THEORY FINANCIAL LLC

Filed: 2/8/2023ACC: 0001085146-23-000772

📋 What this filing means

THEORY FINANCIAL LLC filed this quarterly 13F‑HR report disclosing 56 equity positions with a total reported market value of $151.00M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

Positions

$151.00M

Total AUM (reported)

2.88M

Total Shares

Allocation by class

US AGGREGATE B$22.65M15.0%

PORTFOLIO SH TSR$8.64M5.7%

US TIPS ETF$6.44M4.3%

FLTG RATE NT ETF$6.06M4.0%

COM$5.42M3.6%

ISHS 5-10YR INVT$4.24M2.8%

VALUE ETF$3.77M2.5%

Portfolio Concentration

Top 3$37.72M25.0%

4–10$28.28M18.7%

11–25$51.30M34.0%

Rest$33.70M22.3%

Top 3 weight

25.0%

Top 10 weight

43.7%

Voting Authority Distribution

Total shares with voting rights: 2.88M

Sole

Full voting authority

2.88M

% of voting shares100.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

0.00

% of voting shares0.0%

Investment Discretion (by position count)

Sole56

Shared0

Other0

Dominant voting typeSole · 100.0% of voting shares

Institutional Holdings56

Rows:

SCHWAB STRATEGIC TR

SOLE

US AGGREGATE B

Shares496.08K

TypeSH

Market value$22.65M

15.00%

Sole

496.08K

Shared

0.00

None

0.00

SPDR SER TR

SOLE

PORTFOLIO SH TSR

Shares299K

TypeSH

Market value$8.64M

5.72%

Sole

299K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

US TIPS ETF

Shares124.33K

TypeSH

Market value$6.44M

4.26%

Sole

124.33K

Shared

0.00

None

0.00

ISHARES TR

SOLE

FLTG RATE NT ETF

Shares120.47K

TypeSH

Market value$6.06M

4.02%

Sole

120.47K

Shared

0.00

None

0.00

ISHARES TR

SOLE

ISHS 5-10YR INVT

Shares85.61K

TypeSH

Market value$4.24M

2.81%

Sole

85.61K

Shared

0.00

None

0.00

VANGUARD INDEX FDS

SOLE

VALUE ETF

Shares26.85K

TypeSH

Market value$3.77M

2.50%

Sole

26.85K

Shared

0.00

None

0.00

FIRST TR EXCHANGE-TRADED FD

SOLE

RBA INDL ETF

Shares81.84K

TypeSH

Market value$3.61M

2.39%

Sole

81.84K

Shared

0.00

None

0.00

VANGUARD INDEX FDS

SOLE

SM CP VAL ETF

Shares22.36K

TypeSH

Market value$3.55M

2.35%

Sole

22.36K

Shared

0.00

None

0.00

SELECT SECTOR SPDR TR

SOLE

ENERGY

Shares40.42K

TypeSH

Market value$3.54M

2.34%

Sole

40.42K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

US DIVIDEND EQ

Shares46.50K

TypeSH

Market value$3.51M

2.33%

Sole

46.50K

Shared

0.00

None

0.00

LISTED FD TR

SOLE

HORIZON KINETICS

Shares111.56K

TypeSH

Market value$3.51M

2.33%

Sole

111.56K

Shared

0.00

None

0.00

INVESCO EXCHANGE TRADED FD T

SOLE

WATER RES ETF

Shares67.31K

TypeSH

Market value$3.47M

2.30%

Sole

67.31K

Shared

0.00

None

0.00

SPDR SER TR

SOLE

S&P SEMICNDCTR

Shares20.66K

TypeSH

Market value$3.45M

2.29%

Sole

20.66K

Shared

0.00

None

0.00

ISHARES TR

SOLE

ISHARES SEMICDTR

Shares9.91K

TypeSH

Market value$3.45M

2.28%

Sole

9.91K

Shared

0.00

None

0.00

ISHARES TR

SOLE

CORE DIV GRWTH

Shares68.94K

TypeSH

Market value$3.45M

2.28%

Sole

68.94K

Shared

0.00

None

0.00

VANGUARD SPECIALIZED FUNDS

SOLE

DIV APP ETF

Shares22.62K

TypeSH

Market value$3.44M

2.28%

Sole

22.62K

Shared

0.00

None

0.00

ISHARES GOLD TR

SOLE

SHARES REPRESENT

Shares188.24K

TypeSH

Market value$3.43M

2.27%

Sole

188.24K

Shared

0.00

None

0.00

ISHARES TR

SOLE

CORE HIGH DV ETF

Shares32.84K

TypeSH

Market value$3.42M

2.27%

Sole

32.84K

Shared

0.00

None

0.00

INVESCO EXCHANGE TRADED FD T

SOLE

S&P SML600 VAL

Shares38.66K

TypeSH

Market value$3.42M

2.26%

Sole

38.66K

Shared

0.00

None

0.00

PROSHARES TR

SOLE

RUSS 2000 DIVD

Shares55.67K

TypeSH

Market value$3.42M

2.26%

Sole

55.67K

Shared

0.00

None

0.00

ISHARES TR

SOLE

NORTH AMERN NAT

Shares83.62K

TypeSH

Market value$3.40M

2.25%

Sole

83.62K

Shared

0.00

None

0.00

WISDOMTREE TR

SOLE

US MIDCAP FUND

Shares69.92K

TypeSH

Market value$3.40M

2.25%

Sole

69.92K

Shared

0.00

None

0.00

VANGUARD WORLD FDS

SOLE

FINANCIALS ETF

Shares40.85K

TypeSH

Market value$3.38M

2.24%

Sole

40.85K

Shared

0.00

None

0.00

INVESCO EXCH TRADED FD TR II

SOLE

S&P SMLCP INFO

Shares28.15K

TypeSH

Market value$3.37M

2.23%

Sole

28.15K

Shared

0.00

None

0.00

VANGUARD WORLD FDS

SOLE

INF TECH ETF

Shares10.31K

TypeSH

Market value$3.29M

2.18%

Sole

10.31K

Shared

0.00

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole
SCHWAB STRATEGIC TRSOLE	US AGGREGATE B	496.08K	SH	$22.65M 15.00%	496.08K
SPDR SER TRSOLE	PORTFOLIO SH TSR	299K	SH	$8.64M 5.72%	299K
SCHWAB STRATEGIC TRSOLE	US TIPS ETF	124.33K	SH	$6.44M 4.26%	124.33K
ISHARES TRSOLE	FLTG RATE NT ETF	120.47K	SH	$6.06M 4.02%	120.47K
ISHARES TRSOLE	ISHS 5-10YR INVT	85.61K	SH	$4.24M 2.81%	85.61K
VANGUARD INDEX FDSSOLE	VALUE ETF	26.85K	SH	$3.77M 2.50%	26.85K
FIRST TR EXCHANGE-TRADED FDSOLE	RBA INDL ETF	81.84K	SH	$3.61M 2.39%	81.84K
VANGUARD INDEX FDSSOLE	SM CP VAL ETF	22.36K	SH	$3.55M 2.35%	22.36K
SELECT SECTOR SPDR TRSOLE	ENERGY	40.42K	SH	$3.54M 2.34%	40.42K
SCHWAB STRATEGIC TRSOLE	US DIVIDEND EQ	46.50K	SH	$3.51M 2.33%	46.50K
LISTED FD TRSOLE	HORIZON KINETICS	111.56K	SH	$3.51M 2.33%	111.56K
INVESCO EXCHANGE TRADED FD TSOLE	WATER RES ETF	67.31K	SH	$3.47M 2.30%	67.31K
SPDR SER TRSOLE	S&P SEMICNDCTR	20.66K	SH	$3.45M 2.29%	20.66K
ISHARES TRSOLE	ISHARES SEMICDTR	9.91K	SH	$3.45M 2.28%	9.91K
ISHARES TRSOLE	CORE DIV GRWTH	68.94K	SH	$3.45M 2.28%	68.94K
VANGUARD SPECIALIZED FUNDSSOLE	DIV APP ETF	22.62K	SH	$3.44M 2.28%	22.62K
ISHARES GOLD TRSOLE	SHARES REPRESENT	188.24K	SH	$3.43M 2.27%	188.24K
ISHARES TRSOLE	CORE HIGH DV ETF	32.84K	SH	$3.42M 2.27%	32.84K
INVESCO EXCHANGE TRADED FD TSOLE	S&P SML600 VAL	38.66K	SH	$3.42M 2.26%	38.66K
PROSHARES TRSOLE	RUSS 2000 DIVD	55.67K	SH	$3.42M 2.26%	55.67K
ISHARES TRSOLE	NORTH AMERN NAT	83.62K	SH	$3.40M 2.25%	83.62K
WISDOMTREE TRSOLE	US MIDCAP FUND	69.92K	SH	$3.40M 2.25%	69.92K
VANGUARD WORLD FDSSOLE	FINANCIALS ETF	40.85K	SH	$3.38M 2.24%	40.85K
INVESCO EXCH TRADED FD TR IISOLE	S&P SMLCP INFO	28.15K	SH	$3.37M 2.23%	28.15K
VANGUARD WORLD FDSSOLE	INF TECH ETF	10.31K	SH	$3.29M 2.18%	10.31K

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