ROMAN BUTLER FULLERTON & CO

Registered adviser

CIK

733444

Location

ST LOUIS, MO

Portfolio Value

Small $407,972,954

Diversification

Diversified

Filing Date

Global Rank

#4,301 / 8,827 ▲ 133 · as of Jun 2026

Top Industry

Semiconductors 13.1%

Period ended 38 days ago

Filed Oct 27, 2026 · 11d

27 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 104771

Roster of Nov 1, 2026

Regulatory AUM

$716,138,721

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
Mar 2026 to Nov 2026	$716,138,721	Individuals and high net worth (94%)
Mar 2025 to Feb 2026	$647,718,410	Individuals and high net worth (95%)
Mar 2024 to Feb 2025	$517,482,810	Individuals and high net worth (97%)
May 2023 to Feb 2024	$435,316,646	Individuals and high net worth (97%)
Mar 2023 to Apr 2023	$435,316,646	Individuals and high net worth (97%)
Apr 2022 to Feb 2023	$479,215,689	Individuals and high net worth (96%)

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

Diversified active

Top 10 weight 35.7%, 51.1 effective positions, active share 50.5% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

21.4% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 18.5 quarters (12+), a floor since 52.6% of the book was already held when coverage starts

Closest benchmark: every 13F filer's combined book, active share 50.5%; sector active share 23.2% against the combined 13F book's sector weights.

Over time 26 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

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

Top Position

7.6%

+0.3 pts

Top 5

26.9%

+3.5 pts

Top 10

39.9%

+4.3 pts

HHI

228

Diversified+32

Portfolio Trend

27 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	30.8%	$125,583,533	109
Technology	25.5%	$104,226,478	35
Industrials	10.0%	$40,702,912	31
Financial Services	8.5%	$34,653,953	27
Healthcare	6.0%	$24,659,350	16
Communication Services	5.3%	$21,631,830	7
Consumer Cyclical	5.3%	$21,442,405	13
Consumer Defensive	4.6%	$18,912,767	13
Energy	1.8%	$7,414,261	8
Real Estate	1.1%	$4,567,027	9
Utilities	0.7%	$2,800,308	6
Basic Materials	0.3%	$1,378,130	3

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
QYLD	Global X NASDAQ 100 Covered Call ETF	+27,214	122,890	$2,279,609
IVW	iShares S&P 500 Growth ETF	+24,692	31,076	$4,420,871
SCHD	Schwab U.S. Dividend Equity ETF	+12,967	172,862	$5,623,200
KR	Kroger Co	+12,865	22,274	$1,305,701
COWZ	Pacer US Cash Cows 100 ETF	+12,254	25,777	$1,720,872
NUV	Nuveen Municipal Value Fund Inc	+8,046	266,253	$2,207,237
TLT	iShares 20+ Year Treasury Bond ETF	+7,168	13,535	$1,052,752
FEM	First Trust Emerging Markets AlphaDEX Fund	+6,087	102,444	$3,299,721
CGDV	Capital Group Dividend Value ETF	+4,415	19,422	$948,764
RTX	RTX Corp	+4,335	17,212	$3,195,407
FTNT	Fortinet, Inc.	+4,081	5,480	$979,604
CRWD	CrowdStrike Holdings, Inc.	+4,003	5,255	$1,391,261
PSX	Phillips 66	+3,966	6,128	$1,564,539
SSUS	Day Hagan Smart Sector ETF	+3,869	57,309	$3,213,888
—		+3,313	15,846	$0
MO	Altria Group, Inc.	+3,029	17,472	$1,176,564
SPY	Spdr S&P 500 ETF Trust	+2,967	17,277	$13,175,958
ANET	Arista Networks, Inc.	+2,137	17,755	$3,614,740
AAPL	Apple Inc.	+1,631	62,644	$20,861,704
ILCG	iShares Morningstar Growth ETF	+1,600	22,472	$2,628,549
AMZN	Amazon Com Inc	+1,478	53,633	$13,362,661
TSM	Taiwan Semiconductor Manufacturing Co Ltd	+1,459	4,739	$2,161,884
JNK	State Street(R) SPDR(R) Bloomberg High Yield Bond ETF	+1,402	3,879	$359,777
NVDA	Nvidia Corp	+1,380	116,862	$26,688,943
CTA	EIDP, Inc.	+1,355	23,598	$0
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
EOI	Eaton Vance Enhanced Equity Income Fund	−196,119	22,462	$446,319
IGR	Cbre Global Real Estate Income Fund	−186,945	95,859	$1,127,301
FUTY	Fidelity MSCI Utilities Index ETF	−17,887	1,391	$71,010
ILF	iShares Latin America 40 ETF	−15,720	15,624	$539,028
BMY	Bristol Myers Squibb Co	−12,673	14,516	$905,798
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	−10,227	8,533	$524,779
PFF	iShares Preferred and Income Securities ETF	−9,202	79,488	$2,344,896
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	−3,903	1,291	$252,713
TNGY	Tortoise Energy ETF	−3,457	155,687	$1,650,282
EEM	iShares MSCI Emerging Markets ETF	−2,847	11,852	$791,595
—		−2,826	19,635	$0
DKNG	DraftKings Inc.	−2,335	31,713	$602,547
SHYD	VanEck Short High Yield Muni ETF	−2,018	13,949	$305,762
—		−1,887	77,740	$0
BAC	Bank Of America Corp	−1,537	21,921	$1,193,160
RSP	Victory Portfolios II	−1,469	14,842	$0
GE	General Electric Co	−1,456	8,909	$2,782,191
XSHQ	Invesco S&P SmallCap Quality ETF	−1,401	13,985	$628,206
—		−1,351	4,510	$0
MCD	Mcdonalds Corp	−1,085	1,775	$409,918
HEFA	iShares Currency Hedged MSCI EAFE ETF	−1,075	17,348	$804,773
XLF	State Street Corp	−883	6,427	$0
USMV	iShares MSCI USA Min Vol Factor ETF	−865	10,956	$1,067,552
UL	Unilever PLC	−829	5,912	$359,035
HD	Home Depot, Inc.	−792	8,467	$2,408,776
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
VTHR	VANGUARD RUSSELL 3000 INDEX FUND	10,083	$3,382,846
EXEL	Exelixis, Inc.	168,589	$1,058,628
USO	United States Oil Fund, LP	7,065	$1,029,087
IEF	iShares 7-10 Year Treasury Bond ETF	9,990	$892,206
GDX	VanEck Gold Miners ETF	8,056	$707,316
UPS	United Parcel Service Inc	6,827	$637,914
HALO	Halozyme Therapeutics, Inc.	3,989	$440,385
MPC	Marathon Petroleum Corp	971	$383,952
CINF	Cincinnati Financial Corp	2,230	$355,395
DELL	Dell Technologies Inc.	643	$345,901
CGNG	Capital Group New Geography Equity ETF	8,412	$306,617
TRV	Travelers Companies, Inc.	834	$297,329
CGIC	Capital Group International Core Equity ETF	6,781	$243,980
MAGS	Roundhill Magnificent Seven ETF	3,371	$241,666
AVY	Avery Dennison Corp	1,411	$240,815
BNY	Bank of New York Mellon Corp	1,663	$240,519
TDC	Teradata Corp	8,227	$237,266
DRH	DiamondRock Hospitality Co	18,653	$230,551
FSK	FS KKR Capital Corp	20,090	$220,789
HOG	Harley-Davidson, Inc.	8,775	$214,373
IT	Gartner Inc	1,131	$210,976
HCI	HCI Group, Inc.	1,204	$209,279
MZTI	Marzetti Co	2,050	$203,339
BUD	Anheuser-Busch InBev SA	2,438	$179,119
—		2,402	$0
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
FYX	First Trust Small Cap Core AlphaDEX Fund	24,128	$3,481,670
FYC	First Trust Small Cap Growth AlphaDEX Fund	25,428	$3,238,001
IWM	iShares Russell 2000 ETF	4,189	$1,258,585
XOM	ExxonMobil Holdings Corp	9,059	$1,238,546
IJS	iShares S&P Small-Cap 600 Value ETF	8,800	$1,202,784
LQD	iShares iBoxx $ Investment Grade Corporate Bond ETF	9,712	$1,059,287
—		17,397	$884,289
XTL	State Street(R) SPDR(R) S&P(R) Telecom ETF	3,649	$830,111
MRVL	Marvell Technology, Inc.	2,593	$772,428
VOD	Vodafone Group Public Ltd Co	48,739	$644,816
LAMR	Lamar Advertising Co	3,438	$536,259
GD	General Dynamics Corp	1,459	$516,836
FTI	TechnipFMC plc	6,957	$461,249
GLDM	World Gold Trust	5,750	$456,665
ARGX	Argenx SE	425	$394,302
KRYS	Krystal Biotech, Inc.	1,009	$375,015
NBIX	Neurocrine Biosciences Inc	2,150	$362,361
GLD	Spdr Gold Trust	947	$348,855
WDC	Western Digital Corp	455	$290,617
TOL	Toll Brothers, Inc.	1,695	$279,251
—		1,213	$268,315
NDSN	Nordson Corp	831	$250,704
B	Barrick Mining Corp	6,359	$233,566
CVE	Cenovus Energy Inc.	8,903	$220,883
GM	General Motors Co	2,826	$217,828
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

277 tracked positions · $407,972,954 total · filing declares 278 positions · $435,536,199 · 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 277 positions by value · page 1 of 6

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
NVDA	Nvidia Corp Technology	Added	116,862	+1,380	$26,688,943	+15.5%	6.54%
AAPL	Apple Inc. Technology	Added	62,644	+1,631	$20,861,704	+18.2%	5.11%
MSFT	Microsoft Corp Technology	Added	33,350	+1,111	$17,105,215	+42.2%	4.19%
AMZN	Amazon Com Inc Consumer Cyclical	Added	53,633	+1,478	$13,362,661	+7.5%	3.28%
SPY	Spdr S&P 500 ETF Trust	Added	17,277	+2,967	$13,175,958	+23.3%	3.23%
GOOG	Alphabet Inc. Communication Services	Added	32,910	+427	$11,213,753	−2.3%	2.75%
LLY	ELI LILLY & Co Healthcare	Added	7,626	+157	$8,823,892	−1.5%	2.16%
MA	Mastercard Inc Financial Services	Reduced	14,081	-177	$7,765,249	+6.0%	1.90%
VIG	Vanguard Specialized Funds	Added	33,032	+488	$7,706,695	+0.1%	1.89%
WMT	Walmart Inc. Consumer Defensive	Reduced	65,678	-190	$6,825,257	−8.5%	1.67%
VUG	VANGUARD GROWTH INDEX FUND	Reduced	72,107	-346	$6,497,561	+4.1%	1.59%
SCHD	Schwab U.S. Dividend Equity ETF	Added	172,862	+12,967	$5,623,200	+10.9%	1.38%
CAT	Caterpillar Inc Industrials	Reduced	5,765	-183	$4,674,204	−26.2%	1.15%
META	Meta Platforms, Inc. Communication Services	Added	6,318	+530	$4,581,687	+40.5%	1.12%
BRK-B	Berkshire Hathaway Inc Financial Services	Added	9,080	+284	$4,521,386	+2.7%	1.11%
IVW	iShares S&P 500 Growth ETF	Added	31,076	+24,692	$4,420,871	+403.5%	1.08%
FTCS	First Trust Capital Strength ETF	Added	42,625	+244	$4,000,356	+0.5%	0.98%
JPM	Jpmorgan Chase & Co Financial Services	Added	11,816	+108	$3,909,087	+2.0%	0.96%
PANW	Palo Alto Networks Inc Technology	Added	9,569	+1,342	$3,801,859	+35.5%	0.93%
CI	Cigna Group Healthcare	Added	13,531	+76	$3,678,131	−0.8%	0.90%
ANET	Arista Networks, Inc. Technology	Added	17,755	+2,137	$3,614,740	+36.2%	0.89%
MTUM	iShares MSCI USA Momentum Factor ETF	Added	11,241	+627	$3,567,218	−2.0%	0.87%
VTHR	VANGUARD RUSSELL 3000 INDEX FUND	NEW	10,083	NEW	$3,382,846	NEW	0.83%
FEM	First Trust Emerging Markets AlphaDEX Fund	Added	102,444	+6,087	$3,299,721	+7.0%	0.81%
VLO	Valero Energy Corp Energy	Reduced	8,487	-187	$3,289,646	+45.6%	0.81%
GOOGL	Alphabet Inc. Communication Services	Added	9,374	+192	$3,225,405	−1.7%	0.79%
SSUS	Day Hagan Smart Sector ETF	Added	57,309	+3,869	$3,213,888	+8.7%	0.79%
FYT	First Trust Small Cap Value AlphaDEX Fund	Held	47,850	0	$3,198,815	−4.2%	0.78%
RTX	RTX Corp Industrials	Added	17,212	+4,335	$3,195,407	+30.8%	0.78%
PG	PROCTER & GAMBLE Co Consumer Defensive	Reduced	21,843	-33	$3,173,351	−1.1%	0.78%
COST	Costco Wholesale Corp Consumer Defensive	Added	3,476	+50	$3,164,341	−1.3%	0.78%
JNJ	Johnson & Johnson Healthcare	Reduced	11,479	-2	$3,038,950	+4.2%	0.74%
MU	Micron Technology Inc Technology	Added	2,613	+223	$2,783,132	+0.9%	0.68%
IVV	iShares Core S&P 500 ETF	Reduced	3,634	-6	$2,783,098	+2.1%	0.68%
GE	General Electric Co Industrials	Reduced	8,909	-1,456	$2,782,191	−28.2%	0.68%
ILCG	iShares Morningstar Growth ETF	Added	22,472	+1,600	$2,628,549	+7.6%	0.64%
GEV	GE Vernova Inc. Industrials	Reduced	2,636	-343	$2,505,491	−28.4%	0.61%
PH	Parker-Hannifin Corp Industrials	Added	2,585	+3	$2,469,760	−2.2%	0.61%
HD	Home Depot, Inc. Consumer Cyclical	Reduced	8,467	-792	$2,408,776	−26.2%	0.59%
QQQ	Invesco Qqq Trust, Series 1	Added	3,251	+480	$2,404,992	+17.9%	0.59%
HWM	Howmet Aerospace Inc. Industrials	Added	10,457	+271	$2,365,164	−13.6%	0.58%
PFF	iShares Preferred and Income Securities ETF	Reduced	79,488	-9,202	$2,344,896	−13.3%	0.57%
QYLD	Global X NASDAQ 100 Covered Call ETF	Added	122,890	+27,214	$2,279,609	+29.3%	0.56%
NUV	Nuveen Municipal Value Fund Inc Financial Services	Added	266,253	+8,046	$2,207,237	−7.3%	0.54%
ORCL	Oracle Corp Technology	Added	15,956	+643	$2,190,758	−2.4%	0.54%
DDOG	Datadog, Inc. Technology	Reduced	7,935	-1	$2,172,999	+5.2%	0.53%
CRS	Carpenter Technology Corp Industrials	Added	5,564	+824	$2,163,394	−26.0%	0.53%
TSM	Taiwan Semiconductor Manufacturing Co Ltd Technology	Added	4,739	+1,459	$2,161,884	+38.0%	0.53%
AVGO	Broadcom Inc. Technology	Added	6,144	+142	$2,157,711	−4.8%	0.53%
IWF	iShares Russell 1000 Growth ETF	Reduced	17,019	-7	$2,131,799	+0.8%	0.52%

Showing the top 50 of 277 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.