Skip to main content
Livermore
Livermore
ZHEN

Centaurus Financial, Inc.

SEC CIK
0000891943
Latest filing
Aug 17, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 12, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
880
−3 vs. Q2 2021
Portfolio value
$1.19B
+$5.57M (+0.5%) vs. Q2 2021
Filed
Nov 12, 2021
SEC
Holdings of Centaurus Financial, Inc. in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
Tekkorp Digital Acquisitn CoG8739H114*W EXP 10/26/20212,500$11.0K<0.1%00.0%Unchanged–
VTGNVistagen Therapeutics, Inc.COM NEW10,115$28.0K<0.1%00.0%UnchangedHistory
TGBTrekor Metals LtdCOM17,739$34.0K<0.1%00.0%UnchangedHistory
DHYUBS Asset Management High Yield Credit FundSH BEN INT15,000$37.0K<0.1%−10,000−40.0%ReducedHistory
POWWOutdoor Holding CoCOM10,156$62.0K<0.1%+10,156NewHistory
NCMINational CineMedia, Inc.COM18,875$67.0K<0.1%+5,234+38.4%AddedHistory
KRROKorro Bio, Inc.COM10,030$71.0K<0.1%00.0%UnchangedHistory
ORCOrchid Island Capital, Inc.COM17,175$84.0K<0.1%+17,175NewHistory
FRBKRepublic First Bancorp IncCOM27,744$85.0K<0.1%−500−1.8%ReducedHistory
GALTGalectin Therapeutics IncCOM NEW22,614$88.0K<0.1%+7,000+44.8%AddedHistory
OIAInvesco Municipal Income Opportunities TrustCOM11,150$89.0K<0.1%00.0%UnchangedHistory
DSMBNY Mellon Strategic Municipal Bond Fund, Inc.COM12,350$99.0K<0.1%00.0%UnchangedHistory
JPCNuveen Preferred & Income Opportunities FundCOM10,117$100.0K<0.1%+10,117NewHistory
iShares Tr464288760US AER DEF ETF972$101.0K<0.1%−841−46.4%Reduced–
BTOJohn Hancock Financial Opportunities FundSH BEN INT NEW2,365$101.0K<0.1%+2,365NewHistory
UPWheels Up Experience Inc.COMMON STOCK15,344$101.0K<0.1%+15,344NewHistory
VODVodafone Group Public Ltd CoADR6,592$102.0K<0.1%−776−10.5%ReducedHistory
Invesco Exchange Traded FD T46137V142WATER RES ETF1,859$102.0K<0.1%+1,859New–
SPDR Series Trust78468R556SP O&G EXPL PRO1,050$102.0K<0.1%−13,056−92.6%Reduced–
FXAInvesco CurrencyShares Australian Dollar TrustAUSTRALIAN DOL1,417$102.0K<0.1%00.0%UnchangedHistory
IDEVoya Infrastructure, Industrials & Materials FundCOM8,105$102.0K<0.1%00.0%UnchangedHistory
BRBroadridge Financial Solutions, Inc.Stock625$104.0K<0.1%00.0%UnchangedHistory
Invesco Exch Traded FD Tr II46138E404CEF INM COMPSI4,349$104.0K<0.1%−2,131−32.9%Reduced–
iShares Tr46429B366CMBS ETF1,925$104.0K<0.1%+1,925New–
IRTIndependence Realty Trust, Inc.COM5,127$104.0K<0.1%+5,127NewHistory
Guggenheim CR Allocation FD40168G108COM5,000$104.0K<0.1%00.0%Unchanged–
HYFMHydrofarm Holdings Group, Inc.COM2,738$104.0K<0.1%+556+25.5%AddedHistory
DACDanaos CorpSHS1,288$105.0K<0.1%+1,288NewHistory
FCOAbrdn Global Income Fund, Inc.COM12,800$105.0K<0.1%+12,800NewHistory
Healthcare Realty Trust Inc42225P501CL A NEW3,530$105.0K<0.1%+3,530New–
iShares MSCI Eafe ETF464287465ETF1,358$106.0K<0.1%−53−3.8%Reduced–
iShares Tr464287846DOW JONES US ETF980$106.0K<0.1%−400−29.0%Reduced–
AVYAvery Dennison CorpCOM512$106.0K<0.1%−12−2.3%ReducedHistory
AIC3.ai, Inc.Stock2,307$107.0K<0.1%−1,804−43.9%ReducedHistory
MIYBlackRock Muniyield Michigan Quality Fund, Inc.COM6,932$107.0K<0.1%00.0%UnchangedHistory
APDAir Products & Chemicals, Inc.Stock422$108.0K<0.1%+7+1.7%AddedHistory
COPConocoPhillipsStock1,595$108.0K<0.1%−1,187−42.7%ReducedHistory
NUVNuveen Municipal Value Fund IncCOM9,583$108.0K<0.1%+9,583NewHistory
JCIJohnson Controls International plcStock1,608$109.0K<0.1%+1,608NewHistory
LMNDLemonade, Inc.Stock1,625$109.0K<0.1%+379+30.4%AddedHistory
Vanguard Emerging Markets Government Bond ETF921946885ETF1,393$109.0K<0.1%+14+1.0%Added–
Global X FDS37954Y327GLBX MSCI COLUM3,701$109.0K<0.1%−70−1.9%Reduced–
Global X FDS37950E291GLOBX SUPDV US5,731$111.0K<0.1%−17,604−75.4%Reduced–
VMOInvesco Municipal Opportunity TrustCOM8,085$111.0K<0.1%00.0%UnchangedHistory
DMFBNY Mellon Municipal Income, Inc.COM11,500$111.0K<0.1%00.0%UnchangedHistory
iShares Russell 2000 Growth ETF464287648ETF381$112.0K<0.1%00.0%Unchanged–
ETEnergy Transfer LPCOM UT LTD PTN11,657$112.0K<0.1%00.0%UnchangedHistory
BYDBoyd Gaming CorpCOM1,770$112.0K<0.1%00.0%UnchangedHistory
First Tr Exchng Traded FD VI33740F664FT VEST US EQT3,257$112.0K<0.1%00.0%Unchanged–
ESEversource EnergyStock1,381$113.0K<0.1%+1,381NewHistory
MODModine Manufacturing CoCOM10,000$113.0K<0.1%+10,000NewHistory
State Street SPDR S&P 400 Mid Cap Value ETF78464A839ETF1,717$114.0K<0.1%−21−1.2%Reduced–
ADMArcher-Daniels-Midland CoStock1,904$114.0K<0.1%+223+13.3%AddedHistory
BIIBBiogen Inc.COM404$114.0K<0.1%−100−19.8%ReducedHistory
Vanguard Intl Equity Index F922042874FTSE EUROPE ETF1,730$114.0K<0.1%00.0%Unchanged–
WTSWatts Water Technologies IncCL A680$114.0K<0.1%+680NewHistory
ETF Managers Tr26924G508ETFMG ALTR HRVST7,910$114.0K<0.1%+1,000+14.5%Added–
Global X FDS37954Y434GENOMIC BIOTECH5,129$114.0K<0.1%+5,129New–
Vanguard World FD921910725ESG INTL STK ETF1,868$115.0K<0.1%+7+0.4%Added–
DBCInvesco DB Commodity Index Tracking FundUNIT5,728$116.0K<0.1%+5,728NewHistory
QSQuantumScape CorpCOM CL A4,740$116.0K<0.1%+4,740NewHistory
EODAllspring Global Dividend Opportunity FundCOM21,100$116.0K<0.1%+21,100NewHistory
VanEck ETF Trust92189F700AGRIBUSINESS ETF1,275$116.0K<0.1%+1,275New–
iShares Inc464286822MSCI MEXICO ETF2,405$116.0K<0.1%00.0%Unchanged–
iShares Russell Top 200 Growth ETF464289438ETF769$117.0K<0.1%−7−0.9%Reduced–
TXRHTexas Roadhouse, Inc.COM1,276$117.0K<0.1%00.0%UnchangedHistory
CAKECheesecake Factory IncCOM2,480$117.0K<0.1%+2,480NewHistory
iShares Tr46435U135CYBERSECURITY2,700$117.0K<0.1%+2,700New–
NVAXNovavax IncCOM NEW564$117.0K<0.1%+50+9.7%AddedHistory
SYKStryker CorpStock449$118.0K<0.1%−1,300−74.3%ReducedHistory
First Tr Exchange-Traded FD33734X150INDLS PROD DUR2,060$118.0K<0.1%−7,646−78.8%Reduced–
BDXBecton Dickinson & CoStock484$119.0K<0.1%00.0%UnchangedHistory
iShares 1-10 Year U.S. Aggregate Bond ETF464288596ETF979$119.0K<0.1%00.0%Unchanged–
State Street SPDR S&P Bank ETF78464A797ETF2,248$119.0K<0.1%+2,248New–
NRONeuberger Real Estate Securities Income Fund IncCOM25,000$120.0K<0.1%00.0%UnchangedHistory
BAXBaxter International IncStock1,509$121.0K<0.1%00.0%UnchangedHistory
BAMBrookfield Asset Management Ltd.CL A LTD VT SH2,259$121.0K<0.1%+9+0.4%AddedHistory
EXCExelon CorpStock2,520$122.0K<0.1%−300−10.6%ReducedHistory
BBWIBath & Body Works, Inc.COM1,942$122.0K<0.1%+1,942NewHistory
First Tr Exchange-Traded FD33738D408FIRST TR TA HIYL2,538$122.0K<0.1%00.0%Unchanged–
OPIOffice Properties Income TrustCOM SHS BEN INT4,804$122.0K<0.1%+7+0.1%AddedHistory
AFLAflac IncStock2,360$123.0K<0.1%00.0%UnchangedHistory
MSTRStrategy IncStock212$123.0K<0.1%+44+26.2%AddedHistory
BP Midstream Partners LP0556EL109UNIT LTD PTNR9,300$123.0K<0.1%+100+1.1%Added–
CHPTChargePoint Holdings, Inc.COM CL A6,171$123.0K<0.1%+6,171NewHistory
First Tr Exch Traded FD III33739P863CALIF MUN INCM2,264$123.0K<0.1%−92−3.9%Reduced–
IDXXIDEXX Laboratories IncCOM200$124.0K<0.1%+200NewHistory
EMDWestern Asset Emerging Markets Debt Fund Inc.COM9,199$125.0K<0.1%+12+0.1%AddedHistory
VanEck ETF Trust92189H805RARE EARTH AND S1,221$126.0K<0.1%+1,221New–
First Tr Exchng Traded FD VI33740U802FT VEST U.S.4,110$126.0K<0.1%−45−1.1%Reduced–
OTISOtis Worldwide CorpStock1,541$127.0K<0.1%+100+6.9%AddedHistory
Invesco Exch Traded FD Tr II46138E875DORSEY WRGT DVLP3,353$127.0K<0.1%+3,353New–
CFCF Industries Holdings, Inc.COM2,268$127.0K<0.1%00.0%UnchangedHistory
LGILazard Global Total Return & Income Fund IncCOM6,362$127.0K<0.1%−121−1.9%ReducedHistory
METMetlife IncStock2,068$128.0K<0.1%+175+9.2%AddedHistory
KMIKinder Morgan, Inc.Stock7,675$128.0K<0.1%+1,008+15.1%AddedHistory
HUMHumana IncStock329$128.0K<0.1%+329NewHistory
NINisource Inc.COM5,275$128.0K<0.1%+5,275NewHistory
First Tr Exchng Traded FD VI33740F789MLT MNGD LRG GRW4,698$128.0K<0.1%00.0%Unchanged–
MGMMGM Resorts InternationalStock3,001$129.0K<0.1%−1,004−25.1%ReducedHistory

Options (3)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of Centaurus Financial, Inc. in Q3 2021
SecurityClassPutsCalls
SNAPSnap IncStock–$95.0K
MMacy's, Inc.COM–$88.0K
BGFVBig 5 Sporting Goods CorpCOM–$47.0K

Sold out since Q2 2021 (84)

Positions held at the end of Q2 2021 that are gone from this filing.

Positions of Centaurus Financial, Inc. sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
Amplify ETF Tr032108102ONLIN RETL ETF21,444$2.78M0.2%–
PIMCO ETF Tr72201R30415+ YR US TIPS26,289$2.27M0.2%–
iShares Tr464287184CHINA LG-CAP ETF44,625$2.07M0.2%–
VanEck ETF Trust92189H300JP MRGAN EM LOC52,056$1.63M0.1%–
iShares Tr464288117INTL TREA BD ETF31,219$1.63M0.1%–
SPDR Series Trust78464A334SST SPDR BLOOMBE51,172$1.63M0.1%–
Invesco Exch Traded FD Tr II46138G706SOLAR ETF15,759$1.41M0.1%–
Invesco Exchange Traded FD T46137V134WILDERHIL CLAN14,779$1.38M0.1%–
Invesco Exch Traded FD Tr II46138E164S&P SMLCP ENGY171,455$1.38M0.1%–
SPDR Series Trust78464A722ST STR SP PHARMA26,028$1.35M0.1%–
Invesco Exchange Traded FD T46137V852DORSEY WRIGHT HE7,587$1.26M0.1%–
iShares Tr464289180MSCI EURO FL ETF55,300$1.08M0.1%–
PHYSSprott Physical Gold TrustPHYSICAL GOLD TR67,044$941.0K0.1%History
SAMBoston Beer Co IncCL A900$919.0K0.1%History
First Trust Nasdaq Clean Edge Green Energy Index Fund33733E500ETF11,881$822.0K0.1%–
DLTHDuluth Holdings Inc.COM CL B35,500$733.0K0.1%History
iShares Tr46428951110+ YR INVST GRD8,457$594.0K0.1%–
WYNNWynn Resorts LtdCOM4,647$568.0K<0.1%History
GTGoodyear Tire & Rubber CoCOM31,500$540.0K<0.1%History
Exchange Traded Concepts Tru301505889EMQQ EME MAR ETF7,564$479.0K<0.1%–
EOSEEos Energy Enterprises, Inc.COM CL A24,919$448.0K<0.1%History
DELLDell Technologies Inc.Stock4,361$435.0K<0.1%History
iShares Tr464287796U.S. ENERGY ETF14,198$413.0K<0.1%–
PIMCO Active Bond Exchange-Traded Fund72201R775ETF3,700$411.0K<0.1%–
GNRCGenerac Holdings Inc.Stock939$390.0K<0.1%History
ORAOrmat Technologies, Inc.COM5,406$376.0K<0.1%History
iShares Tr464287754US INDUSTRIALS3,248$361.0K<0.1%–
SPDR Ser Tr78464A110FACTST INV ETF1,579$357.0K<0.1%–
Invesco Exchange Traded FD T46137V720LEISU ENTMT ETF6,742$352.0K<0.1%–
STKLSunOpta Inc.COM28,104$344.0K<0.1%History
WIXWix.com Ltd.SHS1,055$306.0K<0.1%History
CALCaleres IncCOM11,017$301.0K<0.1%History
FLYYSpirit Aviation Holdings, Inc.COM9,464$288.0K<0.1%History
SPDR Ser Tr78468R127S&P INTERNET ETF1,415$259.0K<0.1%–
NXHNeighborhood Intelligence, Inc.COM2,683$247.0K<0.1%History
Vanguard Whitehall FDS921946794INTL HIGH ETF3,435$234.0K<0.1%–
iShares Tr464288851US OIL GS EX ETF3,900$223.0K<0.1%–
iShares Tr46435G672CORE INTL AGGR3,884$214.0K<0.1%–
CENCenter Coast Brookfield MLP & Energy Infrastructure FundSHS BEN INT15,387$205.0K<0.1%History
First Tr Exchange-Traded FD33738D101NO AMER ENERGY8,289$203.0K<0.1%–
Kraneshares Trust500767306CSI CHI INTERNET2,835$198.0K<0.1%–
DNMRDanimer Scientific, Inc.COM CL A7,175$180.0K<0.1%History
COINCoinbase Global, Inc.COM CL A703$178.0K<0.1%History
Invesco Exch Traded FD Tr II46138E800CHINA TECHNLGY1,944$164.0K<0.1%–
First Trust Financials Alphadex Fund33734X135ETF3,713$162.0K<0.1%–
AHTAshford Hospitality Trust IncCOM SHS33,865$154.0K<0.1%History
LVSLas Vegas Sands CorpCOM2,843$150.0K<0.1%History
iShares Tr46429B655FLTG RATE NT ETF2,961$150.0K<0.1%–
NXDTNexpoint Diversified Real Estate TrustCOM NEW10,428$143.0K<0.1%History
iShares Tr46432F859CORE 1 5 YR USD2,713$139.0K<0.1%–
SPLKSplunk IncCOM950$137.0K<0.1%History
First Tr Exchng Traded FD VI33740F623FT VEST US EQT4,131$135.0K<0.1%–
First Tr Exchange Traded FD33738R795NASDAQ TRANSN3,917$133.0K<0.1%–
NXGNXG NextGen Infrastructure Income FundCOM2,639$128.0K<0.1%History
Invesco Exch TRD SLF Idx FD46138J866BULSHS 2023 CB5,900$128.0K<0.1%–
RBLXRoblox CorpStock1,400$126.0K<0.1%History
SUNSunoco LPCOM UT REP LP3,310$125.0K<0.1%History
FCXFreeport-McMoran IncStock3,328$123.0K<0.1%History
BSTBlackRock Science & Technology TrustSHS1,946$116.0K<0.1%History
MLCOMelco Resorts & Entertainment LTDADR7,002$116.0K<0.1%History
Vanguard Long-Term Treasury ETF92206C847ETF1,310$115.0K<0.1%–
VanEck Digital Native Economy ETF92189F882ETF2,155$114.0K<0.1%–
SPCEVirgin Galactic Holdings, IncCOM2,425$112.0K<0.1%History
Schwab International Equity ETF808524805ETF2,825$111.0K<0.1%–
Invesco Exch Traded FD Tr II46138E156S&P SMLCP FINL1,925$111.0K<0.1%–
Invesco Exch TRD SLF Idx FD46138J882BULSHS 2022 CB5,100$110.0K<0.1%–
AAPAdvance Auto Parts IncCOM531$109.0K<0.1%History
DBX ETF Tr233051879XTRACK HRVST CSI2,687$109.0K<0.1%–
SAFESafehold Inc.COM1,368$107.0K<0.1%History
NIONIO Inc.ADR1,986$106.0K<0.1%History
Global X FDS37950E333GLBX SUPRINC ETF8,695$105.0K<0.1%–
BTZBlackRock Credit Allocation Income TrustCOM6,584$103.0K<0.1%History
Invesco Exchange Traded FD T46137V464S&P MDCP MOMNTUM1,205$103.0K<0.1%–
BYNDBeyond Meat, Inc.COM656$103.0K<0.1%History
EXPEExpedia Group, Inc.Stock625$102.0K<0.1%History
Advisorshares Tr00768Y453PURE US CANN ETF2,555$102.0K<0.1%–
AALAmerican Airlines Group Inc.Stock4,777$101.0K<0.1%History
WisdomTree Tr97717W703INTL EQUITY FD1,860$101.0K<0.1%–
NUSNu Skin Enterprises, Inc.CL A1,775$101.0K<0.1%History
NXPINXP Semiconductors N.V.COM487$100.0K<0.1%History
Pacer FDS Tr69374H709GLOBL CASH ETF3,173$100.0K<0.1%–
iShares Tr46435G193ESG AWRE USD ETF3,597$100.0K<0.1%–
First Tr MLP & Energy Incom33739B104COM12,248$97.0K<0.1%–
NEPTFNeptune Wellness Solutions Inc.COM64,000$75.0K<0.1%History