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Livermore
Livermore
ZHEN

Gradient Investments LLC

SEC CIK
0001542265
Latest filing
Jul 8, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Oct 18, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
1,216
+2 vs. Q2 2021
Portfolio value
$3.57B
+$151.8M (+4.4%) vs. Q2 2021
Filed
Oct 18, 2021
SEC
Holdings of Gradient Investments LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
SPYSPDR S&P 500 ETF TrustETF885,568$380.0M10.6%+882,630+30,041.9%AddedHistory
State Street SPDR Portfolio Aggregate Bond ETF78464A649ETF7,439,167$222.1M6.2%+641,071+9.4%Added–
State Street SPDR Portfolio S&P 500 ETF78464A854ETF2,987,183$150.7M4.2%+2,979,555+39,060.8%Added–
Ssga Active ETF Tr78467V608ST STR BL LN ETF2,177,816$100.2M2.8%+418,298+23.8%Added–
iShares Tr464288588MBS ETF853,320$92.3M2.6%+104,266+13.9%Added–
SPDR Index Shs FDS78463X202ST STR EU 50 ETF1,981,412$89.7M2.5%+1,981,264+1,338,691.9%Added–
VanEck ETF Trust92189F437FALLEN ANGEL HG2,707,358$89.5M2.5%+259,848+10.6%Added–
Innovator ETFs Trust45782C789US EQTY BUFR JUL2,220,920$70.1M2.0%+2,220,920New–
First Tr Exch Traded FD III33739E108PFD SECS INC ETF3,181,730$65.4M1.8%+569,803+21.8%Added–
ProShares Tr74347B698RUSS 2000 DIVD938,011$57.8M1.6%−608,692−39.4%Reduced–
AAPLApple Inc.Stock399,553$56.5M1.6%+28,555+7.7%AddedHistory
iShares Tr46434V647GLOBAL REIT ETF2,029,519$55.6M1.6%+90,723+4.7%Added–
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375ETF1,469,582$53.7M1.5%+12,857+0.9%Added–
GLDMWorld Gold TrustSPDR GLD MINIS2,982,917$52.1M1.5%+227,148+8.2%AddedHistory
ProShares Tr74348A566MERGER ETF1,010,143$41.3M1.2%+106,218+11.8%Added–
J P Morgan Exchange Traded F46641Q878BET USD HIG ETF773,157$40.3M1.1%+100,159+14.9%Added–
J P Morgan Exchange Traded F46641Q332EQUITY PREMIUM675,049$40.2M1.1%+675,049New–
AMZNAmazon Com IncStock12,085$39.7M1.1%+2,815+30.4%AddedHistory
MSFTMicrosoft CorpStock139,948$39.5M1.1%+5,138+3.8%AddedHistory
State Street Health Care Select Sector SPDR ETF81369Y209ETF304,454$38.8M1.1%+303,978+63,860.9%Added–
Legg Mason ETF Invt52468L406FRANKLIN US LOW1,031,160$37.1M1.0%+14,913+1.5%Added–
iShares Tr46434V4070-5YR HI YL CP797,569$36.4M1.0%+90,990+12.9%Added–
JPMJPMorgan Chase & CoStock219,031$35.9M1.0%+28,747+15.1%AddedHistory
Invesco Bulletshares 2022 HY Bd (BSJM)46138J874BULSHS 2022 HY1,308,818$30.4M0.9%+94,833+7.8%Added–
Invesco Exch TRD SLF Idx FD46138J858BULSHS 2023 HY1,198,379$30.3M0.9%+83,487+7.5%Added–
NEENextera Energy IncStock344,096$27.0M0.8%+218,747+174.5%AddedHistory
PGProcter & Gamble CoStock192,930$27.0M0.8%+16,107+9.1%AddedHistory
WMTWalmart Inc.Stock177,570$24.8M0.7%+41,299+30.3%AddedHistory
HDHome Depot, Inc.Stock75,299$24.7M0.7%+2,886+4.0%AddedHistory
JNJJohnson & JohnsonStock144,363$23.3M0.7%+18,010+14.3%AddedHistory
CVXChevron CorpStock223,817$22.7M0.6%+12,526+5.9%AddedHistory
COPConocoPhillipsStock326,913$22.2M0.6%−1,822−0.6%ReducedHistory
Invesco Exch TRD SLF Idx FD46138J668BULLSHS 23 USD797,765$20.8M0.6%+59,718+8.1%Added–
Invesco Exch TRD SLF Idx FD46138J676BULLSHS 22 USD811,587$20.8M0.6%+61,160+8.2%Added–
WMWaste Management IncStock138,175$20.6M0.6%−4,879−3.4%ReducedHistory
TNLTravel & Leisure Co.COM377,640$20.6M0.6%+54,213+16.8%AddedHistory
SPDR Series Trust78464A383ST STR BACKE ETF792,714$20.4M0.6%+138,903+21.2%Added–
VZVerizon Communications IncStock360,898$19.5M0.5%+47,803+15.3%AddedHistory
RTXRTX CorpStock224,610$19.3M0.5%+6,654+3.1%AddedHistory
GOOGAlphabet Inc.Stock7,112$19.0M0.5%−444−5.9%ReducedHistory
BMYBristol Myers Squibb CoStock318,464$18.8M0.5%+66,681+26.5%AddedHistory
LMTLockheed Martin CorpStock53,084$18.3M0.5%+8,827+19.9%AddedHistory
UNHUnitedHealth Group IncStock45,919$17.9M0.5%+16,005+53.5%AddedHistory
BACBank of America CorpStock389,156$16.5M0.5%+26,063+7.2%AddedHistory
METAMeta Platforms, Inc.Stock46,461$15.8M0.4%−206−0.4%ReducedHistory
PANWPalo Alto Networks IncStock32,813$15.7M0.4%−1,660−4.8%ReducedHistory
VVisa Inc.Stock68,238$15.2M0.4%+8,500+14.2%AddedHistory
PYPLPayPal Holdings, Inc.Stock55,772$14.5M0.4%+6,561+13.3%AddedHistory
BSXBoston Scientific CorpStock331,960$14.4M0.4%+44,627+15.5%AddedHistory
STSensata Technologies Holding plcSHS262,667$14.4M0.4%+71,515+37.4%AddedHistory
XOMExxonMobil Holdings CorpCOM243,660$14.3M0.4%−71,851−22.8%ReducedHistory
SPDR Series Trust78464A672ST INTER ETF438,823$14.2M0.4%+89,581+25.7%Added–
SPLKSplunk IncCOM97,956$14.2M0.4%+46,673+91.0%AddedHistory
NFLXNetflix IncStock22,905$14.0M0.4%+2,353+11.4%AddedHistory
iShares Tr464288281JPMORGAN USD EMG126,596$13.9M0.4%+28,831+29.5%Added–
VanEck ETF Trust92189F452MORTGAGE REIT716,679$13.6M0.4%+35,884+5.3%Added–
TAT&T Inc.Stock502,173$13.6M0.4%−150,265−23.0%ReducedHistory
FITBFifth Third BancorpCOM316,541$13.4M0.4%+316,204+93,829.1%AddedHistory
RFRegions Financial CorpCOM625,695$13.3M0.4%+625,631+977,548.4%AddedHistory
CFGCitizens Financial Group IncCOM283,454$13.3M0.4%+282,990+60,989.2%AddedHistory
NOWServiceNow, Inc.Stock21,341$13.3M0.4%−140−0.7%ReducedHistory
GPNGlobal Payments IncStock84,168$13.3M0.4%+35,807+74.0%AddedHistory
MCDMcDonalds CorpStock54,401$13.1M0.4%+475+0.9%AddedHistory
SPDR Index Shs FDS78463X509ST PORT MARK ETF303,765$12.9M0.4%−1,493,461−83.1%Reduced–
EQIXEquinix IncCOM16,257$12.8M0.4%+990+6.5%AddedHistory
SYYSysco CorpStock163,065$12.8M0.4%+14,129+9.5%AddedHistory
TFCTruist Financial CorpCOM218,118$12.8M0.4%+6,919+3.3%AddedHistory
PAYXPaychex IncStock112,801$12.7M0.4%−3,626−3.1%ReducedHistory
IQVIQVIA Holdings Inc.Stock52,630$12.6M0.4%−7,448−12.4%ReducedHistory
DRIDarden Restaurants IncCOM83,132$12.6M0.4%−350.0%ReducedHistory
FNFFidelity National Financial, Inc.COM SHS277,021$12.6M0.4%−5,148−1.8%ReducedHistory
CVSCVS Health CorpStock147,455$12.5M0.4%−207−0.1%ReducedHistory
SNVSynovus Financial CorpCOM NEW283,042$12.4M0.3%+24,765+9.6%AddedHistory
ALLAllstate CorpStock97,170$12.4M0.3%−1,046−1.1%ReducedHistory
ADPAutomatic Data Processing IncStock61,275$12.3M0.3%−513−0.8%ReducedHistory
AMPAmeriprise Financial IncCOM46,049$12.2M0.3%−2,016−4.2%ReducedHistory
DXCMDexcom IncCOM22,137$12.1M0.3%−716−3.1%ReducedHistory
LHXL3HARRIS Technologies, Inc.Stock54,884$12.1M0.3%−642−1.2%ReducedHistory
VanEck ETF Trust92189F411BDC INCOME ETF700,625$12.0M0.3%+29,360+4.4%Added–
ADIAnalog Devices IncStock71,551$12.0M0.3%−2,027−2.8%ReducedHistory
MRKMerck & Co., Inc.Stock159,200$12.0M0.3%+7,624+5.0%AddedHistory
DOCUDocuSign, Inc.Stock46,405$11.9M0.3%+2,421+5.5%AddedHistory
CECelanese CorpStock79,128$11.9M0.3%+1,468+1.9%AddedHistory
AMGNAmgen IncStock55,838$11.9M0.3%+5,862+11.7%AddedHistory
AVGOBroadcom Inc.Stock24,457$11.9M0.3%+424+1.8%AddedHistory
CMSCMS Energy CorpCOM198,228$11.8M0.3%+7,019+3.7%AddedHistory
TRUTransUnionCOM105,416$11.8M0.3%+105,416NewHistory
LOWLowes Companies IncStock58,060$11.8M0.3%+5,360+10.2%AddedHistory
LUVSouthwest Airlines CoCOM227,123$11.7M0.3%+64,486+39.7%AddedHistory
FCTFirst Trust Senior Floating Rate Income Fund IICOM953,403$11.7M0.3%+40,317+4.4%AddedHistory
WTRGEssential Utilities, Inc.COM252,897$11.7M0.3%+4,748+1.9%AddedHistory
BAHBooz Allen Hamilton Holding CorpCL A146,833$11.7M0.3%+25,460+21.0%AddedHistory
BXBlackstone Inc.COM99,761$11.6M0.3%−28,746−22.4%ReducedHistory
UPSUnited Parcel Service IncStock63,257$11.5M0.3%+353+0.6%AddedHistory
TGTTarget CorpStock50,134$11.5M0.3%+542+1.1%AddedHistory
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF292,161$11.4M0.3%+14,164+5.1%Added–
CMECME Group Inc.COM59,040$11.4M0.3%+3,535+6.4%AddedHistory
NNNNNN REIT, Inc.REIT263,240$11.4M0.3%+4,762+1.8%AddedHistory
NSCNorfolk Southern CorpStock47,470$11.4M0.3%+47,007+10,152.7%AddedHistory
Goldman Sachs ETF Tr381430230ULTR SHOR BD ETF223,821$11.3M0.3%+15,774+7.6%Added–

Sold out since Q2 2021 (89)

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

Positions of Gradient Investments LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
First Tr Exchange-Traded FD33734X176TECH ALPHADEX755$94.0K<0.1%–
First Tr Exchange Traded FD33734X143HLTH CARE ALPH500$59.0K<0.1%–
Vanguard World FD921910840MEGA CAP VAL ETF550$55.0K<0.1%–
PCIPIMCO Dynamic Credit & Mortgage Income FundCOM SHS2,000$45.0K<0.1%History
FTAIFTAI Aviation Ltd.COM REP LTD LIAB1,000$34.0K<0.1%History
Tenneco Inc880349105CL A VTG COM STK1,500$29.0K<0.1%–
First Trust Nasdaq-100 Technology Sector Index Fund337345102ETF163$26.0K<0.1%–
First Tr Exchange-Traded Alp33735K108COM SHS180$20.0K<0.1%–
iShares Tr464287192US TRSPRTION75$19.0K<0.1%–
MGMMGM Resorts InternationalStock418$18.0K<0.1%History
SPDR Series Trust78464A805ST STR PR SP1500327$17.0K<0.1%–
Northern LTS FD Tr IV66538H674FORMULA FOLIOS441$16.0K<0.1%–
Vanguard Whitehall FDS921946794INTL HIGH ETF212$14.0K<0.1%–
Etfis Ser Tr I26923G772INFRAC ACT MLP410$12.0K<0.1%–
iShares Tr46435U853BROAD USD HIGH280$12.0K<0.1%–
iShares MSCI USA Momentum Factor ETF46432F396ETF60$10.0K<0.1%–
AFGAmerican Financial Group IncCOM82$10.0K<0.1%History
First Tr Exch TRD Alphdx FD33737J117EUROPE ALPHADEX240$10.0K<0.1%–
URIUnited Rentals, Inc.COM32$10.0K<0.1%History
First Tr Exchange-Traded Alp33735J101COM SHS140$9.00K<0.1%–
DHIHorton D R IncCOM95$9.00K<0.1%History
ChargePoint Holdings, Inc.15961R113*W EXP 07/25/202400$9.00K<0.1%–
VanEck ETF Trust92189H300JP MRGAN EM LOC253$8.00K<0.1%–
NSPInsperity, Inc.COM88$8.00K<0.1%History
WKHSWorkhorse Group Inc.COM NEW500$8.00K<0.1%History
State Street Communication Services Select Sector SPDR ETF81369Y852ETF81$7.00K<0.1%–
LULUlululemon athletica inc.Stock20$7.00K<0.1%History
iShares Core MSCI Total International Stock ETF46432F834ETF81$6.00K<0.1%–
TROWPrice T Rowe Group IncStock31$6.00K<0.1%History
iShares Tr464287622RUS 1000 ETF24$6.00K<0.1%–
Ssga Active ETF Tr78467V848ST STR TOTAL ETF122$6.00K<0.1%–
First Tr Exchange-Traded FD33734X101CONSUMR DISCRE99$6.00K<0.1%–
First Tr Exch Traded FD III33739P871HORIZON MNGD ETF146$5.00K<0.1%–
iShares Tr4642886613 7 YR TREAS BD42$5.00K<0.1%–
HFROHighland Opportunities & Income FundHIGHLAND INCOME466$5.00K<0.1%History
Northern LTS FD Tr IV66538H567FRMLAFLIO SMRT140$5.00K<0.1%–
WHFWhiteHorse Finance, Inc.COM348$5.00K<0.1%History
ZNGAZynga IncCL A430$5.00K<0.1%History
State Street SPDR Portfolio Long Term Corporate Bond ETF78464A367ETF138$4.00K<0.1%–
iShares Tr46435U366SELF DRIVNG EV81$4.00K<0.1%–
First Tr Exch TRD Alphdx FD33737J182EMERG MKT ALPH151$4.00K<0.1%–
iShares Tr46435G334MSCI UK ETF NEW131$4.00K<0.1%–
First Tr Exchange-Traded Alp33737M102MID CP GR ALPH59$4.00K<0.1%–
WisdomTree Tr97717W281EMG MKTS SMCAP71$4.00K<0.1%–
GTLSChart Industries IncCOM26$4.00K<0.1%History
Schwab U.S. REIT ETF808524847ETF55$3.00K<0.1%–
iShares Russell Midcap ETF464287499ETF36$3.00K<0.1%–
PHParker-Hannifin CorpStock11$3.00K<0.1%History
NWLNewell Brands Inc.Stock100$3.00K<0.1%History
BTIBritish American Tobacco p.l.c.SPONSORED ADR85$3.00K<0.1%History
VLYValley National BancorpCOM192$3.00K<0.1%History
MSMMSC Industrial Direct Co IncCL A28$3.00K<0.1%History
First Tr Exchange Traded FD33738R860NASDAQ BK ETF87$3.00K<0.1%–
BFLYButterfly Network, Inc.COM CL A200$3.00K<0.1%History
MXIMMaxim Integrated Products IncCOM25$3.00K<0.1%History
Schwab Intermediate-Term US Treasury ETF808524854ETF40$2.00K<0.1%–
Invesco Exch Traded FD Tr II46138E511PFD ETF100$2.00K<0.1%–
MFGMizuho Financial Group IncSPONSORED ADR727$2.00K<0.1%History
WSOWatsco IncCOM6$2.00K<0.1%History
SPDR Index Shs FDS78463X863ST DOW INTL ETF46$2.00K<0.1%–
RTLNecessity Retail REIT, Inc.COM CLASS A220$2.00K<0.1%History
WRKWestRock CoCOM42$2.00K<0.1%History
LEGLeggett & Platt IncStock28$1.00K<0.1%History
TERTeradyne, IncStock4$1.00K<0.1%History
QSQuantumScape CorpCOM CL A30$1.00K<0.1%History
PWRQuanta Services, Inc.COM6$1.00K<0.1%History
FHNFirst Horizon CorpCOM30$1.00K<0.1%History
BIOBio-Rad Laboratories, Inc.CL A1$1.00K<0.1%History
SPDR Series Trust78464A607ST STR DOW REIT8$1.00K<0.1%–
WSMWilliams Sonoma IncCOM4$1.00K<0.1%History
Vanguard Scottsdale FDS92206C813LG-TERM COR BD14$1.00K<0.1%–
iShares Tr46434V878ULTRA SHORT DUR24$1.00K<0.1%–
STXSeagate Technology Holdings plcORD SHS11$1.00K<0.1%History
CTSOCytosorbents CorpCOM NEW150$1.00K<0.1%History
MIECohen & Steers MLP Income & Energy Opportunity FundCOM SHS250$1.00K<0.1%History
IPGInterpublic Group of Companies, Inc.COM17$1.00K<0.1%History
SPDR Index Shs FDS78463X103PORTFLO EURP ETF20$1.00K<0.1%–
PIIPolaris Inc.Stock1$00.0%History
ProShares Tr74347R107PSHS ULT S&P 5001$00.0%–
iShares Tr46432F859CORE 1 5 YR USD1$00.0%–
NWSANews CorpCL A16$00.0%History
AEISAdvanced Energy Industries IncCOM1$00.0%History
Fidelity Comwlth Tr315912808NASDAQ COMPSIT1$00.0%–
CTSHCognizant Technology Solutions CorpCL A7$00.0%History
AHTAshford Hospitality Trust IncCOM SHS25$00.0%History
BIGGQFormer BL Stores IncCOM1$00.0%History
DSUBlackRock Debt Strategies Fund, Inc.COM NEW1$00.0%History
SPHSuburban Propane Partners LPUNIT LTD PARTN3$00.0%History
Kensington Capital Acquisiti49006L104COM CL A30–––