Filed: 2/15/2023ACC: 0001398344-23-003499
📋 What this filing means
FOUNDERS FINANCIAL ALLIANCE, LLC filed this quarterly 13F‑HR report disclosing 478 equity positions with a total reported market value of $217.80M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
478
Positions
$217.80M
Total AUM (reported)
3.37M
Total Shares
Allocation by class
COM$127.65M58.6%
COM NEW$7.59M3.5%
TR UNIT$3.54M1.6%
HIGH YLD RESRCH$3.42M1.6%
INSTL PFD SECS$3.11M1.4%
CL A$2.94M1.3%
ENERGY$2.73M1.3%
Portfolio Concentration
Top 3$30.88M14.2%
4–10$25.17M11.6%
11–25$36.40M16.7%
Rest$125.36M57.6%
Top 3 weight
14.2%
Top 10 weight
25.7%
Voting Authority Distribution
Total shares with voting rights: 3.37M
Sole
Full voting authority
0.00
shares
% of voting shares0.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
3.37M
shares
% of voting shares100.0%
Investment Discretion (by position count)
Sole478
Shared0
Other0
Dominant voting typeNone · 100.0% of voting shares
Institutional Holdings478
Rows:
APPLE INC
SOLEShares129.37K
TypeSH
Market value$16.81M
7.72%
Sole
0.00
Shared
0.00
None
129.37K
FIRST BANCORP N C
SOLEShares174.23K
TypeSH
Market value$7.46M
3.43%
Sole
0.00
Shared
0.00
None
174.23K
MICROSOFT CORP
SOLEShares27.54K
TypeSH
Market value$6.60M
3.03%
Sole
0.00
Shared
0.00
None
27.54K
DUKE ENERGY CORP NEW
SOLEShares51.64K
TypeSH
Market value$5.32M
2.44%
Sole
0.00
Shared
0.00
None
51.64K
SPDR S&P 500 ETF TR
SOLEShares9.26K
TypeSH
Market value$3.54M
1.63%
Sole
0.00
Shared
0.00
None
9.26K
JPMORGAN CHASE & CO
SOLEShares25.61K
TypeSH
Market value$3.43M
1.58%
Sole
0.00
Shared
0.00
None
25.61K
J P MORGAN EXCHANGE TRADED F
SOLEShares77.94K
TypeSH
Market value$3.42M
1.57%
Sole
0.00
Shared
0.00
None
77.94K
JOHNSON & JOHNSON
SOLEShares18.19K
TypeSH
Market value$3.21M
1.48%
Sole
0.00
Shared
0.00
None
18.19K
ABBVIE INC
SOLEShares19.36K
TypeSH
Market value$3.13M
1.44%
Sole
0.00
Shared
0.00
None
19.36K
FIRST TR EXCH TRADED FD III
SOLEShares174.74K
TypeSH
Market value$3.11M
1.43%
Sole
0.00
Shared
0.00
None
174.74K
CHEVRON CORP NEW
SOLEShares17.17K
TypeSH
Market value$3.08M
1.41%
Sole
0.00
Shared
0.00
None
17.17K
AMAZON COM INC
SOLEShares32.96K
TypeSH
Market value$2.77M
1.27%
Sole
0.00
Shared
0.00
None
32.96K
SELECT SECTOR SPDR TR
SOLEShares31.21K
TypeSH
Market value$2.73M
1.25%
Sole
0.00
Shared
0.00
None
31.21K
AMPLIFY ETF TR
SOLEShares75.96K
TypeSH
Market value$2.72M
1.25%
Sole
0.00
Shared
0.00
None
75.96K
LOWES COS INC
SOLEShares12.52K
TypeSH
Market value$2.50M
1.15%
Sole
0.00
Shared
0.00
None
12.52K
NVIDIA CORPORATION
SOLEShares17.03K
TypeSH
Market value$2.49M
1.14%
Sole
0.00
Shared
0.00
None
17.03K
ISHARES TR
SOLEShares11.60K
TypeSH
Market value$2.49M
1.14%
Sole
0.00
Shared
0.00
None
11.60K
EXXON MOBIL CORP
SOLEShares22.34K
TypeSH
Market value$2.46M
1.13%
Sole
0.00
Shared
0.00
None
22.34K
SPDR DOW JONES INDL AVERAGE
SOLEShares6.81K
TypeSH
Market value$2.26M
1.04%
Sole
0.00
Shared
0.00
None
6.81K
PHILIP MORRIS INTL INC
SOLEShares22.20K
TypeSH
Market value$2.25M
1.03%
Sole
0.00
Shared
0.00
None
22.20K
ISHARES TR
SOLEShares14.52K
TypeSH
Market value$2.20M
1.01%
Sole
0.00
Shared
0.00
None
14.52K
ALTRIA GROUP INC
SOLEShares47.22K
TypeSH
Market value$2.16M
0.99%
Sole
0.00
Shared
0.00
None
47.22K
SPDR SER TR
SOLEShares25.89K
TypeSH
Market value$2.13M
0.98%
Sole
0.00
Shared
0.00
None
25.89K
BROADCOM INC
SOLEShares3.75K
TypeSH
Market value$2.10M
0.96%
Sole
0.00
Shared
0.00
None
3.75K
GUGGENHEIM STRATEGIC OPPORTU
SOLEShares136.07K
TypeSH
Market value$2.07M
0.95%
Sole
0.00
Shared
0.00
None
136.07K
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
APPLE INCSOLE | COM | 129.37K | SH | $16.81M 7.72% | 0.00 | 0.00 | 129.37K |
FIRST BANCORP N CSOLE | COM | 174.23K | SH | $7.46M 3.43% | 0.00 | 0.00 | 174.23K |
MICROSOFT CORPSOLE | COM | 27.54K | SH | $6.60M 3.03% | 0.00 | 0.00 | 27.54K |
DUKE ENERGY CORP NEWSOLE | COM NEW | 51.64K | SH | $5.32M 2.44% | 0.00 | 0.00 | 51.64K |
SPDR S&P 500 ETF TRSOLE | TR UNIT | 9.26K | SH | $3.54M 1.63% | 0.00 | 0.00 | 9.26K |
JPMORGAN CHASE & COSOLE | COM | 25.61K | SH | $3.43M 1.58% | 0.00 | 0.00 | 25.61K |
J P MORGAN EXCHANGE TRADED FSOLE | HIGH YLD RESRCH | 77.94K | SH | $3.42M 1.57% | 0.00 | 0.00 | 77.94K |
JOHNSON & JOHNSONSOLE | COM | 18.19K | SH | $3.21M 1.48% | 0.00 | 0.00 | 18.19K |
ABBVIE INCSOLE | COM | 19.36K | SH | $3.13M 1.44% | 0.00 | 0.00 | 19.36K |
FIRST TR EXCH TRADED FD IIISOLE | INSTL PFD SECS | 174.74K | SH | $3.11M 1.43% | 0.00 | 0.00 | 174.74K |
CHEVRON CORP NEWSOLE | COM | 17.17K | SH | $3.08M 1.41% | 0.00 | 0.00 | 17.17K |
AMAZON COM INCSOLE | COM | 32.96K | SH | $2.77M 1.27% | 0.00 | 0.00 | 32.96K |
SELECT SECTOR SPDR TRSOLE | ENERGY | 31.21K | SH | $2.73M 1.25% | 0.00 | 0.00 | 31.21K |
AMPLIFY ETF TRSOLE | CWP ENHANCED DIV | 75.96K | SH | $2.72M 1.25% | 0.00 | 0.00 | 75.96K |
LOWES COS INCSOLE | COM | 12.52K | SH | $2.50M 1.15% | 0.00 | 0.00 | 12.52K |
NVIDIA CORPORATIONSOLE | COM | 17.03K | SH | $2.49M 1.14% | 0.00 | 0.00 | 17.03K |
ISHARES TRSOLE | RUS 1000 GRW ETF | 11.60K | SH | $2.49M 1.14% | 0.00 | 0.00 | 11.60K |
EXXON MOBIL CORPSOLE | COM | 22.34K | SH | $2.46M 1.13% | 0.00 | 0.00 | 22.34K |
SPDR DOW JONES INDL AVERAGESOLE | UT SER 1 | 6.81K | SH | $2.26M 1.04% | 0.00 | 0.00 | 6.81K |
PHILIP MORRIS INTL INCSOLE | COM | 22.20K | SH | $2.25M 1.03% | 0.00 | 0.00 | 22.20K |
ISHARES TRSOLE | RUS 1000 VAL ETF | 14.52K | SH | $2.20M 1.01% | 0.00 | 0.00 | 14.52K |
ALTRIA GROUP INCSOLE | COM | 47.22K | SH | $2.16M 0.99% | 0.00 | 0.00 | 47.22K |
SPDR SER TRSOLE | S&P 600 SML CAP | 25.89K | SH | $2.13M 0.98% | 0.00 | 0.00 | 25.89K |
BROADCOM INCSOLE | COM | 3.75K | SH | $2.10M 0.96% | 0.00 | 0.00 | 3.75K |
GUGGENHEIM STRATEGIC OPPORTUSOLE | COM SBI | 136.07K | SH | $2.07M 0.95% | 0.00 | 0.00 | 136.07K |
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