CAPITAL ONE FINANCIAL CORP

Bank

CIK

927628

Location

MCLEAN, VA

Portfolio Value

Small $138,865,768

Diversification

Moderately concentrated

Reports for

Capital One Investing, Inc.

Filing Date

Global Rank

#5,549 / 6,901 ▼ 3376 · as of Mar 2022

Top Industry

Software - Infrastructure 16.6%

Period ended 4 years ago

Filed Apr 13, 2022 · 4y

9 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

Bank

SEC filer profile, Oct 18, 2026

SIC code

6021

Portfolio style

Measured from the filed 13F common-share book for Mar 31, 2022, never from the firm's own description.

Style

Concentrated

The top 10 positions are 78.1% of the book (60%+)

Turnover

Low turnover

20.2% over the last four quarters (under 30%)

Horizon

Horizon unknown

The value-weighted holding period is at least 8.6 quarters, but 88.5% of the book was already held when coverage starts

Closest benchmark: every 13F filer's combined book, active share 83.8%; sector active share 64.0% against the combined 13F book's sector weights.

Over time 9 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

91 tracked positions · as of Mar 31, 2022 · Δ vs Dec 31, 2021

Top Position

41.7%

−6.1 pts

Top 5

65.3%

−6.0 pts

Top 10

78.1%

−3.2 pts

HHI

1,965

Moderately concentrated−537

Portfolio Trend

9 quarters · across all stocks

Sector Breakdown

As of Mar 31, 2022

Sector	% Portfolio	Value	Positions
Unclassified	86.0%	$119,462,419	59
Technology	4.9%	$6,801,365	7
Healthcare	2.9%	$4,044,674	6
Consumer Cyclical	2.1%	$2,905,957	4
Industrials	2.1%	$2,851,988	7
Communication Services	0.8%	$1,177,099	3
Financial Services	0.4%	$608,941	1
Consumer Defensive	0.4%	$552,965	2
Energy	0.3%	$460,360	2

Last Quarter's Activity

Export CSV

Mar 31, 2022 vs Dec 31, 2021

Added To

Positions the filer increased

No qualifying positions this quarter.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
GSIE	Goldman Sachs ActiveBeta(R) International Equity ETF	−1,416,954	303,775	$9,942,555
GOVT	iShares U.S. Treasury Bond ETF	−725,782	122,685	$3,056,083
GEM	Goldman Sachs ActiveBeta(R) Emerging Markets Equity ETF	−526,709	91,413	$3,097,072
QUAL	iShares MSCI USA Quality Factor ETF	−514,701	52,730	$7,099,039
USMV	iShares MSCI USA Min Vol Factor ETF	−456,846	141,511	$10,977,008
BNDX	Vanguard Total International Bond ETF	−428,797	119,059	$6,243,453
USIG	iShares Broad USD Investment Grade Corporate Bond ETF	−419,486	75,863	$4,175,499
EFAV	iShares MSCI EAFE Min Vol Factor ETF	−406,730	87,691	$6,326,028
BND	VANGUARD TOTAL BOND MARKET INDEX FUND	−374,445	62,923	$5,004,895
FLRN	State Street(R) SPDR(R) Bloomberg Investment Grade Floating Rate ETF	−327,091	63,086	$1,923,492
VTIP	VANGUARD SHORT-TERM INFLATION-PROTECTED SECURITIES INDEX FUND	−265,807	51,104	$2,617,035
MTUM	iShares MSCI USA Momentum Factor ETF	−253,559	31,049	$5,224,615
EEMV	iShares MSCI Emerging Markets Min Vol Factor ETF	−216,546	39,033	$2,382,183
INTF	iShares International Equity Factor ETF	−215,770	32,768	$906,690
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	−183,669	30,839	$2,653,387
TIP	iShares TIPS Bond ETF	−182,116	28,444	$3,543,269
VTEB	VANGUARD TAX-EXEMPT BOND INDEX FUND	−164,671	125,038	$6,445,708
SPHQ	Invesco S&P 500 Quality ETF	−150,429	20,810	$1,038,627
ARLP	Alliance Resource Partners LP	−147,818	14,781	$228,070
VGIT	VANGUARD INTERMEDIATE-TERM TREASURY INDEX FUND	−139,921	23,938	$1,505,939
IAGG	iShares Core International Aggregate Bond ETF	−135,372	29,047	$1,514,220
VLUE	iShares MSCI USA Value Factor ETF	−126,032	44,055	$4,606,831
FNDA	Schwab Strategic Trust	−109,856	21,881	$1,169,758
SPLV	Invesco S&P 500 Low Volatility ETF	−94,105	9,445	$633,665
GSLC	Goldman Sachs ActiveBeta(R) U.S. Large Cap Equity ETF	−82,947	22,528	$2,005,893
No positions match the current search.

New Positions

Positions the filer opened this quarter

No qualifying positions this quarter.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
DFAC	Dimensional U.S. Core Equity 2 ETF	238,206	$6,900,827
ACWX	iShares MSCI ACWI ex U.S. ETF	69,847	$3,883,493
OKE	Oneok Inc	46,714	$2,744,914
FNDE	Schwab Fundamental Emerging Markets Equity ETF	45,011	$1,394,890
SCHR	Schwab Intermediate-Term U.S. Treasury ETF	23,363	$1,311,598
SPHD	Invesco Ltd.	26,635	$1,206,032
OGS	ONE Gas, Inc.	14,581	$1,131,339
IGM	iShares Expanded Tech Sector ETF	2,391	$1,049,696
VCSH	VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND	12,887	$1,047,197
GOOGL	Alphabet Inc.	338	$979,199
AXP	American Express Co	5,905	$966,058
UNH	Unitedhealth Group Inc	1,811	$909,375
VOT	VANGUARD MID-CAP GROWTH INDEX FUND	3,550	$903,901
BMY	Bristol Myers Squibb Co	14,485	$903,139
COST	Costco Wholesale Corp	1,569	$890,721
IVE	iShares S&P 500 Value ETF	5,571	$872,585
AB	Alliancebernstein Holding L.P.	16,963	$828,472
IJS	iShares S&P Small-Cap 600 Value ETF	7,890	$824,426
INTC	Intel Corp	15,773	$812,309
CVS	CVS HEALTH Corp	7,391	$762,455
CAT	Caterpillar Inc	3,638	$752,120
GOOG	Alphabet Inc.	259	$748,000
NVDA	Nvidia Corp	2,507	$737,333
BWZ	State Street(R) SPDR(R) Bloomberg Short Term International Treasury Bond ETF	24,202	$735,498
VEA	Vanguard FTSE Developed Markets ETF	14,336	$731,996
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

91 tracked positions · $138,865,768 total · filing declares 91 positions · $141,387,000 · as of Mar 31, 2022

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

Showing 1–50 of 91 positions by value · page 1 of 2

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
USMV	iShares MSCI USA Min Vol Factor ETF	Reduced	141,511	-456,846	$10,977,008	−77.3%	9+	before history	7.90%
GSIE	Goldman Sachs ActiveBeta(R) International Equity ETF	Reduced	303,775	-1,416,954	$9,942,555	−83.6%	9+	before history	7.16%
QUAL	iShares MSCI USA Quality Factor ETF	Reduced	52,730	-514,701	$7,099,039	−91.4%	9+	before history	5.11%
VTEB	VANGUARD TAX-EXEMPT BOND INDEX FUND	Reduced	125,038	-164,671	$6,445,708	−59.5%	9+	before history	4.64%
EFAV	iShares MSCI EAFE Min Vol Factor ETF	Reduced	87,691	-406,730	$6,326,028	−83.3%	9+	before history	4.56%
BNDX	Vanguard Total International Bond ETF	Reduced	119,059	-428,797	$6,243,453	−79.3%	9+	before history	4.50%
MTUM	iShares MSCI USA Momentum Factor ETF	Reduced	31,049	-253,559	$5,224,615	−89.9%	9+	before history	3.76%
BND	VANGUARD TOTAL BOND MARKET INDEX FUND	Reduced	62,923	-374,445	$5,004,895	−86.5%	9+	before history	3.60%
VLUE	iShares MSCI USA Value Factor ETF	Reduced	44,055	-126,032	$4,606,831	−75.3%	9+	before history	3.32%
USIG	iShares Broad USD Investment Grade Corporate Bond ETF	Reduced	75,863	-419,486	$4,175,499	−85.9%	6	unpriced	3.01%
TIP	iShares TIPS Bond ETF	Reduced	28,444	-182,116	$3,543,269	−87.0%	6	unpriced	2.55%
MSFT	Microsoft Corp Technology	Reduced	10,465	-7,445	$3,226,464	−46.4%	9+	before history	2.32%
GEM	Goldman Sachs ActiveBeta(R) Emerging Markets Equity ETF	Reduced	91,413	-526,709	$3,097,072	−86.5%	9+	before history	2.23%
GOVT	iShares U.S. Treasury Bond ETF	Reduced	122,685	-725,782	$3,056,083	−86.5%	9+	before history	2.20%
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	Reduced	30,839	-183,669	$2,653,387	−86.7%	9+	before history	1.91%
MUNI	PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund	Reduced	49,591	-8,776	$2,628,323	−19.9%	6	$56.35	1.89%
VTIP	VANGUARD SHORT-TERM INFLATION-PROTECTED SECURITIES INDEX FUND	Reduced	51,104	-265,807	$2,617,035	−83.9%	9+	before history	1.88%
EEMV	iShares MSCI Emerging Markets Min Vol Factor ETF	Reduced	39,033	-216,546	$2,382,183	−85.2%	9+	before history	1.72%
EMB	iShares J.P. Morgan USD Emerging Markets Bond ETF	Reduced	23,068	-77,938	$2,255,127	−79.5%	9+	before history	1.62%
SPIP	State Street(R) SPDR(R) Portfolio TIPS ETF	Reduced	66,537	-10,061	$2,013,409	−16.6%	5	unpriced	1.45%
GSLC	Goldman Sachs ActiveBeta(R) U.S. Large Cap Equity ETF	Reduced	22,528	-82,947	$2,005,893	−80.0%	9+	before history	1.44%
LLY	ELI LILLY & Co Healthcare	Reduced	7,000	-210	$2,004,590	+0.7%	9+	before history	1.44%
AAPL	Apple Inc. Technology	Reduced	11,270	-31,294	$1,967,854	−74.0%	9+	before history	1.42%
FLRN	State Street(R) SPDR(R) Bloomberg Investment Grade Floating Rate ETF	Reduced	63,086	-327,091	$1,923,492	−83.9%	9+	before history	1.39%
IVV	iShares Core S&P 500 ETF	Reduced	3,366	-19,877	$1,527,120	−86.2%	9+	before history	1.10%
IXUS	iShares Core MSCI Total International Stock ETF	Held	22,902	0	$1,524,815	−6.1%	9+	before history	1.10%
SPY	Spdr S&P 500 ETF Trust	Reduced	3,356	-14,139	$1,515,703	−81.8%	9+	before history	1.09%
IAGG	iShares Core International Aggregate Bond ETF	Reduced	29,047	-135,372	$1,514,220	−83.1%	9+	before history	1.09%
VGIT	VANGUARD INTERMEDIATE-TERM TREASURY INDEX FUND	Reduced	23,938	-139,921	$1,505,939	−86.2%	9+	before history	1.08%
FNDA	Schwab Strategic Trust	Reduced	21,881	-109,856	$1,169,758	−84.0%	9+	before history	0.84%
HD	Home Depot, Inc. Consumer Cyclical	Reduced	3,904	-2,497	$1,168,584	−56.0%	9+	before history	0.84%
SPHQ	Invesco S&P 500 Quality ETF	Reduced	20,810	-150,429	$1,038,627	−88.6%	9+	before history	0.75%
MCD	Mcdonalds Corp Consumer Cyclical	Reduced	4,174	-3,080	$1,032,146	−46.9%	9+	before history	0.74%
AGG	iShares Core U.S. Aggregate Bond ETF	Reduced	9,276	-52,800	$993,459	−86.0%	9+	before history	0.72%
VTV	VANGUARD VALUE INDEX FUND	Reduced	6,479	-19,854	$957,466	−75.3%	9+	before history	0.69%
IEFA	iShares Core MSCI EAFE ETF	Reduced	13,695	-4,019	$951,939	−28.0%	9+	before history	0.69%
		Reduced	19,434	-74,275	$919,811	−80.0%	9+	before history	0.66%
INTF	iShares International Equity Factor ETF	Reduced	32,768	-215,770	$906,690	−87.3%	9+	before history	0.65%
STIP	iShares 0-5 Year TIPS Bond ETF	Reduced	7,758	-6,859	$814,124	−47.4%	5	unpriced	0.59%
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	Reduced	5,864	-29,542	$803,309	−83.9%	9+	before history	0.58%
LHX	L3harris Technologies, Inc. Industrials	Reduced	3,054	-875	$758,827	−9.4%	9+	before history	0.55%
SPDW	State Street(R) SPDR(R) Portfolio Developed World ex-US ETF	Reduced	20,885	-63,662	$715,937	−76.8%	5	unpriced	0.52%
DIS	Walt Disney Co Communication Services	Reduced	4,975	-4,861	$682,371	−55.2%	9+	before history	0.49%
FNDF	Schwab Fundamental International Equity ETF	Reduced	19,967	-44,647	$643,736	−69.4%	9+	before history	0.46%
XSLV	Invesco S&P SmallCap Low Volatility ETF	Reduced	12,970	-57,770	$635,919	−82.7%	9+	before history	0.46%
SPLV	Invesco S&P 500 Low Volatility ETF	Reduced	9,445	-94,105	$633,665	−91.1%	9+	before history	0.46%
JPM	Jpmorgan Chase & Co Financial Services	Reduced	4,467	-5,088	$608,941	−59.8%	9+	before history	0.44%
ABBV	AbbVie Inc. Healthcare	Reduced	3,650	-2,676	$591,701	−30.9%	9+	before history	0.43%
EMGF	iShares Emerging Markets Equity Factor ETF	Reduced	11,284	-77,257	$546,032	−87.9%	9+	before history	0.39%
LQD	iShares iBoxx $ Investment Grade Corporate Bond ETF	Reduced	4,465	-35,650	$539,997	−89.8%	9+	before history	0.39%

Showing the top 50 of 91 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.