Claraphi Advisory Network, LLC

Registered adviser

CIK

1724134

Location

ALISO VIEJO, X1

Portfolio Value

Small $244,609,898

Diversification

Diversified

Reports for

CONGRESS ASSET MANAGEMENT CO /MA WINDWARD CAPITAL MANAGEMENT CO /CA Horizon Investment Services, LLC Donoghue Forlines LLC Howard Capital Management Inc. Sterling Global Strategies LLC

Filing Date

Global Rank

#3,809 / 7,091 ▲ 495 · as of Dec 2022

Top Industry

Asset Management 11.1%

Period ended 3 years ago

Filed Feb 15, 2023 · 3y

12 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 165868

Roster of Nov 1, 2026

Regulatory AUM

$382,500,156

Main clients

Individuals and high net worth (94% 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
May 2023 to Nov 2026	$382,500,156	Individuals and high net worth (94%)
Apr 2023	$382,500,156	Individuals and high net worth (94%)
Apr 2022 to Mar 2023	$969,896,457	Individuals and high net worth (96%)
Apr 2021 to Mar 2022	$1,070,426,042	Individuals and high net worth (96%)
Apr 2020 to Mar 2021	$894,202,632	Individuals and high net worth (97%)
Dec 2019 to Mar 2020	$594,905,457	Individuals and high net worth (96%)

Portfolio style

Measured from the filed 13F common-share book for Dec 31, 2022, never from the firm's own description.

Style

Diversified active

Top 10 weight 45.0%, 19.1 effective positions, active share 76.7% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Medium turnover

95.2% over the last four quarters (30% to under 100%)

Horizon

Horizon unknown

The value-weighted holding period is at least 7.0 quarters, but 42.5% of the book was already held when coverage starts

Closest benchmark: every 13F filer's combined book, active share 76.7%; sector active share 56.3% against the combined 13F book's sector weights.

Over time 12 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.

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Portfolio Concentration

154 tracked positions · as of Dec 31, 2022 · Δ vs Sep 30, 2022

Top Position

19.9%

−12.6 pts

Top 5

33.0%

−12.0 pts

Top 10

45.0%

−7.7 pts

HHI

524

Diversified−612

Portfolio Trend

12 quarters · across all stocks

Sector Breakdown

As of Dec 31, 2022

Sector	% Portfolio	Value	Positions
Unclassified	67.8%	$165,787,365	93
Energy	6.3%	$15,354,325	7
Technology	5.2%	$12,802,343	8
Healthcare	4.5%	$11,105,103	7
Financial Services	3.9%	$9,584,077	18
Industrials	3.4%	$8,323,656	5
Consumer Cyclical	2.2%	$5,411,294	2
Basic Materials	2.2%	$5,354,894	5
Communication Services	1.8%	$4,521,988	4
Utilities	1.1%	$2,602,133	1
Consumer Defensive	1.0%	$2,440,920	3
Real Estate	0.5%	$1,321,800	1

Last Quarter's Activity

Export CSV

Dec 31, 2022 vs Sep 30, 2022

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
SH	ProShares Short S&P500	+180,713	307,270	$4,925,538
PDBC	Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF	+139,141	283,600	$4,191,608
SHY	iShares 1-3 Year Treasury Bond ETF	+92,733	277,692	$22,540,259
—		+72,161	140,420	$1,739,803
—		+67,663	140,486	$0
—		+66,117	127,588	$1,820,680
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	+65,043	70,188	$6,139,344
PML	Pimco Municipal Income Fund II	+62,907	120,384	$1,088,271
SDCI	USCF ETF Trust	+57,924	86,356	$1,572,974
FDL	First Trust Morningstar Dividend Leaders Index Fund	+48,385	67,470	$2,466,703
VVR	Invesco Senior Income Trust	+47,500	63,000	$241,290
VTIP	VANGUARD SHORT-TERM INFLATION-PROTECTED SECURITIES INDEX FUND	+44,704	73,130	$3,415,902
COWZ	Pacer US Cash Cows 100 ETF	+42,482	91,072	$4,212,080
NCV	Virtus Convertible & Income Fund	+40,447	89,394	$303,939
FLRN	State Street(R) SPDR(R) Bloomberg Investment Grade Floating Rate ETF	+40,262	60,746	$1,846,070
—		+38,856	60,684	$5,550,765
KYN	Kayne Anderson Energy Infrastructure Fund, Inc.	+33,468	56,300	$481,928
FXN	First Trust Energy AlphaDEX Fund	+32,601	67,404	$1,151,934
DBMF	iMGP DBI Managed Futures Strategy ETF	+30,282	45,556	$1,326,135
—		+26,822	52,160	$2,139,081
—		+26,068	82,732	$2,335,524
TFLO	iShares Treasury Floating Rate Bond ETF	+25,496	64,262	$3,239,447
DNA	Ginkgo Bioworks Holdings, Inc.	+24,043	34,880	$58,947
MRK	Merck & Co., Inc.	+23,573	27,922	$3,097,945
EFA	iShares MSCI EAFE ETF	+20,417	70,106	$4,601,757
No positions match the current search.

Trimmed

Positions the filer reduced

14 positions

Ticker	Company	Δ Shares	Shares	Value
OCCI	OFS Credit Company, Inc.	−52,781	23,116	$187,701
IVV	iShares Core S&P 500 ETF	−44,345	19,316	$7,421,400
ASG	Liberty All Star Growth Fund Inc.	−29,948	98,430	$485,259
QYLD	Global X NASDAQ 100 Covered Call ETF	−16,349	81,116	$1,290,555
BXMX	Nuveen S&P 500 BuyWrite Income Fund	−14,624	48,030	$0
TIP	iShares TIPS Bond ETF	−13,164	4,128	$439,384
HQH	abrdn Healthcare Investors	−12,191	37,878	$681,804
CVS	CVS HEALTH Corp	−9,424	7,320	$682,150
EOS	Eaton Vance Enhanced Equity Income Fund II	−8,809	45,866	$759,082
STK	Columbia Seligman Premium Technology Growth Fund, Inc.	−5,167	31,990	$743,127
AGG	iShares Core U.S. Aggregate Bond ETF	−2,990	5,244	$508,615
TSLA	Tesla, Inc.	−1,473	27,816	$3,426,374
LIT	Global X Lithium and Battery Tech ETF	−795	8,034	$470,872
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	−721	15,612	$1,100,646
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
COP	Conocophillips	19,338	$2,281,884
GDX	VanEck Gold Miners ETF	63,588	$1,822,432
RDVY	First Trust Rising Dividend Achievers ETF	38,064	$1,671,770
—		50,676	$1,487,847
PICK	iShares MSCI Global Metals & Mining Producers ETF	34,888	$1,430,408
AIRR	First Trust Exchange-Traded Fund VI	31,590	$1,393,750
FBT	First Trust NYSE Arca Biotechnology Index Fund	8,736	$1,346,479
STLD	Steel Dynamics Inc	13,666	$1,335,168
GNR	State Street(R) SPDR(R) S&P(R) Global Natural Resources ETF	23,036	$1,313,512
VAL	Valaris Ltd	19,208	$1,298,844
SLB	Slb Limited	24,048	$1,285,606
XME	State Street(R) SPDR(R) S&P(R) Metals & Mining ETF	24,272	$1,208,988
MUX	McEwen Inc.	205,558	$1,204,569
AEM	Agnico Eagle Mines Ltd	23,036	$1,197,641
GFI	Gold Fields Ltd	113,748	$1,177,291
RSPG	Victory Portfolios II	15,932	$1,158,097
RZV	Victory Portfolios II	12,678	$1,120,481
FVC	First Trust Dorsey Wright Dynamic Focus 5 ETF	30,698	$1,074,890
VFVA	VANGUARD U.S. VALUE FACTOR ETF	10,660	$1,051,822
RFV	Victory Portfolios II	11,550	$1,047,931
CAT	Caterpillar Inc	3,612	$865,290
EFR	Eaton Vance Senior Floating-Rate Trust	68,062	$744,598
MO	Altria Group, Inc.	14,754	$674,405
FXU	First Trust Utilities AlphaDEX Fund	19,554	$649,388
ITA	iShares U.S. Aerospace & Defense ETF	5,466	$611,426
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
USMV	iShares MSCI USA Min Vol Factor ETF	49,774	$3,290,061
ZS	Zscaler, Inc.	19,977	$3,283,619
ITOT	iShares Core S&P Total U.S. Stock Market ETF	30,058	$2,390,813
EXC	Exelon Corp	30,906	$1,157,738
SO	Southern Co	16,608	$1,129,344
AMT	American Tower Corp	5,010	$1,075,647
PFIX	Simplify Interest Rate Hedge ETF	13,532	$922,747
GSG	iShares S&P GSCI Commodity-Indexed Trust	44,813	$922,251
SQM	Chemical & Mining Co Of Chile Inc	9,999	$907,409
BSV	VANGUARD SHORT-TERM BOND INDEX FUND	10,763	$805,287
MGTX	MeiraGTx Holdings plc	93,836	$789,160
GLTR	abrdn Precious Metals Basket ETF Trust	8,787	$712,889
LNG	Cheniere Energy, Inc.	4,173	$692,342
UUP	Invesco DB US Dollar Index Bullish Fund	22,665	$683,349
AMRC	Ameresco, Inc.	10,225	$679,758
OXY	Occidental Petroleum Corp	11,042	$678,530
FCG	First Trust Natural Gas ETF	29,520	$674,236
—		10,100	$674,000
VGSH	VANGUARD SHORT-TERM TREASURY INDEX FUND	11,544	$667,127
SPUU	Direxion Daily S&P 500 Bull 2X Shares	10,347	$655,896
—		17,129	$646,277
EXE	EXPAND ENERGY Corp	6,828	$643,265
SPXS	Direxion Daily S&P 500 Bear 3X Shares	21,494	$634,932
NFE	New Fortress Energy Inc.	14,514	$634,406
ORA	Ormat Technologies, Inc.	7,286	$628,053
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

154 tracked positions · $244,609,898 total · filing declares 157 positions · $251,110,292 · as of Dec 31, 2022

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 154 positions by value · page 1 of 4

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
SHY	iShares 1-3 Year Treasury Bond ETF	Added	277,692	+92,733	$22,540,259	+50.1%	12+	before history	9.21%
IVV	iShares Core S&P 500 ETF	Reduced	19,316	-44,345	$7,421,400	−67.5%	12+	before history	3.03%
AAPL	Apple Inc. Technology	Added	51,994	+16,196	$6,755,580	+36.6%	12+	before history	2.76%
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	Added	70,188	+65,043	$6,139,344	+1556.9%	4	unpriced	2.51%
VOO	VANGUARD 500 INDEX FUND	Added	17,424	+6,148	$6,121,748	+65.4%	12+	before history	2.50%
		Added	60,684	+38,856	$5,550,765	+177.6%	2	$91.49	2.27%
SH	ProShares Short S&P500	Added	307,270	+180,713	$4,925,538	+125.2%	12+	before history	2.01%
XOM	ExxonMobil Holdings Corp Energy	Added	44,484	+18,147	$4,906,585	+113.4%	8	$87.81	2.01%
EFA	iShares MSCI EAFE ETF	Added	70,106	+20,417	$4,601,757	+65.3%	4	unpriced	1.88%
VIG	Vanguard Specialized Funds	Added	30,192	+15,498	$4,584,655	+130.8%	12+	before history	1.87%
COWZ	Pacer US Cash Cows 100 ETF	Added	91,072	+42,482	$4,212,080	+111.3%	5	$46.39	1.72%
PDBC	Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF	Added	283,600	+139,141	$4,191,608	+79.3%	8	$16.93	1.71%
QUAL	iShares MSCI USA Quality Factor ETF	Added	31,812	+4,437	$3,625,295	+27.4%	4	unpriced	1.48%
CVX	Chevron Corp Energy	Added	19,770	+14,976	$3,548,517	+415.2%	12+	before history	1.45%
BA	Boeing Co Industrials	Added	18,230	+15,334	$3,472,632	+890.3%	12+	before history	1.42%
TSLA	Tesla, Inc. Consumer Cyclical	Reduced	27,816	-1,473	$3,426,374	−55.9%	12+	before history	1.40%
VTIP	VANGUARD SHORT-TERM INFLATION-PROTECTED SECURITIES INDEX FUND	Added	73,130	+44,704	$3,415,902	+149.8%	3	$48.57	1.40%
LLY	ELI LILLY & Co Healthcare	Added	9,136	+3,924	$3,342,314	+98.3%	3	$325.41	1.37%
TFLO	iShares Treasury Floating Rate Bond ETF	Added	64,262	+25,496	$3,239,447	+65.5%	3	unpriced	1.32%
MRK	Merck & Co., Inc. Healthcare	Added	27,922	+23,573	$3,097,945	+727.1%	12+	before history	1.27%
SPY	Spdr S&P 500 ETF Trust	Added	8,060	+2,216	$3,082,385	+47.7%	12+	before history	1.26%
GD	General Dynamics Corp Industrials	Added	11,064	+5,097	$2,745,089	+116.8%	4	$232.77	1.12%
UNH	Unitedhealth Group Inc Healthcare	Added	5,028	+2,130	$2,665,745	+82.1%	12+	before history	1.09%
NEE	Nextera Energy Inc Utilities	Added	31,126	+14,239	$2,602,133	+96.5%	12+	before history	1.06%
TMUS	T-Mobile US, Inc. Communication Services	Added	18,216	+8,340	$2,550,240	+92.5%	2	$141.92	1.04%
FDL	First Trust Morningstar Dividend Leaders Index Fund	Added	67,470	+48,385	$2,466,703	+302.3%	4	$36.04	1.01%
GLD	Spdr Gold Trust	Added	14,326	+8,820	$2,430,262	+185.4%	2	$160.97	0.99%
		Added	82,732	+26,068	$2,335,524	+25.4%	12+	before history	0.95%
COP	Conocophillips Energy	NEW	19,338	NEW	$2,281,884	NEW	1	$121.55	0.93%
MOAT	VanEck Morningstar Wide Moat ETF	Added	34,448	+16,953	$2,236,019	+113.1%	12+	before history	0.91%
CWB	State Street(R) SPDR(R) Bloomberg Convertible Securities ETF	Added	33,594	+12,785	$2,161,437	+64.1%	12+	before history	0.88%
MSFT	Microsoft Corp Technology	Added	8,970	+3,343	$2,151,185	+64.1%	12+	before history	0.88%
		Added	52,160	+26,822	$2,139,081	+87.3%	3	$48.92	0.87%
AMZN	Amazon Com Inc Consumer Cyclical	Added	23,630	+3,741	$1,984,920	−11.7%	12+	before history	0.81%
VO	VANGUARD MID-CAP INDEX FUND	Added	9,424	+8,327	$1,920,705	+831.4%	4	unpriced	0.79%
VMBS	VANGUARD MORTGAGE-BACKED SECURITIES INDEX FUND	Added	40,714	+16,358	$1,853,301	+68.8%	7	unpriced	0.76%
FLRN	State Street(R) SPDR(R) Bloomberg Investment Grade Floating Rate ETF	Added	60,746	+40,262	$1,846,070	+197.4%	2	unpriced	0.75%
GDX	VanEck Gold Miners ETF	NEW	63,588	NEW	$1,822,432	NEW	1	unpriced	0.75%
		Added	127,588	+66,117	$1,820,680	+92.5%	4	$20.46	0.74%
		Added	140,420	+72,161	$1,739,803	+106.2%	3	$13.75	0.71%
VTV	VANGUARD VALUE INDEX FUND	Added	12,354	+6,561	$1,734,130	+142.4%	4	unpriced	0.71%
RDVY	First Trust Rising Dividend Achievers ETF	NEW	38,064	NEW	$1,671,770	NEW	1	$43.72	0.68%
QQQ	Invesco Qqq Trust, Series 1	Added	6,206	+3,002	$1,652,533	+93.0%	12+	before history	0.68%
XSOE	WisdomTree Emerging Markets ex-State-Owned Enterprises Fund	Added	61,228	+1,817	$1,633,563	+11.7%	4	unpriced	0.67%
SDCI	USCF ETF Trust	Added	86,356	+57,924	$1,572,974	+149.7%	2	$21.13	0.64%
MPC	Marathon Petroleum Corp Energy	Added	12,838	+6,070	$1,494,214	+122.3%	2	$103.24	0.61%
		NEW	50,676	NEW	$1,487,847	NEW	1	$28.22	0.61%
GSY	Invesco Ultra Short Duration ETF	Added	28,942	+12,011	$1,431,471	+71.2%	12+	before history	0.59%
PICK	iShares MSCI Global Metals & Mining Producers ETF	NEW	34,888	NEW	$1,430,408	NEW	1	$39.12	0.58%
AIRR	First Trust Exchange-Traded Fund VI	NEW	31,590	NEW	$1,393,750	NEW	1	$44.00	0.57%

Showing the top 50 of 154 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.