SEC 13F Intelligence

Managers / Q3 2023 · view latest →

Sheaff Brock Investment Advisors, LLC

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

Reported Value
$1.1B
Q3 2023
Positions
459
Filings on Record
31
2019–present window
Filed
Nov 8, 2023
original filing

Summary

Sheaff Brock Investment Advisors, LLC reported $1.1B in U.S.-listed holdings across 459 positions for Q3 2023.

Its largest position, AAPL, represents 12.5% of the portfolio.

Compared with Q2 2023, the fund opened 13 new positions and exited 41.

Portfolio Metrics

Turnover
+5.0%
vs prior filed quarter
Top-10 Concentration
+29.4%
share of reported value
Largest Position
+12.5%
Apple
New / Exited
13 / 41
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: 76.2%ETP: 16.5%REIT: 3.7%Other: 2.1%Closed-End Fund: 0.8%Other: 0.7%
  • Common Stock · 76.2% · $842M
  • ETP · 16.5% · $182M
  • REIT · 3.7% · $40M
  • Other · 2.1% · $24M
  • Closed-End Fund · 0.8% · $9M
  • Other · 0.7% · $8M

Quarter-over-Quarter Changes full breakdown →

vs Q2 2023 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
ALSNALLISON TRANSMISSION HLDGS INEW+107.2K107.2K+$6M$6M
PPGPPG INDS INCNEW+46.5K46.5K+$6M$6M
EMEEMCOR GROUP INCNEW+7.3K7.3K+$2M$2M
EXPEAGLE MATLS INCNEW+8.6K8.6K+$1M$1M
JJACOBS SOLUTIONS INCNEW+8.6K8.6K+$1M$1M
WYNNWYNN RESORTS LTDNEW+5.7K5.7K+$525,867$525,867
DOVDOVER CORPNEW+3.4K3.4K+$467,359$467,359
EXPEEXPEDIA GROUP INCNEW+3.0K3.0K+$309,210$309,210

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

Holdings — Q3 2023

47 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1AAPLAPPLE INChistory →COM12.52%$138M807.5K
2NVDANVIDIA CORPORATIONhistory →COM4.70%$52M119.3K
3MSFTMICROSOFT CORPhistory →COM2.09%$23M73.1K
4LISTED FD TRDIVIDEND PERFMRS · PREFERRED PLUS1.99%$22M1.75M
5LLYELI LILLY & COhistory →COM1.80%$20M37.0K
6AMZNAMAZON COM INChistory →COM1.49%$16M129.6K
7GOOGLALPHABET INCCAP STK CL A · CAP STK CL C1.48%$16M124.5K
8CSCOCISCO SYS INChistory →COM1.47%$16M301.2K
9APAAPA CORPORATIONhistory →COM1.45%$16M390.5K
10MRKMERCK & CO INChistory →COM1.32%$15M141.1K
11ORCLORACLE CORPhistory →COM1.21%$13M125.8K
12JNJJOHNSON & JOHNSONhistory →COM1.04%$11M73.8K
13ABBVABBVIE INChistory →COM1.02%$11M75.3K
14JPMJPMORGAN CHASE & COhistory →COM0.99%$11M75.5K
15PGPROCTER AND GAMBLE COhistory →COM0.97%$11M73.5K
16NDQINVESCO QQQ TRhistory →UNIT SER 10.97%$11M29.8K
17PAGPENSKE AUTOMOTIVE GRP INChistory →COM0.96%$11M63.4K
18KLACKLA CORPhistory →COM NEW0.92%$10M22.2K
19IRON MTN INC DELCOM0.92%$10M170.6K
20AVGOBROADCOM INChistory →COM0.92%$10M12.2K
21ACCENTURE PLC IRELANDSHS CLASS A0.85%$9M30.4K
22EXMOCEXXON MOBIL CORPCOM0.82%$9M77.4K
23HUBBHUBBELL INCCOM0.81%$9M28.7K
24HDHOME DEPOT INCCOM0.80%$9M29.3K
25COPCONOCOPHILLIPSCOM0.74%$8M68.5K
26LMTLOCKHEED MARTIN CORPCOM0.73%$8M19.8K
27UNHUNITEDHEALTH GROUP INCCOM0.73%$8M15.9K
28QCOMQUALCOMM INCCOM0.73%$8M72.3K
29TXNTEXAS INSTRS INCCOM0.72%$8M50.3K
30UPSUNITED PARCEL SERVICE INCCL B0.71%$8M50.3K
31PHPARKER-HANNIFIN CORPCOM0.69%$8M19.6K
32CHVCHEVRON CORP NEWCOM0.69%$8M45.0K
33TSLATESLA INCCOM0.67%$7M29.8K
34PEPPEPSICO INCCOM0.67%$7M43.9K
35OKEONEOK INC NEWCOM0.66%$7M114.3K
36SPDR S&P 500 ETF TRTR UNIT0.65%$7M16.8K
37SPDR DOW JONES INDL AVERAGEUT SER 10.65%$7M21.4K
38METAMETA PLATFORMS INCCL A0.64%$7M23.6K
39BRK/ABERKSHIRE HATHAWAY INC DELCL A0.63%$7M1.3K
40CMICUMMINS INCCOM0.62%$7M29.9K
41CITHE CIGNA GROUPCOM0.62%$7M23.8K
42CATCATERPILLAR INCCOM0.58%$6M23.3K
43ALSNALLISON TRANSMISSION HLDGS ICOM0.57%$6M107.2K
44PPGPPG INDS INCCOM0.55%$6M46.5K
45GLGLOBE LIFE INCCOM0.54%$6M54.9K
46CVSCVS HEALTH CORPCOM0.52%$6M81.6K
47DFSEURDISCOVER FINL SVCSCOM0.52%$6M65.8K

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 ↗

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 ↗.