Spectrum Financial Alliance Ltd LLC

Registered adviser

CIK

1566531

Location

NICHOLASVILLE, KY

Portfolio Value

Small $677,615,377

Diversification

Diversified

Filing Date

Global Rank

#3,257 / 8,827 ▲ 170 · as of Jun 2026

Top Industry

Aerospace & Defense 30.7%

Period ended 38 days ago

Filed Oct 29, 2026 · 9d

25 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

Registered adviser

Form ADV roster, Nov 1, 2026

Form ADV adviser

CRD 125147

Roster of Nov 1, 2026

Regulatory AUM

$813,014,305

Main clients

Individuals and high net worth (100% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Sep 2026 to Nov 2026	$813,014,305	Individuals and high net worth (100%)
Jul 2026 to Aug 2026	$800,534,820	Individuals and high net worth (100%)
Jun 2026	$728,394,734	Individuals and high net worth (100%)
May 2026	$662,877,871	Individuals and high net worth (100%)
Apr 2026	$653,580,021	Individuals and high net worth (100%)
Dec 2025 to Mar 2026	$516,925,597	Individuals and high net worth (100%)

16 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Concentrated

The top 10 positions are 87.0% of the book (60%+)

Turnover

Low turnover

17.2% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 18.7 quarters (12+), a floor since 54.5% of the book was already held when coverage starts

Closest benchmark: the Nasdaq-100 as of 2026-06-30, active share 89.9%; sector active share 42.2% against the combined 13F book's sector weights.

Over time 24 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 backtest

Portfolio Concentration

38 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

13.0%

−0.6 pts

Top 5

54.5%

−0.0 pts

Top 10

86.0%

−1.1 pts

HHI

847

Diversified−20

Portfolio Trend

25 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Industrials	37.1%	$251,572,920	5
Financial Services	25.4%	$172,091,651	3
Technology	21.9%	$148,182,772	9
Unclassified	10.8%	$73,471,159	13
Communication Services	3.2%	$21,950,045	3
Consumer Cyclical	1.4%	$9,797,774	4
Healthcare	0.1%	$549,056	1

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

20 positions

Ticker	Company	Δ Shares	Shares	Value
SCO		+318,119	871,142	$17,292,168
BAC	Bank Of America Corp	+103,559	1,404,203	$76,430,769
C	Citigroup Inc	+39,009	679,632	$87,998,751
BA	Boeing Co	+34,951	396,765	$73,818,128
UDOW	ProShares UltraPro Dow30	+33,417	142,227	$8,954,611
QCOM	Qualcomm Inc	+27,638	356,760	$65,658,110
LMT	Lockheed Martin Corp	+12,569	125,525	$63,923,606
GE	General Electric Co	+11,869	153,487	$47,932,455
F	Ford Motor Co	+11,258	690,356	$8,325,693
NVDA	Nvidia Corp	+9,557	10,610	$2,423,111
DE	Deere & Co	+5,913	97,126	$65,224,965
VB	Vanguard Index Funds	+4,174	55,783	$15,869,705
MRVL	Marvell Technology, Inc.	+4,162	123,322	$32,582,905
AAPL	Apple Inc.	+4,003	4,776	$1,590,503
META	Meta Platforms, Inc.	+1,364	28,852	$20,922,893
MU	Micron Technology Inc	+1,079	40,878	$43,539,566
MSFT	Microsoft Corp	+844	1,773	$909,371
UPRO	ProShares UltraPro S&P500	+637	111,252	$16,350,706
ORCL	Oracle Corp	+248	1,726	$236,979
QQQ	Invesco Qqq Trust, Series 1	+118	857	$633,982
No positions match the current search.

Trimmed

Positions the filer reduced

3 positions

Ticker	Company	Δ Shares	Shares	Value
VGSH	VANGUARD SHORT-TERM TREASURY INDEX FUND	−32,176	219,137	$12,613,525
SCHW	Schwab Charles Corp	−1,365	78,393	$7,662,131
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	−3	726	$271,698
No positions match the current search.

New Positions

Positions the filer opened this quarter

8 positions

Ticker	Company	Shares	Value
AMD	Advanced Micro Devices Inc	1,235	$755,523
AMZN	Amazon Com Inc	3,006	$748,944
CAT	Caterpillar Inc	831	$673,766
GOOGL	Alphabet Inc.	1,885	$648,590
KRYS	Krystal Biotech, Inc.	1,651	$549,056
PANW	Palo Alto Networks Inc	1,225	$486,704
GOOG	Alphabet Inc.	1,111	$378,562
TSLA	Tesla, Inc.	963	$341,682
No positions match the current search.

Sold Out

Positions the filer fully exited

No qualifying positions this quarter.

Portfolio Positions

Compact Export CSV View 13F filing

38 tracked positions · $677,615,377 total · filing declares 39 positions · $692,430,149 · as of Sep 30, 2026

All sectors Communication Services Consumer Cyclical Financial Services Healthcare Industrials Technology

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
C	Citigroup Inc Financial Services	Added	679,632	+39,009	$87,998,751	−1.9%	12.99%
BAC	Bank Of America Corp Financial Services	Added	1,404,203	+103,559	$76,430,769	+3.1%	11.28%
BA	Boeing Co Industrials	Added	396,765	+34,951	$73,818,128	−5.8%	10.89%
QCOM	Qualcomm Inc Technology	Added	356,760	+27,638	$65,658,110	+8.0%	9.69%
DE	Deere & Co Industrials	Added	97,126	+5,913	$65,224,965	+12.7%	9.63%
LMT	Lockheed Martin Corp Industrials	Added	125,525	+12,569	$63,923,606	+11.1%	9.43%
GE	General Electric Co Industrials	Added	153,487	+11,869	$47,932,455	−9.4%	7.07%
MU	Micron Technology Inc Technology	Added	40,878	+1,079	$43,539,566	−5.2%	6.43%
MRVL	Marvell Technology, Inc. Technology	Added	123,322	+4,162	$32,582,905	−8.2%	4.81%
META	Meta Platforms, Inc. Communication Services	Added	28,852	+1,364	$20,922,893	+35.1%	3.09%
SCO		Added	871,142	+318,119	$17,292,168	−10.7%	2.55%
UPRO	ProShares UltraPro S&P500	Added	111,252	+637	$16,350,706	+4.3%	2.41%
VB	Vanguard Index Funds	Added	55,783	+4,174	$15,869,705	+1.4%	2.34%
VGSH	VANGUARD SHORT-TERM TREASURY INDEX FUND	Reduced	219,137	-32,176	$12,613,525	−13.8%	1.86%
UDOW	ProShares UltraPro Dow30	Added	142,227	+33,417	$8,954,611	+17.4%	1.32%
F	Ford Motor Co Consumer Cyclical	Added	690,356	+11,258	$8,325,693	−11.8%	1.23%
SCHW	Schwab Charles Corp Financial Services	Reduced	78,393	-1,365	$7,662,131	+4.1%	1.13%
NVDA	Nvidia Corp Technology	Added	10,610	+9,557	$2,423,111	+1050.1%	0.36%
AAPL	Apple Inc. Technology	Added	4,776	+4,003	$1,590,503	+611.1%	0.23%
MSFT	Microsoft Corp Technology	Added	1,773	+844	$909,371	+162.4%	0.13%
AMD	Advanced Micro Devices Inc Technology	NEW	1,235	NEW	$755,523	NEW	0.11%
AMZN	Amazon Com Inc Consumer Cyclical	NEW	3,006	NEW	$748,944	NEW	0.11%
CAT	Caterpillar Inc Industrials	NEW	831	NEW	$673,766	NEW	0.10%
GOOGL	Alphabet Inc. Communication Services	NEW	1,885	NEW	$648,590	NEW	0.10%
QQQ	Invesco Qqq Trust, Series 1	Added	857	+118	$633,982	+16.5%	0.09%
KRYS	Krystal Biotech, Inc. Healthcare	NEW	1,651	NEW	$549,056	NEW	0.08%
PANW	Palo Alto Networks Inc Technology	NEW	1,225	NEW	$486,704	NEW	0.07%
IP	International Paper Co Consumer Cyclical	Held	11,500	0	$381,455	−12.9%	0.06%
GOOG	Alphabet Inc. Communication Services	NEW	1,111	NEW	$378,562	NEW	0.06%
UFIV	US Treasury 5 Year Note ETF	Held	7,908	0	$367,271	−3.7%	0.05%
XFIV	BondBloxx Bloomberg Five Year Target Duration US Treasury ETF	Held	7,731	0	$360,728	−4.1%	0.05%
TSLA	Tesla, Inc. Consumer Cyclical	NEW	963	NEW	$341,682	NEW	0.05%
VFH	VANGUARD FINANCIALS INDEX FUND	Held	2,260	0	$294,003	−1.1%	0.04%
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	Reduced	726	-3	$271,698	+0.7%	0.04%
SPY	Spdr S&P 500 ETF Trust	Held	337	0	$257,006	+2.1%	0.04%
ORCL	Oracle Corp Technology	Added	1,726	+248	$236,979	+9.4%	0.03%
SCHB	Schwab U.S. Broad Market ETF	Held	7,020	0	$205,756	+1.2%	0.03%
RSP	Victory Portfolios II	Held	1,094	0	$0	−100.0%	0.00%

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.