% | 0.1% | 0.0 pts | −3,828 sh | −45% |
| Reduced | JOHNSON & JOHNSON (JNJ) | 1.2% | 1.2% | +0.1 pts | −2,912 sh | −4% |
| Reduced | EMERSON ELEC CO (EMR) | 0.1% | 0.1% | 0.0 pts | −5,055 sh | −31% |
| Increased | KIMBERLY-CLARK CORP (KMB) | 0.0% | 0.1% | 0.0 pts | +4,019 sh | +99% |
| Increased | ADOBE SYSTEMS INCORPORATED (ADBE) | 0.1% | 0.2% | 0.0 pts | +1,062 sh | +39% |
| Reduced | CISCO SYS INC (CSCO) | 1.6% | 1.4% | −0.2 pts | −8,587 sh | −3% |
| Increased | SCHWAB STRATEGIC TR (SCHD) | 0.1% | 0.1% | 0.0 pts | +5,852 sh | +58% |
| Reduced | BROADCOM INC (AVGO) | 0.8% | 0.7% | 0.0 pts | −713 sh | −5% |
| Reduced | PIMCO ETF TR (MINT) | 0.3% | 0.3% | 0.0 pts | −4,246 sh | −12% |
The 50 largest of 470 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:
- SL GREEN RLTY CORP (SLG): 78440X804 → 78440X887, 15,331 → 16,366 shares (share count changed with the identifier; not shown as a trade)
Top 10 positions — 33.9% of the equity book
Changes in the top 10 this quarter: IPDP entered · QCOM left
| # | Security | Weight before | Weight now | |
|---|---|---|---|---|
| 1 | APPLE INC (AAPL) | 17.1% | 17.1% | |
| 2 | AMAZON COM INC (AMZN) | 3.2% | 3.3% | |
| 3 | NVIDIA CORPORATION (NVDA) | 2.4% | 2.6% | |
| 4 | ALPHABET INC (GOOG) | 2.0% | 2.3% | |
| 5 | MICROSOFT CORP (MSFT) | 1.7% | 2.0% | |
| 6 | CISCO SYS INC (CSCO) | 1.6% | 1.4% | |
| 7 | LISTED FD TR (IPDP) | 0.0% | 1.4% | Entered the top 10 |
| 8 | LILLY ELI & CO (LLY) | 1.2% | 1.3% | |
| 9 | JPMORGAN CHASE & CO (JPM) | 1.4% | 1.2% | |
| 10 | JOHNSON & JOHNSON (JNJ) | 1.2% | 1.2% | |
| — | QUALCOMM INC (QCOM) | 1.2% | 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).
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 |
|---|---|---|---|---|---|
| Reduced | SPDR S&P 500 ETF TR (SPY) | Put | 756K | 660K | $298M |
| New | AMAZON COM INC (AMZN) | Put | 0 | 2,400 | $7.82M |
| New | ARK ETF TR (ARKK) | Put | 0 | 38,000 | $2.52M |
| New | AMAZON COM INC (AMZN) | Call | 0 | 400 | $1.3M |
| Exited | NVIDIA CORPORATION (NVDA) | Put | 3,500 | 0 | $0 |
| Exited | DISNEY WALT CO (DIS) | Call | 2,500 | 0 | $0 |
| Exited | ADVANCED MICRO DEVICES INC (AMD) | Put | 2,500 | 0 | $0 |
| New | YUM BRANDS INC (YUM) | Call | 0 | 3,000 | $356K |
| New | SELECT SECTOR SPDR TR (XLP) | Call | 0 | 4,000 | $304K |
| New | ALPHABET INC (GOOG) | Call | 0 | 100 | $279K |
| Reduced | NVIDIA CORPORATION (NVDA) | Call | 3,200 | 2,700 | $736K |
| Reduced | MICROSOFT CORP (MSFT) | Call | 4,300 | 4,100 | $1.26M |
| Reduced | APPLE INC (AAPL) | Call | 4,600 | 4,400 | $769K |