PROFESSIONAL PLANNING

CIK

1740871

Location

THOUSAND OAKS, CA

Portfolio Value

Small $208,427,103

Diversification

Diversified

Filing Date

Global Rank

#4,341 / 6,035 ▼ 39 · as of Sep 2021

Top Industry

Consumer Electronics 16.3%

Period ended 5 years ago

Filed Nov 15, 2021 · 4y

7 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, 2021, never from the firm's own description.

Style

Diversified active

Top 10 weight 56.7%, 21.2 effective positions, active share 56.8% against the S&P 500 as of 2021-09-30; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

10.9% over the last four quarters (under 30%)

Horizon

Horizon unknown

The value-weighted holding period is at least 5.4 quarters, but 49.3% of the book was already held when coverage starts

Closest benchmark: the S&P 500 as of 2021-09-30, active share 56.8%; sector active share 24.7% against the combined 13F book's sector weights.

Over time 7 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

124 tracked positions · as of Sep 30, 2021 · Δ vs Jun 30, 2021

Top Position

12.5%

+0.5 pts

Top 5

39.3%

+0.2 pts

Top 10

56.7%

+1.2 pts

HHI

471

Diversified+8

Portfolio Trend

7 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2021

Sector	% Portfolio	Value	Positions
Unclassified	23.2%	$48,454,812	52
Technology	23.2%	$48,297,972	9
Consumer Cyclical	19.3%	$40,199,140	11
Financial Services	13.7%	$28,604,996	15
Communication Services	8.3%	$17,328,151	6
Healthcare	4.7%	$9,829,231	11
Consumer Defensive	4.1%	$8,494,017	6
Industrials	2.3%	$4,701,161	9
Basic Materials	0.7%	$1,504,288	3
Utilities	0.4%	$891,347	1
Real Estate	0.1%	$121,988	1

Last Quarter's Activity

Export CSV

Sep 30, 2021 vs Jun 30, 2021

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
IHI	iShares U.S. Medical Devices ETF	+16,795	20,279	$1,273,115
NVDA	Nvidia Corp	+15,561	21,000	$4,350,360
—		+6,078	16,069	$440,129
JPST	JPMorgan Ultra-Short Income ETF	+3,930	17,502	$887,701
MINT	PIMCO Enhanced Short Maturity Active Exchange-Traded Fund	+3,848	10,909	$1,111,954
STIP	iShares 0-5 Year TIPS Bond ETF	+3,786	25,067	$2,647,827
DIS	Walt Disney Co	+3,757	22,215	$3,758,111
JMST	JPMorgan Ultra-Short Municipal Income ETF	+3,575	11,860	$605,749
PAVE	Global X U.S. Infrastructure Development ETF	+2,833	35,159	$893,390
PSI	Victory Portfolios II	+1,813	8,288	$352,405
SCHD	Schwab U.S. Dividend Equity ETF	+1,800	6,269	$465,411
GSY	Invesco Ultra Short Duration ETF	+1,531	6,518	$328,963
HYLS	First Trust Tactical High Yield ETF	+1,512	7,304	$351,979
MOAT	VanEck Morningstar Wide Moat ETF	+1,508	22,837	$1,672,810
VEA	Vanguard FTSE Developed Markets ETF	+977	7,767	$392,155
DHR	Danaher Corp	+921	2,642	$804,330
C	Citigroup Inc	+809	6,391	$448,520
IVE	iShares S&P 500 Value ETF	+789	4,237	$616,144
PYPL	PayPal Holdings, Inc.	+658	4,926	$1,281,794
FIDU	Fidelity MSCI Industrials Index ETF	+579	25,153	$1,305,189
XMPT	VanEck CEF Muni Income ETF	+508	7,509	$220,539
QQQX	Nuveen NASDAQ 100 Dynamic Overwrite Fund	+491	23,181	$657,876
ABBV	AbbVie Inc.	+472	7,604	$820,243
FNCL	Fidelity MSCI Financials Index ETF	+469	16,688	$895,978
QQQ	Invesco Qqq Trust, Series 1	+437	31,379	$11,232,426
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
BIV	Vanguard Bond Index Funds	−32,878	11,686	$1,045,195
FCOR	Fidelity Corporate Bond ETF	−8,161	62,091	$3,437,295
BND	VANGUARD TOTAL BOND MARKET INDEX FUND	−7,703	3,853	$329,238
AAPL	Apple Inc.	−6,569	184,441	$26,098,401
VZ	Verizon Communications Inc	−5,527	6,661	$359,760
XLI	State Street(R) Industrial Select Sector SPDR(R) ETF	−5,475	14,218	$1,391,089
JPM	Jpmorgan Chase & Co	−3,169	12,889	$2,109,800
MSFT	Microsoft Corp	−2,602	45,047	$12,699,650
V	Visa Inc.	−2,028	39,149	$8,720,439
PBW	Victory Portfolios II	−1,830	17,487	$1,350,695
LQD	iShares iBoxx $ Investment Grade Corporate Bond ETF	−1,736	11,378	$1,513,615
PEJ	Victory Portfolios II	−1,499	4,013	$202,014
FMAT	Fidelity MSCI Materials Index ETF	−1,489	12,781	$565,814
MA	Mastercard Inc	−1,286	25,060	$8,712,860
BA	Boeing Co	−1,089	5,488	$1,207,030
LUV	Southwest Airlines Co	−844	6,581	$338,460
HD	Home Depot, Inc.	−775	12,869	$4,224,377
EXP	Eagle Materials Inc	−765	2,259	$296,290
AWK	American Water Works Company, Inc.	−709	5,273	$891,347
CZR	Caesars Entertainment, Inc.	−641	3,834	$430,481
COST	Costco Wholesale Corp	−600	11,003	$4,944,198
SPLV	Invesco S&P 500 Low Volatility ETF	−588	6,505	$395,764
WCLD	WisdomTree Cloud Computing Fund	−526	5,305	$305,674
ZM	Zoom Communications, Inc.	−493	3,457	$904,005
SBUX	Starbucks Corp	−472	23,528	$2,595,373
No positions match the current search.

New Positions

Positions the filer opened this quarter

5 positions

Ticker	Company	Shares	Value
SCHP	Schwab U.S. TIPS ETF	5,707	$357,144
GS	Goldman Sachs Group Inc	752	$284,278
LDUR	PIMCO Enhanced Low Duration Active Exchange-Traded Fund	2,583	$263,001
BX	Blackstone Inc.	1,876	$218,253
—		1,350	$203,000
No positions match the current search.

Sold Out

Positions the filer fully exited

11 positions

Ticker	Company	Shares	Value
KRE	State Street(R) SPDR(R) S&P(R) Regional Banking ETF	15,212	$996,842
TTD	Trade Desk, Inc.	8,650	$669,164
CRSP	CRISPR Therapeutics AG	1,835	$297,068
BABA	Alibaba Group Holding Ltd	1,283	$290,958
ROKU	Roku, Inc	574	$263,609
T	At&T Inc.	9,018	$259,538
BIDU	Baidu, Inc.	1,258	$256,506
—		2,581	$246,000
VWO	VANGUARD EMERGING MARKETS STOCK INDEX FUND	4,177	$226,852
HERO	Global X Video Games & Esports ETF	6,995	$226,008
XAR	State Street(R) SPDR(R) S&P(R) Aerospace & Defense ETF	1,663	$220,014
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

124 tracked positions · $208,427,103 total · filing declares 124 positions · $209,397,000 · as of Sep 30, 2021

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

Showing 1–50 of 124 positions by value · page 1 of 3

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
AAPL	Apple Inc. Technology	Reduced	184,441	-6,569	$26,098,401	−0.2%	7+	before history	12.52%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	7,062	-255	$23,198,952	−7.8%	4	$3,191.56	11.13%
MSFT	Microsoft Corp Technology	Reduced	45,047	-2,602	$12,699,650	−1.6%	7+	before history	6.09%
QQQ	Invesco Qqq Trust, Series 1	Added	31,379	+437	$11,232,426	+2.4%	7+	before history	5.39%
V	Visa Inc. Financial Services	Reduced	39,149	-2,028	$8,720,439	−9.4%	7+	before history	4.18%
MA	Mastercard Inc Financial Services	Reduced	25,060	-1,286	$8,712,860	−9.4%	7+	before history	4.18%
TSLA	Tesla, Inc. Consumer Cyclical	Reduced	7,290	-146	$5,653,248	+11.9%	4	$511.95	2.71%
COST	Costco Wholesale Corp Consumer Defensive	Reduced	11,003	-600	$4,944,198	+7.7%	7+	before history	2.37%
GOOGL	Alphabet Inc. Communication Services	Added	1,779	+11	$4,756,192	+10.2%	4	$1,689.90	2.28%
NVDA	Nvidia Corp Technology	Added	21,000	+15,561	$4,350,360	−0.0%	4	$135.60	2.09%
HD	Home Depot, Inc. Consumer Cyclical	Reduced	12,869	-775	$4,224,377	−2.9%	7+	before history	2.03%
DIS	Walt Disney Co Communication Services	Added	22,215	+3,757	$3,758,111	+15.8%	7+	before history	1.80%
META	Meta Platforms, Inc. Communication Services	Reduced	10,830	-236	$3,675,593	−4.5%	7+	before history	1.76%
MRNA	Moderna, Inc. Healthcare	Added	9,539	+109	$3,671,179	+65.7%	6	$62.30	1.76%
FCOR	Fidelity Corporate Bond ETF	Reduced	62,091	-8,161	$3,437,295	−12.2%	7+	before history	1.65%
GOOG	Alphabet Inc. Communication Services	Added	1,264	+3	$3,368,000	+6.6%	4	unpriced	1.62%
SPY	Spdr S&P 500 ETF Trust	Added	6,269	+58	$2,690,278	+1.2%	4	$355.57	1.29%
STIP	iShares 0-5 Year TIPS Bond ETF	Added	25,067	+3,786	$2,647,827	+17.0%	3	unpriced	1.27%
SBUX	Starbucks Corp Consumer Cyclical	Reduced	23,528	-472	$2,595,373	−3.3%	7+	before history	1.25%
JPM	Jpmorgan Chase & Co Financial Services	Reduced	12,889	-3,169	$2,109,800	−15.5%	7+	before history	1.01%
BRK-A	Berkshire Hathaway Inc Financial Services	Held	5	0	$2,056,895	−1.7%	4	$330,761.80	0.99%
BRK-B	Berkshire Hathaway Inc Financial Services	Added	6,500	+49	$1,774,110	−1.0%	4	$224.33	0.85%
MOAT	VanEck Morningstar Wide Moat ETF	Added	22,837	+1,508	$1,672,810	+5.9%	7+	before history	0.80%
LQD	iShares iBoxx $ Investment Grade Corporate Bond ETF	Reduced	11,378	-1,736	$1,513,615	−14.1%	7+	before history	0.73%
NFLX	Netflix Inc Communication Services	Reduced	2,311	-338	$1,410,495	+0.8%	4	$506.98	0.68%
XLI	State Street(R) Industrial Select Sector SPDR(R) ETF	Reduced	14,218	-5,475	$1,391,089	−31.0%	4	unpriced	0.67%
PBW	Victory Portfolios II	Reduced	17,487	-1,830	$1,350,695	−25.0%	7+	before history	0.65%
WMT	Walmart Inc. Consumer Defensive	Added	9,652	+271	$1,345,295	+1.7%	7+	before history	0.65%
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	Added	6,003	+19	$1,333,026	−0.0%	4	unpriced	0.64%
FIDU	Fidelity MSCI Industrials Index ETF	Added	25,153	+579	$1,305,189	−2.1%	3	$50.12	0.63%
PYPL	PayPal Holdings, Inc. Financial Services	Added	4,926	+658	$1,281,794	+3.0%	4	$221.26	0.61%
IHI	iShares U.S. Medical Devices ETF	Added	20,279	+16,795	$1,273,115	+1.2%	4	unpriced	0.61%
BA	Boeing Co Industrials	Reduced	5,488	-1,089	$1,207,030	−23.4%	4	$192.23	0.58%
MCD	Mcdonalds Corp Consumer Cyclical	Added	4,970	+421	$1,198,316	+14.0%	4	$220.63	0.57%
NKE	NIKE, Inc. Consumer Cyclical	Reduced	8,103	-194	$1,176,798	−8.2%	4	$132.58	0.56%
ABT	Abbott Laboratories Healthcare	Reduced	9,871	-339	$1,166,061	−1.5%	6	$90.92	0.56%
MINT	PIMCO Enhanced Short Maturity Active Exchange-Traded Fund	Added	10,909	+3,848	$1,111,954	+54.4%	4	$101.98	0.53%
XYZ	Block, Inc. Technology	Reduced	4,411	-13	$1,057,934	−1.9%	4	$202.06	0.51%
CRM	Salesforce, Inc. Technology	Added	3,892	+110	$1,055,588	+14.3%	4	$243.49	0.51%
FFIN	First Financial Bankshares Inc Financial Services	Held	22,802	0	$1,047,751	−6.5%	7+	before history	0.50%
BIV	Vanguard Bond Index Funds	Reduced	11,686	-32,878	$1,045,195	−73.9%	7+	before history	0.50%
TGT	Target Corp Consumer Defensive	Reduced	4,412	-185	$1,009,333	−9.2%	4	$170.89	0.48%
ADBE	Adobe Inc. Technology	Added	1,722	+69	$991,389	+2.4%	4	$488.97	0.48%
SHW	Sherwin Williams Co Basic Materials	Added	3,504	+15	$980,173	+3.1%	4	$237.45	0.47%
ZM	Zoom Communications, Inc. Technology	Reduced	3,457	-493	$904,005	−40.9%	4	$445.83	0.43%
FNCL	Fidelity MSCI Financials Index ETF	Added	16,688	+469	$895,978	+5.5%	3	$48.39	0.43%
PAVE	Global X U.S. Infrastructure Development ETF	Added	35,159	+2,833	$893,390	+7.3%	2	unpriced	0.43%
AWK	American Water Works Company, Inc. Utilities	Reduced	5,273	-709	$891,347	−3.3%	4	$153.97	0.43%
AMD	Advanced Micro Devices Inc Technology	Added	8,633	+381	$888,335	+14.6%	4	$85.81	0.43%
JPST	JPMorgan Ultra-Short Income ETF	Added	17,502	+3,930	$887,701	+28.9%	4	unpriced	0.43%

Showing the top 50 of 124 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.