Capital Financial Planning, LLC

CIK

1763608

Location

ALBANY, NY

Portfolio Value

Small $236,338,448

Diversification

Moderately concentrated

Filing Date

Global Rank

#4,119 / 7,036 ▼ 145 · as of Sep 2023

Top Industry

Consumer Electronics 44.4%

Period ended 3 years ago

Filed Oct 12, 2023 · 3y

15 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, 2023, never from the firm's own description.

Style

Concentrated

The top 10 positions are 90.9% of the book (60%+)

Turnover

Low turnover

14.8% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 14.1 quarters (12+), a floor since 83.0% of the book was already held when coverage starts

Closest benchmark: every 13F filer's combined book, active share 81.2%; sector active share 70.8% against the combined 13F book's sector weights.

Over time 15 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

84 tracked positions · as of Sep 30, 2023 · Δ vs Jun 30, 2023

Top Position

43.7%

+2.1 pts

Top 5

80.1%

+0.5 pts

Top 10

90.9%

+1.3 pts

HHI

2,323

Moderately concentrated+133

Portfolio Trend

15 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2023

Sector	% Portfolio	Value	Positions
Unclassified	83.4%	$197,175,082	53
Technology	11.0%	$25,968,925	8
Financial Services	2.0%	$4,740,962	3
Consumer Cyclical	1.0%	$2,402,414	5
Communication Services	0.8%	$1,916,037	3
Healthcare	0.8%	$1,778,057	5
Industrials	0.5%	$1,288,080	3
Consumer Defensive	0.5%	$1,068,891	4

Last Quarter's Activity

Export CSV

Sep 30, 2023 vs Jun 30, 2023

Added To

Positions the filer increased

24 positions

Ticker	Company	Δ Shares	Shares	Value
COWZ	Pacer US Cash Cows 100 ETF	+9,979	128,254	$6,339,595
RSPS	Victory Portfolios II	+7,466	9,328	$280,213
—		+7,270	87,772	$1,735,954
SMMD	iShares Russell 2500 ETF	+5,976	249,984	$13,626,627
RSPU	Victory Portfolios II	+2,819	5,609	$282,076
AAPL	Apple Inc.	+2,647	101,538	$17,384,320
MGC	VANGUARD MORNINGSTAR MEGA CAP INDEX FUND	+2,280	5,172	$785,471
IHAK	iShares Cybersecurity and Tech ETF	+2,107	41,107	$1,583,030
VTV	VANGUARD VALUE INDEX FUND	+1,730	326,927	$45,093,041
MSFT	Microsoft Corp	+1,258	16,413	$5,182,404
VUG	VANGUARD GROWTH INDEX FUND	+1,253	148,241	$40,367,506
NVDA	Nvidia Corp	+683	4,878	$2,121,881
SPY	Spdr S&P 500 ETF Trust	+429	3,802	$1,625,278
GE	General Electric Co	+301	4,021	$444,521
GOOG	Alphabet Inc.	+131	9,717	$1,281,186
SPSB	State Street(R) SPDR(R) Portfolio Short Term Corporate Bond ETF	+75	7,155	$209,784
DRIV	Global X Autonomous & Electric Vehicles ETF	+67	13,852	$325,383
PEP	Pepsico Inc	+62	1,397	$236,707
VCR	VANGUARD CONSUMER DISCRETIONARY INDEX FUND	+60	1,441	$388,162
FTSM	First Trust Enhanced Short Maturity ETF	+52	8,006	$475,716
BRK-B	Berkshire Hathaway Inc	+40	3,845	$1,346,903
DFIV	Dimensional International Value ETF	+27	14,544	$474,425
DFAS	Dimensional U.S. Small Cap ETF	+11	8,761	$459,864
HSY	Hershey Co	+1	1,081	$216,286
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
DGRO	iShares Core Dividend Growth ETF	−14,103	156,560	$7,754,416
XLF	State Street Corp	−9,422	89,758	$2,977,272
VEU	Vanguard International Equity Index Funds	−6,774	4,497	$233,259
IEFA	iShares Core MSCI EAFE ETF	−6,431	19,173	$1,233,782
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	−6,416	29,737	$3,828,341
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	−6,255	63,653	$10,434,636
LMBS	First Trust Low Duration Opportunities ETF	−6,151	191,888	$9,064,789
LQD	iShares iBoxx $ Investment Grade Corporate Bond ETF	−6,121	13,457	$1,372,883
IJR	iShares Core S&P Small-Cap ETF	−5,269	11,571	$1,091,492
VZ	Verizon Communications Inc	−4,359	8,202	$265,826
FAN	First Trust Global Wind Energy ETF	−3,988	15,579	$225,739
—		−3,448	24,369	$0
IEMG	iShares Trust	−3,074	49,431	$0
CORP	PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund	−2,926	69,479	$6,330,926
XLY	State Street(R) Consumer Discretionary Select Sector SPDR(R) ETF	−2,773	51,941	$8,361,462
AGG	iShares Core U.S. Aggregate Bond ETF	−2,553	13,812	$1,298,880
VO	VANGUARD MID-CAP INDEX FUND	−2,550	39,582	$8,242,555
DEED	First Trust Securitized Plus ETF	−2,451	11,838	$236,452
FIXD	First Trust Smith Opportunistic Fixed Income ETF	−2,259	14,636	$615,516
CSCO	Cisco Systems, Inc.	−2,154	3,875	$208,320
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	−2,141	8,085	$476,449
EEM	iShares MSCI Emerging Markets ETF	−2,106	13,686	$519,383
IEF	iShares 7-10 Year Treasury Bond ETF	−1,803	3,721	$340,806
XT	iShares Future Exponential Technologies ETF	−1,627	42,770	$2,233,021
GOOGL	Alphabet Inc.	−1,618	2,820	$369,025
No positions match the current search.

New Positions

Positions the filer opened this quarter

2 positions

Ticker	Company	Shares	Value
GMED	Globus Medical Inc	5,082	$252,321
XLI	State Street(R) Industrial Select Sector SPDR(R) ETF	1,981	$200,833
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
HYG	iShares iBoxx $ High Yield Corporate Bond ETF	19,130	$1,436,089
MGK	VANGUARD MEGA CAP GROWTH INDEX FUND	2,930	$689,487
JNK	State Street(R) SPDR(R) Bloomberg High Yield Bond ETF	5,391	$496,133
MGV	VANGUARD MORNINGSTAR MEGA CAP VALUE INDEX FUND	4,187	$434,443
ITB	iShares U.S. Home Construction ETF	4,013	$342,870
FLOT	iShares Floating Rate Bond ETF	6,377	$324,079
VPL	VANGUARD PACIFIC STOCK INDEX FUND	4,544	$316,807
GLD	Spdr Gold Trust	1,682	$299,850
—		2,831	$291,309
SPTI	State Street(R) SPDR(R) Portfolio Intermediate Term Treasury ETF	10,292	$291,160
QCLN	First Trust NASDAQ Clean Edge Green Energy Index Fund	5,622	$287,621
MUB	iShares National Muni Bond ETF	2,679	$285,929
—		6,777	$281,855
PFE	Pfizer Inc	7,255	$266,113
V	Visa Inc.	1,001	$237,717
META	Meta Platforms, Inc.	812	$233,027
SOXX	iShares Semiconductor ETF	456	$231,310
VBK	VANGUARD SMALL-CAP GROWTH INDEX FUND	976	$224,226
EFG	iShares MSCI EAFE Growth ETF	2,331	$222,400
BND	VANGUARD TOTAL BOND MARKET INDEX FUND	3,055	$222,067
VV	VANGUARD LARGE-CAP INDEX FUND	1,045	$211,842
LOW	Lowes Companies Inc	925	$208,772
DIS	Walt Disney Co	2,316	$206,772
VOT	VANGUARD MID-CAP GROWTH INDEX FUND	1,003	$206,387
GILD	Gilead Sciences, Inc.	2,644	$203,773
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

84 tracked positions · $236,338,448 total · filing declares 85 positions · $247,634,062 · as of Sep 30, 2023

All sectors Communication Services Consumer Cyclical Consumer Defensive Financial Services Healthcare Industrials Technology

Showing 1–50 of 84 positions by value · page 1 of 2

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
VTV	VANGUARD VALUE INDEX FUND	Added	326,927	+1,730	$45,093,041	−2.4%	15+	before history	19.08%
VUG	VANGUARD GROWTH INDEX FUND	Added	148,241	+1,253	$40,367,506	−2.9%	15+	before history	17.08%
AAPL	Apple Inc. Technology	Added	101,538	+2,647	$17,384,320	−9.4%	15+	before history	7.36%
SMMD	iShares Russell 2500 ETF	Added	249,984	+5,976	$13,626,627	−2.8%	13	unpriced	5.77%
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	Reduced	63,653	-6,255	$10,434,636	−14.1%	15+	before history	4.42%
LMBS	First Trust Low Duration Opportunities ETF	Reduced	191,888	-6,151	$9,064,789	−4.0%	15+	before history	3.84%
XLY	State Street(R) Consumer Discretionary Select Sector SPDR(R) ETF	Reduced	51,941	-2,773	$8,361,462	−10.0%	15+	before history	3.54%
VO	VANGUARD MID-CAP INDEX FUND	Reduced	39,582	-2,550	$8,242,555	−11.1%	15+	before history	3.49%
DGRO	iShares Core Dividend Growth ETF	Reduced	156,560	-14,103	$7,754,416	−11.8%	15+	before history	3.28%
COWZ	Pacer US Cash Cows 100 ETF	Added	128,254	+9,979	$6,339,595	+12.0%	6	$46.73	2.68%
CORP	PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund	Reduced	69,479	-2,926	$6,330,926	−7.8%	15+	before history	2.68%
VB	Vanguard Index Funds	Reduced	29,518	-543	$5,580,968	−6.7%	15+	before history	2.36%
MSFT	Microsoft Corp Technology	Added	16,413	+1,258	$5,182,404	+0.4%	15+	before history	2.19%
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	Reduced	29,737	-6,416	$3,828,341	−20.2%	15+	before history	1.62%
XLC	State Street(R) Communication Services Select Sector SPDR(R) ETF	Reduced	55,512	-164	$3,639,921	+0.5%	12	unpriced	1.54%
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	Reduced	14,806	-257	$3,144,942	−5.2%	15+	before history	1.33%
XLF	State Street Corp Financial Services	Reduced	89,758	-9,422	$2,977,272	−10.9%	15+	before history	1.26%
DFUS	Dimensional U.S. Equity Market ETF	Reduced	55,256	-315	$2,572,166	−3.9%	6	$44.31	1.09%
XT	iShares Future Exponential Technologies ETF	Reduced	42,770	-1,627	$2,233,021	−9.5%	13	unpriced	0.94%
NVDA	Nvidia Corp Technology	Added	4,878	+683	$2,121,881	+19.6%	15+	before history	0.90%
		Added	87,772	+7,270	$1,735,954	+7.0%	15+	before history	0.73%
SPY	Spdr S&P 500 ETF Trust	Added	3,802	+429	$1,625,278	+8.7%	15+	before history	0.69%
IHAK	iShares Cybersecurity and Tech ETF	Added	41,107	+2,107	$1,583,030	+7.3%	8	unpriced	0.67%
LQD	iShares iBoxx $ Investment Grade Corporate Bond ETF	Reduced	13,457	-6,121	$1,372,883	−35.2%	15+	before history	0.58%
BRK-B	Berkshire Hathaway Inc Financial Services	Added	3,845	+40	$1,346,903	+3.8%	15+	before history	0.57%
AGG	iShares Core U.S. Aggregate Bond ETF	Reduced	13,812	-2,553	$1,298,880	−19.0%	11	unpriced	0.55%
GOOG	Alphabet Inc. Communication Services	Added	9,717	+131	$1,281,186	+10.5%	15+	before history	0.54%
IEFA	iShares Core MSCI EAFE ETF	Reduced	19,173	-6,431	$1,233,782	−28.6%	15+	before history	0.52%
IJR	iShares Core S&P Small-Cap ETF	Reduced	11,571	-5,269	$1,091,492	−35.0%	15+	before history	0.46%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	8,406	-339	$1,068,570	−6.3%	15+	before history	0.45%
VOO	VANGUARD 500 INDEX FUND	Reduced	2,105	-980	$826,633	−34.2%	15+	before history	0.35%
MGC	VANGUARD MORNINGSTAR MEGA CAP INDEX FUND	Added	5,172	+2,280	$785,471	+73.6%	15+	before history	0.33%
IVV	iShares Core S&P 500 ETF	Reduced	1,736	-782	$745,490	−33.6%	15+	before history	0.32%
FIXD	First Trust Smith Opportunistic Fixed Income ETF	Reduced	14,636	-2,259	$615,516	−17.5%	15+	before history	0.26%
JNJ	Johnson & Johnson Healthcare	Reduced	3,782	-302	$589,046	−12.9%	15+	before history	0.25%
DFAC	Dimensional U.S. Core Equity 2 ETF	Reduced	21,680	-640	$568,016	−6.3%	6	$25.32	0.24%
TSLA	Tesla, Inc. Consumer Cyclical	Reduced	2,162	-45	$540,975	−6.4%	13	unpriced	0.23%
VRSK	Verisk Analytics, Inc. Industrials	Held	2,266	0	$535,319	+4.5%	15+	before history	0.23%
EEM	iShares MSCI Emerging Markets ETF	Reduced	13,686	-2,106	$519,383	−16.9%	15+	before history	0.22%
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	Reduced	8,085	-2,141	$476,449	−28.8%	15+	before history	0.20%
FTSM	First Trust Enhanced Short Maturity ETF	Added	8,006	+52	$475,716	+0.7%	6	$59.46	0.20%
DFIV	Dimensional International Value ETF	Added	14,544	+27	$474,425	−0.5%	6	$31.88	0.20%
DFAS	Dimensional U.S. Small Cap ETF	Added	8,761	+11	$459,864	−4.1%	6	$51.85	0.19%
ELV	Elevance Health, Inc. Healthcare	Reduced	1,050	-1	$457,191	−2.1%	10	$384.26	0.19%
GE	General Electric Co Industrials	Added	4,021	+301	$444,521	+8.8%	6	unpriced	0.19%
DFUV	Dimensional U.S. Marketwide Value ETF	Held	12,257	0	$416,983	−1.4%	6	$33.28	0.18%
JPM	Jpmorgan Chase & Co Financial Services	Reduced	2,874	-67	$416,787	−2.6%	15+	before history	0.18%
EFA	iShares MSCI EAFE ETF	Reduced	5,880	-186	$405,249	−7.9%	15+	before history	0.17%
VCR	VANGUARD CONSUMER DISCRETIONARY INDEX FUND	Added	1,441	+60	$388,162	−0.8%	8	unpriced	0.16%
ADP	Automatic Data Processing Inc Technology	Reduced	1,600	-5	$384,928	+9.1%	15+	before history	0.16%

Showing the top 50 of 84 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.