HOWARD BAILEY SECURITIES, LLC

Filed: 4/23/2026ACC: 0002043986-26-000005

📋 What this filing means

HOWARD BAILEY SECURITIES, LLC filed this quarterly 13F‑HR report disclosing 122 equity positions with a total reported market value of $243.20M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

122

Positions

$243.20M

Total AUM (reported)

5.03M

Total Shares

Allocation by class

STERLING CAP ENH$29.51M12.1%

RUS TP200 GR ETF$27.84M11.4%

RUS TP200 VL ETF$17.67M7.3%

COM$17.35M7.1%

ALLIANZIM US EQT$13.64M5.6%

AVANTIS ALL INT$11.35M4.7%

EAFE VALUE ETF$10.11M4.2%

Portfolio Concentration

Top 3$75.01M30.8%

4–10$60.48M24.9%

11–25$48.03M19.7%

Rest$59.68M24.5%

Top 3 weight

30.8%

Top 10 weight

55.7%

Voting Authority Distribution

Total shares with voting rights: 5.03M

Sole

Full voting authority

0.00

% of voting shares0.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

5.03M

% of voting shares100.0%

Investment Discretion (by position count)

Sole122

Shared0

Other0

Dominant voting typeNone · 100.0% of voting shares

Institutional Holdings122

Rows:

CAPITOL SER TR

SOLE

STERLING CAP ENH

Shares1.18M

TypeSH

Market value$29.51M

12.13%

Sole

0.00

Shared

0.00

None

1.18M

ISHARES TR

SOLE

RUS TP200 GR ETF

Shares111.86K

TypeSH

Market value$27.84M

11.45%

Sole

0.00

Shared

0.00

None

111.86K

ISHARES TR

SOLE

RUS TP200 VL ETF

Shares190.68K

TypeSH

Market value$17.67M

7.27%

Sole

0.00

Shared

0.00

None

190.68K

AMERICAN CENTY ETF TR

SOLE

AVANTIS ALL INT

Shares149.01K

TypeSH

Market value$11.35M

4.67%

Sole

0.00

Shared

0.00

None

149.01K

ISHARES TR

SOLE

EAFE VALUE ETF

Shares136K

TypeSH

Market value$10.11M

4.16%

Sole

0.00

Shared

0.00

None

136K

ISHARES TR

SOLE

RUS MDCP VAL ETF

Shares64.50K

TypeSH

Market value$9.40M

3.87%

Sole

0.00

Shared

0.00

None

64.50K

ISHARES TR

SOLE

EAFE GRWTH ETF

Shares80.01K

TypeSH

Market value$8.91M

3.66%

Sole

0.00

Shared

0.00

None

80.01K

SPDR SERIES TRUST

SOLE

STATE STREET SPD

Shares106.67K

TypeSH

Market value$8.16M

3.36%

Sole

0.00

Shared

0.00

None

106.67K

ISHARES INC

SOLE

CORE MSCI EMKT

Shares97.69K

TypeSH

Market value$6.81M

2.80%

Sole

0.00

Shared

0.00

None

97.69K

AIM ETF PRODUCTS TRUST

SOLE

ALLIANZIM US EQT

Shares169.54K

TypeSH

Market value$5.73M

2.35%

Sole

0.00

Shared

0.00

None

169.54K

VANGUARD SCOTTSDALE FDS

SOLE

VNG RUS2000IDX

Shares48.68K

TypeSH

Market value$4.88M

2.01%

Sole

0.00

Shared

0.00

None

48.68K

AIM ETF PRODUCTS TRUST

SOLE

ALLIANZIM US EQU

Shares120.25K

TypeSH

Market value$4.63M

1.90%

Sole

0.00

Shared

0.00

None

120.25K

SIMPLIFY EXCHANGE TRADED FUN

SOLE

MANAGED FUTURES

Shares139.57K

TypeSH

Market value$4.22M

1.73%

Sole

0.00

Shared

0.00

None

139.57K

SIMPLIFY EXCHANGE TRADED FUN

SOLE

TREASURY OPT INC

Shares173.20K

TypeSH

Market value$4.07M

1.67%

Sole

0.00

Shared

0.00

None

173.20K

AIM ETF PRODUCTS TRUST

SOLE

ALLIANZIM US EQT

Shares114.52K

TypeSH

Market value$3.62M

1.49%

Sole

0.00

Shared

0.00

None

114.52K

SIMPLIFY EXCHANGE TRADED FUN

SOLE

SHORT TERM TREA

Shares148.15K

TypeSH

Market value$3.13M

1.29%

Sole

0.00

Shared

0.00

None

148.15K

SIMPLIFY EXCHANGE TRADED FUN

SOLE

CURRENCY STRATEG

Shares103.53K

TypeSH

Market value$3.03M

1.24%

Sole

0.00

Shared

0.00

None

103.53K

AIM ETF PRODUCTS TRUST

SOLE

ALLIANZIM US EQT

Shares77.44K

TypeSH

Market value$3.01M

1.24%

Sole

0.00

Shared

0.00

None

77.44K

SIMPLIFY EXCHANGE TRADED FUN

SOLE

BARRIER INCOME

Shares116.91K

TypeSH

Market value$2.87M

1.18%

Sole

0.00

Shared

0.00

None

116.91K

SIMPLIFY EXCHANGE TRADED FUN

SOLE

AGGREGATE BOND E

Shares139.54K

TypeSH

Market value$2.84M

1.17%

Sole

0.00

Shared

0.00

None

139.54K

ISHARES TR

SOLE

RUS MD CP GR ETF

Shares19.92K

TypeSH

Market value$2.55M

1.05%

Sole

0.00

Shared

0.00

None

19.92K

STERLING CAP FDS

SOLE

NATIONAL MUNI BD

Shares101.28K

TypeSH

Market value$2.52M

1.04%

Sole

0.00

Shared

0.00

None

101.28K

AIM ETF PRODUCTS TRUST

SOLE

ALLIANZIM US EQU

Shares87.72K

TypeSH

Market value$2.33M

0.96%

Sole

0.00

Shared

0.00

None

87.72K

MICROSOFT CORP

SOLE

COM

Shares6.26K

TypeSH

Market value$2.32M

0.95%

Sole

0.00

Shared

0.00

None

6.26K

INNOVATOR ETFS TRUST

SOLE

EQUITY DEFINED P

Shares76.10K

TypeSH

Market value$2.03M

0.84%

Sole

0.00

Shared

0.00

None

76.10K

Issuer	Class	Shares	Type	Value / Portfolio %	None
CAPITOL SER TRSOLE	STERLING CAP ENH	1.18M	SH	$29.51M 12.13%	1.18M
ISHARES TRSOLE	RUS TP200 GR ETF	111.86K	SH	$27.84M 11.45%	111.86K
ISHARES TRSOLE	RUS TP200 VL ETF	190.68K	SH	$17.67M 7.27%	190.68K
AMERICAN CENTY ETF TRSOLE	AVANTIS ALL INT	149.01K	SH	$11.35M 4.67%	149.01K
ISHARES TRSOLE	EAFE VALUE ETF	136K	SH	$10.11M 4.16%	136K
ISHARES TRSOLE	RUS MDCP VAL ETF	64.50K	SH	$9.40M 3.87%	64.50K
ISHARES TRSOLE	EAFE GRWTH ETF	80.01K	SH	$8.91M 3.66%	80.01K
SPDR SERIES TRUSTSOLE	STATE STREET SPD	106.67K	SH	$8.16M 3.36%	106.67K
ISHARES INCSOLE	CORE MSCI EMKT	97.69K	SH	$6.81M 2.80%	97.69K
AIM ETF PRODUCTS TRUSTSOLE	ALLIANZIM US EQT	169.54K	SH	$5.73M 2.35%	169.54K
VANGUARD SCOTTSDALE FDSSOLE	VNG RUS2000IDX	48.68K	SH	$4.88M 2.01%	48.68K
AIM ETF PRODUCTS TRUSTSOLE	ALLIANZIM US EQU	120.25K	SH	$4.63M 1.90%	120.25K
SIMPLIFY EXCHANGE TRADED FUNSOLE	MANAGED FUTURES	139.57K	SH	$4.22M 1.73%	139.57K
SIMPLIFY EXCHANGE TRADED FUNSOLE	TREASURY OPT INC	173.20K	SH	$4.07M 1.67%	173.20K
AIM ETF PRODUCTS TRUSTSOLE	ALLIANZIM US EQT	114.52K	SH	$3.62M 1.49%	114.52K
SIMPLIFY EXCHANGE TRADED FUNSOLE	SHORT TERM TREA	148.15K	SH	$3.13M 1.29%	148.15K
SIMPLIFY EXCHANGE TRADED FUNSOLE	CURRENCY STRATEG	103.53K	SH	$3.03M 1.24%	103.53K
AIM ETF PRODUCTS TRUSTSOLE	ALLIANZIM US EQT	77.44K	SH	$3.01M 1.24%	77.44K
SIMPLIFY EXCHANGE TRADED FUNSOLE	BARRIER INCOME	116.91K	SH	$2.87M 1.18%	116.91K
SIMPLIFY EXCHANGE TRADED FUNSOLE	AGGREGATE BOND E	139.54K	SH	$2.84M 1.17%	139.54K
ISHARES TRSOLE	RUS MD CP GR ETF	19.92K	SH	$2.55M 1.05%	19.92K
STERLING CAP FDSSOLE	NATIONAL MUNI BD	101.28K	SH	$2.52M 1.04%	101.28K
AIM ETF PRODUCTS TRUSTSOLE	ALLIANZIM US EQU	87.72K	SH	$2.33M 0.96%	87.72K
MICROSOFT CORPSOLE	COM	6.26K	SH	$2.32M 0.95%	6.26K
INNOVATOR ETFS TRUSTSOLE	EQUITY DEFINED P	76.10K	SH	$2.03M 0.84%	76.10K

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