Kozak & Associates, Inc.

CIK

1764970

Location

HIGHLANDS RANCH, CO

Portfolio Value

Small $510,058,845

Diversification

Diversified

Filing Date

Global Rank

#3,531 / 8,827 ▲ 98 · as of Jun 2026

Top Industry

Semiconductors 19.6%

Period ended 38 days ago

Filed Oct 29, 2026 · 9d

22 quarters · since Dec 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 Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Concentrated

The top 10 positions are 72.7% of the book (60%+)

Turnover

Low turnover

26.8% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 15.9 quarters (12+)

Closest benchmark: every 13F filer's combined book, active share 71.6%; sector active share 54.0% against the combined 13F book's sector weights.

Over time 21 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

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

Top Position

13.1%

−0.7 pts

Top 5

50.7%

+3.6 pts

Top 10

75.7%

+3.0 pts

HHI

696

Diversified+37

Portfolio Trend

22 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	70.2%	$358,314,219	87
Technology	16.2%	$82,379,469	63
Consumer Cyclical	4.1%	$20,998,708	32
Consumer Defensive	2.5%	$12,741,154	17
Communication Services	2.3%	$11,817,625	13
Financial Services	2.0%	$10,387,628	47
Industrials	1.4%	$7,098,842	41
Energy	0.6%	$3,227,435	17
Healthcare	0.3%	$1,771,844	35
Utilities	0.2%	$938,252	13
Real Estate	0.0%	$245,492	11
Basic Materials	0.0%	$138,177	13

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
NLR	VanEck Uranium and Nuclear ETF	+4,274	71,503	$7,397,700
HTGC	Hercules Capital, Inc.	+1,114	4,816	$80,956
T	At&T Inc.	+1,063	6,528	$159,283
GLW	Corning Inc	+642	855	$131,464
IBM	International Business Machines Corp	+638	1,762	$387,516
NOW	ServiceNow, Inc.	+535	5,320	$712,933
VZ	Verizon Communications Inc	+509	1,121	$51,420
GOOG	Alphabet Inc.	+456	25,813	$8,795,521
ADSK	Autodesk, Inc.	+240	431	$90,079
BRSP	BrightSpire Capital, Inc.	+228	3,351	$12,834
IREN	IREN Ltd	+200	650	$26,572
CRWD	CrowdStrike Holdings, Inc.	+198	264	$69,894
DOW	Dow Inc.	+153	223	$6,141
COF	Capital One Financial Corp	+127	2,015	$389,036
SHOP	Shopify Inc.	+100	1,759	$260,859
PEY	Victory Portfolios II	+93	5,913	$0
CRM	Salesforce, Inc.	+82	1,051	$241,278
APH	Amphenol Corp	+56	111	$9,357
BX	Blackstone Inc.	+52	5,725	$641,715
CSX	Csx Corp	+31	16,213	$754,066
CION	CION Investment Corp	+31	718	$5,040
JPM	Jpmorgan Chase & Co	+29	7,488	$2,477,255
WMB	Williams Companies, Inc.	+29	4,069	$276,569
CVX	Chevron Corp	+28	4,573	$933,852
BAC	Bank Of America Corp	+28	4,958	$269,863
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
IYG	iShares U.S. Financial Services ETF	−53,576	251,856	$22,646,891
PYLD		−47,495	633,737	$16,090,582
FNDE	Schwab Fundamental Emerging Markets Equity ETF	−41,109	167,923	$7,030,936
IYJ	iShares U.S. Industrials ETF	−25,439	118,611	$18,191,369
EMXC	iShares MSCI Emerging Markets ex China ETF	−19,459	120,231	$11,912,487
RWL	Invesco Ltd.	−18,601	315,162	$0
IETC	iShares U.S. Tech Independence Focused ETF	−17,733	446,906	$51,014,319
PJFV	PGIM Jennison Focused Value ETF	−13,807	244,862	$24,347,852
—		−13,317	63	$0
SPYG	State Street(R) SPDR(R) Portfolio S&P 500(R) Growth ETF	−12,674	396,637	$48,818,081
MSFT	Microsoft Corp	−7,195	46,394	$23,795,482
AAPL	Apple Inc.	−6,799	72,518	$24,149,944
ORCL	Oracle Corp	−5,989	1,734	$238,078
IJK	iShares S&P Mid-Cap 400 Growth ETF	−5,465	225,037	$24,666,305
SMH	VanEck Semiconductor ETF	−4,223	35,284	$21,487,956
WM	Waste Management Inc	−4,000	52	$10,603
ABBV	AbbVie Inc.	−2,989	1,777	$464,845
SPY	Spdr S&P 500 ETF Trust	−2,577	60,485	$46,127,675
DIA	Spdr Dow Jones Industrial Average ETF Trust	−2,129	19,223	$9,775,856
QQQ	Invesco Qqq Trust, Series 1	−2,125	61,475	$45,477,360
MO	Altria Group, Inc.	−1,949	1,723	$116,026
SCHW	Schwab Charles Corp	−1,824	24,109	$2,356,413
DUK	Duke Energy CORP	−1,782	852	$97,136
NVDA	Nvidia Corp	−1,440	114,912	$26,243,602
AMZN	Amazon Com Inc	−1,033	74,475	$18,555,446
No positions match the current search.

New Positions

Positions the filer opened this quarter

15 positions

Ticker	Company	Shares	Value
MUB	iShares National Muni Bond ETF	3,961	$400,457
HIMU		8,208	$374,941
LEU	Centrus Energy Corp	120	$16,738
HONA	Honeywell Aerospace Inc.	105	$16,271
SPCX	Space Exploration Technologies Corp	103	$15,538
APP	AppLovin Corp	50	$14,521
RKLB	Rocket Lab Corp	200	$13,936
HON	Honeywell International Inc	65	$13,711
CEG	Constellation Energy Corp	50	$12,701
FDXF	FedEx Freight Holding Company, Inc.	113	$12,359
DVN	Devon Energy Corp	250	$11,510
CRWV	CoreWeave, Inc.	113	$9,844
IMTX	Immatics N.V.	1,118	$9,816
NRG	Nrg Energy, Inc.	100	$9,565
FWONK	Liberty Media Corp	10	$924
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
GILD	Gilead Sciences, Inc.	3,000	$379,020
—		680	$139,427
IRM	Iron Mountain Inc	1,000	$126,310
NOC	Northrop Grumman Corp	234	$119,178
GPC	Genuine Parts Co	1,001	$118,097
ETR	Entergy Corp	1,000	$114,860
MFC	Manulife Financial Corp	2,000	$81,020
AZN	Astrazeneca PLC	253	$47,973
BSX	Boston Scientific Corp	1,068	$45,582
EBF	Ennis, Inc.	2,000	$42,500
ZTS	Zoetis Inc.	397	$28,528
ETHA	iShares Ethereum Trust ETF	2,100	$24,968
NKE	NIKE, Inc.	524	$21,510
USMV	iShares MSCI USA Min Vol Factor ETF	223	$21,510
DUSA	Davis Select U.S. Equity ETF	276	$15,505
—		305	$15,246
COR	Cencora, Inc.	46	$13,017
—		237	$6,318
RH	Rh	35	$5,765
VFC	V F Corp	339	$5,654
GIS	General Mills Inc	125	$4,350
SH	ProShares Short S&P500	119	$3,929
SNN	Smith & Nephew PLC	100	$2,881
TMO	Thermo Fisher Scientific Inc.	5	$2,506
ADI	Analog Devices Inc	6	$2,383
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

389 tracked positions · $510,058,845 total · filing declares 392 positions · $552,705,520 · as of Sep 30, 2026

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

Showing 1–50 of 389 positions by value · page 1 of 8

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
IETC	iShares U.S. Tech Independence Focused ETF	Reduced	446,906	-17,733	$51,014,319	+2.3%	10.00%
SPYG	State Street(R) SPDR(R) Portfolio S&P 500(R) Growth ETF	Reduced	396,637	-12,674	$48,818,081	+0.2%	9.57%
SPY	Spdr S&P 500 ETF Trust	Reduced	60,485	-2,577	$46,127,675	−2.0%	9.04%
QQQ	Invesco Qqq Trust, Series 1	Reduced	61,475	-2,125	$45,477,360	−2.9%	8.92%
NVDA	Nvidia Corp Technology	Reduced	114,912	-1,440	$26,243,602	+12.7%	5.15%
IJK	iShares S&P Mid-Cap 400 Growth ETF	Reduced	225,037	-5,465	$24,666,305	−8.9%	4.84%
PJFV	PGIM Jennison Focused Value ETF	Reduced	244,862	-13,807	$24,347,852	−4.4%	4.77%
AAPL	Apple Inc. Technology	Reduced	72,518	-6,799	$24,149,944	+5.2%	4.73%
MSFT	Microsoft Corp Technology	Reduced	46,394	-7,195	$23,795,482	+19.0%	4.67%
IYG	iShares U.S. Financial Services ETF	Reduced	251,856	-53,576	$22,646,891	−18.0%	4.44%
SMH	VanEck Semiconductor ETF	Reduced	35,284	-4,223	$21,487,956	−17.1%	4.21%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	74,475	-1,033	$18,555,446	+3.1%	3.64%
IYJ	iShares U.S. Industrials ETF	Reduced	118,611	-25,439	$18,191,369	−24.2%	3.57%
PYLD		Reduced	633,737	-47,495	$16,090,582	−10.9%	3.15%
EMXC	iShares MSCI Emerging Markets ex China ETF	Reduced	120,231	-19,459	$11,912,487	−16.6%	2.34%
COST	Costco Wholesale Corp Consumer Defensive	Reduced	13,031	-27	$11,862,640	−2.9%	2.33%
DIA	Spdr Dow Jones Industrial Average ETF Trust	Reduced	19,223	-2,129	$9,775,856	−12.4%	1.92%
GOOG	Alphabet Inc. Communication Services	Added	25,813	+456	$8,795,521	−1.8%	1.72%
NLR	VanEck Uranium and Nuclear ETF	Added	71,503	+4,274	$7,397,700	−5.1%	1.45%
FNDE	Schwab Fundamental Emerging Markets Equity ETF	Reduced	167,923	-41,109	$7,030,936	−15.2%	1.38%
AVGO	Broadcom Inc. Technology	Reduced	7,101	-1	$2,493,800	−7.0%	0.49%
JPM	Jpmorgan Chase & Co Financial Services	Added	7,488	+29	$2,477,255	+1.5%	0.49%
SCHW	Schwab Charles Corp Financial Services	Reduced	24,109	-1,824	$2,356,413	−1.5%	0.46%
CAT	Caterpillar Inc Industrials	Added	1,896	+3	$1,537,257	−23.7%	0.30%
V	Visa Inc. Financial Services	Reduced	4,161	-536	$1,495,172	−7.2%	0.29%
LMT	Lockheed Martin Corp Industrials	Added	2,590	+17	$1,318,957	+0.6%	0.26%
GOOGL	Alphabet Inc. Communication Services	Added	3,468	+2	$1,193,269	−3.7%	0.23%
CVX	Chevron Corp Energy	Added	4,573	+28	$933,852	+24.0%	0.18%
DE	Deere & Co Industrials	Added	1,385	+3	$930,096	+6.1%	0.18%
NFLX	Netflix Inc Communication Services	Reduced	12,911	-242	$898,347	−4.3%	0.18%
XOM	ExxonMobil Holdings Corp Energy	Added	4,788	+25	$779,247	+19.7%	0.15%
CSX	Csx Corp Industrials	Added	16,213	+31	$754,066	−2.0%	0.15%
NOW	ServiceNow, Inc. Technology	Added	5,320	+535	$712,933	+50.1%	0.14%
AXP	American Express Co Financial Services	Added	2,238	+4	$680,575	−9.9%	0.13%
MAR	Marriott International Inc Consumer Cyclical	Added	1,901	+3	$676,128	−3.9%	0.13%
GEV	GE Vernova Inc. Industrials	Reduced	705	-2	$670,095	−19.3%	0.13%
VLO	Valero Energy Corp Energy	Added	1,692	+6	$655,836	+49.4%	0.13%
BX	Blackstone Inc. Financial Services	Added	5,725	+52	$641,715	−3.9%	0.13%
GE	General Electric Co Industrials	Reduced	1,777	-200	$554,939	−24.9%	0.11%
META	Meta Platforms, Inc. Communication Services	Added	743	+7	$538,808	+30.0%	0.11%
CSCO	Cisco Systems, Inc. Technology	Added	4,905	+6	$527,925	−8.3%	0.10%
DRI	Darden Restaurants Inc Consumer Cyclical	Added	2,624	+20	$507,088	−5.5%	0.10%
ABBV	AbbVie Inc. Healthcare	Reduced	1,777	-2,989	$464,845	−61.2%	0.09%
FSLR	First Solar, Inc. Technology	Held	2,650	0	$464,174	−25.8%	0.09%
WDAY	Workday, Inc. Technology	Held	2,416	0	$460,151	+55.6%	0.09%
MCD	Mcdonalds Corp Consumer Cyclical	Reduced	1,917	-115	$442,711	−19.4%	0.09%
IVV	iShares Core S&P 500 ETF	Reduced	550	-35	$421,217	−3.9%	0.08%
GS	Goldman Sachs Group Inc Financial Services	Added	463	+3	$416,866	−10.4%	0.08%
NEE	Nextera Energy Inc Utilities	Reduced	5,318	-64	$402,785	−14.7%	0.08%
MUB	iShares National Muni Bond ETF	NEW	3,961	NEW	$400,457	NEW	0.08%

Showing the top 50 of 389 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.