First Allied Advisory Services, Inc.
Filing Date
Global Rank
#810
/ 5,416
▲ 24
· as of Sep 2020
Top Industry
Consumer Electronics
13.4%
Period ended 6 years ago
Filed Nov 13, 2020 · 5y
3 quarters · since Mar 2020
Regulatory profile
From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.
Holder type
Unknown
Portfolio style
Measured from the filed 13F common-share book for Sep 30, 2020, never from the firm's own description.
Style
Diversified active
Top 10 weight 30.7%, 63.4 effective positions, active share 53.9% against the Russell 1000 as of 2020-09-30; it meets none of the index-like, systematic-like or concentrated tests
Turnover
Turnover unknown
It needs four straight quarters of measured turnover
Horizon
Horizon unknown
The value-weighted holding period is at least 2.8 quarters, but 90.6% of the book was already held when coverage starts
Closest benchmark: the Russell 1000 as of 2020-09-30, active share 53.9%; sector active share 17.3% against the combined 13F book's sector weights.
Over time 3 measured quarters
How the bands are measured
Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.
Clone Performance
Build a hypothetical price-return history from this filer's public 13F holdings.
View clone backtestPortfolio Concentration
1,119 tracked positions · as of Sep 30, 2020 · Δ vs Jun 30, 2020Top Position
7.3%
+0.9 pts
Top 5
20.5%
−0.1 pts
Top 10
30.7%
−0.1 pts
HHI
158
Diversified+2
Portfolio Trend
3 quarters · across all stocks
Sector Breakdown
As of Sep 30, 2020| Sector | % Portfolio | Value |
|---|---|---|
| Unclassified | 45.3% | $1,032,858,647 |
| Technology | 15.7% | $356,973,497 |
| Financial Services | 7.1% | $161,301,263 |
| Consumer Cyclical | 6.6% | $149,787,704 |
| Healthcare | 6.4% | $145,529,310 |
| Communication Services | 5.7% | $129,993,251 |
| Industrials | 4.7% | $105,990,953 |
| Consumer Defensive | 4.1% | $94,378,425 |
| Real Estate | 1.4% | $31,126,976 |
| Utilities | 1.2% | $27,097,137 |
| Energy | 1.1% | $25,811,083 |
| Basic Materials | 0.7% | $16,786,343 |
Last Quarter's Activity
Export CSVAdded To
Positions the filer increased
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| AAPL | Apple Inc. | +1,074,342 | 1,431,656 | $165,800,081 | |
| — | +148,534 | 371,356 | $2,815,000 | ||
| XLI | State Street(R) Industrial Select Sector SPDR(R) ETF | +73,001 | 87,146 | $6,708,499 | |
| RSP | Victory Portfolios II | +70,271 | 92,956 | $10,049,473 | |
| HYG | iShares iBoxx $ High Yield Corporate Bond ETF | +63,572 | 172,195 | $0 | |
| — | +62,878 | 104,257 | $1,287,000 | ||
| ASHR | DBX ETF Trust | +61,194 | 126,156 | $4,349,858 | |
| EMLP | First Trust North American Energy Infrastructure Fund | +51,870 | 136,676 | $2,602,311 | |
| EEM | iShares MSCI Emerging Markets ETF | +48,238 | 127,980 | $5,642,638 | |
| FITB | Fifth Third Bancorp | +47,978 | 58,578 | $1,248,882 | |
| LQD | iShares iBoxx $ Investment Grade Corporate Bond ETF | +47,092 | 211,920 | $0 | |
| GOVT | iShares U.S. Treasury Bond ETF | +44,708 | 404,759 | $0 | |
| MFIC | MidCap Financial Investment Corp | +42,965 | 288,289 | $2,384,150 | |
| IEF | iShares 7-10 Year Treasury Bond ETF | +40,895 | 188,868 | $0 | |
| FIXD | First Trust Smith Opportunistic Fixed Income ETF | +40,787 | 209,548 | $11,531,426 | |
| EPRF | +39,092 | 98,892 | $2,397,142 | ||
| VGSH | VANGUARD SHORT-TERM TREASURY INDEX FUND | +37,582 | 80,177 | $4,978,189 | |
| NLY | Annaly Capital Management Inc | +37,040 | 172,850 | $1,230,692 | |
| OBDC | Blue Owl Capital Corp | +34,340 | 54,617 | $658,681 | |
| — | +34,170 | 43,523 | $1,113,000 | ||
| INCE | Franklin Income Equity Focus ETF | +33,751 | 48,642 | $1,891,833 | |
| — | +31,358 | 56,907 | $5,235,444 | ||
| GDX | VanEck Gold Miners ETF | +29,950 | 72,618 | $2,843,720 | |
| SRVR | Pacer Data & Infrastructure Real Estate ETF | +28,926 | 34,920 | $1,233,723 | |
| DFEB | FT Vest U.S. Equity Deep Buffer ETF - February | +28,677 | 64,891 | $2,006,883 | |
| No positions match the current search. | |||||
Trimmed
Positions the filer reduced
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| FVD | First Trust Value Line Dividend Index Fund | −253,086 | 610,526 | $19,207,147 | |
| SPDW | State Street(R) SPDR(R) Portfolio Developed World ex-US ETF | −221,413 | 29,507 | $863,374 | |
| DGRO | iShares Core Dividend Growth ETF | −143,836 | 833,734 | $0 | |
| SCHO | Schwab Short-Term U.S. Treasury ETF | −131,195 | 160,670 | $8,274,505 | |
| CTL | Lumen Technologies, Inc. | −80,459 | 82,964 | $837,000 | |
| SPTI | State Street(R) SPDR(R) Portfolio Intermediate Term Treasury ETF | −76,161 | 11,301 | $375,645 | |
| MDYG | State Street(R) SPDR(R) S & P 400(TM) Mid Cap Growth ETF | −70,965 | 129,179 | $7,413,582 | |
| CWB | State Street(R) SPDR(R) Bloomberg Convertible Securities ETF | −69,541 | 126,561 | $8,718,787 | |
| VOD | Vodafone Group Public Ltd Co | −67,042 | 121,640 | $1,632,408 | |
| AGG | iShares Core U.S. Aggregate Bond ETF | −65,525 | 213,594 | $0 | |
| SHY | iShares 1-3 Year Treasury Bond ETF | −60,341 | 334,373 | $0 | |
| DVY | iShares Select Dividend ETF | −55,170 | 39,951 | $0 | |
| IXJ | iShares Global Healthcare ETF | −47,737 | 39,987 | $0 | |
| VTI | VANGUARD TOTAL STOCK MARKET INDEX FUND | −47,590 | 506,654 | $86,288,242 | |
| FUMB | First Trust Ultra Short Duration Municipal ETF | −46,928 | 12,136 | $244,540 | |
| HDMV | First Trust Horizon Managed Volatility Developed International ETF | −43,081 | 39,622 | $1,135,368 | |
| CLNY | DigitalBridge Group, Inc. | −41,847 | 42,150 | $115,000 | |
| PFFD | Global X U.S. Preferred ETF | −40,588 | 225,249 | $5,577,165 | |
| IAU | Ishares Gold Trust | −38,534 | 143,229 | $2,576,689 | |
| IEFA | iShares Core MSCI EAFE ETF | −37,697 | 289,706 | $0 | |
| — | −37,107 | 45,234 | $2,013,000 | ||
| ACP | abrdn Income Credit Strategies Fund | −35,277 | 823,580 | $8,169,943 | |
| FSK | FS KKR Capital Corp | −34,240 | 249,603 | $3,958,703 | |
| AMD | Advanced Micro Devices Inc | −28,605 | 41,741 | $3,422,344 | |
| CLNC | BrightSpire Capital, Inc. | −28,328 | 41,419 | $203,000 | |
| No positions match the current search. | |||||
New Positions
Positions the filer opened this quarter
25 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| QQQ | Invesco Qqq Trust, Series 1 | 190,332 | $52,881,842 | |
| FTCS | First Trust Capital Strength ETF | 325,235 | $20,577,618 | |
| FDN | First Trust Dow Jones Internet Index Fund | 68,323 | $12,867,270 | |
| TGT | Target Corp | 59,685 | $9,395,612 | |
| FPE | First Trust Preferred Securities and Income ETF | 247,584 | $4,746,185 | |
| IQDF | FlexShares International Quality Dividend Index Fund | 208,903 | $4,320,114 | |
| RTX | RTX Corp | 72,709 | $4,183,675 | |
| FBT | First Trust NYSE Arca Biotechnology Index Fund | 14,358 | $2,257,939 | |
| CXSE | WisdomTree China ex-State-Owned Enterprises Fund | 19,471 | $2,188,150 | |
| — | 32,062 | $2,042,670 | ||
| PFG | Principal Financial Group Inc | 48,650 | $1,959,135 | |
| EWG | iShares MSCI Germany ETF | 63,499 | $1,849,725 | |
| EW | Edwards Lifesciences Corp | 20,305 | $1,620,745 | |
| MXI | iShares, Inc. | 17,045 | $1,190,763 | |
| PAUG | 42,661 | $1,153,894 | ||
| PLNT | Planet Fitness, Inc. | 18,655 | $1,149,521 | |
| CIEN | Ciena Corp | 27,527 | $1,092,546 | |
| — | 8,397 | $1,069,000 | ||
| LITE | Lumentum Holdings Inc. | 13,642 | $1,024,923 | |
| PCTY | Paylocity Holding Corp | 5,895 | $951,570 | |
| FXD | First Trust Consumer Discretionary AlphaDEX Fund | 21,464 | $913,293 | |
| CHGG | Chegg, Inc | 10,590 | $756,549 | |
| CHWY | Chewy, Inc. | 13,604 | $745,907 | |
| XMLV | Invesco Ltd. | 17,673 | $736,257 | |
| GNRC | Generac Holdings Inc. | 3,455 | $669,026 | |
| No positions match the current search. | ||||
Sold Out
Positions the filer fully exited
25 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| — | 342,618 | $8,339,322 | ||
| GRX | Gabelli Healthcare & WellnessRx Trust | 496,238 | $4,982,229 | |
| ARWR | Arrowhead Pharmaceuticals, Inc. | 80,175 | $3,462,758 | |
| RMT | Royce Micro-Cap Trust, Inc. | 385,059 | $2,772,424 | |
| GBIL | Goldman Sachs ETF Trust | 14,090 | $1,415,904 | |
| POCT | 53,939 | $1,358,184 | ||
| EXEL | Exelixis, Inc. | 45,226 | $1,073,665 | |
| MNST | Monster Beverage Corp | 7,797 | $540,488 | |
| DNLI | Denali Therapeutics Inc. | 21,950 | $530,751 | |
| MSEX | Middlesex Water Co | 6,380 | $428,608 | |
| SGMOQ | Sangamo Therapeutics, Inc | 46,100 | $413,056 | |
| SFM | Sprouts Farmers Market, Inc. | 15,314 | $391,885 | |
| — | 7,169 | $374,078 | ||
| RPM | Rpm International Inc | 4,912 | $368,694 | |
| HIX | Western Asset High Income Fund II Inc. | 55,171 | $342,060 | |
| — | 9,238 | $336,000 | ||
| AMLP | Alerian MLP ETF | 13,079 | $322,789 | |
| NOMD | Nomad Foods Ltd | 14,697 | $315,250 | |
| PSL | Victory Portfolios II | 4,255 | $276,532 | |
| — | 22,000 | $274,000 | ||
| EIX | Edison International | 4,805 | $260,959 | |
| RFV | Victory Portfolios II | 5,153 | $259,968 | |
| PGF | Victory Portfolios II | 14,436 | $258,404 | |
| INGR | Ingredion Inc | 2,972 | $246,676 | |
| L | Loews Corp | 6,804 | $233,309 | |
| No positions match the current search. | ||||
1,119 tracked positions ·
$2,277,634,589 total
· filing declares
1,181 positions · $2,975,874,000
· as of Sep 30, 2020
All sectors
Basic Materials
Communication Services
Consumer Cyclical
Consumer Defensive
Energy
Financial Services
Healthcare
Industrials
Real Estate
Technology
Utilities
Showing 1–50
of 1,119 positions by value
· page 1 of 23
| Ticker | Company | Type | Shares | Value (USD) | % of Portfolio | History |
|---|---|---|---|---|---|---|
| AAPL |
Apple Inc.
Technology
|
Added | 1,431,656 | $165,800,081 | 7.28% | |
| VTI |
VANGUARD TOTAL STOCK MARKET INDEX FUND
|
Reduced | 506,654 | $86,288,242 | 3.79% | |
| QQQ |
Invesco Qqq Trust, Series 1
|
NEW | 190,332 | $52,881,842 | 2.32% | |
| AMZN |
Amazon Com Inc
Consumer Cyclical
|
Added | 15,697 | $49,425,614 | 2.17% | |
| MSFT |
Microsoft Corp
Technology
|
Added | 227,369 | $47,822,521 | 2.10% | |
| BND |
VANGUARD TOTAL BOND MARKET INDEX FUND
|
Reduced | 436,120 | $38,474,506 | 1.69% | |
| VXUS |
Vanguard Total International Stock ETF
|
Reduced | 615,087 | $32,089,088 | 1.41% | |
| FTSM |
First Trust Enhanced Short Maturity ETF
|
Added | 432,043 | $25,931,220 | 1.14% | |
| META |
Meta Platforms, Inc.
Communication Services
|
Added | 92,559 | $24,241,202 | 1.06% | |
| SPY |
Spdr S&P 500 ETF Trust
PUT
+ SHARES
|
Added | 69,976 | $23,434,262 | 1.03% | |
| FTCS |
First Trust Capital Strength ETF
|
NEW | 325,235 | $20,577,618 | 0.90% | |
| FVD |
First Trust Value Line Dividend Index Fund
|
Reduced | 610,526 | $19,207,147 | 0.84% | |
| GOOGL |
Alphabet Inc.
Communication Services
|
Reduced | 13,034 | $19,102,630 | 0.84% | |
| RDVY |
First Trust Rising Dividend Achievers ETF
|
Added | 555,574 | $18,182,825 | 0.80% | |
| JPM |
Jpmorgan Chase & Co
Financial Services
|
Added | 167,324 | $16,108,281 | 0.71% | |
| QCOM |
Qualcomm Inc
Technology
|
Added | 136,719 | $16,089,091 | 0.71% | |
| JNJ |
Johnson & Johnson
Healthcare
|
Reduced | 105,666 | $15,731,554 | 0.69% | |
| VCSH |
VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND
|
Reduced | 179,988 | $14,912,005 | 0.65% | |
| LMBS |
First Trust Low Duration Opportunities ETF
|
Reduced | 285,783 | $14,769,265 | 0.65% | |
| BSV |
VANGUARD SHORT-TERM BOND INDEX FUND
|
Reduced | 176,486 | $14,657,162 | 0.64% | |
| VZ |
Verizon Communications Inc
Communication Services
|
Reduced | 243,040 | $14,458,449 | 0.63% | |
| DIS |
Walt Disney Co
Communication Services
|
Reduced | 112,867 | $14,004,537 | 0.61% | |
| VTIP |
VANGUARD SHORT-TERM INFLATION-PROTECTED SECURITIES INDEX FUND
|
Reduced | 270,895 | $13,821,062 | 0.61% | |
| T |
At&T Inc.
Communication Services
|
Added | 473,857 | $13,509,642 | 0.59% | |
| GOOG |
Alphabet Inc.
Communication Services
|
Added | 9,123 | $13,407,000 | 0.59% | |
| WMT |
Walmart Inc.
CALL
+ SHARES
Consumer Defensive
|
Reduced | 92,204 | $12,900,270 | 0.57% | |
| FDN |
First Trust Dow Jones Internet Index Fund
|
NEW | 68,323 | $12,867,270 | 0.56% | |
| NVDA |
Nvidia Corp
Technology
|
Reduced | 23,369 | $12,647,770 | 0.56% | |
| DGRW |
WisdomTree U.S. Quality Dividend Growth Fund
|
Reduced | 252,916 | $12,537,046 | 0.55% | |
| VEA |
Vanguard FTSE Developed Markets ETF
|
Added | 306,146 | $12,521,371 | 0.55% | |
| NFLX |
Netflix Inc
Communication Services
|
Reduced | 24,640 | $12,320,739 | 0.54% | |
| VTWG |
VANGUARD RUSSELL 2000 GROWTH INDEX FUND
|
Reduced | 72,792 | $11,742,805 | 0.52% | |
| BNDX |
Vanguard Total International Bond ETF
|
Reduced | 198,446 | $11,547,572 | 0.51% | |
| FIXD |
First Trust Smith Opportunistic Fixed Income ETF
|
Added | 209,548 | $11,531,426 | 0.51% | |
| HD |
Home Depot, Inc.
Consumer Cyclical
|
Added | 41,449 | $11,510,801 | 0.51% | |
| PG |
PROCTER & GAMBLE Co
Consumer Defensive
|
Reduced | 81,912 | $11,384,948 | 0.50% | |
| BABA |
Alibaba Group Holding Ltd
Consumer Cyclical
|
Reduced | 38,256 | $11,246,498 | 0.49% | |
| V |
Visa Inc.
Financial Services
|
Added | 55,653 | $11,128,930 | 0.49% | |
| TSLA |
Tesla, Inc.
Consumer Cyclical
|
Added | 25,545 | $10,959,057 | 0.48% | |
| SBUX |
Starbucks Corp
Consumer Cyclical
|
Added | 125,021 | $10,741,804 | 0.47% | |
| LOW |
Lowes Companies Inc
Consumer Cyclical
|
Reduced | 64,111 | $10,633,450 | 0.47% | |
| VBR |
VANGUARD SMALL-CAP VALUE INDEX FUND
|
Reduced | 91,303 | $10,100,850 | 0.44% | |
| RSP |
Victory Portfolios II
|
Added | 92,956 | $10,049,473 | 0.44% | |
| INTC |
Intel Corp
Technology
|
Reduced | 188,243 | $9,747,222 | 0.43% | |
| GLD |
Spdr Gold Trust
|
Added | 54,535 | $9,659,239 | 0.42% | |
| ABBV |
AbbVie Inc.
Healthcare
|
Reduced | 109,663 | $9,605,382 | 0.42% | |
| MRK |
Merck & Co., Inc.
Healthcare
|
Reduced | 114,771 | $9,520,258 | 0.42% | |
| BA |
Boeing Co
Industrials
|
Added | 57,530 | $9,507,407 | 0.42% | |
| TGT |
Target Corp
Consumer Defensive
|
NEW | 59,685 | $9,395,612 | 0.41% | |
| AMGN |
Amgen Inc
Healthcare
|
Added | 36,483 | $9,272,519 | 0.41% |
Showing the top 50 of 1,119 positions. Create a free account to see every position, past quarters, search, filters and CSV export.
Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.