SHUFRO ROSE & CO LLC
Q3 2021 Form 13-F
NEW YORK, NEW YORK
CIK 0000908195
· CRD 3403
· SEC-registered investment adviser
$1.3B Reported Value Total
SHUFRO, ROSE & CO., LLC reports 1,314 total accounts under management (AUM). There are 1,235 discretionary accounts valued at $1,978,121,777, and 79 non-discretionary accounts valued at $76,207,729.
Source: Form ADV filed * Note that certain holdings are exempt from Form 13-F reporting, so the AUM totals may be greater than the Form 13-F total.
Source: Form ADV filed 2026-04-21
Reported value
$1.3B
Quarter over quarter
-1.4%
Holdings
297
Top-10 concentration
38.9%
Key People
Form ADV owners & control persons
Stephen David Leit
PRINCIPAL AND SENIOR FINANCIAL ADVISOR
John Marinus Contant
PRINCIPAL AND SENIOR FINANCIAL ADVISOR
Steven Jeffrey Glass
PRINCIPAL AND SENIOR FINANCIAL ADVISOR
Filing Navigation
Coverage begins with the second quarter of 2013. Earlier quarters are not shown while their accuracy is being verified.
13F Metrics
Loading 13F Metrics
Q3 2021 13F record
Q3 2021 13F filing summary
| Period of report | September 30, 2021 |
|---|---|
| Filed | November 05, 2021 |
| Form | 13F-HR |
| Reported value | $1.3B |
| Positions | 297 |
| Change in reported value | -3.9% |
| New positions | 24 |
| Exited positions | 19 |
| Position turnover | 13.6% |
| Top-10 concentration | 38.9% |
13F filings by quarter
| Quarter | Positions | Value |
|---|---|---|
|
Q2 2026 13F
Filed Aug 12, 2026
|
311 | $1.7B |
|
Q1 2026 13F
Filed May 15, 2026
|
304 | $1.5B |
|
Q4 2025 13F
Filed Feb 9, 2026
|
296 | $1.5B |
|
Q3 2025 13F
Filed Nov 12, 2025
|
311 | $1.2B |
|
Q2 2025 13F
Filed Aug 11, 2025
|
307 | $1.2B |
|
Q1 2025 13F
Filed May 8, 2025
|
309 | $1.3B |
|
Q4 2024 13F
Filed Feb 25, 2025
|
293 | $1.3B |
|
Q3 2024 13F
Filed Nov 12, 2024
|
309 | $1.2B |
|
Q2 2024 13F
Filed Aug 13, 2024
|
309 | $1.2B |
|
Q1 2024 13F
Filed May 8, 2024
|
310 | $1.2B |
|
Q4 2023 13F
Filed Feb 5, 2024
|
302 | $1.1B |
|
Q3 2023 13F
Filed Oct 26, 2023
|
304 | $1.1B |
|
Q2 2023 13F
Filed Aug 3, 2023
|
312 | $1.1B |
|
Q1 2023 13F
Filed Apr 20, 2023
|
317 | $1.1B |
|
Q4 2022 13F
Filed Jan 25, 2023
|
337 | $1.2B |
|
Q3 2022 13F
Filed Oct 24, 2022
|
330 | $1.0B |
|
Q2 2022 13F
Filed Jul 22, 2022
|
319 | $1.2B |
|
Q1 2022 13F
Filed May 9, 2022
|
335 | $1.3B |
|
Q4 2021 13F
Filed Jan 27, 2022
|
306 | $1.4B |
|
Q3 2021 13F
Filed Nov 5, 2021
|
297 | $1.3B |
33 earlier quarters on file — choose one from the quarter menu above.
Top 20 holdings · Q3 2021
| # | Holding | Reported value | % of portfolio |
|---|---|---|---|
| 1 | BSCO INVESCO EXCH TRD SLF IDX FD | $96.7M | 7.57% |
| 2 | JPST J P MORGAN EXCHANGE-TRADED F | $67.0M | 5.25% |
| 3 | RSP INVESCO EXCHANGE TRADED FD T | $59.0M | 4.62% |
| 4 | GLW CORNING INC | $49.2M | 3.85% |
| 5 | AVY AVERY DENNISON CORP | $43.3M | 3.39% |
| 6 | TMO THERMO FISHER SCIENTIFIC INC | $42.4M | 3.32% |
| 7 | TXN TEXAS INSTRS INC | $37.3M | 2.92% |
| 8 | MSFT MICROSOFT CORP | $35.0M | 2.74% |
| 9 | INTC INTEL CORP | $34.1M | 2.67% |
| 10 | JPM JPMORGAN CHASE & CO | $32.9M | 2.58% |
| 11 | AAPL APPLE INC | $32.5M | 2.55% |
| 12 | CEF SPROTT PHYSICAL GOLD & SILVE | $32.0M | 2.51% |
| 13 | JCI JOHNSON CTLS INTL PLC | $28.9M | 2.26% |
| 14 | BRK-B BERKSHIRE HATHAWAY INC DEL | $24.8M | 1.94% |
| 15 | CSCO CISCO SYS INC | $23.9M | 1.87% |
| 16 | UNH UNITEDHEALTH GROUP INC | $21.2M | 1.66% |
| 17 | NEAR ISHARES U S ETF TR | $20.9M | 1.63% |
| 18 | LEN LENNAR CORP | $20.1M | 1.57% |
| 19 | IGSB ISHARES TR | $19.9M | 1.56% |
| 20 | SON SONOCO PRODS CO | $19.7M | 1.54% |
Values as reported on the Q3 2021 Form 13F. Every position is in the holdings table below.