SEC 13F Intelligence

Managers / Q3 2021 · view latest →

Sheaff Brock Investment Advisors, LLC

CIK 0001666789 · 8801 RIVER CROSSING BLVD, SUITE 100, INDIANAPOLIS, IN, 46240 · 317-705-5700

Reported Value
$1.3B
Q3 2021
Positions
672
Filings on Record
31
2019–present window
Filed
Nov 3, 2021
original filing

Summary

Sheaff Brock Investment Advisors, LLC reported $1.3B in U.S.-listed holdings across 672 positions for Q3 2021.

Its largest position, AAPL, represents 7.8% of the portfolio.

Compared with Q2 2021, the fund opened 49 new positions and exited 40.

Portfolio Metrics

Turnover
+5.2%
vs prior filed quarter
Top-10 Concentration
+21.0%
share of reported value
Largest Position
+7.8%
Apple
New / Exited
49 / 40
positions this quarter

Methodology: turnover is min(value bought, value sold) ÷ average reported value across the two quarters — value-based, so market moves inflate it slightly versus a share-based measure. Concentration and largest position are shares of the filing’s total reported value, options excluded. New/exited counts compare against the prior filed quarter. All figures derive solely from the fund’s 13F filings.

Reported Value by Quarter

13F Reported Value
Q4 ’18: $636MQ4 ’18Q1 ’19: $822MQ2 ’19: $930MQ3 ’19: $924MQ4 ’19: $1.0BQ4 ’19Q1 ’20: $756MQ2 ’20: $1.0BQ3 ’20: $1.1BQ4 ’20: $1.2BQ4 ’20Q1 ’21: $1.3BQ2 ’21: $1.4BQ3 ’21: $1.3BQ4 ’21: $1.5BQ4 ’21Q1 ’22: $1.4BQ2 ’22: $1.2BQ3 ’22: $931MQ4 ’22: $1.0BQ4 ’22Q1 ’23: $1.1BQ2 ’23: $1.2BQ3 ’23: $1.1BQ4 ’23: $1.3BQ4 ’23Q1 ’24: $1.6BQ2 ’24: $1.1BQ3 ’24: $1.1BQ4 ’24: $1.2BQ4 ’24Q1 ’25: $1.1Bfilingsflow.com

Portfolio Composition

By security type
Common Stock: 64.2%ETP: 28.9%REIT: 3.2%Other: 1.8%Closed-End Fund: 1.1%Other: 0.8%
  • Common Stock · 64.2% · $861M
  • ETP · 28.9% · $387M
  • REIT · 3.2% · $43M
  • Other · 1.8% · $24M
  • Closed-End Fund · 1.1% · $15M
  • Other · 0.8% · $11M

Quarter-over-Quarter Changes full breakdown →

vs Q2 2021 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
WSMWILLIAMS SONOMA INCNEW+37.4K37.4K+$7M$7M
PAGPENSKE AUTOMOTIVE GRP INCNEW+15.7K15.7K+$2M$2M
AVTRAVANTOR INCNEW+37.5K37.5K+$2M$2M
GENERAL ELECTRIC CONEW+14.2K14.2K+$1M$1M
CINFCINCINNATI FINL CORPNEW+8.3K8.3K+$948,000$948,000
CAHCARDINAL HEALTH INCNEW+17.4K17.4K+$859,000$859,000
PAYXPAYCHEX INCNEW+5.0K5.0K+$557,000$557,000
RHIROBERT HALF INTL INCNEW+3.3K3.3K+$330,000$330,000

Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.

Holdings — Q3 2021

41 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1AAPLAPPLE INChistory →COM11.66%$156M1.11M
2AMZNAMAZON COM INChistory →COM4.29%$57M17.5K
3MSFTMICROSOFT CORPhistory →COM1.25%$17M59.5K
4JPMJPMORGAN CHASE & COhistory →COM1.23%$17M101.0K
5CSCOCISCO SYS INChistory →COM1.18%$16M291.6K
6NVDANVIDIA CORPORATIONhistory →COM1.06%$14M68.6K
7DISDISNEY WALT COhistory →COM0.97%$13M77.1K
8LLYLILLY ELI & COhistory →COM0.86%$12M50.2K
9NDQINVESCO QQQ TRUNIT SER 10.74%$10M27.9K
10JNJJOHNSON & JOHNSONCOM0.70%$9M58.0K
11HDHOME DEPOT INCCOM0.65%$9M26.7K
12METAFACEBOOK INCCL A0.63%$8M24.8K
13INNOVATIVE INDL PPTYS INCCOM0.53%$7M30.7K
14MMM3M COCOM0.51%$7M38.8K
15KLACKLA CORPCOM NEW0.50%$7M20.2K
16IRON MTN INC NEWCOM0.50%$7M153.0K
17DFSEURDISCOVER FINL SVCSCOM0.48%$6M52.0K
18TXNTEXAS INSTRS INCCOM0.47%$6M32.7K
19CVSCVS HEALTH CORPCOM0.46%$6M72.5K
20ABBVABBVIE INCCOM0.46%$6M56.9K
21QCOMQUALCOMM INCCOM0.44%$6M45.5K
22CMCSACOMCAST CORP NEWCL A0.43%$6M103.5K
23GSGOLDMAN SACHS GROUP INCCOM0.43%$6M15.2K
24WSMWILLIAMS SONOMA INCCOM0.41%$6M31.2K
25UPSUNITED PARCEL SERVICE INCCL B0.41%$6M30.4K
26DYHTARGET CORPCOM0.41%$6M24.1K
27NFLXNETFLIX INCCOM0.39%$5M8.6K
28ALSALLSTATE CORPCOM0.39%$5M40.6K
29AVGOBROADCOM INCCOM0.38%$5M10.6K
30SPDR DOW JONES INDL AVERAGEUT SER 10.38%$5M15.0K
31FNFFIDELITY NATIONAL FINANCIALFNF GROUP COM0.38%$5M111.4K
32SEAGATE TECHNOLOGY HLDNGS PLORD SHS0.37%$5M60.5K
33SPDR S&P 500 ETF TRTR UNIT0.36%$5M11.4K
34GPCGENUINE PARTS COCOM0.36%$5M40.1K
35DOWDOW INCCOM0.36%$5M84.0K
36HUBBHUBBELL INCCOM0.35%$5M26.3K
37UNHUNITEDHEALTH GROUP INCCOM0.35%$5M12.1K
38TCBKTRICO BANCSHARESCOM0.35%$5M108.1K
39BACBK OF AMERICA CORPCOM0.35%$5M109.9K
40PIIPOLARIS INCCOM0.34%$5M38.3K
41GLWCORNING INCCOM0.34%$5M124.1K

Filing History

QuarterReported ValuePositionsFiledTypeLinks
Q1 2025$1.1B461May 7, 202513F-HRchanges · EDGAR ↗
Q4 2024$1.2B452Jan 30, 202513F-HRchanges · EDGAR ↗
Q3 2024$1.1B455Nov 6, 202413F-HRchanges · EDGAR ↗
Q2 2024$1.1B450Jul 30, 202413F-HRchanges · EDGAR ↗
Q1 2024$1.6B509May 14, 202413F-HRchanges · EDGAR ↗
Q4 2023$1.3B481Feb 8, 202413F-HRchanges · EDGAR ↗
Q3 2023$1.1B459Nov 8, 202313F-HRchanges · EDGAR ↗
Q2 2023$1.2B491Aug 8, 202313F-HRchanges · EDGAR ↗
Q1 2023$1.1B516May 1, 202313F-HRchanges · EDGAR ↗
Q4 2022$1.0B509Feb 13, 202313F-HRchanges · EDGAR ↗
Q3 2022$931M496Nov 3, 202213F-HRchanges · EDGAR ↗
Q2 2022$1.2B497Aug 2, 202213F-HRchanges · EDGAR ↗
Q1 2022$1.4B536May 16, 2022RESTATEMENTchanges · EDGAR ↗
Q4 2021$1.5B675Feb 3, 202213F-HRchanges · EDGAR ↗
Q3 2021$1.3B672Nov 3, 202113F-HRchanges · EDGAR ↗
Q2 2021$1.4B661Aug 16, 202113F-HRchanges · EDGAR ↗
Q1 2021$1.3B631May 11, 202113F-HRchanges · EDGAR ↗
Q4 2020$1.2B483Feb 1, 202113F-HRchanges · EDGAR ↗
Q3 2020$1.1B463Oct 30, 202013F-HRchanges · EDGAR ↗
Q2 2020$1.0B456Aug 7, 202013F-HRchanges · EDGAR ↗
Q1 2020$756M414Apr 30, 202013F-HRchanges · EDGAR ↗
Q4 2019$1.0B477Jan 29, 202013F-HRchanges · EDGAR ↗
Q3 2019$924M466Oct 28, 201913F-HRchanges · EDGAR ↗
Q2 2019$930M496Jul 31, 201913F-HRchanges · EDGAR ↗
Q1 2019$822M513Apr 29, 201913F-HRchanges · EDGAR ↗
Q4 2018$636M478Jan 28, 201913F-HRchanges · EDGAR ↗

Other Included Managers

This filing reports holdings on behalf of 1 additional manager.

  • Innovative Portfolios028-21180

13F filings are due up to 45 days after quarter end, so holdings shown here lag the fund’s current book. Source: original SEC filing on EDGAR ↗.