SEC 13F Intelligence

Managers / Q3 2021 · view latest →

Wambolt & Associates, LLC

CIK 0001755723 · 13976 W. BOWLES AVENUE, STE. 200, LITTLETON, CO, 80127 · 720-962-6700

Reported Value
$249M
Q3 2021
Positions
239
Filings on Record
27
2019–present window
Filed
Oct 20, 2021
original filing

Summary

Wambolt & Associates, LLC reported $249M in U.S.-listed holdings across 239 positions for Q3 2021.

Its largest position, SHYG, represents 10.4% of the portfolio.

Compared with Q2 2021, the fund opened 7 new positions and exited 13.

Portfolio Metrics

Turnover
+3.7%
vs prior filed quarter
Top-10 Concentration
+35.2%
share of reported value
Largest Position
+10.4%
Ishares Tr
New / Exited
7 / 13
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, with multiple share classes and repeated sub-manager rows for the same issuer combined into one position — the same rule the holdings table uses by default. 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: $91MQ4 ’18Q1 ’19: $110MQ2 ’19: $118MQ3 ’19: $121MQ4 ’19: $131MQ4 ’19Q1 ’20: $97MQ2 ’20: $127MQ3 ’20: $134MQ4 ’20: $167MQ4 ’20Q1 ’21: $192MQ2 ’21: $235MQ3 ’21: $249MQ4 ’21: $277MQ4 ’21Q1 ’22: $275MQ2 ’22: $249MQ3 ’22: $235MQ4 ’22: $260MQ4 ’22Q1 ’23: $282MQ2 ’23: $281MQ3 ’23: $276MQ4 ’23: $306MQ4 ’23Q1 ’24: $334MQ2 ’24: $344MQ3 ’24: $366MQ4 ’24: $313MQ4 ’24Q1 ’25: $295MQ2 ’25: $297Mfilingsflow.com

Portfolio Composition

By security type
Common Stock: 59.0%ETP: 32.3%REIT: 4.0%ADR: 3.6%MLP: 0.6%Other: 0.5%
  • Common Stock · 59.0% · $147M
  • ETP · 32.3% · $81M
  • REIT · 4.0% · $10M
  • ADR · 3.6% · $9M
  • MLP · 0.6% · $2M
  • Other · 0.5% · $1M

Quarter-over-Quarter Changes full breakdown →

vs Q2 2021 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
CRMSALESFORCE COM INCNEW+900.6K900.6K+$1M$1M
TIPISHARES TRNEW+4.3K4.3K+$550,000$550,000
TSLATESLA INCNEW+374374+$290,000$290,000
CIBRFIRST TR EXCHANGE TRADED FDNEW+4.4K4.4K+$218,000$218,000
ADSKAUTODESK INCNEW+766766+$218,000$218,000
NFLXNETFLIX INCNEW+332332+$204,000$204,000
GENERAL ELECTRIC CONEW+74.6K74.6K+$136,000$136,000
NVDANVIDIA CORPORATIONADDED+3.7K4.7K+$100,000$984,000

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

Holdings — Q3 2021

190 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1SHYGISHARES TR0-5YR HI YL CP · ISHS 1-5YR INVS · COHEN STEER REIT · EAFE GRWTH ETF · SELECT DIVID ETF · ISHS 5-10YR INVT · CORE HIGH DV ETF · MSCI EMG MKT ETF · EAFE VALUE ETF · MSCI INDIA ETF · CORE S&P500 ETF · TIPS BD ETF · MSCI EAFE ETF · INTL SEL DIV ETF · CORE S&P SCP ETF · S&P MC 400GR ETF · MSCI USA MIN VOL10.37%$26M413.2K
2MDYGSPDR SER TRS&P 400 MDCP GRW · S&P 600 SMCP GRW · PRTFLO S&P500 GW · S&P 400 MDCP VAL · S&P 600 SMCP VAL · AEROSPACE DEF · PRTFLO S&P500 VL · PRTFLO S&P500 HI · RUSSELL YIELD · BLOMBERG BRC INV4.61%$11M163.1K
3BKLNINVESCO EXCH TRADED FD TR IISR LN ETF · PFD ETF · S&P500 LOW VOL · S&P INTL LOW · EMRNG MKT SVRG · VAR RATE PFD3.38%$8M361.0K
4AAPLAPPLE INChistory →COM3.16%$8M123.8K
5RSPINVESCO EXCHANGE TRADED FD TS&P500 EQL WGT · S&P500 PUR GWT · S&P500 PUR VAL · S&P SML 600 EQ3.00%$7M56.3K
6MSFTMICROSOFT CORPhistory →COM2.76%$7M23.8K
7VBKVANGUARD INDEX FDSSML CP GRW ETF · REAL ESTATE ETF · MCAP GR IDXVIP · MCAP VL IDXVIP · SM CP VAL ETF · MID CAP ETF · SMALL CP ETF · GROWTH ETF2.61%$7M35.9K
8UPSUNITED PARCEL SERVICE INChistory →CL B2.56%$6M35.1K
9QQQEDIREXION SHS ETF TRhistory →NAS100 EQL WGT1.45%$4M43.7K
10JPMJPMORGAN CHASE & COhistory →COM1.31%$3M19.5K
11INTUINTUIThistory →COM1.25%$3M5.8K
12MAINMAIN STR CAP CORPhistory →COM1.10%$3M66.1K
13METAFACEBOOK INChistory →CL A1.05%$3M7.6K
14PGPROCTER AND GAMBLE COhistory →COM1.05%$3M18.8K
15SPDWSPDR INDEX SHS FDSMSCI ACWI EXUS · PORTFOLIO DEVLPD1.04%$3M87.2K
16ARCCARES CAPITAL CORPhistory →COM1.03%$3M124.9K
17ABBVABBVIE INCCOM0.97%$2M22.1K
18VVISA INCCOM CL A0.94%$2M10.2K
19GOOGLALPHABET INCCAP STK CL A · CAP STK CL C0.92%$2M837
20RFREGIONS FINANCIAL CORP NEWCOM0.91%$2M103.8K
21BLACKROCK INCCOM0.87%$2M2.6K
22TSLXSIXTH STREET SPECIALTY LENDNCOM0.87%$2M96.0K
23PFEPFIZER INCCOM0.83%$2M48.5K
24WMTWALMART INCCOM0.82%$2M15.0K
25WMWASTE MGMT INC DELCOM0.82%$2M13.7K
26PLDPROLOGIS INC.COM0.82%$2M16.2K
27ETNEATON CORP PLCSHS0.81%$2M13.5K
28SPYSPDR S&P 500 ETF TRTR UNIT0.80%$2M4.6K
29ACNACCENTURE PLC IRELANDSHS CLASS A0.80%$2M6.1K
30RYROYAL BK CDACOM0.77%$2M19.2K
31JNJJOHNSON & JOHNSONCOM0.76%$2M11.8K
32FLTRVANECK ETF TRUSTINVESTMENT GRD · BDC INCOME ETF0.74%$2M78.5K
33BBYBEST BUY INCCOM0.73%$2M17.3K
34MCDMCDONALDS CORPCOM0.73%$2M7.5K
35DUKE REALTY CORPCOM NEW0.66%$2M33.6K
36BACBK OF AMERICA CORPCOM0.66%$2M37.9K
37FBNDFIDELITY MERRIMACK STR TRTOTAL BD ETF0.65%$2M30.4K
38PEPPEPSICO INCCOM0.64%$2M10.6K
39ETF MANAGERS TRPRIME CYBR SCRTY0.63%$2M25.6K
40COPCONOCOPHILLIPSCOM0.63%$2M22.5K
41TMTOYOTA MOTOR CORPSP ADR REP2COM0.60%$1M8.4K
42DESWISDOMTREE TRUS SMALLCAP DIVD · US MIDCAP DIVID0.59%$1M42.6K
43PYPLPAYPAL HLDGS INCCOM0.58%$1M5.5K
44BCEBCE INCCOM NEW0.58%$1M28.9K
45MDTMEDTRONIC PLCSHS0.58%$1M11.3K
46IXORIX CORPSPONSORED ADR0.58%$1M15.3K
47LDOSLEIDOS HOLDINGS INCCOM0.57%$1M14.6K
48TTTRANE TECHNOLOGIES PLCSHS0.57%$1M8.1K
49SHWSHERWIN WILLIAMS COCOM0.57%$1M4.9K
50HDHOME DEPOT INCCOM0.56%$1M4.2K
51RTXRAYTHEON TECHNOLOGIES CORPCOM0.54%$1M15.5K
52TAT&T INCCOM0.54%$1M49.7K
53TMOTHERMO FISHER SCIENTIFIC INCCOM0.54%$1M2.3K
54LNCLINCOLN NATL CORP INDCOM0.53%$1M18.9K
55ASMLFASML HOLDING N VN Y REGISTRY SHS0.53%$1M1.8K
56IDOGALPS ETF TRINTL SEC DV DOG0.52%$1M47.8K
57BRBROADRIDGE FINL SOLUTIONS INCOM0.52%$1M7.8K
58BRK/BBERKSHIRE HATHAWAY INC DELCL B NEW0.51%$1M4.7K
59VZVERIZON COMMUNICATIONS INCCOM0.51%$1M23.4K
60STZCONSTELLATION BRANDS INCCL A0.51%$1M5.9K
61DGDOLLAR GEN CORP NEWCOM0.50%$1M6.0K
62MAMASTERCARD INCORPORATEDCL A0.50%$1M3.5K
63LOWLOWES COS INCCOM0.49%$1M6.0K
64DLRDIGITAL RLTY TR INCCOM0.47%$1M8.1K
65DEODIAGEO PLCSPON ADR NEW0.46%$1M6.0K
66NVSNOVARTIS AGSPONSORED ADR0.46%$1M13.9K
67DISDISNEY WALT COCOM0.45%$1M6.4K
68PAYXPAYCHEX INCCOM0.43%$1M9.3K
69CRMSALESFORCE COM INCCOM0.42%$1M900.6K
70UNHUNITEDHEALTH GROUP INCCOM0.41%$1M2.6K
71DALDELTA AIR LINES INC DELCOM NEW0.41%$1M22.3K
72PRUPRUDENTIAL FINL INCCOM0.40%$998,0009.4K
73BKNGBOOKING HOLDINGS INCCOM0.40%$997,000406
74MTNVAIL RESORTS INCCOM0.40%$992,0002.8K
75NVDANVIDIA CORPORATIONCOM0.39%$984,0004.7K
76MGPMGM GROWTH PPTYS LLCCL A COM0.39%$968,00024.8K
77SLFSUN LIFE FINANCIAL INC.COM0.39%$961,00018.7K
78METMETLIFE INCCOM0.38%$939,00015.0K
79ISHARES INCMSCI FRONTIER0.37%$926,00027.3K
80EMREMERSON ELEC COCOM0.36%$905,0009.5K
81WPCWP CAREY INCCOM0.36%$898,00012.1K
82VOOGVANGUARD ADMIRAL FDS INC500 GRTH IDX F · 500 VAL IDX FD0.36%$896,0004.3K
83GLWCORNING INCCOM0.36%$888,00024.0K
84BHPBHP GROUP LTDSPONSORED ADS0.35%$881,00016.5K
85IRMIRON MTN INC NEWCOM0.35%$879,00020.0K
86VWOVANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF · ALLWRLD EX US0.35%$877,00016.7K
87APDAIR PRODS & CHEMS INCCOM0.35%$869,0003.4K
88TSMTAIWAN SEMICONDUCTOR MFG LTDSPONSORED ADS0.35%$867,0007.8K
89XLYSELECT SECTOR SPDR TRSBI CONS DISCR · FINANCIAL · SBI INT-UTILS0.34%$858,00012.8K
90UNILEVER PLCSPON ADR NEW0.33%$821,00015.1K
91HONHONEYWELL INTL INCCOM0.32%$802,0003.7K
92NEENEXTERA ENERGY INCCOM0.32%$798,00010.1K
93DUKDUKE ENERGY CORP NEWCOM NEW0.32%$789,0008.0K
94WELLWELLTOWER INCCOM0.30%$746,0008.9K
95NGGNATIONAL GRID PLCSPONSORED ADR NE0.30%$741,00012.2K
96AREALEXANDRIA REAL ESTATE EQ INCOM0.30%$737,0003.8K
97TXNTEXAS INSTRS INCCOM0.29%$724,0003.7K
98XELXCEL ENERGY INCCOM0.29%$718,00011.5K
99APOLLO GLOBAL MGMT INCCOM CL A0.28%$705,00011.4K
100VYMVANGUARD WHITEHALL FDSHIGH DIV YLD0.28%$699,0006.7K

Filing History

QuarterReported ValuePositionsFiledTypeLinks
Q2 2025$297M171Aug 13, 202513F-HRchanges · EDGAR ↗
Q1 2025$295M170May 12, 202513F-HRchanges · EDGAR ↗
Q4 2024$313M183Feb 12, 202513F-HRchanges · EDGAR ↗
Q3 2024$366M194Nov 12, 202413F-HRchanges · EDGAR ↗
Q2 2024$344M203Aug 8, 202413F-HRchanges · EDGAR ↗
Q1 2024$334M219Apr 30, 202413F-HRchanges · EDGAR ↗
Q4 2023$306M236Feb 7, 202413F-HRchanges · EDGAR ↗
Q3 2023$276M241Nov 7, 202313F-HRchanges · EDGAR ↗
Q2 2023$281M250Aug 3, 202313F-HRchanges · EDGAR ↗
Q1 2023$282M259May 8, 202313F-HRchanges · EDGAR ↗
Q4 2022$260M241Feb 1, 202313F-HRchanges · EDGAR ↗
Q3 2022$235M232Oct 19, 202213F-HRchanges · EDGAR ↗
Q2 2022$249M236Aug 1, 202213F-HRchanges · EDGAR ↗
Q1 2022$275M237May 10, 202213F-HRchanges · EDGAR ↗
Q4 2021$277M240Feb 8, 202213F-HRchanges · EDGAR ↗
Q3 2021$249M239Oct 20, 202113F-HRchanges · EDGAR ↗
Q2 2021$235M245Aug 13, 202113F-HRchanges · EDGAR ↗
Q1 2021$192M214Apr 19, 202113F-HRchanges · EDGAR ↗
Q4 2020$167M204Jan 19, 202113F-HRchanges · EDGAR ↗
Q3 2020$134M180Nov 4, 202013F-HRchanges · EDGAR ↗
Q2 2020$127M178Jul 23, 202013F-HRchanges · EDGAR ↗
Q1 2020$97M158May 11, 202013F-HRchanges · EDGAR ↗
Q4 2019$131M167Feb 10, 202013F-HRchanges · EDGAR ↗
Q3 2019$121M157Oct 15, 201913F-HRchanges · EDGAR ↗
Q2 2019$118M159Jul 26, 201913F-HRchanges · EDGAR ↗
Q1 2019$110M151Apr 11, 201913F-HRchanges · EDGAR ↗
Q4 2018$91M143Jan 29, 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 ↗.