SEC 13F Intelligence

Managers / Q4 2023 · view latest →

Sheaff Brock Investment Advisors, LLC

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

Reported Value
$1.3B
Q4 2023
Positions
481
Filings on Record
31
2019–present window
Filed
Feb 8, 2024
original filing

Summary

Sheaff Brock Investment Advisors, LLC reported $1.3B in U.S.-listed holdings across 481 positions for Q4 2023.

Its largest position, AAPL, represents 11.8% of the portfolio.

Compared with Q3 2023, the fund opened 44 new positions and exited 24.

Portfolio Metrics

Turnover
+4.5%
vs prior filed quarter
Top-10 Concentration
+28.4%
share of reported value
Largest Position
+11.8%
Apple
New / Exited
44 / 24
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: 72.4%ETP: 20.4%REIT: 3.7%Other: 2.0%Closed-End Fund: 0.7%Other: 0.6%
  • Common Stock · 72.4% · $936M
  • ETP · 20.4% · $264M
  • REIT · 3.7% · $48M
  • Other · 2.0% · $26M
  • Closed-End Fund · 0.7% · $9M
  • Other · 0.6% · $8M

Quarter-over-Quarter Changes full breakdown →

vs Q3 2023 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
GDGENERAL DYNAMICS CORPNEW+26.0K26.0K+$7M$7M
DIREXION SHS ETF TRNEW+55.0K55.0K+$2M$2M
QLYSQUALYS INCNEW+9.1K9.1K+$2M$2M
INVHINVITATION HOMES INCNEW+39.0K39.0K+$1M$1M
PROSHARES TRNEW+26.1K26.1K+$1M$1M
APLEAPPLE HOSPITALITY REIT INCNEW+74.8K74.8K+$1M$1M
EATON CORP PLCNEW+4.8K4.8K+$1M$1M
LULULULULEMON ATHLETICA INCNEW+2.2K2.2K+$1M$1M

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

Holdings — Q4 2023

47 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1AAPLAPPLE INChistory →COM11.78%$152M790.7K
2NVDANVIDIA CORPORATIONhistory →COM5.76%$74M150.3K
3MSFTMICROSOFT CORPhistory →COM2.10%$27M72.3K
4LISTED FD TRDIVIDEND PERFMRS · PREFERRED PLUS1.81%$23M1.67M
5LLYELI LILLY & COhistory →COM1.64%$21M36.4K
6AMZNAMAZON COM INChistory →COM1.45%$19M123.6K
7GOOGLALPHABET INCCAP STK CL A · CAP STK CL C1.25%$16M115.7K
8CSCOCISCO SYS INChistory →COM1.18%$15M303.2K
9HDHOME DEPOT INChistory →COM1.12%$14M41.8K
10JPMJPMORGAN CHASE & COhistory →COM1.06%$14M80.9K
11ORCLORACLE CORPhistory →COM1.00%$13M122.4K
12CMECME GROUP INChistory →COM0.99%$13M60.8K
13NDQINVESCO QQQ TRhistory →UNIT SER 10.98%$13M30.9K
14KLACKLA CORPhistory →COM NEW0.94%$12M20.8K
15IRON MTN INC DELCOM0.90%$12M166.5K
16JNJJOHNSON & JOHNSONhistory →COM0.90%$12M73.8K
17ABBVABBVIE INChistory →COM0.89%$12M74.6K
18APAAPA CORPORATIONhistory →COM0.89%$12M321.5K
19MRKMERCK & CO INChistory →COM0.89%$11M105.0K
20AVGOBROADCOM INChistory →COM0.86%$11M9.9K
21PGPROCTER AND GAMBLE COhistory →COM0.84%$11M74.3K
22ACCENTURE PLC IRELANDSHS CLASS A0.83%$11M30.4K
23QCOMQUALCOMM INChistory →COM0.81%$10M72.0K
24PAGPENSKE AUTOMOTIVE GRP INChistory →COM0.78%$10M63.1K
25METAMETA PLATFORMS INCCL A0.75%$10M27.3K
26HUBBHUBBELL INCCOM0.72%$9M28.2K
27LMTLOCKHEED MARTIN CORPCOM0.70%$9M20.0K
28CRMSALESFORCE INCCOM0.69%$9M34.1K
29PHPARKER-HANNIFIN CORPCOM0.68%$9M19.1K
30TXNTEXAS INSTRS INCCOM0.67%$9M51.0K
31UNHUNITEDHEALTH GROUP INCCOM0.65%$8M16.1K
32OKEONEOK INC NEWCOM0.63%$8M115.6K
33SPDR S&P 500 ETF TRTR UNIT0.63%$8M17.1K
34CHVCHEVRON CORP NEWCOM0.61%$8M52.8K
35UPSUNITED PARCEL SERVICE INCCL B0.61%$8M50.0K
36EXMOCEXXON MOBIL CORPCOM0.60%$8M77.9K
37PEPPEPSICO INCCOM0.58%$7M43.9K
38DFSEURDISCOVER FINL SVCSCOM0.57%$7M65.4K
39SPDR DOW JONES INDL AVERAGEUT SER 10.57%$7M19.5K
40CMICUMMINS INCCOM0.56%$7M30.2K
41CITHE CIGNA GROUPCOM0.55%$7M23.9K
42TSLATESLA INCCOM0.55%$7M28.4K
43PPGPPG INDS INCCOM0.54%$7M46.7K
44CATCATERPILLAR INCCOM0.53%$7M23.0K
45AMDADVANCED MICRO DEVICES INCCOM0.52%$7M45.9K
46GDGENERAL DYNAMICS CORPCOM0.52%$7M26.0K
47GLGLOBE LIFE INCCOM0.52%$7M54.9K

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 ↗.