Filed: 11/9/2022ACC: 0001541596-22-000003
📋 What this filing means
ASPEN INVESTMENT MANAGEMENT INC filed this quarterly 13F‑HR report disclosing 128 equity positions with a total reported market value of $149.9K. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
128
Positions
$149.9K
Total AUM (reported)
2.84M
Total Shares
Allocation by class
COM$64.5K43.0%
TR UNIT$8.0K5.4%
BULSHS 2023 CB$6.3K4.2%
SENIOR LN FD$5.0K3.4%
BULSHS 2024 CB$4.7K3.2%
RUSSELL 2000 ETF$4.2K2.8%
PFD SECS INC ETF$4.0K2.7%
Portfolio Concentration
Top 3$19.4K13.0%
4–10$26.6K17.8%
11–25$31.8K21.2%
Rest$72.1K48.1%
Top 3 weight
13.0%
Top 10 weight
30.7%
Voting Authority Distribution
Total shares with voting rights: 2.84M
Sole
Full voting authority
21.43K
shares
% of voting shares0.8%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
2.82M
shares
% of voting shares99.2%
Investment Discretion (by position count)
Sole128
Shared0
Other0
Dominant voting typeNone · 99.2% of voting shares
Institutional Holdings128
Rows:
SPDR S&P 500 ETF TR
SOLEShares22.51K
TypeSH
Market value$8.0K
5.37%
Sole
110.00
Shared
0.00
None
22.40K
INVESCO EXCH TRD SLF IDX FD
SOLEShares303.73K
TypeSH
Market value$6.3K
4.23%
Sole
4.17K
Shared
0.00
None
299.56K
FIRST TR EXCHANGE-TRADED FD
SOLEShares114.41K
TypeSH
Market value$5.0K
3.36%
Sole
1.14K
Shared
0.00
None
113.27K
MICROSOFT CORP
SOLEShares20.43K
TypeSH
Market value$4.8K
3.17%
Sole
45.00
Shared
0.00
None
20.38K
INVESCO EXCH TRD SLF IDX FD
SOLEShares231.74K
TypeSH
Market value$4.7K
3.15%
Sole
2.18K
Shared
0.00
None
229.56K
ISHARES TR
SOLEShares25.57K
TypeSH
Market value$4.2K
2.81%
Sole
0.00
Shared
0.00
None
25.57K
FIRST TR EXCH TRADED FD III
SOLEShares241.61K
TypeSH
Market value$4.0K
2.69%
Sole
1K
Shared
0.00
None
240.61K
ISHARES TR
SOLEShares63.19K
TypeSH
Market value$3.1K
2.08%
Sole
0.00
Shared
0.00
None
63.19K
INVESCO EXCHANGE TRADED FD T
SOLEShares22.78K
TypeSH
Market value$2.9K
1.93%
Sole
106.00
Shared
0.00
None
22.67K
JOHNSON & JOHNSON
SOLEShares17.51K
TypeSH
Market value$2.9K
1.91%
Sole
70.00
Shared
0.00
None
17.44K
INVESCO EXCH TRD SLF IDX FD
SOLEShares134.53K
TypeSH
Market value$2.8K
1.90%
Sole
1.55K
Shared
0.00
None
132.98K
ISHARES TR
SOLEShares49.62K
TypeSH
Market value$2.6K
1.74%
Sole
81.00
Shared
0.00
None
49.53K
APPLE INC
SOLEShares18.61K
TypeSH
Market value$2.6K
1.72%
Sole
80.00
Shared
0.00
None
18.53K
ABRDN ETFS
SOLEShares90.30K
TypeSH
Market value$2.3K
1.56%
Sole
484.00
Shared
0.00
None
89.82K
PEPSICO INC
SOLEShares13.79K
TypeSH
Market value$2.3K
1.50%
Sole
30.00
Shared
0.00
None
13.76K
PIMCO ETF TR
SOLEShares25.25K
TypeSH
Market value$2.2K
1.47%
Sole
0.00
Shared
0.00
None
25.25K
SPDR SER TR
SOLEShares57.73K
TypeSH
Market value$2.0K
1.37%
Sole
1.56K
Shared
0.00
None
56.16K
ISHARES TR
SOLEShares5.71K
TypeSH
Market value$2.0K
1.37%
Sole
0.00
Shared
0.00
None
5.71K
ISHARES TR
SOLEShares19K
TypeSH
Market value$2.0K
1.36%
Sole
386.00
Shared
0.00
None
18.62K
VANGUARD INDEX FDS
SOLEShares24.90K
TypeSH
Market value$2.0K
1.33%
Sole
128.00
Shared
0.00
None
24.77K
HOME DEPOT INC
SOLEShares6.55K
TypeSH
Market value$1.8K
1.21%
Sole
0.00
Shared
0.00
None
6.55K
WALMART INC
SOLEShares13.92K
TypeSH
Market value$1.8K
1.20%
Sole
0.00
Shared
0.00
None
13.92K
CSX CORP
SOLEShares65.91K
TypeSH
Market value$1.8K
1.17%
Sole
0.00
Shared
0.00
None
65.91K
GOLDMAN SACHS GROUP INC
SOLEShares5.98K
TypeSH
Market value$1.8K
1.17%
Sole
0.00
Shared
0.00
None
5.98K
WISDOMTREE TR
SOLEShares66.03K
TypeSH
Market value$1.7K
1.13%
Sole
495.00
Shared
0.00
None
65.53K
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
SPDR S&P 500 ETF TRSOLE | TR UNIT | 22.51K | SH | $8.0K 5.37% | 110.00 | 0.00 | 22.40K |
INVESCO EXCH TRD SLF IDX FDSOLE | BULSHS 2023 CB | 303.73K | SH | $6.3K 4.23% | 4.17K | 0.00 | 299.56K |
FIRST TR EXCHANGE-TRADED FDSOLE | SENIOR LN FD | 114.41K | SH | $5.0K 3.36% | 1.14K | 0.00 | 113.27K |
MICROSOFT CORPSOLE | COM | 20.43K | SH | $4.8K 3.17% | 45.00 | 0.00 | 20.38K |
INVESCO EXCH TRD SLF IDX FDSOLE | BULSHS 2024 CB | 231.74K | SH | $4.7K 3.15% | 2.18K | 0.00 | 229.56K |
ISHARES TRSOLE | RUSSELL 2000 ETF | 25.57K | SH | $4.2K 2.81% | 0.00 | 0.00 | 25.57K |
FIRST TR EXCH TRADED FD IIISOLE | PFD SECS INC ETF | 241.61K | SH | $4.0K 2.69% | 1K | 0.00 | 240.61K |
ISHARES TRSOLE | ISHS 1-5YR INVS | 63.19K | SH | $3.1K 2.08% | 0.00 | 0.00 | 63.19K |
INVESCO EXCHANGE TRADED FD TSOLE | S&P500 EQL WGT | 22.78K | SH | $2.9K 1.93% | 106.00 | 0.00 | 22.67K |
JOHNSON & JOHNSONSOLE | COM | 17.51K | SH | $2.9K 1.91% | 70.00 | 0.00 | 17.44K |
INVESCO EXCH TRD SLF IDX FDSOLE | BULSHS 2022 CB | 134.53K | SH | $2.8K 1.90% | 1.55K | 0.00 | 132.98K |
ISHARES TRSOLE | CORE MSCI EAFE | 49.62K | SH | $2.6K 1.74% | 81.00 | 0.00 | 49.53K |
APPLE INCSOLE | COM | 18.61K | SH | $2.6K 1.72% | 80.00 | 0.00 | 18.53K |
ABRDN ETFSSOLE | BBRG ALL COMD K1 | 90.30K | SH | $2.3K 1.56% | 484.00 | 0.00 | 89.82K |
PEPSICO INCSOLE | COM | 13.79K | SH | $2.3K 1.50% | 30.00 | 0.00 | 13.76K |
PIMCO ETF TRSOLE | 0-5 HIGH YIELD | 25.25K | SH | $2.2K 1.47% | 0.00 | 0.00 | 25.25K |
SPDR SER TRSOLE | PRTFLO S&P500 HI | 57.73K | SH | $2.0K 1.37% | 1.56K | 0.00 | 56.16K |
ISHARES TRSOLE | CORE S&P500 ETF | 5.71K | SH | $2.0K 1.37% | 0.00 | 0.00 | 5.71K |
ISHARES TRSOLE | SELECT DIVID ETF | 19K | SH | $2.0K 1.36% | 386.00 | 0.00 | 18.62K |
VANGUARD INDEX FDSSOLE | REAL ESTATE ETF | 24.90K | SH | $2.0K 1.33% | 128.00 | 0.00 | 24.77K |
HOME DEPOT INCSOLE | COM | 6.55K | SH | $1.8K 1.21% | 0.00 | 0.00 | 6.55K |
WALMART INCSOLE | COM | 13.92K | SH | $1.8K 1.20% | 0.00 | 0.00 | 13.92K |
CSX CORPSOLE | COM | 65.91K | SH | $1.8K 1.17% | 0.00 | 0.00 | 65.91K |
GOLDMAN SACHS GROUP INCSOLE | COM | 5.98K | SH | $1.8K 1.17% | 0.00 | 0.00 | 5.98K |
WISDOMTREE TRSOLE | US SMALLCAP DIVD | 66.03K | SH | $1.7K 1.13% | 495.00 | 0.00 | 65.53K |
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