SEC 13F Intelligence

Managers / Q3 2023 · view latest →

Wambolt & Associates, LLC

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

Reported Value
$276M
Q3 2023
Positions
241
Filings on Record
27
2019–present window
Filed
Nov 7, 2023
original filing

Summary

Wambolt & Associates, LLC reported $276M in U.S.-listed holdings across 241 positions for Q3 2023.

Its largest position, SHYG, represents 4.8% of the portfolio.

Compared with Q2 2023, the fund opened 9 new positions and exited 18.

Portfolio Metrics

Turnover
+9.5%
vs prior filed quarter
Top-10 Concentration
+26.4%
share of reported value
Largest Position
+4.8%
Ishares Tr
New / Exited
9 / 18
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: 70.4%ETP: 20.3%ADR: 5.6%REIT: 2.9%MLP: 0.5%Other: 0.3%
  • Common Stock · 70.4% · $194M
  • ETP · 20.3% · $56M
  • ADR · 5.6% · $16M
  • REIT · 2.9% · $8M
  • MLP · 0.5% · $1M
  • Other · 0.3% · $780,670

Quarter-over-Quarter Changes full breakdown →

vs Q2 2023 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
CBOECBOE GLOBAL MKTS INCNEW+5.4K5.4K+$851,267$851,267
CNICANADIAN NATL RY CONEW+4.9K4.9K+$521,786$521,786
VTEBVANGUARD MUN BD FDSNEW+9.5K9.5K+$454,963$454,963
NKENIKE INCNEW+4.2K4.2K+$396,490$396,490
OKEONEOK INC NEWNEW+4.9K4.9K+$304,426$304,426
XLESELECT SECTOR SPDR TRNEW+2.8K2.8K+$250,001$250,001
PSXPHILLIPS 66NEW+1.8K1.8K+$217,241$217,241
SUPER MICRO COMPUTER INCNEW+728728+$210,290$210,290

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

Holdings — Q3 2023

197 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1SHYGISHARES TR0-5YR HI YL CP · EAFE VALUE ETF · MSCI INDIA ETF · SELECT DIVID ETF · EAFE GRWTH ETF · COHEN STEER REIT · TIPS BD ETF · CORE HIGH DV ETF · 0-5 YR TIPS ETF · CORE S&P500 ETF · MSCI EAFE ETF · MSCI USA MIN VOL · CORE S&P SCP ETF4.85%$13M230.5K
2AAPLAPPLE INChistory →COM3.77%$10M128.4K
3SPYGSPDR SER TRPRTFLO S&P500 GW · S&P 400 MDCP VAL · S&P 400 MDCP GRW · PRTFLO S&P500 VL · S&P 600 SMCP VAL · S&P 600 SMCP GRW · AEROSPACE DEF · BLOOMBERG INVT · PRTFLO S&P500 HI3.58%$10M172.8K
4MSFTMICROSOFT CORPhistory →COM3.16%$9M27.0K
5BKLNINVESCO EXCH TRADED FD TR IISR LN ETF · VAR RATE PFD · PFD ETF · S&P500 LOW VOL · S&P INTL LOW2.63%$7M350.7K
6UPSUNITED PARCEL SERVICE INChistory →CL B1.97%$5M35.1K
7PBPROSPERITY BANCSHARES INChistory →COM1.71%$5M88.8K
8VBRVANGUARD INDEX FDSSM CP VAL ETF · MCAP VL IDXVIP · SML CP GRW ETF · MCAP GR IDXVIP · MID CAP ETF · REAL ESTATE ETF · GROWTH ETF1.66%$5M29.7K
9RSPINVESCO EXCHANGE TRADED FD TS&P500 EQL WGT · S&P500 PUR GWT · S&P500 PUR VAL · AEROSPACE DEFN1.59%$4M64.9K
10GOOGALPHABET INCCAP STK CL C · CAP STK CL A1.48%$4M30.2K
11ABBVABBVIE INChistory →COM1.46%$4M27.1K
12INTUINTUIThistory →COM1.43%$4M7.6K
13WMTWALMART INChistory →COM1.35%$4M23.2K
14VVISA INChistory →COM CL A1.34%$4M16.0K
15BRK/BBERKSHIRE HATHAWAY INC DELhistory →CL B NEW1.30%$4M10.3K
16COSTCOSTCO WHSL CORP NEWhistory →COM1.25%$3M6.0K
17ARCCARES CAPITAL CORPhistory →COM1.23%$3M177.3K
18ETNEATON CORP PLChistory →SHS1.20%$3M15.7K
19PGPROCTER AND GAMBLE COhistory →COM1.17%$3M22.3K
20UNHUNITEDHEALTH GROUP INChistory →COM1.14%$3M6.1K
21COPCONOCOPHILLIPShistory →COM1.12%$3M26.4K
22PLDPROLOGIS INC.history →COM1.12%$3M28.2K
23WMWASTE MGMT INC DELhistory →COM1.07%$3M19.6K
24NVDANVIDIA CORPORATIONhistory →COM1.06%$3M6.5K
25PEPPEPSICO INCCOM0.99%$3M16.2K
26TSLXSIXTH STREET SPECIALTY LENDICOM0.97%$3M133.9K
27QQQEDIREXION SHS ETF TRNAS100 EQL WGT0.95%$3M34.9K
28MCDMCDONALDS CORPCOM0.93%$3M9.9K
29MAMASTERCARD INCORPORATEDCL A0.89%$2M6.2K
30EWYISHARES INCFRONTIER AND SEL · MSCI STH KOR ETF · MSCI ISRAEL ETF0.87%$2M66.0K
31MAINMAIN STR CAP CORPCOM0.82%$2M56.3K
32KRKROGER COCOM0.82%$2M51.1K
33JNJJOHNSON & JOHNSONCOM0.79%$2M14.0K
34JPMJPMORGAN CHASE & COCOM0.79%$2M15.1K
35NVSNOVARTIS AGSPONSORED ADR0.79%$2M21.3K
36RYROYAL BK CDACOM0.77%$2M24.9K
37BHPBHP GROUP LTDSPONSORED ADS0.74%$2M36.4K
38ADMARCHER DANIELS MIDLAND COCOM0.70%$2M26.0K
39IXORIX CORPSPONSORED ADR0.69%$2M20.7K
40SPDWSPDR INDEX SHS FDSMSCI ACWI EXUS · PORTFOLIO DEVLPD0.69%$2M72.8K
41NVONOVO-NORDISK A SADR0.66%$2M19.7K
42MDLZMONDELEZ INTL INCCL A0.65%$2M26.3K
43IDOGALPS ETF TRINTL SEC DV DOG0.65%$2M66.6K
44MDTMEDTRONIC PLCSHS0.63%$2M22.3K
45PFEPFIZER INCCOM0.63%$2M51.0K
46TMTOYOTA MOTOR CORPADS0.62%$2M9.6K
47RFREGIONS FINANCIAL CORP NEWCOM0.62%$2M102.7K
48BCEBCE INCCOM NEW0.60%$2M45.2K
49METAMETA PLATFORMS INCCL A0.60%$2M5.4K
50PRUPRUDENTIAL FINL INCCOM0.60%$2M17.6K
51TTTRANE TECHNOLOGIES PLCSHS0.58%$2M8.1K
52LYBLYONDELLBASELL INDUSTRIES NSHS - A -0.58%$2M17.1K
53IRMIRON MTN INC DELCOM0.58%$2M27.2K
54LOWLOWES COS INCCOM0.57%$2M7.6K
55CSCOCISCO SYS INCCOM0.57%$2M28.9K
56TXNTEXAS INSTRS INCCOM0.55%$2M9.5K
57SPYSPDR S&P 500 ETF TRTR UNIT0.55%$2M3.6K
58ACNACCENTURE PLC IRELANDSHS CLASS A0.54%$1M4.8K
59ODFLOLD DOMINION FREIGHT LINE INCOM0.54%$1M3.7K
60BXBLACKSTONE INCCOM0.52%$1M13.4K
61TSLATESLA INCCOM0.52%$1M5.7K
62STZCONSTELLATION BRANDS INCCL A0.52%$1M5.7K
63ETF MANAGERS TRPRIME CYBR SCRTY0.50%$1M26.4K
64LDOSLEIDOS HOLDINGS INCCOM0.49%$1M14.6K
65NGGNATIONAL GRID PLCSPONSORED ADR NE0.49%$1M23.0K
66CVXCHEVRON CORP NEWCOM0.48%$1M8.0K
67BLACKROCK INCCOM0.48%$1M2.1K
68DESWISDOMTREE TRUS SMALLCAP DIVD · US MIDCAP DIVID0.48%$1M42.8K
69HONHONEYWELL INTL INCCOM0.47%$1M7.1K
70DEODIAGEO PLCSPON ADR NEW0.46%$1M8.7K
71DGXQUEST DIAGNOSTICS INCCOM0.45%$1M10.4K
72STLDSTEEL DYNAMICS INCCOM0.44%$1M11.4K
73HDHOME DEPOT INCCOM0.43%$1M4.0K
74CRMSALESFORCE INCCOM0.42%$1M901.2K
75PGRPROGRESSIVE CORPCOM0.41%$1M8.2K
76MFCMANULIFE FINL CORPCOM0.41%$1M63.2K
77TMOTHERMO FISHER SCIENTIFIC INCCOM0.41%$1M2.3K
78BRBROADRIDGE FINL SOLUTIONS INCOM0.41%$1M6.3K
79EXMOCEXXON MOBIL CORPCOM0.40%$1M9.6K
80FLTRVANECK ETF TRUSTIG FLOATING RATE · BDC INCOME ETF0.40%$1M55.3K
81SLFSUN LIFE FINANCIAL INC.COM0.39%$1M22.5K
82VZVERIZON COMMUNICATIONS INCCOM0.39%$1M33.6K
83BACBANK AMERICA CORPCOM · 7.25%CNV PFD L0.38%$1M30.1K
84BBYBEST BUY INCCOM0.37%$1M14.7K
85NTRNUTRIEN LTDCOM0.37%$1M16.8K
86RTXRTX CORPORATIONCOM0.36%$1M14.1K
87SHELSHELL PLCSPON ADS0.36%$999,10815.8K
88BKNGBOOKING HOLDINGS INCCOM0.36%$980,722317
89CDNSCADENCE DESIGN SYSTEM INCCOM0.36%$979,5424.1K
90WELLWELLTOWER INCCOM0.35%$972,72011.9K
91ADBEADOBE INCCOM0.35%$970,3441.9K
92DUKDUKE ENERGY CORP NEWCOM NEW0.35%$967,65011.3K
93AMZNAMAZON COM INCCOM0.35%$962,9317.4K
94ONON SEMICONDUCTOR CORPCOM0.34%$946,95910.1K
95VLOVALERO ENERGY CORPCOM0.33%$922,5796.7K
96PAYXPAYCHEX INCCOM0.32%$882,1367.8K
97SAICSCIENCE APPLICATIONS INTL COCOM0.32%$878,7758.2K
98MKCMCCORMICK & CO INCCOM NON VTG0.31%$864,21211.6K
99PSAPUBLIC STORAGECOM0.31%$851,6303.3K
100CBOECBOE GLOBAL MKTS INCCOM0.31%$851,2675.4K

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 ↗.