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Alpha Cubed Investments, LLC

Q4 2023 · 13F-HR

Alpha Cubed Investments, LLCholdings as filed

Filed 2024-02-05 · accession 0001085146-24-000724

$1.79B
Reported value
280
Positions
2023-12-31
Period end
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Holdings as filed

CUSIPTickerIssuerValue% port.SharesClassVoting
037833100AAPLAPPLE INC$125.7M7.03%652,987CommonNONE
594918104MSFTMICROSOFT CORP$97.1M5.43%258,247CommonNONE
02079K305GOOGLALPHABET INC$70.0M3.92%501,136CommonNONE
023135106AMZNAMAZON COM INC$67.1M3.75%441,716CommonNONE
084670702BRK/BBERKSHIRE HATHAWAY INC DEL$58.3M3.26%163,393CommonNONE
N07059210ASMLASML HOLDING N V$55.8M3.12%73,682CommonNONE
697435105PANWPALO ALTO NETWORKS INC$52.3M2.93%177,462CommonNONE
12572Q105CMECME GROUP INC$46.1M2.58%219,098CommonNONE
00724F101ADBEADOBE INC$42.1M2.36%70,630CommonNONE
17275R102CSCOCISCO SYS INC$40.6M2.27%804,352CommonNONE
031162100AMGNAMGEN INC$36.1M2.02%125,384CommonNONE
46625H100JPMJPMORGAN CHASE & CO$35.5M1.99%208,961CommonNONE
478160104JNJJOHNSON & JOHNSON$35.3M1.97%224,961CommonNONE
92826C839VVISA INC$34.2M1.92%131,540CommonNONE
64110L106NFLXNETFLIX INC$33.7M1.89%69,294CommonNONE
91324P102UNHUNITEDHEALTH GROUP INC$33.5M1.87%63,663CommonNONE
67066G104NVDANVIDIA CORPORATION$30.6M1.71%61,805CommonNONE
74762E102QUREQUANTA SVCS INC$29.9M1.67%138,660CommonNONE
149123101CATCATERPILLAR INC$29.1M1.63%98,386CommonNONE
191216100KOCOCA COLA CO$25.8M1.44%438,024CommonNONE
58933Y105MRKMERCK & CO INC$25.4M1.42%233,145CommonNONE
46120E602ISRGINTUITIVE SURGICAL INC$24.7M1.38%73,167CommonNONE
580135101MCDMCDONALDS CORP$24.6M1.38%83,051CommonNONE
03027X100AMTAMERICAN TOWER CORP NEW$24.5M1.37%113,710CommonNONE
007903107AMDADVANCED MICRO DEVICES INC$23.6M1.32%160,187CommonNONE
98978V103ZTSZOETIS INC$23.3M1.30%118,162CommonNONE
337738108FISVFISERV INC$21.6M1.21%162,608CommonNONE
22160K105COSTCOSTCO WHSL CORP NEW$20.7M1.16%31,295CommonNONE
G29183103ETNEATON CORP PLC$19.5M1.09%81,024CommonNONE
539830109LMTLOCKHEED MARTIN CORP$18.8M1.05%41,449CommonNONE
88160R101TSLATESLA INC$17.4M0.97%70,061CommonNONE
882508104TXNTEXAS INSTRS INC$17.4M0.97%102,037CommonNONE
406216101HALHALLIBURTON CO$16.7M0.93%461,729CommonNONE
59156R108METMETLIFE INC$16.5M0.92%248,966CommonNONE
72201R775BONDPIMCO ETF TR$16.3M0.91%176,738CommonNONE
911312106UPSUNITED PARCEL SERVICE INC$16.3M0.91%103,505CommonNONE
747525103QCOMQUALCOMM INC$16.1M0.90%111,220CommonNONE
92343V104VZVERIZON COMMUNICATIONS INC$13.8M0.77%367,345CommonNONE
025537101AEPAMERICAN ELEC PWR CO INC$13.8M0.77%170,386CommonNONE
464287242LQDISHARES TR$12.8M0.72%115,712CommonNONE
92206C870VCITVANGUARD SCOTTSDALE FDS$12.8M0.72%157,321CommonNONE
907818108UNPUNION PAC CORP$12.4M0.69%50,494CommonNONE
81369Y886XLUSELECT SECTOR SPDR TR$11.9M0.67%188,127CommonNONE
855244109SBUXSTARBUCKS CORP$11.6M0.65%121,024CommonNONE
437076102HDHOME DEPOT INC$11.4M0.64%32,933CommonNONE
45866F104ICEINTERCONTINENTAL EXCHANGE IN$11.0M0.62%85,914CommonNONE
921908844VIGVANGUARD SPECIALIZED FUNDS$11.0M0.61%64,327CommonNONE
78462F103SPYSPDR S&P 500 ETF TR$10.7M0.60%22,472CommonNONE
82509L107SHOPSHOPIFY INC$10.6M0.60%136,672CommonNONE
46090E103QQQINVESCO QQQ TR$10.5M0.59%25,744CommonNONE
464287226AGGISHARES TR$10.5M0.59%106,001CommonNONE
166764100CVXCHEVRON CORP NEW$9.8M0.55%65,943CommonNONE
31620M106FISFIDELITY NATL INFORMATION SV$9.6M0.54%160,439CommonNONE
22788C105CRWDCROWDSTRIKE HLDGS INC$9.4M0.52%36,734CommonNONE
532457108LLYELI LILLY & CO$9.0M0.51%15,511CommonNONE
550021109LULULULULEMON ATHLETICA INC$8.9M0.50%17,469CommonNONE
78464A870XBISPDR SER TR$8.8M0.49%98,533CommonNONE
02079K107GOOGALPHABET INC$8.6M0.48%60,866CommonNONE
169656105CMGCHIPOTLE MEXICAN GRILL INC$8.4M0.47%3,669CommonNONE
922908769VTIVANGUARD INDEX FDS$8.0M0.45%33,848CommonNONE
922908363VOOVANGUARD INDEX FDS$8.0M0.45%18,218CommonNONE
30303M102METAMETA PLATFORMS INC$7.3M0.41%20,538CommonNONE
759509102RSRELIANCE STEEL & ALUMINUM CO$7.2M0.40%25,583CommonNONE
904767704UNILEVER PLC$6.4M0.36%132,718CommonNONE
65339F101NEENEXTERA ENERGY INC$6.4M0.36%104,988CommonNONE
78464A763SDYSPDR SER TR$6.0M0.34%48,405CommonNONE
92206C409VCSHVANGUARD SCOTTSDALE FDS$5.3M0.30%68,575CommonNONE
68389X105ORCLORACLE CORP$5.1M0.29%48,414CommonNONE
46429B267GOVTISHARES TR$4.4M0.25%190,892CommonNONE
808524797SCHDSCHWAB STRATEGIC TR$4.4M0.25%57,549CommonNONE
81369Y209XLVSELECT SECTOR SPDR TR$4.3M0.24%31,591CommonNONE
78467V848TOTLSSGA ACTIVE ETF TR$4.2M0.24%104,448CommonNONE
30231G102XOMEXXON MOBIL CORP$3.8M0.21%38,417CommonNONE
808524102SCHBSCHWAB STRATEGIC TR$3.8M0.21%68,511CommonNONE
921910816MGKVANGUARD WORLD FD$3.5M0.20%13,659CommonNONE
921943858VEAVANGUARD TAX-MANAGED FDS$3.4M0.19%71,796CommonNONE
060505104BACBANK AMERICA CORP$3.3M0.19%98,791CommonNONE
921910840MGVVANGUARD WORLD FD$3.2M0.18%28,910CommonNONE
46137V357RSPINVESCO EXCHANGE TRADED FD T$3.0M0.17%18,864CommonNONE
46429B655FLOTISHARES TR$2.9M0.16%57,479CommonNONE
57636Q104MAMASTERCARD INCORPORATED$2.8M0.16%6,614CommonNONE
922042742VTVANGUARD INTL EQUITY INDEX F$2.8M0.16%27,193CommonNONE
46137V241SPHQINVESCO EXCHANGE TRADED FD T$2.8M0.15%51,236CommonNONE
81369Y704XLISELECT SECTOR SPDR TR$2.7M0.15%23,842CommonNONE
81369Y506XLESELECT SECTOR SPDR TR$2.7M0.15%32,283CommonNONE
464287622IWBISHARES TR$2.6M0.15%9,994CommonNONE
922908744VTVVANGUARD INDEX FDS$2.2M0.12%14,806CommonNONE
81369Y803XLKSELECT SECTOR SPDR TR$2.2M0.12%11,215CommonNONE
464287713IYZISHARES TR$2.2M0.12%94,505CommonNONE
464287200IVVISHARES TR$2.1M0.12%4,356CommonNONE
921946406VYMVANGUARD WHITEHALL FDS$2.1M0.12%18,575CommonNONE
922908751VBVANGUARD INDEX FDS$2.0M0.11%9,606CommonNONE
922908736VUGVANGUARD INDEX FDS$1.9M0.10%6,020CommonNONE
808524409SCHVSCHWAB STRATEGIC TR$1.8M0.10%25,783CommonNONE
949746101WMT2WELLS FARGO CO NEW$1.7M0.10%34,742CommonNONE
00287Y109ABBVABBVIE INC$1.7M0.10%11,005CommonNONE
929160109VMCVULCAN MATLS CO$1.7M0.09%7,390CommonNONE
G54950103LINLINDE PLC$1.6M0.09%3,783CommonNONE
922042866VPLVANGUARD INTL EQUITY INDEX F$1.5M0.08%20,340CommonNONE
931142103WMTWALMART INC$1.5M0.08%9,291CommonNONE
90138F102TWLOTWILIO INC$1.4M0.08%18,915CommonNONE
670100205NVONOVO-NORDISK A S$1.4M0.08%13,800CommonNONE
742718109PGPROCTER AND GAMBLE CO$1.4M0.08%9,360CommonNONE
654106103NKENIKE INC$1.3M0.07%11,731CommonNONE
921937827BSVVANGUARD BD INDEX FDS$1.3M0.07%16,427CommonNONE
N6596X109NXPINXP SEMICONDUCTORS N V$1.2M0.07%5,426CommonNONE
254687106DISDISNEY WALT CO$1.2M0.07%13,781CommonNONE
512807108LRCXEURLAM RESEARCH CORP$1.2M0.07%1,583CommonNONE
097023105BABOEING CO$1.2M0.07%4,627CommonNONE
464287309IVWISHARES TR$1.2M0.07%15,998CommonNONE
11135F101AVGOBROADCOM INC$1.2M0.07%1,075CommonNONE
713448108PEPPEPSICO INC$1.2M0.07%6,893CommonNONE
922908629VOVANGUARD INDEX FDS$1.2M0.07%5,017CommonNONE
548661107LOWLOWES COS INC$1.1M0.06%4,871CommonNONE
172908105CTASCINTAS CORP$1.1M0.06%1,795CommonNONE
458140100INTCINTEL CORP$1.0M0.06%20,802CommonNONE
038222105AMATAPPLIED MATLS INC$1.0M0.06%6,269CommonNONE
756109104OREALTY INCOME CORP$1.0M0.06%17,449CommonNONE
717081103PFEPFIZER INC$1.0M0.06%34,746CommonNONE
02209S103MOALTRIA GROUP INC$972,7990.05%24,115CommonNONE
002824100ABTABBOTT LABS$941,9860.05%8,558CommonNONE
244199105DEDEERE & CO$929,2980.05%2,324CommonNONE
464287176TIPISHARES TR$911,8910.05%8,484CommonNONE
92647N824CDCVICTORY PORTFOLIOS II$905,7990.05%16,012CommonNONE
92204A702VGTVANGUARD WORLD FDS$902,5410.05%1,865CommonNONE
438516106HONHONEYWELL INTL INC$858,6520.05%4,094CommonNONE
20030N101CMCSACOMCAST CORP NEW$797,4320.04%18,185CommonNONE
778296103ROSTROSS STORES INC$794,6350.04%5,742CommonNONE
46428Q109SLVISHARES SILVER TR$778,8750.04%35,761CommonNONE
464288679SHVISHARES TR$759,7870.04%6,899CommonNONE
808524508SCHMSCHWAB STRATEGIC TR$741,9020.04%9,850CommonNONE
81369Y605XLFSELECT SECTOR SPDR TR$740,6820.04%19,699CommonNONE
808524607SCHASCHWAB STRATEGIC TR$738,0310.04%15,623CommonNONE
816851109SRESEMPRA$721,3850.04%9,653CommonNONE
09260D107BXBLACKSTONE INC$714,7300.04%5,459CommonNONE
79466L302CRMSALESFORCE INC$710,7410.04%2,701CommonNONE
72201R833MINTPIMCO ETF TR$710,4440.04%7,119CommonNONE
464287150ITOTISHARES TR$705,7780.04%6,707CommonNONE
81369Y407XLYSELECT SECTOR SPDR TR$672,8620.04%3,763CommonNONE
863667101SYKSTRYKER CORPORATION$666,2990.04%2,225CommonNONE
14020W106CGDVCAPITAL GROUP DIVIDEND VALUE$633,9210.04%21,244CommonNONE
78409V104SPGIS&P GLOBAL INC$620,6270.03%1,409CommonNONE
92189F437ANGLVANECK ETF TRUST$592,4650.03%20,586CommonNONE
46429B333GNMAISHARES TR$576,1350.03%13,020CommonNONE
375558103GILDGILEAD SCIENCES INC$550,2600.03%6,793CommonNONE
G5960L103MDTMEDTRONIC PLC$537,6120.03%6,526CommonNONE
464287614IWFISHARES TR$536,0050.03%1,768CommonNONE
446150104HBANHUNTINGTON BANCSHARES INC$529,5190.03%41,629CommonNONE
33738D309FTSLFIRST TR EXCHANGE-TRADED FD$517,9650.03%11,243CommonNONE
75513E101RTXRTX CORPORATION$517,7010.03%6,153CommonNONE
303250104FICOFAIR ISAAC CORP$511,0000.03%439CommonNONE
00206R102TAT&T INC$500,7320.03%29,841CommonNONE
78467X109DIASPDR DOW JONES INDL AVERAGE$492,9460.03%1,308CommonNONE
464288356CMFISHARES TR$491,2150.03%8,478CommonNONE
92206C102VGSHVANGUARD SCOTTSDALE FDS$486,8220.03%8,346CommonNONE
655844108NSCNORFOLK SOUTHN CORP$481,0330.03%2,035CommonNONE
00971T101AKAMAKAMAI TECHNOLOGIES INC$478,8440.03%4,046CommonNONE
46432F339QUALISHARES TR$477,4690.03%3,245CommonNONE
874039100TSMTAIWAN SEMICONDUCTOR MFG LTD$476,1120.03%4,578CommonNONE
58733R102MELIMERCADOLIBRE INC$449,4600.03%286CommonNONE
29273V100ETENERGY TRANSFER L P$447,0040.03%32,392CommonNONE
459200101IBMINTERNATIONAL BUSINESS MACHS$446,4710.02%2,730CommonNONE
46138E206PWZINVESCO EXCH TRADED FD TR II$444,3940.02%17,790CommonNONE
253868103DLRDIGITAL RLTY TR INC$432,0020.02%3,210CommonNONE
81762P102NOWSERVICENOW INC$431,6650.02%611CommonNONE
87612E106TGTTARGET CORP$420,1760.02%2,950CommonNONE
369604301GEGENERAL ELECTRIC CO$419,7750.02%3,289CommonNONE
125523100CITHE CIGNA GROUP$410,2900.02%1,370CommonNONE
842587107SOSOUTHERN CO$400,3290.02%5,709CommonNONE
46435G425ESGUISHARES TR$399,6400.02%3,809CommonNONE
46432F396MTUMISHARES TR$395,5200.02%2,521CommonNONE
086516101BBYBEST BUY INC$395,2360.02%5,049CommonNONE
452308109ITWILLINOIS TOOL WKS INC$381,3850.02%1,456CommonNONE
78464A409SPYGSPDR SER TR$380,2760.02%5,845CommonNONE
78463V107GLDSPDR GOLD TR$375,2670.02%1,963CommonNONE
89417E109TRVTRAVELERS COMPANIES INC$374,5030.02%1,966CommonNONE
464288588MBBISHARES TR$371,5140.02%3,949CommonNONE
464287598IWDISHARES TR$369,1690.02%2,234CommonNONE
921910873MGCVANGUARD WORLD FD$368,6920.02%2,178CommonNONE
370334104GISGENERAL MLS INC$363,6770.02%5,583CommonNONE
666807102NOCNORTHROP GRUMMAN CORP$363,1990.02%776CommonNONE
G1151C101ACNACCENTURE PLC IRELAND$363,1920.02%1,035CommonNONE
92939U106WECWEC ENERGY GROUP INC$363,1090.02%4,314CommonNONE
718172109PMPHILIP MORRIS INTL INC$361,9360.02%3,847CommonNONE
45168D104IDXXIDEXX LABS INC$355,2320.02%640CommonNONE
297178105ESSESSEX PPTY TR INC$355,2120.02%1,433CommonNONE
293792107EPDENTERPRISE PRODS PARTNERS L$355,0170.02%13,473CommonNONE
94106L109WMWASTE MGMT INC DEL$353,3340.02%1,973CommonNONE
682680103OKEONEOK INC NEW$351,3730.02%5,004CommonNONE
750491102RDNTRADNET INC$347,7000.02%10,000CommonNONE
824348106SHWSHERWIN WILLIAMS CO$344,6330.02%1,105CommonNONE
883556102TMOTHERMO FISHER SCIENTIFIC INC$338,9240.02%639CommonNONE
609207105MDLZMONDELEZ INTL INC$338,0910.02%4,668CommonNONE
921932703VOOVVANGUARD ADMIRAL FDS INC$333,0650.02%1,983CommonNONE
88339J105TTDTHE TRADE DESK INC$331,0160.02%4,600CommonNONE
055622104BPBP PLC$326,0960.02%9,212CommonNONE
828806109SPGSIMON PPTY GROUP INC NEW$325,9180.02%2,285CommonNONE
26441C204DUKDUKE ENERGY CORP NEW$321,1850.02%3,310CommonNONE
032654105ADIANALOG DEVICES INC$314,0650.02%1,582CommonNONE
464288257ACWIISHARES TR$312,3320.02%3,069CommonNONE
464287804IJRISHARES TR$307,8870.02%2,844CommonNONE
464287440IEFISHARES TR$306,9060.02%3,184CommonNONE
30040W108ESEVERSOURCE ENERGY$304,8350.02%4,939CommonNONE
525327102LDOSLEIDOS HOLDINGS INC$304,2630.02%2,811CommonNONE
92204A504VHTVANGUARD WORLD FDS$299,1480.02%1,193CommonNONE
052769106ADSKAUTODESK INC$296,5590.02%1,218CommonNONE
46431W507NEARISHARES U S ETF TR$292,4100.02%5,788CommonNONE
92204A876VPUVANGUARD WORLD FDS$287,0250.02%2,094CommonNONE
911363109URIUNITED RENTALS INC$279,5290.02%487CommonNONE
46434G103IEMGISHARES INC$278,0700.02%5,498CommonNONE
74348A467NOBLPROSHARES TR$277,2030.02%2,912CommonNONE
56035L104MAINMAIN STR CAP CORP$276,5140.02%6,396CommonNONE
674599105OXYOCCIDENTAL PETE CORP$268,1970.02%4,492CommonNONE
723787107PXDEURPIONEER NAT RES CO$267,9370.01%1,191CommonNONE
000360206AAONAAON INC$265,9320.01%3,600CommonNONE
78464A375SPIBSPDR SER TR$263,3950.01%8,023CommonNONE
37954Y657PFFDGLOBAL X FDS$255,5170.01%13,171CommonNONE
37954Y673PAVEGLOBAL X FDS$255,0040.01%7,400CommonNONE
31428X106FDXFEDEX CORP$253,2020.01%1,001CommonNONE
025816109AXPAMERICAN EXPRESS CO$252,9330.01%1,350CommonNONE
101044105BOCBOSTON OMAHA CORP$251,9950.01%16,020CommonNONE
596680108MSEXMIDDLESEX WTR CO$251,9810.01%3,840CommonNONE
338478100XFFCXFLAHERTY & CRUMRINE PFD SECS$251,2630.01%18,076CommonNONE
773903109ROKROCKWELL AUTOMATION INC$250,8680.01%808CommonNONE
464287507IJHISHARES TR$249,4350.01%900CommonNONE
670346105NUENUCOR CORP$248,0660.01%1,425CommonNONE
482480100KLACKLA CORP$247,6340.01%426CommonNONE
718546104PSXPHILLIPS 66$244,3120.01%1,835CommonNONE
25746U109DDOMINION ENERGY INC$243,7890.01%5,187CommonNONE
464287689IWVISHARES TR$243,6290.01%890CommonNONE
171340102CHDCHURCH & DWIGHT CO INC$238,7640.01%2,525CommonNONE
78464A508SPYVSPDR SER TR$238,6520.01%5,118CommonNONE
040413106ANETEURARISTA NETWORKS INC$237,3940.01%1,008CommonNONE
366651107ITGARTNER INC$236,8330.01%525CommonNONE
302635206FSKFS KKR CAP CORP$234,5680.01%11,746CommonNONE
34959E109FTNTFORTINET INC$234,4130.01%4,005CommonNONE
19248Y107PSFCOHEN & STEERS SELECT PFD &$232,4400.01%12,298CommonNONE
46137V738PWVINVESCO EXCHANGE TRADED FD T$229,9030.01%4,531CommonNONE
053015103ADPAUTOMATIC DATA PROCESSING IN$229,8590.01%987CommonNONE
67061E104NMTNUVEEN MASSACHUSETS QLT MUN$220,8260.01%21,011CommonNONE
78464A698KRESPDR SER TR$218,1140.01%4,160CommonNONE
464287499IWRISHARES TR$217,4110.01%2,797CommonNONE
872540109TJXTJX COS INC NEW$216,7010.01%2,310CommonNONE
70450Y103PYPLPAYPAL HLDGS INC$216,2860.01%3,522CommonNONE
922908512VOEVANGUARD INDEX FDS$215,4380.01%1,486CommonNONE
91913Y100VLOVALERO ENERGY CORP$213,7740.01%1,644CommonNONE
025932104AFGAMERICAN FINL GROUP INC OHIO$211,9050.01%1,782CommonNONE
14020G101CGGRCAPITAL GROUP GROWTH ETF$211,7250.01%7,500CommonNONE
494368103KMBKIMBERLY-CLARK CORP$211,0630.01%1,737CommonNONE
615369105MCOMOODYS CORP$208,1680.01%533CommonNONE
209115104EDCONSOLIDATED EDISON INC$207,6850.01%2,283CommonNONE
86765K109SUNSUNOCO LP/SUNOCO FIN CORP$207,4780.01%3,462CommonNONE
29250N105ENBENBRIDGE INC$206,4670.01%5,732CommonNONE
38141G104GSGOLDMAN SACHS GROUP INC$206,3870.01%535CommonNONE
02390A101AMXAMERICA MOVIL SAB DE CV$205,9420.01%11,120CommonNONE
26924G201HACKUSDETF MANAGERS TR$205,6460.01%3,404CommonNONE
009066101ABNBAIRBNB INC$205,5710.01%1,510CommonNONE
817565104SCISERVICE CORP INTL$205,3500.01%3,000CommonNONE
98980G102ZSZSCALER INC$204,9430.01%925CommonNONE
464287523SOXXISHARES TR$204,0590.01%354CommonNONE
806857108SLBSCHLUMBERGER LTD$201,9670.01%3,881CommonNONE
038923108ABRARBOR REALTY TRUST INC$200,1330.01%13,184CommonNONE
56146T103MAMAMAMAS CREATIONS INC$160,9060.01%32,771CommonNONE
67066Y105NACNUVEEN CA QUALTY MUN INCOME$159,1970.01%14,355CommonNONE
09254L107MUCBLACKROCK MUNIHLDNGS CALI QL$148,2520.01%13,320CommonNONE
128117108CHICALAMOS CONV OPPORTUNITIES &$127,4280.01%12,300CommonNONE
88080T104WULFTERAWULF INC$120,1970.01%50,082CommonNONE
67073B106JPCNUVEEN PFD & INCOME OPPORTUN$107,4770.01%15,899CommonNONE
46132H106VCVINVESCO CALIF VALUE MUN INCO$103,3900.01%10,550CommonNONE
36165A102JOBGEE GROUP INC$90,1130.01%180,154CommonNONE
733245104PRCHPORCH GROUP INC$87,7800.00%28,500CommonNONE
G4124C109GRABGRAB HOLDINGS LIMITED$78,5750.00%23,316CommonNONE
27829F108XEXGXEATON VANCE TAX-MANAGED GLOB$77,2390.00%10,005CommonNONE
83085C115SKYH/WSSKY HARBOUR GROUP CORPORATIO$74,3440.00%99,125CommonNONE
530158104USALIBERTY ALL STAR EQUITY FD$73,8170.00%11,570CommonNONE
72200X104RCSPIMCO STRATEGIC INCOME FD$72,9600.00%12,000CommonNONE
22544F103DHYCREDIT SUISSE HIGH YIELD BD$69,3000.00%35,000CommonNONE
529900102ASGLIBERTY ALL-STAR GROWTH FD I$57,5780.00%10,905CommonNONE
78462F103SPYSPDR S&P 500 ETF TR$7,9490.00%2,100PUTNONE
04367G103TRXCEURASENSUS SURGICAL INC$4,7840.00%15,000CommonNONE

Source: SEC EDGAR · raw 13F holdings as filed. The Class column shows the option type when reported (Put/Call) or Common when the issuer's equity is held directly. 13F discloses long positions only.