Marshall & Sterling Wealth Advisors Inc.

Registered adviser

CIK

2056315

Location

POUGHKEEPSIE, NY

Portfolio Value

Small $153,018,905

Diversification

Diversified

Filing Date

Global Rank

#7,048 / 8,827 ▼ 97 · as of Jun 2026

Top Industry

Software - Infrastructure 8.5%

Period ended 38 days ago

Filed Oct 28, 2026 · 10d

8 quarters · since Dec 2024

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 164345

Roster of Nov 1, 2026

Regulatory AUM

$1,586,218,016

Main clients

Pension and profit sharing plans (74% 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
Apr 2026 to Nov 2026	$1,586,218,016	Pension and profit sharing plans (74%)
Apr 2025 to Mar 2026	$995,832,115	Pension and profit sharing plans (63%)
Apr 2024 to Mar 2025	$663,902,233	Pension and profit sharing plans (53%)
May 2023 to Mar 2024	$422,467,499	Individuals and high net worth (51%)
Apr 2023	$422,467,499	Individuals and high net worth (51%)
Apr 2022 to Mar 2023	$423,583,859	Individuals and high net worth (51%)

3 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 61.7% of the book (60%+)

Turnover

Medium turnover

39.0% over the last four quarters (30% to under 100%)

Horizon

Medium horizon

Value-weighted holding period 6.1 quarters (4 to under 12)

Closest benchmark: every 13F filer's combined book, active share 79.1%; sector active share 64.3% 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.

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Portfolio Concentration

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

Top Position

9.2%

−0.8 pts

Top 5

43.5%

+3.7 pts

Top 10

62.6%

+0.9 pts

HHI

489

Diversified+27

Portfolio Trend

8 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	80.4%	$123,090,189	145
Technology	6.6%	$10,072,055	53
Financial Services	4.1%	$6,233,741	44
Industrials	2.6%	$3,988,101	25
Healthcare	1.6%	$2,495,705	27
Consumer Defensive	1.1%	$1,710,457	8
Consumer Cyclical	1.1%	$1,656,724	15
Energy	0.9%	$1,301,399	11
Basic Materials	0.8%	$1,241,135	10
Communication Services	0.7%	$1,131,166	19
Real Estate	0.0%	$66,965	6
Utilities	0.0%	$31,268	5

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
USFR	WisdomTree Floating Rate Treasury Fund	+20,001	20,041	$1,009,865
—		+15,242	204,894	$0
FEZ	State Street(R) SPDR(R) EURO STOXX 50(R) ETF	+13,428	56,430	$3,798,303
SPYI	NEOS S&P 500(R) High Income ETF	+12,620	204,950	$10,897,191
TBIL	F/m US Treasury 3 Month Bill Fund	+5,861	41,181	$2,052,872
IWMI	NEOS Russell 2000(R) High Income ETF	+4,714	61,972	$3,034,768
UTWO	US Treasury 2 Year Note ETF	+4,425	64,250	$3,041,595
VTIP	VANGUARD SHORT-TERM INFLATION-PROTECTED SECURITIES INDEX FUND	+4,305	32,035	$1,576,762
EFAA		+3,994	49,932	$2,743,763
VEA	Vanguard FTSE Developed Markets ETF	+3,965	8,478	$598,631
VO	VANGUARD MID-CAP INDEX FUND	+3,845	69,151	$5,422,821
GLDM	World Gold Trust	+3,370	10,265	$843,577
VUG	VANGUARD GROWTH INDEX FUND	+3,327	50,978	$4,593,627
CRWD	CrowdStrike Holdings, Inc.	+2,665	3,714	$983,281
—		+2,286	8,700	$0
—		+1,618	3,249	$0
RQI	Cohen & Steers Quality Income Realty Fund Inc	+1,424	38,552	$420,216
VTV	VANGUARD VALUE INDEX FUND	+1,414	4,070	$879,445
TPYP	Tortoise North American Pipeline ETF	+1,338	108,588	$4,328,860
OBIL	US Treasury 12 Month Bill ETF	+1,276	28,428	$1,415,856
XBIL	US Treasury 6 Month Bill ETF	+1,212	22,644	$1,131,747
NNY	Nuveen New York Municipal Value Fund	+1,095	65,944	$513,044
MORT	VanEck Mortgage REIT Income ETF	+992	33,928	$285,334
IJH	iShares Core S&P Mid-Cap ETF	+936	1,685	$121,235
DGRW	WisdomTree U.S. Quality Dividend Growth Fund	+882	128,887	$12,532,971
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
HELO	JPMorgan Hedged Equity Laddered Overlay ETF	−28,881	4,357	$301,373
IEF	iShares 7-10 Year Treasury Bond ETF	−23,960	14,998	$1,339,471
XLRE	State Street(R) Real Estate Select Sector SPDR(R) ETF	−6,898	3,532	$144,494
SHLD	Global X Defense Tech ETF	−3,463	1,161	$69,752
GARP	iShares MSCI USA Quality GARP ETF	−3,206	60,609	$5,167,523
VGT	VANGUARD INFORMATION TECHNOLOGY INDEX FUND	−2,183	45,747	$5,749,025
RSP	Victory Portfolios II	−1,974	24,949	$0
DGRS	WisdomTree U.S. SmallCap Quality Dividend Growth Fund	−783	4,624	$258,712
HGER	Harbor Commodity All-Weather Strategy ETF	−540	55,185	$1,945,823
HONA	Honeywell Aerospace Inc.	−471	156	$24,175
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	−404	153,789	$12,043,216
SOXX	iShares Semiconductor ETF	−393	1,568	$891,627
ANET	Arista Networks, Inc.	−359	3,431	$698,517
QDPL	Pacer Metaurus US Large Cap Dividend Multiplier 400 ETF	−353	14,230	$651,705
VIG	Vanguard Specialized Funds	−353	4,301	$1,003,466
PG	PROCTER & GAMBLE Co	−318	5,713	$829,984
WMT	Walmart Inc.	−294	1,180	$122,625
XTL	State Street(R) SPDR(R) S&P(R) Telecom ETF	−292	1,501	$304,687
IDMO	Invesco Ltd.	−267	62,937	$0
T	At&T Inc.	−228	1,554	$37,917
QUAL	iShares MSCI USA Quality Factor ETF	−183	1,194	$265,354
SCHW	Schwab Charles Corp	−165	3,371	$329,481
FIW	First Trust Water ETF	−142	418	$43,380
AMGN	Amgen Inc	−127	1,944	$819,415
BR	Broadridge Financial Solutions, Inc.	−115	148	$23,842
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
CLSE	Convergence Long/Short Equity ETF	142,880	$4,859,348
FLRN	State Street(R) SPDR(R) Bloomberg Investment Grade Floating Rate ETF	63,814	$1,968,023
USTB	VictoryShares Short-Term Bond ETF	37,482	$1,869,602
USRT	iShares Core U.S. REIT ETF	4,591	$282,713
XLC	State Street(R) Communication Services Select Sector SPDR(R) ETF	1,382	$153,360
EFA	iShares MSCI EAFE ETF	616	$63,996
DHS	WisdomTree U.S. High Dividend Fund	340	$38,069
DON	WisdomTree U.S. Midcap Dividend Fund	649	$35,013
SCI	Service Corp International	235	$17,895
LRCX	Lam Research Corp	32	$10,512
IDEV	iShares Core MSCI International Developed Markets ETF	100	$8,948
JPEM	JPMorgan Diversified Return Emerging Markets Equity ETF	137	$8,672
CVX	Chevron Corp	21	$4,288
RTX	RTX Corp	23	$4,269
PM	Philip Morris International Inc.	21	$4,007
C	Citigroup Inc	29	$3,754
RY	Royal Bank Of Canada	19	$3,735
KMI	Kinder Morgan, Inc.	122	$3,678
DG	Dollar General Corp	30	$3,587
PAGP	Plains Gp Holdings LP	134	$3,470
CGIE	Capital Group International Equity ETF	90	$3,303
V	Visa Inc.	9	$3,233
BUG	Global X Cybersecurity ETF	70	$3,232
BDX	Becton Dickinson & Co	18	$3,222
WSM	Williams Sonoma Inc	14	$3,191
No positions match the current search.

Sold Out

Positions the filer fully exited

13 positions

Ticker	Company	Shares	Value
RSPU	Victory Portfolios II	37,648	$3,054,382
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	554	$87,897
JEPQ	JPMorgan Nasdaq Equity Premium Income ETF	550	$33,803
HIX	Western Asset High Income Fund II Inc.	8,422	$33,351
EVV	Eaton Vance Ltd Duration Income Fund	3,400	$31,858
JOBY	Joby Aviation, Inc.	1,800	$16,056
SPCX	Space Exploration Technologies Corp	60	$10,251
AIBZ	Bitzero Holdings Inc.	1,000	$6,840
HYD	VanEck High Yield Muni ETF	85	$4,378
MIN	Aberdeen Intermediate Income Fund	1,771	$4,374
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	11	$4,070
TGT	Target Corp	21	$2,742
GOF	Guggenheim Strategic Opportunities Fund	26	$283
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

368 tracked positions · $153,018,905 total · filing declares 369 positions · $174,656,783 · 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 368 positions by value · page 1 of 8

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
DGRW	WisdomTree U.S. Quality Dividend Growth Fund	Added	128,887	+882	$12,532,971	+2.4%	8.19%
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	Reduced	153,789	-404	$12,043,216	−5.5%	7.87%
SPYI	NEOS S&P 500(R) High Income ETF	Added	204,950	+12,620	$10,897,191	+6.7%	7.12%
FDVV	Fidelity High Dividend ETF	Added	108,516	+767	$6,590,176	+1.4%	4.31%
VGT	VANGUARD INFORMATION TECHNOLOGY INDEX FUND	Reduced	45,747	-2,183	$5,749,025	+0.4%	3.76%
VO	VANGUARD MID-CAP INDEX FUND	Added	69,151	+3,845	$5,422,821	+3.1%	3.54%
GARP	iShares MSCI USA Quality GARP ETF	Reduced	60,609	-3,206	$5,167,523	−1.9%	3.38%
CLSE	Convergence Long/Short Equity ETF	NEW	142,880	NEW	$4,859,348	NEW	3.18%
VUG	VANGUARD GROWTH INDEX FUND	Added	50,978	+3,327	$4,593,627	+11.9%	3.00%
TPYP	Tortoise North American Pipeline ETF	Added	108,588	+1,338	$4,328,860	−3.7%	2.83%
FEZ	State Street(R) SPDR(R) EURO STOXX 50(R) ETF	Added	56,430	+13,428	$3,798,303	+28.6%	2.48%
UTWO	US Treasury 2 Year Note ETF	Added	64,250	+4,425	$3,041,595	+6.0%	1.99%
IWMI	NEOS Russell 2000(R) High Income ETF	Added	61,972	+4,714	$3,034,768	−1.0%	1.98%
EFAA		Added	49,932	+3,994	$2,743,763	+7.1%	1.79%
AAPL	Apple Inc. Technology	Reduced	6,970	-75	$2,321,149	+13.9%	1.52%
ITA	iShares U.S. Aerospace & Defense ETF	Added	10,573	+238	$2,190,514	−12.6%	1.43%
TBIL	F/m US Treasury 3 Month Bill Fund	Added	41,181	+5,861	$2,052,872	+16.6%	1.34%
FLRN	State Street(R) SPDR(R) Bloomberg Investment Grade Floating Rate ETF	NEW	63,814	NEW	$1,968,023	NEW	1.29%
HGER	Harbor Commodity All-Weather Strategy ETF	Reduced	55,185	-540	$1,945,823	+19.0%	1.27%
USTB	VictoryShares Short-Term Bond ETF	NEW	37,482	NEW	$1,869,602	NEW	1.22%
SPY	Spdr S&P 500 ETF Trust	Reduced	2,174	-24	$1,657,957	+1.0%	1.08%
VTIP	VANGUARD SHORT-TERM INFLATION-PROTECTED SECURITIES INDEX FUND	Added	32,035	+4,305	$1,576,762	+13.2%	1.03%
VCSH	VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND	Added	18,942	+297	$1,463,269	−0.7%	0.96%
IBM	International Business Machines Corp Technology	Reduced	6,602	-108	$1,451,977	−23.1%	0.95%
MSFT	Microsoft Corp Technology	Reduced	2,774	-56	$1,422,784	+34.8%	0.93%
OBIL	US Treasury 12 Month Bill ETF	Added	28,428	+1,276	$1,415,856	+4.3%	0.93%
NVDA	Nvidia Corp Technology	Added	6,147	+23	$1,403,851	+14.6%	0.92%
BRK-B	Berkshire Hathaway Inc Financial Services	Held	2,736	0	$1,362,391	−0.5%	0.89%
NSC	Norfolk Southern Corp Industrials	Added	4,369	+8	$1,350,021	−1.6%	0.88%
IEF	iShares 7-10 Year Treasury Bond ETF	Reduced	14,998	-23,960	$1,339,471	−63.6%	0.88%
QQQ	Invesco Qqq Trust, Series 1	Added	1,645	+62	$1,216,921	+4.4%	0.80%
XBIL	US Treasury 6 Month Bill ETF	Added	22,644	+1,212	$1,131,747	+5.6%	0.74%
SFLR		Added	28,376	+391	$1,105,245	+2.4%	0.72%
SHY	iShares 1-3 Year Treasury Bond ETF	Added	13,580	+121	$1,102,696	−0.2%	0.72%
USFR	WisdomTree Floating Rate Treasury Fund	Added	20,041	+20,001	$1,009,865	+50042.3%	0.66%
VIG	Vanguard Specialized Funds	Reduced	4,301	-353	$1,003,466	−8.9%	0.66%
CRWD	CrowdStrike Holdings, Inc. Technology	Added	3,714	+2,665	$983,281	+22.8%	0.64%
NULG	Nuveen ESG Large-Cap Growth ETF	Added	7,995	+347	$908,951	+1.5%	0.59%
SOXX	iShares Semiconductor ETF	Reduced	1,568	-393	$891,627	−29.0%	0.58%
VTV	VANGUARD VALUE INDEX FUND	Added	4,070	+1,414	$879,445	+51.9%	0.57%
GLDM	World Gold Trust	Added	10,265	+3,370	$843,577	+54.0%	0.55%
PG	PROCTER & GAMBLE Co Consumer Defensive	Reduced	5,713	-318	$829,984	−6.2%	0.54%
AMGN	Amgen Inc Healthcare	Reduced	1,944	-127	$819,415	+9.3%	0.54%
AIQ	Global X Artificial Intelligence & Technology ETF	Added	12,330	+310	$803,422	+1.9%	0.53%
AMZN	Amazon Com Inc Consumer Cyclical	Added	3,200	+49	$797,280	+6.2%	0.52%
ANET	Arista Networks, Inc. Technology	Reduced	3,431	-359	$698,517	+8.5%	0.46%
ETN	Eaton Corp plc Industrials	Added	1,534	+13	$659,175	+1.7%	0.43%
QDPL	Pacer Metaurus US Large Cap Dividend Multiplier 400 ETF	Reduced	14,230	-353	$651,705	−0.8%	0.43%
AVGO	Broadcom Inc. Technology	Added	1,766	+154	$620,201	+1.9%	0.41%
CBOE	Cboe Global Markets, Inc. Financial Services	Added	2,193	+73	$603,710	+17.3%	0.39%

Showing the top 50 of 368 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.