First Allied Advisory Services, Inc.

CIK

1512647

Location

SAN DIEGO, CA

Portfolio Value

Mid $2,647,386,452

Diversification

Diversified

Filing Date

Global Rank

#947 / 5,375 ▼ 275 · as of Sep 2020

Top Industry

Consumer Electronics 13.6%

Period ended 5 years ago

Filed Nov 13, 2020 · 5y

3 quarters · since Mar 2020

Portfolio Concentration

729 tracked positions · as of Sep 30, 2020 · Δ vs Jun 30, 2020

Top Position

20.2%

−1.2 pts

Top 5

35.5%

−0.7 pts

Top 10

44.3%

−0.7 pts

HHI

513

Diversified−44

Portfolio Trend

3 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2020

Sector	% Portfolio	Value	Positions
Unclassified	53.7%	$1,420,932,984	120
Technology	13.5%	$358,265,228	91
Financial Services	6.1%	$160,260,827	131
Consumer Cyclical	5.6%	$149,302,704	66
Healthcare	5.4%	$144,250,969	67
Communication Services	4.4%	$115,749,251	25
Industrials	4.0%	$105,377,953	74
Consumer Defensive	3.5%	$93,734,787	42
Real Estate	1.1%	$30,167,042	38
Utilities	1.0%	$27,097,137	25
Energy	1.0%	$25,811,227	23
Basic Materials	0.6%	$16,436,343	27

Last Quarter's Activity

Export CSV

Sep 30, 2020 vs Jun 30, 2020

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
AAPL	Apple Inc.	+1,074,342	1,431,656	$165,800,081
BNDC	FlexShares Core Select Bond Fund	+197,208	293,278	$10,420,793
—		+148,534	371,356	$0
ACYN	FT Vest Laddered Autocallable Barrier & Income ETF	+141,044	1,134,317	$59,868,917
BKF	iShares MSCI BIC ETF	+130,621	335,563	$15,202,594
FCAL	First Trust California Municipal High income ETF	+124,894	441,642	$11,549,744
ARKD	ARK DIET Q1 Buffer ETF	+85,469	118,054	$9,915,965
XLBI	State Street Materials Select Sector SPDR Premium Income ETF	+63,621	328,333	$18,442,238
—		+62,878	104,257	$0
CAAA	First Trust AAA CMBS ETF	+61,032	946,693	$47,609,756
AIEQ	Amplify AI Powered Equity ETF	+55,192	128,198	$3,868,405
ASHR	Xtrackers Harvest CSI 300 China A-Shares ETF	+50,089	337,650	$11,061,268
FITB	Fifth Third Bancorp	+47,978	58,578	$1,248,882
AFGR	First Trust Active Factor Large Cap Growth ETF	+46,775	858,612	$32,046,384
AGGY	WisdomTree Yield Enhanced U.S. Aggregate Bond Fund	+45,986	526,307	$23,606,409
MFIC	MidCap Financial Investment Corp	+42,965	288,289	$2,384,150
ABI	VictoryShares Pioneer Asset-Based Income ETF	+41,507	208,207	$13,790,802
NLY	Annaly Capital Management Inc	+37,040	172,850	$1,230,692
BUYZ	Franklin Disruptive Commerce ETF	+35,703	131,492	$4,576,412
OBDC	Blue Owl Capital Corp	+34,340	54,617	$658,681
—		+34,170	43,523	$0
BAPR	Innovator U.S. Equity Buffer ETF - April	+33,175	137,542	$4,383,790
IVZ	Invesco Ltd.	+31,024	140,157	$3,925,363
AAAP	Pacer Barings CLO Market Flex ETF	+28,926	34,920	$1,233,723
PAYX	Paychex Inc	+23,935	33,423	$2,666,152
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
AAXJ	iShares MSCI All Country Asia ex Japan ETF	−252,944	7,168,261	$534,268,163
CWI	State Street SPDR MSCI ACWI ex-US ETF	−239,636	361,638	$12,335,371
BWX	State Street SPDR Bloomberg International Treasury Bond ETF	−218,673	800,641	$39,600,980
FNDA	Schwab Fundamental U.S. Small Company ETF	−191,060	698,476	$0
LUMN	Lumen Technologies, Inc.	−80,459	82,964	$0
VOD	Vodafone Group Public Ltd Co	−67,042	121,640	$1,632,408
VB	Vanguard Morningstar Small-Cap ETF	−60,199	767,837	$116,501,807
DBRG	DigitalBridge Group, Inc.	−41,847	42,150	$0
IAU	Ishares Gold Trust	−38,534	143,229	$2,576,689
—		−36,707	45,634	$0
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
ACES	ALPS Clean Energy ETF	−32,285	41,276	$1,553,135
BIL	State Street SPDR Bloomberg 1-3 Month T-Bill ETF	−29,855	257,104	$13,259,999
AMD	Advanced Micro Devices Inc	−28,605	41,741	$3,422,344
BRSP	BrightSpire Capital, Inc.	−28,328	41,419	$0
BP	Bp PLC	−27,384	77,452	$1,352,311
BIV	Vanguard Intermediate-Term Bond ETF	−26,956	719,866	$63,349,533
VLY	Valley National Bancorp	−25,000	61,551	$421,624
VXUS	Vanguard Total International Stock ETF	−24,981	615,087	$32,089,088
—		−24,979	12,240	$0
VCHY	Vanguard U.S. High-Yield Corporate Bond Index ETF	−23,703	270,895	$13,821,062
MGA	Magna International Inc	−21,956	21,802	$997,441
GM	General Motors Co	−21,828	54,226	$1,604,547
IAE	Voya Asia Pacific High Dividend Equity Income Fund	−21,576	11,095	$87,872
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
TGT	Target Corp	59,685	$9,395,612
RTX	RTX Corp	72,709	$4,183,675
PFG	Principal Financial Group Inc	48,650	$1,959,135
EW	Edwards Lifesciences Corp	20,305	$1,620,745
AGIX	KraneShares Trust KraneShares Public-Private AI & Technology ETF	38,269	$1,414,949
PLNT	Planet Fitness, Inc.	18,655	$1,149,521
CIEN	Ciena Corp	27,527	$1,092,546
LITE	Lumentum Holdings Inc.	13,642	$1,024,923
PCTY	Paylocity Holding Corp	5,895	$951,570
CHGG	Chegg, Inc	10,590	$756,549
ZG	Zillow Group, Inc.	7,374	$748,943
CHWY	Chewy, Inc.	13,604	$745,907
GNRC	Generac Holdings Inc.	3,455	$669,026
FTNT	Fortinet, Inc.	5,046	$594,469
LOGI	Logitech International S.A.	7,556	$584,154
YEXT	Yext, Inc.	35,746	$542,624
RKT	Rocket Companies, Inc.	26,830	$534,721
MAS	Masco Corp /De/	9,362	$516,127
PWR	Quanta Services, Inc.	9,744	$515,067
PFO	Flaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INC	39,609	$471,347
TRV	Travelers Companies, Inc.	3,816	$412,853
BYD	Boyd Gaming Corp	12,948	$397,374
MPWR	Monolithic Power Systems, Inc.	1,376	$384,743
SAM	Boston Beer Co Inc	421	$371,894
CHE	Chemed Corp	712	$342,009
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
BTAL	AGF U.S. Market Neutral Anti-Beta Fund	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
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
RPM	Rpm International Inc/De/	4,912	$368,694
HIX	Western Asset High Income Fund II Inc.	55,171	$342,060
NOMD	Nomad Foods Ltd	14,697	$315,250
EIX	Edison International	4,805	$260,959
INGR	Ingredion Inc	2,972	$246,676
L	Loews Corp	6,804	$233,309
FANG	Diamondback Energy, Inc.	5,539	$231,640
BMRN	Biomarin Pharmaceutical Inc	1,854	$228,672
MTZ	Mastec Inc	4,964	$222,734
IT	Gartner Inc	1,835	$222,640
HDUS	Hartford Disciplined US Equity ETF	8,890	$218,871
GEN	Gen Digital Inc.	10,493	$208,076
FE	Firstenergy Corp	5,364	$208,015
SRPT	Sarepta Therapeutics, Inc.	1,293	$207,319
GBAB	Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust	8,900	$206,925
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

729 tracked positions · $2,647,386,452 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 729 positions by value · page 1 of 15

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
AAXJ	iShares MSCI All Country Asia ex Japan ETF	Reduced	7,168,261	-252,944	$534,268,163	+2.4%	20.18%
AAPL	Apple Inc. Technology	Added	1,431,656	+1,074,342	$165,800,081	+27.2%	6.26%
VB	Vanguard Morningstar Small-Cap ETF	Reduced	767,837	-60,199	$116,501,807	−0.7%	4.40%
BIV	Vanguard Intermediate-Term Bond ETF	Reduced	719,866	-26,956	$63,349,533	−3.6%	2.39%
ACYN	FT Vest Laddered Autocallable Barrier & Income ETF	Added	1,134,317	+141,044	$59,868,917	+92.5%	2.26%
AMZN	Amazon Com Inc Consumer Cyclical	Added	15,697	+706	$49,425,614	+19.5%	1.87%
MSFT	Microsoft Corp Technology	Added	227,369	+1,266	$47,822,521	+3.9%	1.81%
BNDW	Vanguard Total World Bond ETF	Reduced	568,987	-7,134	$47,668,912	−0.8%	1.80%
CAAA	First Trust AAA CMBS ETF	Added	946,693	+61,032	$47,609,756	+3.4%	1.80%
BWX	State Street SPDR Bloomberg International Treasury Bond ETF	Reduced	800,641	-218,673	$39,600,980	−17.1%	1.50%
VXUS	Vanguard Total International Stock ETF	Reduced	615,087	-24,981	$32,089,088	+2.0%	1.21%
AFGR	First Trust Active Factor Large Cap Growth ETF	Added	858,612	+46,775	$32,046,384	+11.9%	1.21%
EDV	Vanguard World Funds Extended Duration ETF	Added	243,312	+9,607	$26,483,676	+10.5%	1.00%
AIRR	First Trust RBA American Industrial Renaissance ETF	Reduced	764,404	-18,212	$25,552,100	+2.6%	0.97%
META	Meta Platforms, Inc. Communication Services	Added	92,559	+4,348	$24,241,202	+21.0%	0.92%
AGGY	WisdomTree Yield Enhanced U.S. Aggregate Bond Fund	Added	526,307	+45,986	$23,606,409	+15.9%	0.89%
SPY	Spdr S&P 500 ETF Trust PUT + SHARES	Added	69,976	+3,345	$23,434,262	+16.1%	0.89%
GOOGL	Alphabet Inc. Communication Services	Added	22,157	+317	$19,102,630	+0.7%	0.72%
XLBI	State Street Materials Select Sector SPDR Premium Income ETF	Added	328,333	+63,621	$18,442,238	+48.0%	0.70%
FAB	First Trust Multi Cap Value AlphaDEX Fund	Reduced	259,045	-9,027	$16,516,396	+0.6%	0.62%
JPM	Jpmorgan Chase & Co Financial Services	Added	167,324	+14,236	$16,108,281	+11.9%	0.61%
QCOM	Qualcomm Inc/De Technology	Added	136,719	+1,214	$16,089,091	+30.2%	0.61%
VEU	Vanguard FTSE All-World Ex-US ETF	Reduced	277,550	-5,963	$15,936,066	+5.4%	0.60%
JNJ	Johnson & Johnson Healthcare	Reduced	105,666	-2,107	$15,731,554	+3.8%	0.59%
BKF	iShares MSCI BIC ETF	Added	335,563	+130,621	$15,202,594	+62.7%	0.57%
VZ	Verizon Communications Inc Communication Services	Reduced	243,040	-11,502	$14,458,449	+3.0%	0.55%
VIG	Vanguard Dividend Appreciation ETF	Added	147,527	+5,257	$14,427,557	+7.7%	0.54%
DIS	Walt Disney Co Communication Services	Reduced	112,867	-852	$14,004,537	+10.4%	0.53%
VCHY	Vanguard U.S. High-Yield Corporate Bond Index ETF	Reduced	270,895	-23,703	$13,821,062	−6.5%	0.52%
ABI	VictoryShares Pioneer Asset-Based Income ETF	Added	208,207	+41,507	$13,790,802	+104.6%	0.52%
T	At&T Inc. Communication Services	Added	473,857	+2,808	$13,509,642	−5.1%	0.51%
BIL	State Street SPDR Bloomberg 1-3 Month T-Bill ETF	Reduced	257,104	-29,855	$13,259,999	−16.0%	0.50%
WMT	Walmart Inc. CALL + SHARES Consumer Defensive	Reduced	92,204	-5,488	$12,900,270	+10.2%	0.49%
NVDA	Nvidia Corp Technology	Reduced	23,369	-302	$12,647,770	+40.6%	0.48%
VEA	Vanguard FTSE Developed Markets ETF	Added	306,146	+6,104	$12,521,371	+7.6%	0.47%
CWI	State Street SPDR MSCI ACWI ex-US ETF	Reduced	361,638	-239,636	$12,335,371	−33.7%	0.47%
NFLX	Netflix Inc Communication Services	Reduced	24,640	-14	$12,320,739	+9.8%	0.47%
ANEW	ProShares MSCI Transformational Changes ETF	Added	235,899	+3,240	$11,659,298	+6.6%	0.44%
FCAL	First Trust California Municipal High income ETF	Added	441,642	+124,894	$11,549,744	+19.5%	0.44%
BNDX	Vanguard Total International Bond ETF	Reduced	198,446	-8,088	$11,547,572	−3.2%	0.44%
HD	Home Depot, Inc. Consumer Cyclical	Added	41,449	+919	$11,510,801	+13.4%	0.43%
PG	PROCTER & GAMBLE Co Consumer Defensive	Reduced	81,912	-8,272	$11,384,948	+5.6%	0.43%
BABA	Alibaba Group Holding Ltd Consumer Cyclical	Reduced	38,256	-409	$11,246,498	+34.8%	0.42%
AGNG	Global X Funds Global X Aging Population ETF	Reduced	454,513	-15,947	$11,149,984	+4.2%	0.42%
V	Visa Inc. Financial Services	Added	55,653	+4,219	$11,128,930	+12.0%	0.42%
ASHR	Xtrackers Harvest CSI 300 China A-Shares ETF	Added	337,650	+50,089	$11,061,268	+25.0%	0.42%
TSLA	Tesla, Inc. Consumer Cyclical	Added	25,545	+20,689	$10,959,057	+109.0%	0.41%
SBUX	Starbucks Corp Consumer Cyclical	Added	125,021	+4,119	$10,741,804	+20.7%	0.41%
LOW	Lowes Companies Inc Consumer Cyclical	Reduced	64,111	-714	$10,633,450	+21.4%	0.40%
BNDC	FlexShares Core Select Bond Fund	Added	293,278	+197,208	$10,420,793	+49.9%	0.39%

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.