Filed: 11/3/2022ACC: 0001606587-22-002126
📋 What this filing means
SHEAFF BROCK INVESTMENT ADVISORS, LLC filed this quarterly 13F‑HR report disclosing 496 equity positions with a total reported market value of $930.9K. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
496
Positions
$930.9K
Total AUM (reported)
15.19M
Total Shares
Allocation by class
COM$663.6K71.3%
TR UNIT$113.1K12.2%
CL A$19.1K2.1%
COM NEW$17.4K1.9%
DIVIDEND PERFMRS$11.6K1.2%
CL B$9.6K1.0%
PREFERRED PLUS$8.2K0.9%
Portfolio Concentration
Top 3$246.6K26.5%
4–10$89.3K9.6%
11–25$123.1K13.2%
Rest$471.9K50.7%
Top 3 weight
26.5%
Top 10 weight
36.1%
Voting Authority Distribution
Total shares with voting rights: 15.19M
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
15.19M
shares
% of voting shares100.0%
Investment Discretion (by position count)
Sole496
Shared0
Other0
Dominant voting typeNone · 100.0% of voting shares
Institutional Holdings496
Rows:
APPLE INC
SOLEShares883.99K
TypeSH
Market value$122.2K
13.12%
Sole
0.00
Shared
0.00
None
883.99K
SPDR S&P 500 ETF TR
SOLEShares299.70K
TypePRN
Market value$107.0K
11.50%
Sole
0.00
Shared
0.00
None
299.70K
AMAZON COM INC
SOLEShares153.84K
TypeSH
Market value$17.4K
1.87%
Sole
0.00
Shared
0.00
None
153.84K
MICROSOFT CORP
SOLEShares70.04K
TypeSH
Market value$16.3K
1.75%
Sole
0.00
Shared
0.00
None
70.04K
LILLY ELI & CO
SOLEShares45.53K
TypeSH
Market value$14.7K
1.58%
Sole
0.00
Shared
0.00
None
45.53K
JOHNSON & JOHNSON
SOLEShares76.38K
TypeSH
Market value$12.5K
1.34%
Sole
0.00
Shared
0.00
None
76.38K
CISCO SYS INC
SOLEShares290.83K
TypeSH
Market value$11.6K
1.25%
Sole
0.00
Shared
0.00
None
290.83K
LISTED FD TR
SOLEShares1.01M
TypeSH
Market value$11.6K
1.24%
Sole
0.00
Shared
0.00
None
1.01M
HOME DEPOT INC
SOLEShares41.11K
TypeSH
Market value$11.3K
1.22%
Sole
0.00
Shared
0.00
None
41.11K
ABBVIE INC
SOLEShares83.75K
TypeSH
Market value$11.2K
1.21%
Sole
0.00
Shared
0.00
None
83.75K
NVIDIA CORPORATION
SOLEShares79.81K
TypeSH
Market value$9.7K
1.04%
Sole
0.00
Shared
0.00
None
79.81K
MERCK & CO INC
SOLEShares112.49K
TypeSH
Market value$9.7K
1.04%
Sole
0.00
Shared
0.00
None
112.49K
APA CORPORATION
SOLEShares256.24K
TypeSH
Market value$8.8K
0.94%
Sole
0.00
Shared
0.00
None
256.24K
JPMORGAN CHASE & CO
SOLEShares81.19K
TypeSH
Market value$8.5K
0.91%
Sole
0.00
Shared
0.00
None
81.19K
UNITED PARCEL SERVICE INC
SOLEShares50.65K
TypeSH
Market value$8.2K
0.88%
Sole
0.00
Shared
0.00
None
50.65K
LISTED FD TR
SOLEShares888.85K
TypeSH
Market value$8.2K
0.88%
Sole
0.00
Shared
0.00
None
888.85K
QUALCOMM INC
SOLEShares70.99K
TypeSH
Market value$8.0K
0.86%
Sole
0.00
Shared
0.00
None
70.99K
UNITEDHEALTH GROUP INC
SOLEShares15.82K
TypeSH
Market value$8.0K
0.86%
Sole
0.00
Shared
0.00
None
15.82K
LOCKHEED MARTIN CORP
SOLEShares20.43K
TypeSH
Market value$7.9K
0.85%
Sole
0.00
Shared
0.00
None
20.43K
ORACLE CORP
SOLEShares128.83K
TypeSH
Market value$7.9K
0.85%
Sole
0.00
Shared
0.00
None
128.83K
CVS HEALTH CORP
SOLEShares82.27K
TypeSH
Market value$7.8K
0.84%
Sole
0.00
Shared
0.00
None
82.27K
TEXAS INSTRS INC
SOLEShares49.81K
TypeSH
Market value$7.7K
0.83%
Sole
0.00
Shared
0.00
None
49.81K
IRON MTN INC DEL
SOLEShares175.31K
TypeSH
Market value$7.7K
0.83%
Sole
0.00
Shared
0.00
None
175.31K
INVESCO QQQ TR
SOLEShares28.41K
TypeSH
Market value$7.6K
0.82%
Sole
0.00
Shared
0.00
None
28.41K
ALPHABET INC
SOLEShares78.02K
TypeSH
Market value$7.5K
0.81%
Sole
0.00
Shared
0.00
None
78.02K
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
APPLE INCSOLE | COM | 883.99K | SH | $122.2K 13.12% | 0.00 | 0.00 | 883.99K |
SPDR S&P 500 ETF TRSOLE | TR UNIT | 299.70K | PRN | $107.0K 11.50% | 0.00 | 0.00 | 299.70K |
AMAZON COM INCSOLE | COM | 153.84K | SH | $17.4K 1.87% | 0.00 | 0.00 | 153.84K |
MICROSOFT CORPSOLE | COM | 70.04K | SH | $16.3K 1.75% | 0.00 | 0.00 | 70.04K |
LILLY ELI & COSOLE | COM | 45.53K | SH | $14.7K 1.58% | 0.00 | 0.00 | 45.53K |
JOHNSON & JOHNSONSOLE | COM | 76.38K | SH | $12.5K 1.34% | 0.00 | 0.00 | 76.38K |
CISCO SYS INCSOLE | COM | 290.83K | SH | $11.6K 1.25% | 0.00 | 0.00 | 290.83K |
LISTED FD TRSOLE | DIVIDEND PERFMRS | 1.01M | SH | $11.6K 1.24% | 0.00 | 0.00 | 1.01M |
HOME DEPOT INCSOLE | COM | 41.11K | SH | $11.3K 1.22% | 0.00 | 0.00 | 41.11K |
ABBVIE INCSOLE | COM | 83.75K | SH | $11.2K 1.21% | 0.00 | 0.00 | 83.75K |
NVIDIA CORPORATIONSOLE | COM | 79.81K | SH | $9.7K 1.04% | 0.00 | 0.00 | 79.81K |
MERCK & CO INCSOLE | COM | 112.49K | SH | $9.7K 1.04% | 0.00 | 0.00 | 112.49K |
APA CORPORATIONSOLE | COM | 256.24K | SH | $8.8K 0.94% | 0.00 | 0.00 | 256.24K |
JPMORGAN CHASE & COSOLE | COM | 81.19K | SH | $8.5K 0.91% | 0.00 | 0.00 | 81.19K |
UNITED PARCEL SERVICE INCSOLE | CL B | 50.65K | SH | $8.2K 0.88% | 0.00 | 0.00 | 50.65K |
LISTED FD TRSOLE | PREFERRED PLUS | 888.85K | SH | $8.2K 0.88% | 0.00 | 0.00 | 888.85K |
QUALCOMM INCSOLE | COM | 70.99K | SH | $8.0K 0.86% | 0.00 | 0.00 | 70.99K |
UNITEDHEALTH GROUP INCSOLE | COM | 15.82K | SH | $8.0K 0.86% | 0.00 | 0.00 | 15.82K |
LOCKHEED MARTIN CORPSOLE | COM | 20.43K | SH | $7.9K 0.85% | 0.00 | 0.00 | 20.43K |
ORACLE CORPSOLE | COM | 128.83K | SH | $7.9K 0.85% | 0.00 | 0.00 | 128.83K |
CVS HEALTH CORPSOLE | COM | 82.27K | SH | $7.8K 0.84% | 0.00 | 0.00 | 82.27K |
TEXAS INSTRS INCSOLE | COM | 49.81K | SH | $7.7K 0.83% | 0.00 | 0.00 | 49.81K |
IRON MTN INC DELSOLE | COM | 175.31K | SH | $7.7K 0.83% | 0.00 | 0.00 | 175.31K |
INVESCO QQQ TRSOLE | UNIT SER 1 | 28.41K | SH | $7.6K 0.82% | 0.00 | 0.00 | 28.41K |
ALPHABET INCSOLE | CAP STK CL C | 78.02K | SH | $7.5K 0.81% | 0.00 | 0.00 | 78.02K |
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