Waterloo Capital, L.P. — Q3 2023 13F-HR

← Waterloo Capital, L.P.

Q3 2023 · 13F-HR

Waterloo Capital, L.P.holdings as filed

Filed 2023-11-14 · accession 0001104659-23-117835

$340.8M

Reported value

181

Positions

2023-09-30

Period end

View analyzed profile →PRO

Holdings as filed

CUSIP	Ticker	Issuer	Value	% port.	Shares	Class	Voting
464287200	IVV	ISHARES S&P 500 INDEX	$18.3M	5.36%	42,557	Common	SOLE
26922A222	ACIO	APTUS COLLARED INVESTMENT OPPORTUNITY ETF	$16.8M	4.94%	552,957	Common	SOLE
464289859	AOA	ISHARES CORE AGGRESSIVE ALLOCATION ETF	$14.8M	4.33%	232,378	Common	SOLE
921937827	BSV	VANGUARD SHORT-TERM BOND ETF	$13.4M	3.92%	177,786	Common	SOLE
26922A388	DRSK	APTUS DEFINED RISK ETF	$11.3M	3.33%	486,895	Common	SOLE
26922B709	IDUB	APTUS INTERNATIONAL ENHANCED YIELD	$11.0M	3.24%	577,642	Common	SOLE
26922B642	JUCY	APTUS ENHANCED YIELD ETF	$9.4M	2.76%	388,476	Common	SOLE
78464A409	SPYG	SPDR PORTFOLIO S&P 500 GROWTH ETF	$9.4M	2.76%	158,698	Common	SOLE
78468R663	BIL	SPDR SER TR LEHMAN 1-3 MONTH T-BILL ETF	$8.8M	2.59%	95,947	Common	SOLE
037833100	AAPL	APPLE INC	$8.3M	2.43%	48,343	Common	SOLE
921943858	VEA	VANGUARD FTSE DEVELOPED MARKETS ETF	$8.3M	2.42%	188,768	Common	SOLE
26922A446	OSCV	OPUS SMALL CAP VALUE ETF	$8.2M	2.42%	271,499	Common	SOLE
46138G649	QQQM	INVESCO NASDAQ 100 ETF	$8.0M	2.36%	54,523	Common	SOLE
922908363	VOO	VANGUARD S&P 500 ETF	$8.0M	2.34%	20,274	Common	SOLE
26922B535	DUBS	APTUS LARGE CAP ENHANCED YIELD ETF	$7.8M	2.30%	317,102	Common	SOLE
26922A784	ADME	APTUS DRAWDOWN MANAGED EQUITY ETF	$7.7M	2.25%	218,935	Common	SOLE
464287598	IWD	ISHARES RUSSELL 1000 VALUE ETF	$6.8M	1.99%	44,764	Common	SOLE
46137V357	RSP	INVESCO S&P 500 EQUAL WEIGHT ETF	$6.1M	1.79%	43,147	Common	SOLE
464287226	AGG	ISHARES AGGREGATE BOND ETF	$5.7M	1.68%	60,876	Common	SOLE
78464A854	SPYM	SPDR PORTFOLIO S&P 500 ETF	$5.1M	1.50%	101,767	Common	SOLE
594918104	MSFT	MICROSOFT	$4.8M	1.40%	15,083	Common	SOLE
381430529	GBIL	GOLDMAN SACHS ACCESS TREASURY 0-1 YEAR ETF	$4.8M	1.40%	47,539	Common	SOLE
46432F339	QUAL	ISHARES MSCI USA QUALITY FACTOR ETF	$4.6M	1.34%	34,586	Common	SOLE
922042858	VWO	VANGUARD FTSE EMERGING MARKETS ETF	$4.1M	1.21%	105,200	Common	SOLE
46429B655	FLOT	ISHARES FLOATING RATE BOND ETF	$3.8M	1.11%	74,583	Common	SOLE
713448108	PEP	PEPSICO INC COM	$3.8M	1.10%	22,200	Common	SOLE
808524201	SCHX	Schwab US Large Cap ETF	$3.4M	1.01%	67,878	Common	SOLE
464288620	USIG	ISHARES BROAD USD INVESTMENT GRADE CORPORATE BOND ETF	$3.0M	0.87%	61,816	Common	SOLE
78468R606	SPHY	SPDR PORTFOLIO HIGH YIELD BOND ETF	$3.0M	0.87%	132,425	Common	SOLE
81369Y506	XLE	ENERGY SELECT SECTOR SPDR	$2.9M	0.84%	31,845	Common	SOLE
97717W851	DXJ	WISDOMTREE JAPAN HEDGED EQUITY FUND	$2.5M	0.73%	28,375	Common	SOLE
14020W106	CGDV	CAPITAL GROUP DIVIDEND VALUE ETF	$2.5M	0.73%	93,650	Common	SOLE
72201R833	MINT	PIMCO ENHANCED SHORT MATURITY ACTIVE ETF	$2.4M	0.71%	24,327	Common	SOLE
81369Y852	XLC	COMMUNICATION SERVICES SELECT SECTOR SPDR FUND	$2.4M	0.71%	37,097	Common	SOLE
46138E354	SPLV	POWERSHARES SP500 LOW VOLATILITY ETF	$2.4M	0.71%	41,256	Common	SOLE
78462F103	SPY	SPDR S&P 500 ETF TRUST	$2.4M	0.71%	5,651	Common	SOLE
464287507	IJH	ISHARES CORE S&P MID CAP ETF	$2.4M	0.70%	9,509	Common	SOLE
02079K305	GOOGL	ALPHABET INC CAP STK CL A	$2.3M	0.67%	17,365	Common	SOLE
46429B598	INDA	ISHARES MSCI INDIA ETF	$2.2M	0.65%	50,048	Common	SOLE
09260D107	BX	BLACKSTONE GROUP LP	$2.1M	0.61%	19,413	Common	SOLE
302635206	FSK	FS KKR CAP CORP COM	$1.9M	0.55%	95,681	Common	SOLE
808524607	SCHA	SCHWAB ETFS- US SMALL-CAP ETF	$1.9M	0.55%	45,394	Common	SOLE
09661T602	BKAG	BNY MELLON CORE BOND ETF	$1.8M	0.53%	44,969	Common	SOLE
92826C839	V	VISA INC	$1.6M	0.48%	7,168	Common	SOLE
46625H100	JPM	JPMORGAN CHASE & CO COM	$1.6M	0.47%	10,985	Common	SOLE
023135106	AMZN	AMAZON.COM INC	$1.6M	0.46%	12,390	Common	SOLE
11135F101	AVGO	BROADCOM INC COM	$1.5M	0.45%	1,841	Common	SOLE
46138G508	BKLN	INVESCO SENIOR LOAN ETF	$1.5M	0.44%	71,468	Common	SOLE
78464A672	SPTI	SPDR PORTFOLIO INTERMEDIATE TERM TREASURY ETF	$1.5M	0.44%	54,020	Common	SOLE
921946885	VWOB	VANGUARD EMERGING MARKETS GOVERNMENT BOND ETF	$1.5M	0.43%	24,706	Common	SOLE
00724F101	ADBE	ADOBE SYS INC	$1.4M	0.42%	2,806	Common	SOLE
91324P102	UNH	UNITEDHEALTH GROUP	$1.4M	0.41%	2,765	Common	SOLE
723787107	PXDEUR	PIONEER NATURAL RESOURCES CO	$1.4M	0.41%	6,053	Common	SOLE
33739Q200	LMBS	FIRST TRUST LOW DURATION OPPORTUNITIES ETF	$1.3M	0.40%	28,555	Common	SOLE
743315103	PGR	PROGRESSIVE CORP COM	$1.3M	0.38%	9,413	Common	SOLE
11133T103	BR	BROADRIDGE FINL SOLUTIONS INC COM	$1.3M	0.38%	7,205	Common	SOLE
88160R101	TSLA	TESLA MOTORS INC	$1.3M	0.37%	5,010	Common	SOLE
81369Y803	XLK	TECHNOLOGY SELECT SECTOR SPDR FUND	$1.3M	0.37%	7,644	Common	SOLE
33735J101	FTA	FIRST TRUST LARGE CAP VALUE ALPHADEX FUND	$1.2M	0.36%	19,153	Common	SOLE
776696106	ROP	ROPER INDUSTRIES INC	$1.2M	0.36%	2,545	Common	SOLE
217204106	CPRT	COPART INC	$1.2M	0.35%	27,639	Common	SOLE
931142103	WMT	WALMART INC COM	$1.2M	0.35%	7,444	Common	SOLE
16359R103	CHE	CHEMED CORP NEW COM	$1.2M	0.34%	2,227	Common	SOLE
67066G104	NVDA	NVIDIA CORP	$1.2M	0.34%	2,650	Common	SOLE
46641Q837	JPST	JPMORGAN ULTRA-SHORT INCOME ETF	$1.1M	0.32%	21,887	Common	SOLE
46641Q332	JEPI	JPMORGAN EQUITY PREMIUM INCOME ETF	$1.0M	0.30%	18,775	Common	SOLE
33737J174	FDT	FIRST TRUST DEVELOPED MARKETS EX-US ALPHADEX FUND	$970,185	0.28%	19,311	Common	SOLE
46090E103	QQQ	POWERSHARES QQQ TR	$938,667	0.28%	2,620	Common	SOLE
46434V860	TFLO	ISHARES TREASURY FLOATING RATE BOND ETF	$929,100	0.27%	18,311	Common	SOLE
03027X100	AMT	AMERICAN TOWER CORP	$852,170	0.25%	5,182	Common	SOLE
33738D804	FSIG	FIRST TRUST LIMITED DURATION INVESTMENT GRADE CORPORATE ETF	$844,064	0.25%	45,898	Common	SOLE
33735K108	FTC	FIRST TRUST LARGE CAP GROWTH ALPHADEX FUND	$841,909	0.25%	8,701	Common	SOLE
084670702	BRK/B	BERKSHIRE HATHAWAY INC DEL CL B NEW	$830,912	0.24%	2,372	Common	SOLE
78467V848	TOTL	SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF	$816,211	0.24%	21,118	Common	SOLE
808524300	SCHG	SCHWAB US LARGE CAP GROWTH ETF	$813,764	0.24%	11,190	Common	SOLE
46434VBG4	IBDP	ISHARES IBONDS DEC 2024 TERM CORPORATE ETF	$777,338	0.23%	31,433	Common	SOLE
808524102	SCHB	SCHWAB ETFS- US BROAD MARKET ETF	$764,135	0.22%	15,329	Common	SOLE
81369Y209	XLV	HEALTH CARE SELECT SECTOR SPDR FUND	$756,209	0.22%	5,874	Common	SOLE
464287440	IEF	ISHARES 7-10 YEAR TREASURY BOND ETF	$754,244	0.22%	8,235	Common	SOLE
922908751	VB	VANGUARD SMALL-CAP ETF	$738,311	0.22%	3,905	Common	SOLE
46138J619	OMFL	INVESCO RUSSELL 1000 DYNAMIC MULTIFACTOR ETF	$716,396	0.21%	15,628	Common	SOLE
30231G102	XOM	EXXON MOBIL CORP COM	$708,010	0.21%	6,022	Common	SOLE
30303M102	META	META PLATFORMS INC CL A	$697,088	0.20%	2,322	Common	SOLE
46435G524	IGRO	ISHARES INTERNATIONAL DIVIDEND GROWTH ETF	$688,233	0.20%	11,604	Common	SOLE
46429B267	GOVT	ISHARES U.S. TREASURY BOND ETF	$663,025	0.19%	30,083	Common	SOLE
464289867	AOR	ISHARES CORE GROWTH ALLOCATION ETF	$650,137	0.19%	13,158	Common	SOLE
02079K107	GOOG	ALPHABET INC CAP STK CL C	$648,051	0.19%	4,915	Common	SOLE
922908629	VO	VANGUARD MID-CAP ETF	$647,595	0.19%	3,110	Common	SOLE
464287176	TIP	ISHARES TIPS BOND ETF	$630,807	0.19%	6,082	Common	SOLE
33735B108	FNX	FIRST TRUST MID CAP CORE ALPHADEX FUND	$605,558	0.18%	6,575	Common	SOLE
464287762	IYH	ISHARES U.S. HEALTHCARE ETF	$597,490	0.18%	2,212	Common	SOLE
742718109	PG	PROCTER AND GAMBLE CO COM	$597,299	0.18%	4,095	Common	SOLE
33733E104	FTCS	FIRST TRUST CAPITAL STRENGTH ETF	$585,432	0.17%	7,951	Common	SOLE
33734H106	FVD	FIRST TRUST VALUE LINE DIVIDEND INDEX FUND	$571,431	0.17%	15,283	Common	SOLE
166764100	CVX	CHEVRON CORP NEW COM	$555,831	0.16%	3,296	Common	SOLE
33738R506	RDVY	FIRST TRUST RISING DIVIDEND ACHIEVERS ETF	$545,849	0.16%	11,879	Common	SOLE
78463V107	GLD	SPDR GOLD ETF	$516,922	0.15%	3,015	Common	SOLE
33739Q408	FTSM	FIRST TRUST ENHANCED SHORT MATURITY ETF	$514,399	0.15%	8,657	Common	SOLE
922908769	VTI	VANGUARD TOTAL STOCK MARKET ETF	$496,346	0.15%	2,337	Common	SOLE
81369Y605	XLF	FINANCIAL SELECT SECTOR SPDR FUND	$492,589	0.14%	14,850	Common	SOLE
464287457	SHY	ISHARES 1-3 YEAR TREASURY BOND ETF	$490,759	0.14%	6,061	Common	SOLE
33738D408	HYLS	FIRST TRUST TACTICAL HIGH YIELD ETF	$489,002	0.14%	12,465	Common	SOLE
78468R523	BILS	SPDR BLOOMBERG 3-12 MONTH T-BILL ETF	$476,071	0.14%	4,788	Common	SOLE
46432F842	IEFA	ISHARES CORE MSCI EAFE ETF	$471,275	0.14%	7,324	Common	SOLE
20825C104	COP	CONOCOPHILLIPS COM	$469,799	0.14%	3,922	Common	SOLE
33734X143	FXH	FIRST TRUST HEALTH CARE ALPHADEX FUND	$450,628	0.13%	4,638	Common	SOLE
883556102	TMO	THERMO FISHER SCIENTIFIC INC COM	$447,024	0.13%	883	Common	SOLE
464287614	IWF	ISHARES RUSSELL 1000 GROWTH ETF	$445,001	0.13%	1,673	Common	SOLE
78351F107	RYAN	RYAN SPECIALTY HOLDINGS INC CL A	$438,117	0.13%	9,052	Common	SOLE
53656F805	OVL	OVERLAY SHARES LARGE CAP EQUITY ETF	$437,661	0.13%	12,888	Common	SOLE
91913Y100	VLO	VALERO ENERGY CORP	$437,261	0.13%	3,086	Common	SOLE
78464A649	SPAB	SPDR PORTFOLIO AGGREGATE BOND ETF	$435,787	0.13%	17,904	Common	SOLE
45782C870	PAPR	INNOVATOR U.S. EQUITY POWER BUFFER ETF - APRIL	$426,244	0.13%	13,925	Common	SOLE
46432F396	MTUM	ISHARES MSCI USA MOMENTUM FACTOR ETF	$423,323	0.12%	3,030	Common	SOLE
09857L108	BKNG	BOOKING HOLDINGS INC COM	$416,333	0.12%	135	Common	SOLE
45782C540	PDEC	INNOVATOR U.S. EQUITY POWER BUFFER ETF - DECEMBER	$415,470	0.12%	12,839	Common	SOLE
461202103	INTU	INTUIT INC	$412,416	0.12%	807	Common	SOLE
464287655	IWM	ISHARES RUSSELL 2000 ETF	$412,219	0.12%	2,332	Common	SOLE
754730109	RJF	RAYMOND JAMES FINL INC	$408,650	0.12%	4,069	Common	SOLE
478160104	JNJ	JOHNSON & JOHNSON COM	$393,590	0.12%	2,527	Common	SOLE
37954Y343	MLPA	GLOBAL X MLP ETF	$388,334	0.11%	8,709	Common	SOLE
74348A467	NOBL	PROSHARES S&P 500 DIVIDEND ARISTOCRATS ETF	$383,795	0.11%	4,334	Common	SOLE
33738R118	TDIV	FIRST TRUST NASDAQ TECHNOLOGY DIVIDEND INDEX FUND	$383,487	0.11%	6,837	Common	SOLE
33740F888	UCON	FIRST TRUST TCW UNCONSTRAINED PLUS BOND ETF	$382,304	0.11%	15,996	Common	SOLE
46434V449	IMTM	ISHARES MSCI INTL MOMENTUM FACTOR ETF	$379,743	0.11%	12,063	Common	SOLE
46432F388	VLUE	ISHARES MSCI USA VALUE FACTOR ETF	$377,082	0.11%	4,157	Common	SOLE
53656F623	INFL	HORIZON KINETICS INFLATION BENEFICIARIES ETF	$374,112	0.11%	12,290	Common	SOLE
78464A839	MDYV	SPDR SER TR S&P 400 MID CAP VALUE ETF	$365,561	0.11%	5,636	Common	SOLE
808524508	SCHM	SCHWAB US MID-CAP ETF	$362,599	0.11%	5,358	Common	SOLE
808524409	SCHV	SCHWAB US LARGE CAP VALUE ETF	$362,270	0.11%	5,620	Common	SOLE
46138G805	BAB	INVESCO TAXABLE MUNICIPAL BOND ETF	$359,143	0.11%	14,201	Common	SOLE
33737J117	FEP	FIRST TRUST EUROPE ALPHADEX FUND	$354,164	0.10%	10,729	Common	SOLE
437076102	HD	HOME DEPOT	$353,248	0.10%	1,169	Common	SOLE
25459Y207	QQQE	DIREXION NASDAQ-100 EQUAL WEIGHTED INDEX SHARES	$350,896	0.10%	4,693	Common	SOLE
464288679	SHV	ISHARES TR LEHMAN SHORT TREA BDFD	$346,765	0.10%	3,139	Common	SOLE
68389X105	ORCL	ORACLE CORPORATION	$345,064	0.10%	3,258	Common	SOLE
G1151C101	ACN	ACCENTURE LTD BERMUDA CL A	$339,805	0.10%	1,106	Common	SOLE
33737J182	FEM	FIRST TRUST EMERGING MARKETS ALPHADEX FUND	$339,805	0.10%	16,282	Common	SOLE
64110L106	NFLX	NETFLIX COM INC	$331,910	0.10%	879	Common	SOLE
22160K105	COST	COSTCO WHOLESALE CORP	$328,711	0.10%	582	Common	SOLE
33733E302	FDN	FIRST TRUST DOW JONES INTERNET INDEX FUND	$324,647	0.10%	2,034	Common	SOLE
92204A306	VDE	VANGUARD ENERGY ETF	$322,461	0.09%	2,544	Common	SOLE
46436E718	SGOV	ISHARES 0-3 MONTH TREASURY BOND ETF	$313,386	0.09%	3,113	Common	SOLE
33734X127	FXN	FIRST TRUST ENERGY ALPHADEX FUND	$312,550	0.09%	17,942	Common	SOLE
74347B607	IGHG	PROSHARES INVESTMENT GRADE-INTEREST RATE HEDGED	$307,903	0.09%	4,158	Common	SOLE
46120E602	ISRG	INTUITIVE SURGICAL, INC.	$297,844	0.09%	1,019	Common	SOLE
921946810	VIGI	VANGUARD INTERNATIONAL DIVIDEND APPRECIATION ETF	$296,661	0.09%	4,159	Common	SOLE
25278X109	FANG	DIAMONDBACK ENERGY INC COM	$295,171	0.09%	1,906	Common	SOLE
81369Y704	XLI	INDUSTRIAL SELECT SECTOR SPDR FUND	$292,685	0.09%	2,887	Common	SOLE
46431W507	NEAR	BLACKROCK SHORT MATURITY BOND ETF	$286,768	0.08%	5,748	Common	SOLE
293792107	EPD	ENTERPRISE PRODS PARTNERS L P	$285,841	0.08%	10,444	Common	SOLE
464289883	AOK	ISHARES CORE CONSERVATIVE ALLOCATION ETF	$280,756	0.08%	8,267	Common	SOLE
381430107	GSIE	GOLDMAN SACHS ACTIVEBETA INTERNATIONAL EQUITY ETF	$276,036	0.08%	9,192	Common	SOLE
78464A508	SPYV	SPDR PORTFOLIO S&P 500 VALUE ETF	$271,471	0.08%	6,580	Common	SOLE
00287Y109	ABBV	ABBVIE INC COM	$269,612	0.08%	1,809	Common	SOLE
808524862	SCHO	SCHWAB SHORT-TERM US TREASURY ETF	$267,944	0.08%	5,595	Common	SOLE
921946406	VYM	VANGUARD HIGH DIVIDEND YIELD INDEX ETF	$263,879	0.08%	2,554	Common	SOLE
14020X104	CGGO	CAPITAL GROUP GLOBAL GROWTH EQUITY ETF	$263,465	0.08%	11,495	Common	SOLE
532457108	LLY	ELI LILLY & CO COM	$262,287	0.08%	488	Common	SOLE
71424F105	PR	PERMIAN RESOURCES CORP CLASS A COM	$252,201	0.07%	18,066	Common	SOLE
780087102	RY	ROYAL BK CDA COM	$250,166	0.07%	2,861	Common	SOLE
81369Y407	XLY	CONSUMER DISCRETIONARY SELECT SECTOR SPDR FUND	$248,311	0.07%	1,542	Common	SOLE
81369Y308	XLP	CONSUMER STAPLES SELECT SECTOR SPDR	$247,023	0.07%	3,590	Common	SOLE
81369Y100	XLB	MATERIALS SELECT SECTOR SPDR FUND	$246,342	0.07%	3,136	Common	SOLE
053015103	ADP	AUTOMATIC DATA PROCESSING INC COM	$245,151	0.07%	1,019	Common	SOLE
33738R860	FTXO	FIRST TRUST NASDAQ BANK ETF	$244,940	0.07%	11,850	Common	SOLE
427866108	HSY	HERSHEY CO COM	$241,497	0.07%	1,207	Common	SOLE
05465C100	AX	BOFI HLDG INC	$240,411	0.07%	6,350	Common	SOLE
679580100	ODFL	OLD DOMINION FREIGHT LINE INC COM	$233,619	0.07%	571	Common	SOLE
92206C409	VCSH	VANGUARD SHORT-TERM CORPORATE BOND ETF	$226,096	0.07%	3,009	Common	SOLE
46090F100	PDBC	INVESCO OPTIMUM YIELD DIVERSIFIED COMMODITY STRATEGY NO K-1 ETF	$223,951	0.07%	14,980	Common	SOLE
381430396	JUST	GOLDMAN SACHS JUST U.S. LARGE CAP EQUITY ETF	$217,807	0.06%	3,578	Common	SOLE
464288653	TLH	ISHARES 10-20 YEAR TREASURY BOND ETF	$211,612	0.06%	2,149	Common	SOLE
33939L795	NFRA	FLEXSHARES STOXX GLOBAL BROAD INFRASTRUCTURE INDEX FUND	$206,661	0.06%	4,267	Common	SOLE
464287242	LQD	ISHARES IBOXX $ INVESTMENT GRADE CORPORATE BOND ETF	$200,347	0.06%	1,964	Common	SOLE
29273V100	ET	ENERGY TRANSFER EQUITY L P COM UNIT LTD PARTNERSHIP	$191,274	0.06%	13,633	Common	SOLE
486606106	KYN	KAYNE ANDERSON MLP INVT CO	$138,345	0.04%	16,450	Common	SOLE
G5753U112	4OWA	MAIDEN HOLDINGS LTD SHS	$119,680	0.04%	68,000	Common	SOLE
64440N103	NFGC	NEW FOUND GOLD CORP COM	$83,400	0.02%	20,000	Common	SOLE
38149E101	GLDG	GOLDMINING INC COM	$11,783	0.00%	15,000	Common	SOLE
23130Q107	CURI	CURIOSITYSTREAM INC COM CL A	$10,569	0.00%	14,900	Common	SOLE

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.