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Livermore
Livermore
ZHEN

Focused Wealth Management, Inc

SEC CIK
0001586052
Latest filing
Aug 6, 2026

Holdings in Q3 2021

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

Institution overview
Positions
1,002
+83 vs. Q2 2021
Portfolio value
$610.5M
+$5.47M (+0.9%) vs. Q2 2021
Filed
Oct 12, 2021
SEC
Holdings of Focused Wealth Management, Inc in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
State Street SPDR Portfolio S&P 500 Growth ETF78464A409ETF1,216,487$77.9M12.8%−84,667−6.5%Reduced–
Vanguard Morningstar Value ETF922908744ETF437,680$59.2M9.7%+4,152+1.0%Added–
Ssga Active ETF Tr78467V848ST STR TOTAL ETF1,041,193$50.3M8.2%+109,812+11.8%Added–
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375ETF1,112,910$40.6M6.7%+97,742+9.6%Added–
Schwab US Tips ETF808524870ETF611,785$38.3M6.3%+41,145+7.2%Added–
iShares MSCI USA Momentum Factor ETF46432F396ETF154,162$27.1M4.4%−1,269−0.8%Reduced–
Vanguard High Dividend Yield Index ETF921946406ETF200,429$20.7M3.4%−6,119−3.0%Reduced–
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund72201R833ETF169,784$17.3M2.8%+3,549+2.1%Added–
VanEck ETF Trust92189H409HIGH YLD MUNIETF256,363$16.0M2.6%+31,945+14.2%Added–
Vanguard Ftse Emerging Markets ETF922042858ETF291,746$14.6M2.4%+11,399+4.1%Added–
AAPLApple Inc.Stock97,469$13.8M2.3%+268+0.3%AddedHistory
State Street Financial Select Sector SPDR ETF81369Y605ETF358,866$13.5M2.2%−9,446−2.6%Reduced–
Vanguard World FD921910816MEGA GRWTH IND43,068$10.1M1.7%−1,322−3.0%Reduced–
BXBlackstone Inc.COM67,478$7.85M1.3%−7,003−9.4%ReducedHistory
State Street SPDR Portfolio Aggregate Bond ETF78464A649ETF259,982$7.76M1.3%+10,792+4.3%Added–
Vanguard Information Technology ETF92204A702ETF18,491$7.42M1.2%−515−2.7%Reduced–
State Street Health Care Select Sector SPDR ETF81369Y209ETF57,978$7.38M1.2%+523+0.9%Added–
State Street Energy Select Sector SPDR ETF81369Y506ETF127,005$6.62M1.1%+7,345+6.1%Added–
BACBank of America CorpStock136,737$5.80M1.0%−2,145−1.5%ReducedHistory
TSLATesla, Inc.Stock7,226$5.60M0.9%−132−1.8%ReducedHistory
iShares Tr464287515EXPANDED TECH13,079$5.22M0.9%−404−3.0%Reduced–
State Street SPDR S&P Biotech ETF78464A870ETF36,165$4.55M0.7%+1,087+3.1%Added–
METAMeta Platforms, Inc.Stock13,338$4.53M0.7%+14+0.1%AddedHistory
PFEPfizer IncStock102,507$4.41M0.7%+1,169+1.2%AddedHistory
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM361,246$3.61M0.6%+3,743+1.0%AddedHistory
BXMXNuveen S&P 500 BuyWrite Income FundCOM252,460$3.59M0.6%+7,021+2.9%AddedHistory
PIMCO ETF Tr72201R643ENHANCD SHORT35,061$3.53M0.6%+4,284+13.9%Added–
BlackRock New York Municipal Income Trust09248L106SH BEN INT214,249$3.29M0.5%+1,621+0.8%Added–
AMZNAmazon Com IncStock920$3.02M0.5%+4+0.4%AddedHistory
BRK.BBerkshire Hathaway IncStock9,873$2.69M0.4%−40.0%ReducedHistory
iShares U S ETF Tr46431W507SHOR DURA BD ETF53,668$2.69M0.4%−150.0%Reduced–
CCitigroup IncStock36,121$2.54M0.4%−538−1.5%ReducedHistory
MSFTMicrosoft CorpStock8,833$2.49M0.4%+113+1.3%AddedHistory
UTGReaves Utility Income FundCOM SH BEN INT74,528$2.44M0.4%+3,254+4.6%AddedHistory
STWDStarwood Property Trust, Inc.COM99,028$2.42M0.4%+6,976+7.6%AddedHistory
INTCIntel CorpStock43,579$2.32M0.4%+1,136+2.7%AddedHistory
GEGeneral Electric CoStock22,332$2.30M0.4%−207−0.9%ReducedConverted for a 1-for-8 splitHistory
XOMExxonMobil Holdings CorpCOM32,251$1.90M0.3%+458+1.4%AddedHistory
CATCaterpillar IncStock9,165$1.76M0.3%−67−0.7%ReducedHistory
JNJJohnson & JohnsonStock9,944$1.61M0.3%−107−1.1%ReducedHistory
Vanguard Morningstar Total Stock Market ETF922908769ETF6,998$1.55M0.3%−85−1.2%Reduced–
Vanguard Intermediate-Term Corporate Bond ETF92206C870ETF15,832$1.50M0.2%+4,600+41.0%Added–
ROKURoku, IncCOM CL A4,760$1.49M0.2%−5−0.1%ReducedHistory
Vanguard Health Care ETF92204A504ETF5,969$1.48M0.2%−109−1.8%Reduced–
ABNBAirbnb, Inc.Stock8,617$1.45M0.2%−174−2.0%ReducedHistory
MMM3M CoStock8,244$1.45M0.2%+20.0%AddedHistory
Schwab U.S. Broad Market ETF808524102ETF13,906$1.44M0.2%+57+0.4%Added–
GSGoldman Sachs Group IncStock3,809$1.44M0.2%−24−0.6%ReducedHistory
IBMInternational Business Machines CorpStock10,186$1.42M0.2%−180−1.7%ReducedHistory
JPMJPMorgan Chase & CoStock7,558$1.24M0.2%−549−6.8%ReducedHistory
Vanguard Total Bond Market ETF921937835ETF14,095$1.20M0.2%−265−1.8%Reduced–
KMIKinder Morgan, Inc.Stock71,711$1.20M0.2%−3,581−4.8%ReducedHistory
AMATApplied Materials IncStock9,308$1.20M0.2%+12+0.1%AddedHistory
BBNBlackRock Taxable Municipal Bond TrustSHS46,390$1.20M0.2%+562+1.2%AddedHistory
NUENucor CorpCOM11,861$1.17M0.2%−227−1.9%ReducedHistory
HONHoneywell International IncCOM5,491$1.17M0.2%+6+0.1%AddedHistory
WMTWalmart Inc.Stock8,070$1.13M0.2%−20−0.2%ReducedHistory
CPNGCoupang, Inc.CL A38,764$1.08M0.2%+15,864+69.3%AddedHistory
IIPRInnovative Industrial Properties IncCOM4,545$1.05M0.2%−41−0.9%ReducedHistory
Schwab U.S. Large-Cap Growth ETF808524300ETF6,996$1.04M0.2%+7+0.1%Added–
iShares Tr464288588MBS ETF9,514$1.03M0.2%+22+0.2%Added–
MOAltria Group, Inc.Stock20,984$955.0K0.2%+1,011+5.1%AddedHistory
iShares Core S&P 500 ETF464287200ETF2,211$952.0K0.2%−46−2.0%Reduced–
TAT&T Inc.Stock34,987$945.0K0.2%+1,369+4.1%AddedHistory
CSCOCisco Systems, Inc.Stock17,332$943.0K0.2%−330−1.9%ReducedHistory
Invesco QQQ Trust Series I46090E103ETF2,438$873.0K0.1%+7+0.3%Added–
iShares S&P 500 Growth ETF464287309ETF11,653$861.0K0.1%00.0%Unchanged–
NVTAInvitae CorpCOM28,750$817.0K0.1%−400−1.4%ReducedHistory
BABAAlibaba Group Holding LtdADR5,289$783.0K0.1%−327−5.8%ReducedHistory
GDRXGoodRx Holdings, Inc.COM CL A18,410$755.0K0.1%−825−4.3%ReducedHistory
PLTRPalantir Technologies Inc.Stock31,309$753.0K0.1%+616+2.0%AddedHistory
PIMCO ETF Tr72201R718ENHNCD LW DUR AC7,287$742.0K0.1%+953+15.0%Added–
iShares Tips Bond ETF464287176ETF5,751$734.0K0.1%+277+5.1%Added–
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF18,604$728.0K0.1%−951−4.9%Reduced–
FSLYFastly, Inc.CL A17,974$727.0K0.1%−384−2.1%ReducedHistory
Vanguard Morningstar Growth ETF922908736ETF2,492$723.0K0.1%00.0%Unchanged–
iShares Tr464288638ISHS 5-10YR INVT11,637$699.0K0.1%+59+0.5%Added–
SRTAStrata Critical Medical, Inc.CL A COM66,023$687.0K0.1%−19,805−23.1%ReducedHistory
VZVerizon Communications IncStock12,635$682.0K0.1%−70−0.6%ReducedHistory
CRISCuris IncCOM NEW86,513$677.0K0.1%+7,853+10.0%AddedHistory
State Street SPDR Bloomberg Convertible Securities ETF78464A359ETF7,721$659.0K0.1%−7−0.1%Reduced–
MRKMerck & Co., Inc.Stock8,538$641.0K0.1%+33+0.4%AddedHistory
PENNPENN Entertainment, Inc.COM8,704$631.0K0.1%+7,525+638.3%AddedHistory
KMBKimberly Clark CorpStock4,613$611.0K0.1%+20.0%AddedHistory
PGProcter & Gamble CoStock4,308$602.0K0.1%−182−4.1%ReducedHistory
NEENextera Energy IncStock7,475$587.0K0.1%+31+0.4%AddedHistory
DOCNDigitalOcean Holdings, Inc.COM7,400$574.0K0.1%+5,735+344.4%AddedHistory
BABoeing CoStock2,472$544.0K0.1%−7−0.3%ReducedHistory
NFLXNetflix IncStock848$518.0K0.1%−140−14.2%ReducedHistory
ORCLOracle CorpStock5,918$516.0K0.1%+27+0.5%AddedHistory
GOOGAlphabet Inc.Stock191$509.0K0.1%00.0%UnchangedHistory
ORealty Income CorpREIT7,820$507.0K0.1%+659+9.2%AddedHistory
Schwab Strategic Tr808524862SHT TM US TRES9,910$507.0K0.1%00.0%Unchanged–
XYZBlock, Inc.CL A2,098$503.0K0.1%−112−5.1%ReducedHistory
CLFCleveland-Cliffs Inc.COM25,278$501.0K0.1%−934−3.6%ReducedHistory
Vanguard Financials ETF92204A405ETF5,355$496.0K0.1%−443−7.6%Reduced–
Pgim ETF Tr69344A107PGIM ULTRA SH BD9,988$496.0K0.1%00.0%Unchanged–
GOOGLAlphabet Inc.Stock184$492.0K0.1%+27+17.2%AddedHistory
CLColgate Palmolive CoStock6,397$483.0K0.1%00.0%UnchangedHistory
NVDANVIDIA CorpStock2,320$481.0K0.1%+48+2.1%AddedConverted for a 4-for-1 splitHistory

Options (64)

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

Option positions of Focused Wealth Management, Inc in Q3 2021
SecurityClassPutsCalls
Amazon Com Inc023135956PUT$500.0K–
Coinbase Global Inc19260Q957PUT$269.0K–
Facebook Inc30303M952PUT$144.0K–
Zoom Video Communications IN98980L951PUT$131.0K–
Adobe Systems Incorporated00724F951PUT$121.0K–
Tesla Inc88160R951PUT$120.0K–
Twilio Inc90138F952PUT$108.0K–
PayPal Hldgs Inc70450Y953PUT$79.0K–
RH74967X953PUT$60.0K–
Unity Software Inc91332U951PUT$51.0K–
Seagen Inc81181C904CALL–$50.0K
Nautilus Inc63910B952PUT$43.0K–
Spirit Airls Inc848577952PUT$37.0K–
Ouster Inc68989M953PUT$32.0K–
Broadcom Inc11135F951PUT$27.0K–
Penn Natl Gaming Inc707569959PUT$27.0K–
Cameco Corp13321L908CALL–$24.0K
Farfetch Ltd30744W957PUT$23.0K–
Intel Corp458140900CALL–$23.0K
BK of America Corp060505904CALL–$22.0K
JPMorgan Chase & Co46625H900CALL–$19.0K
Allstate Corp020002901CALL–$18.0K
Fortinet Inc34959E909CALL–$16.0K
Advanced Micro Devices Inc007903907CALL–$15.0K
Mondelez Intl Inc609207905CALL–$14.0K
Pinterest Inc72352L956PUT$13.0K–
Applied Matls Inc038222905CALL–$12.0K
Plby Group Inc72814P959PUT$12.0K–
Sorrento Therapeutics Inc83587F902CALL–$12.0K
Farfetch Ltd30744W907CALL–$11.0K
Pfizer Inc717081903CALL–$11.0K
Starbucks Corp855244959PUT$11.0K–
Under Armour Inc904311907Call–$11.0K
The Trade Desk Inc88339J905CALL–$10.0K
CrowdStrike Hldgs Inc22788C905CALL–$9.00K
Digital Turbine Inc25400W902CALL–$9.00K
KKR & Co Inc48251W904CALL–$8.00K
Livent Corp53814L908CALL–$8.00K
PayPal Hldgs Inc70450Y903CALL–$8.00K
Skyworks Solutions Inc83088M902CALL–$8.00K
Lam Research Corp512807908CALL–$7.00K
TJX Cos Inc New872540909CALL–$7.00K
Visa Inc92826C909CALL–$7.00K
Boston Scientific Corp101137907CALL–$6.00K
Goodrx Hldgs Inc38246G908CALL–$6.00K
Nautilus Inc63910B902CALL–$6.00K
Wayfair Inc94419L951PUT$6.00K–
Square Inc852234903CALL–$5.00K
United States STL Corp New912909908CALL–$5.00K
Fortinet Inc34959E959PUT$4.00K–
Invitae Corp46185L953PUT$4.00K–
Sunopta Inc8676EP958PUT$4.00K–
Dominos Pizza Inc25754A901CALL–$3.00K
Twitter Inc90184L902CALL–$3.00K
Carnival PLC14365C903CALL–$2.00K
Cleveland-Cliffs Inc New185899901CALL–$2.00K
Marathon Digital Holdings IN565788906CALL–$2.00K
Paya Holdings Inc70434P953PUT$2.00K–
Plby Group Inc72814P909CALL–$2.00K
Carnival PLC14365C953PUT$1.00K–
D R Horton Inc23331A909CALL–$1.00K
Freeport-McMoran Inc35671D907CALL–$1.00K
Teradyne Inc880770902CALL–$1.00K
United Parcel Service Inc911312906CALL–$1.00K

Sold out since Q2 2021 (45)

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

Positions of Focused Wealth Management, Inc sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
RGLSRegulus Therapeutics Inc.COM NEW200,000$163.0K<0.1%History
PLURPluri Inc.COM NEW41,000$162.0K<0.1%History
GTMZoomInfo Technologies Inc.Stock2,800$146.0K<0.1%History
EXPDExpeditors International of Washington IncCOM1,150$146.0K<0.1%History
State Street Materials Select Sector SPDR ETF81369Y100ETF1,600$132.0K<0.1%–
SRESempraStock900$119.0K<0.1%History
VYGRVoyager Therapeutics, Inc.COM25,000$103.0K<0.1%History
MCSMarcus CorpCOM4,800$102.0K<0.1%History
CLXClorox CoStock550$99.0K<0.1%History
JKHYJack Henry & Associates IncStock575$94.0K<0.1%History
IDEXIdeanomics, Inc.COM30,000$85.0K<0.1%History
AWIArmstrong World Industries IncCOM650$70.0K<0.1%History
CCKCrown Holdings, Inc.COM680$70.0K<0.1%History
SAMBoston Beer Co IncCL A66$67.0K<0.1%History
DHIHorton D R IncCOM700$63.0K<0.1%History
ONDSOndas Inc.COM NEW7,245$58.0K<0.1%History
PAYAPaya Holdings Inc.COM CL A5,000$55.0K<0.1%History
Gores Holdings VI Inc38286R105COM CL A3,000$49.0K<0.1%–
SAFMSanderson Farms IncCOM257$48.0K<0.1%History
ATIPATI Physical Therapy, Inc.COM CL A5,000$48.0K<0.1%History
TRIPTripAdvisor, Inc.COM1,065$43.0K<0.1%History
iShares Tr46429B135INTL PFD STK ETF2,431$42.0K<0.1%–
STNEStoneCo Ltd.COM600$40.0K<0.1%History
Churchill Capital Corp IV171439102CL A931$27.0K<0.1%–
HZOMarinemax IncCOM500$24.0K<0.1%History
WDWalker & Dunlop, Inc.COM200$21.0K<0.1%History
AMNAmn Healthcare Services IncCOM100$10.0K<0.1%History
CNQCanadian Natural Resources LtdCOM200$7.00K<0.1%History
GTBPGT Biopharma, Inc.COM NEW300$5.00K<0.1%History
LXPLXP Industrial TrustCOM310$4.00K<0.1%History
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242ETF20$3.00K<0.1%–
ENPHEnphase Energy, Inc.Stock16$3.00K<0.1%History
QSQuantumScape CorpCOM CL A106$3.00K<0.1%History
Taro Pharmaceutical Inds LtdM8737E108SHS33$2.00K<0.1%–
TJXTJX Companies IncStock20$1.00K<0.1%History
ARK ETF Tr00214Q807SPACE & DEFENSE50$1.00K<0.1%–
FNCBFNCB Bancorp, Inc.COM200$1.00K<0.1%History
WORKSlack Technologies, Inc.COM CL A25$1.00K<0.1%History
DBRGDigitalBridge Group, Inc.CL A COM96$1.00K<0.1%History
iShares Tr464288257MSCI ACWI ETF1$00.0%–
MATMattel IncCOM1$00.0%History
VanEck ETF Trust92189F452MORTGAGE REIT11$00.0%–
Mudrick Capital Acqu Corp II62477L107COM CL A14$00.0%–
SPDR Index Shs FDS78463X103PORTFLO EURP ETF7$00.0%–
XWELXWELL, Inc.COM300$00.0%History