Filed: 2/3/2023ACC: 0000920112-23-000026
📋 What this filing means
DUBUQUE BANK & TRUST CO filed this quarterly 13F‑HR report disclosing 221 equity positions with a total reported market value of $764.3K. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
221
Positions
$764.3K
Total AUM (reported)
13.79M
Total Shares
Allocation by class
COM$335.6K43.9%
VALUE ETF$53.2K7.0%
INTRMDT MUNI ETF$40.2K5.3%
GROWTH ETF$35.9K4.7%
EAFE VALUE ETF$28.3K3.7%
EAFE GRWTH ETF$26.7K3.5%
HEDGE MLTI ETF$16.1K2.1%
Portfolio Concentration
Top 3$170.6K22.3%
4–10$155.8K20.4%
11–25$150.3K19.7%
Rest$287.7K37.6%
Top 3 weight
22.3%
Top 10 weight
42.7%
Voting Authority Distribution
Total shares with voting rights: 13.79M
Sole
Full voting authority
12M
shares
% of voting shares87.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
1.79M
shares
% of voting shares13.0%
Investment Discretion (by position count)
Sole110
Shared0
Other111
Dominant voting typeSole · 87.0% of voting shares
Institutional Holdings221
Rows:
Heartland Financial USA Inc
DFNDShares1.66M
TypeSH
Market value$77.2K
10.10%
Sole
86.15K
Shared
0.00
None
1.57M
Vanguard ETF/USA
DFNDShares378.95K
TypeSH
Market value$53.2K
6.96%
Sole
378.95K
Shared
0.00
None
0.00
Van Eck Associates Corp
DFNDShares880.62K
TypeSH
Market value$40.2K
5.26%
Sole
880.62K
Shared
0.00
None
0.00
Vanguard ETF/USA
DFNDShares168.50K
TypeSH
Market value$35.9K
4.70%
Sole
168.50K
Shared
0.00
None
0.00
ISHARES
DFNDShares616.91K
TypeSH
Market value$28.3K
3.70%
Sole
594.91K
Shared
0.00
None
22K
BlackRock Fund Advisors
DFNDShares319.15K
TypeSH
Market value$26.7K
3.50%
Sole
310.01K
Shared
0.00
None
9.15K
Apple Inc
DFNDShares137.84K
TypeSH
Market value$17.9K
2.34%
Sole
132.71K
Shared
0.00
None
5.13K
INDEXIQ ETF TRUST/USA
DFNDShares565.04K
TypeSH
Market value$16.1K
2.10%
Sole
562.38K
Shared
0.00
None
2.66K
JP Morgan ETFs/USA
DFNDShares290.46K
TypeSH
Market value$15.8K
2.07%
Sole
284.23K
Shared
0.00
None
6.23K
MICROSOFT CORP
DFNDShares62.57K
TypeSH
Market value$15.0K
1.96%
Sole
59.71K
Shared
0.00
None
2.86K
Nuveen Asset Management LLC
DFNDShares284.25K
TypeSH
Market value$13.4K
1.75%
Sole
284.25K
Shared
0.00
None
0.00
ISHARES TRUST
DFNDShares156.42K
TypeSH
Market value$12.7K
1.66%
Sole
139.89K
Shared
0.00
None
16.53K
VANGUARD ETF/USA
DFNDShares149.96K
TypeSH
Market value$11.3K
1.48%
Sole
149.96K
Shared
0.00
None
0.00
Franklin LibertyShares ETFs/US
DFNDShares237.14K
TypeSH
Market value$11.0K
1.43%
Sole
234.93K
Shared
0.00
None
2.21K
Johnson & Johnson
DFNDShares61.44K
TypeSH
Market value$10.9K
1.42%
Sole
58.37K
Shared
0.00
None
3.07K
Raytheon Technologies Corp
DFNDShares106.99K
TypeSH
Market value$10.8K
1.41%
Sole
101.55K
Shared
0.00
None
5.44K
Vanguard ETF/USA
DFNDShares269.38K
TypeSH
Market value$10.5K
1.37%
Sole
266.45K
Shared
0.00
None
2.93K
Walmart Inc
DFNDShares66.29K
TypeSH
Market value$9.4K
1.23%
Sole
62.13K
Shared
0.00
None
4.16K
Amgen Inc
DFNDShares35.43K
TypeSH
Market value$9.3K
1.22%
Sole
33.22K
Shared
0.00
None
2.20K
ALPHABET INC
DFNDShares103.78K
TypeSH
Market value$9.2K
1.20%
Sole
97.55K
Shared
0.00
None
6.23K
VANGUARD ETF/USA
DFNDShares56.49K
TypeSH
Market value$9.0K
1.17%
Sole
55.49K
Shared
0.00
None
1K
Chevron Corp
DFNDShares49.53K
TypeSH
Market value$8.9K
1.16%
Sole
47.40K
Shared
0.00
None
2.13K
JPMorgan Chase & Co
DFNDShares60.30K
TypeSH
Market value$8.1K
1.06%
Sole
56.62K
Shared
0.00
None
3.69K
Broadcom Inc
DFNDShares14.35K
TypeSH
Market value$8.0K
1.05%
Sole
13.42K
Shared
0.00
None
924.00
Vanguard ETF/USA
DFNDShares40K
TypeSH
Market value$8.0K
1.05%
Sole
39.29K
Shared
0.00
None
710.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
Heartland Financial USA IncDFND | COM | 1.66M | SH | $77.2K 10.10% | 86.15K | 0.00 | 1.57M |
Vanguard ETF/USADFND | VALUE ETF | 378.95K | SH | $53.2K 6.96% | 378.95K | 0.00 | 0.00 |
Van Eck Associates CorpDFND | INTRMDT MUNI ETF | 880.62K | SH | $40.2K 5.26% | 880.62K | 0.00 | 0.00 |
Vanguard ETF/USADFND | GROWTH ETF | 168.50K | SH | $35.9K 4.70% | 168.50K | 0.00 | 0.00 |
ISHARESDFND | EAFE VALUE ETF | 616.91K | SH | $28.3K 3.70% | 594.91K | 0.00 | 22K |
BlackRock Fund AdvisorsDFND | EAFE GRWTH ETF | 319.15K | SH | $26.7K 3.50% | 310.01K | 0.00 | 9.15K |
Apple IncDFND | COM | 137.84K | SH | $17.9K 2.34% | 132.71K | 0.00 | 5.13K |
INDEXIQ ETF TRUST/USADFND | HEDGE MLTI ETF | 565.04K | SH | $16.1K 2.10% | 562.38K | 0.00 | 2.66K |
JP Morgan ETFs/USADFND | EQUITY PREMIUM | 290.46K | SH | $15.8K 2.07% | 284.23K | 0.00 | 6.23K |
MICROSOFT CORPDFND | COM | 62.57K | SH | $15.0K 1.96% | 59.71K | 0.00 | 2.86K |
Nuveen Asset Management LLCDFND | NUVEEN BLMBRG SH | 284.25K | SH | $13.4K 1.75% | 284.25K | 0.00 | 0.00 |
ISHARES TRUSTDFND | 1 3 YR TREAS BD | 156.42K | SH | $12.7K 1.66% | 139.89K | 0.00 | 16.53K |
VANGUARD ETF/USADFND | SHRT TRM CORP BD | 149.96K | SH | $11.3K 1.48% | 149.96K | 0.00 | 0.00 |
Franklin LibertyShares ETFs/USDFND | US LOW VOLATILIT | 237.14K | SH | $11.0K 1.43% | 234.93K | 0.00 | 2.21K |
Johnson & JohnsonDFND | COM | 61.44K | SH | $10.9K 1.42% | 58.37K | 0.00 | 3.07K |
Raytheon Technologies CorpDFND | COM | 106.99K | SH | $10.8K 1.41% | 101.55K | 0.00 | 5.44K |
Vanguard ETF/USADFND | FTSE EMR MKT ETF | 269.38K | SH | $10.5K 1.37% | 266.45K | 0.00 | 2.93K |
Walmart IncDFND | COM | 66.29K | SH | $9.4K 1.23% | 62.13K | 0.00 | 4.16K |
Amgen IncDFND | COM | 35.43K | SH | $9.3K 1.22% | 33.22K | 0.00 | 2.20K |
ALPHABET INCDFND | CAP STK CL A | 103.78K | SH | $9.2K 1.20% | 97.55K | 0.00 | 6.23K |
VANGUARD ETF/USADFND | SM CP VAL ETF | 56.49K | SH | $9.0K 1.17% | 55.49K | 0.00 | 1K |
Chevron CorpDFND | COM | 49.53K | SH | $8.9K 1.16% | 47.40K | 0.00 | 2.13K |
JPMorgan Chase & CoDFND | COM | 60.30K | SH | $8.1K 1.06% | 56.62K | 0.00 | 3.69K |
Broadcom IncDFND | COM | 14.35K | SH | $8.0K 1.05% | 13.42K | 0.00 | 924.00 |
Vanguard ETF/USADFND | SML CP GRW ETF | 40K | SH | $8.0K 1.05% | 39.29K | 0.00 | 710.00 |
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