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Livermore
Livermore
ZHEN

Focused Wealth Management, Inc

SEC CIK
0001586052
Latest filing
Aug 6, 2026

Holdings in Q4 2021

Holdings as of Dec 31, 2021, filed Jan 31, 2022. Long positions only; changes compare share counts with Q3 2021.

Institution overview
Positions
1,004
+2 vs. Q3 2021
Portfolio value
$646.4M
+$35.9M (+5.9%) vs. Q3 2021
Filed
Jan 31, 2022
SEC
Holdings of Focused Wealth Management, Inc in Q4 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
State Street SPDR Portfolio S&P 500 Growth ETF78464A409ETF1,220,151$88.4M13.7%+3,664+0.3%Added–
Vanguard Morningstar Value ETF922908744ETF449,975$66.2M10.2%+12,295+2.8%Added–
PIMCO Active Bond Exchange-Traded Fund72201R775ETF444,705$48.7M7.5%+444,603+435,885.3%Added–
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375ETF1,125,644$40.7M6.3%+12,734+1.1%Added–
Schwab US Tips ETF808524870ETF626,386$39.4M6.1%+14,601+2.4%Added–
iShares MSCI USA Momentum Factor ETF46432F396ETF156,331$28.4M4.4%+2,169+1.4%Added–
Vanguard High Dividend Yield Index ETF921946406ETF202,200$22.7M3.5%+1,771+0.9%Added–
AAPLApple Inc.Stock97,175$17.3M2.7%−294−0.3%ReducedHistory
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund72201R833ETF165,736$16.8M2.6%−4,048−2.4%Reduced–
VanEck ETF Trust92189H409HIGH YLD MUNIETF261,863$16.3M2.5%+5,500+2.1%Added–
Vanguard Ftse Emerging Markets ETF922042858ETF298,977$14.8M2.3%+7,231+2.5%Added–
State Street Financial Select Sector SPDR ETF81369Y605ETF368,330$14.4M2.2%+9,464+2.6%Added–
Vanguard World FD921910816MEGA GRWTH IND42,312$11.0M1.7%−756−1.8%Reduced–
BXBlackstone Inc.COM67,447$8.73M1.4%−310.0%ReducedHistory
Vanguard Information Technology ETF92204A702ETF18,446$8.45M1.3%−45−0.2%Reduced–
State Street Health Care Select Sector SPDR ETF81369Y209ETF59,345$8.36M1.3%+1,367+2.4%Added–
State Street SPDR Portfolio Aggregate Bond ETF78464A649ETF261,715$7.75M1.2%+1,733+0.7%Added–
State Street Energy Select Sector SPDR ETF81369Y506ETF129,601$7.19M1.1%+2,596+2.0%Added–
TSLATesla, Inc.Stock6,785$7.17M1.1%−441−6.1%ReducedHistory
PFEPfizer IncStock104,318$6.16M1.0%+1,811+1.8%AddedHistory
BACBank of America CorpStock135,501$6.03M0.9%−1,236−0.9%ReducedHistory
iShares Tr464287515EXPANDED TECH13,095$5.21M0.8%+16+0.1%Added–
METAMeta Platforms, Inc.Stock13,190$4.44M0.7%−148−1.1%ReducedHistory
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM403,206$4.30M0.7%+41,960+11.6%AddedHistory
State Street SPDR S&P Biotech ETF78464A870ETF37,327$4.18M0.6%+1,162+3.2%Added–
BXMXNuveen S&P 500 BuyWrite Income FundCOM267,390$3.92M0.6%+14,930+5.9%AddedHistory
BlackRock New York Municipal Income Trust09248L106SH BEN INT215,946$3.19M0.5%+1,697+0.8%Added–
AMZNAmazon Com IncStock919$3.06M0.5%−1−0.1%ReducedHistory
BRK.BBerkshire Hathaway IncStock9,878$2.95M0.5%+5+0.1%AddedHistory
MSFTMicrosoft CorpStock8,753$2.94M0.5%−80−0.9%ReducedHistory
PIMCO ETF Tr72201R643ENHANCD SHORT28,687$2.87M0.4%−6,374−18.2%Reduced–
STWDStarwood Property Trust, Inc.COM108,296$2.63M0.4%+9,268+9.4%AddedHistory
INTCIntel CorpStock51,080$2.63M0.4%+7,501+17.2%AddedHistory
UTGReaves Utility Income FundCOM SH BEN INT73,109$2.57M0.4%−1,419−1.9%ReducedHistory
CCitigroup IncStock36,529$2.21M0.3%+408+1.1%AddedHistory
GEGeneral Electric CoStock22,257$2.10M0.3%−75−0.3%ReducedHistory
iShares U S ETF Tr46431W507SHOR DURA BD ETF40,581$2.03M0.3%−13,087−24.4%Reduced–
CATCaterpillar IncStock9,082$1.88M0.3%−83−0.9%ReducedHistory
XOMExxonMobil Holdings CorpCOM30,329$1.86M0.3%−1,922−6.0%ReducedHistory
Vanguard Intermediate-Term Corporate Bond ETF92206C870ETF18,736$1.74M0.3%+2,904+18.3%Added–
JNJJohnson & JohnsonStock9,957$1.70M0.3%+13+0.1%AddedHistory
Vanguard Morningstar Total Stock Market ETF922908769ETF7,055$1.70M0.3%+57+0.8%Added–
Ssga Active ETF Tr78467V848ST STR TOTAL ETF35,839$1.70M0.3%−1,005,354−96.6%Reduced–
Vanguard Health Care ETF92204A504ETF5,947$1.58M0.2%−22−0.4%Reduced–
Schwab U.S. Broad Market ETF808524102ETF14,003$1.58M0.2%+97+0.7%Added–
GSGoldman Sachs Group IncStock3,841$1.47M0.2%+32+0.8%AddedHistory
MMM3M CoStock8,246$1.47M0.2%+20.0%AddedHistory
ABNBAirbnb, Inc.Stock8,428$1.40M0.2%−189−2.2%ReducedHistory
AMATApplied Materials IncStock8,762$1.38M0.2%−546−5.9%ReducedHistory
IBMInternational Business Machines CorpStock10,196$1.36M0.2%+10+0.1%AddedHistory
NUENucor CorpCOM11,734$1.34M0.2%−127−1.1%ReducedHistory
VZVerizon Communications IncStock25,715$1.34M0.2%+13,080+103.5%AddedHistory
iShares Core U.S. Aggregate Bond ETF464287226ETF11,118$1.27M0.2%+8,148+274.3%Added–
BBNBlackRock Taxable Municipal Bond TrustSHS47,185$1.24M0.2%+795+1.7%AddedHistory
KMIKinder Morgan, Inc.Stock76,370$1.21M0.2%+4,659+6.5%AddedHistory
JPMJPMorgan Chase & CoStock7,566$1.20M0.2%+8+0.1%AddedHistory
IIPRInnovative Industrial Properties IncCOM4,523$1.19M0.2%−22−0.5%ReducedHistory
Schwab U.S. Large-Cap Growth ETF808524300ETF7,006$1.15M0.2%+10+0.1%Added–
HONHoneywell International IncCOM5,492$1.15M0.2%+10.0%AddedHistory
ROKURoku, IncCOM CL A4,864$1.11M0.2%+104+2.2%AddedHistory
CSCOCisco Systems, Inc.Stock17,381$1.10M0.2%+49+0.3%AddedHistory
MOAltria Group, Inc.Stock22,762$1.08M0.2%+1,778+8.5%AddedHistory
iShares Core S&P 500 ETF464287200ETF2,216$1.06M0.2%+5+0.2%Added–
WMTWalmart Inc.Stock7,093$1.03M0.2%−977−12.1%ReducedHistory
iShares Tr464288588MBS ETF9,516$1.02M0.2%+20.0%Added–
iShares S&P 500 Growth ETF464287309ETF11,653$975.0K0.2%00.0%Unchanged–
Invesco QQQ Trust Series I46090E103ETF2,432$968.0K0.1%−6−0.2%Reduced–
TAT&T Inc.Stock37,648$926.0K0.1%+2,661+7.6%AddedHistory
PINSPinterest, Inc.CL A24,787$901.0K0.1%+15,731+173.7%AddedHistory
KMBKimberly Clark CorpStock5,690$813.0K0.1%+1,077+23.3%AddedHistory
Vanguard Morningstar Growth ETF922908736ETF2,492$800.0K0.1%00.0%Unchanged–
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF18,354$772.0K0.1%−250−1.3%Reduced–
iShares Tips Bond ETF464287176ETF5,962$770.0K0.1%+211+3.7%Added–
NVDANVIDIA CorpStock2,502$736.0K0.1%+182+7.8%AddedHistory
CPNGCoupang, Inc.CL A25,033$735.0K0.1%−13,731−35.4%ReducedHistory
PGProcter & Gamble CoStock4,313$705.0K0.1%+5+0.1%AddedHistory
NEENextera Energy IncStock7,503$700.0K0.1%+28+0.4%AddedHistory
iShares Tr464288638ISHS 5-10YR INVT11,743$696.0K0.1%+106+0.9%Added–
PIMCO ETF Tr72201R718ENHNCD LW DUR AC6,682$672.0K0.1%−605−8.3%Reduced–
PLTRPalantir Technologies Inc.Stock35,428$645.0K0.1%+4,119+13.2%AddedHistory
FSLYFastly, Inc.CL A17,940$636.0K0.1%−34−0.2%ReducedHistory
DOCNDigitalOcean Holdings, Inc.COM7,663$616.0K0.1%+263+3.6%AddedHistory
CRISCuris IncCOM NEW126,763$603.0K0.1%+40,250+46.5%AddedHistory
State Street SPDR Bloomberg Convertible Securities ETF78464A359ETF7,216$599.0K0.1%−505−6.5%Reduced–
ORealty Income CorpREIT8,102$580.0K0.1%+282+3.6%AddedHistory
BABAAlibaba Group Holding LtdADR4,802$570.0K0.1%−487−9.2%ReducedHistory
SRTAStrata Critical Medical, Inc.CL A COM64,220$567.0K0.1%−1,803−2.7%ReducedHistory
GOOGAlphabet Inc.Stock191$553.0K0.1%00.0%UnchangedHistory
CLFCleveland-Cliffs Inc.COM25,278$550.0K0.1%00.0%UnchangedHistory
CLColgate Palmolive CoStock6,397$546.0K0.1%00.0%UnchangedHistory
MRKMerck & Co., Inc.Stock6,877$527.0K0.1%−1,661−19.5%ReducedHistory
BMYBristol Myers Squibb CoStock8,416$525.0K0.1%+520+6.6%AddedHistory
ORCLOracle CorpStock5,921$516.0K0.1%+3+0.1%AddedHistory
GDRXGoodRx Holdings, Inc.COM CL A15,709$513.0K0.1%−2,701−14.7%ReducedHistory
NFLXNetflix IncStock848$511.0K0.1%00.0%UnchangedHistory
Vanguard Financials ETF92204A405ETF5,234$505.0K0.1%−121−2.3%Reduced–
Schwab Strategic Tr808524862SHT TM US TRES9,910$504.0K0.1%00.0%Unchanged–
BABoeing CoStock2,480$499.0K0.1%+8+0.3%AddedHistory
Pgim ETF Tr69344A107PGIM ULTRA SH BD9,988$494.0K0.1%00.0%Unchanged–
AWKAmerican Water Works Company, Inc.Stock2,521$476.0K0.1%+7+0.3%AddedHistory

Options (48)

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 Q4 2021
SecurityClassPutsCalls
Square Inc852234953PUT$129.0K–
Roku Inc77543R952PUT$89.0K–
Spotify Technology S AL8681T952PUT$87.0K–
Nautilus Inc63910B952PUT$64.0K–
United STS Oil FD LP91232N907CALL–$54.0K
Spirit Airls Inc848577952PUT$53.0K–
Fortinet Inc34959E909CALL–$49.0K
Ouster Inc68989M953PUT$44.0K–
DocuSign Inc256163956PUT$42.0K–
Farfetch Ltd30744W957PUT$28.0K–
PayPal Hldgs Inc70450Y953PUT$28.0K–
Twilio Inc90138F902CALL–$28.0K
Freeport-McMoran Inc35671D907CALL–$23.0K
SoFi Technologies Inc83406F902CALL–$20.0K
PayPal Hldgs Inc70450Y903CALL–$17.0K
Novavax Inc670002951PUT$16.0K–
Twitter Inc90184L902CALL–$16.0K
Shopify Inc82509L907CALL–$15.0K
Atlassian Corp PLCG06242904CALL–$14.0K
Fastly Inc31188V900CALL–$13.0K
General MTRS Co37045V900CALL–$13.0K
Penn Natl Gaming Inc707569909CALL–$13.0K
Roku Inc77543R902CALL–$13.0K
Unity Software Inc91332U901CALL–$13.0K
Inmode LtdM5425M903CALL–$13.0K
The Trade Desk Inc88339J905CALL–$12.0K
Digital Turbine Inc25400W952COM NEW$11.0K–
Pinterest Inc72352L906CALL–$10.0K
Salesforce Com Inc79466L902CALL–$10.0K
Taiwan Semiconductor Mfg Ltd874039900CALL–$9.00K
Bill Com Hldgs Inc090043900CALL–$8.00K
Schlumberger Ltd806857908CALL–$8.00K
Schlumberger Ltd806857958PUT$8.00K–
Digital Turbine Inc25400W902CALL–$6.00K
Farfetch Ltd30744W907CALL–$6.00K
Sunopta Inc8676EP958PUT$5.00K–
Sorrento Therapeutics Inc83587F902CALL–$4.00K
iShares Tr464287905CALL–$3.00K
United STS Oil FD LP91232N957PUT$3.00K–
Marqeta Inc57142B904CALL–$3.00K
NIO Inc62914V906CALL–$1.00K
Plby Group Inc72814P959PUT$1.00K–
Synchrony Financial87165B903CALL–$1.00K
Upstart Hldgs Inc91680M907CALL–$1.00K
Wynn Resorts Ltd983134907CALL–$1.00K
Yeti Hldgs Inc98585X904CALL–$1.00K
Spotify Technology S AL8681T902CALL–$1.00K
Coinbase Global Inc19260Q907CALL–$1.00K

Sold out since Q3 2021 (58)

Positions held at the end of Q3 2021 that are gone from this filing.

Positions of Focused Wealth Management, Inc sold out since Q3 2021
SecurityClassShares in Q3 2021Value in Q3 2021% of portfolio in Q3 2021History
PSAPublic StorageCOM740$220.0K<0.1%History
FXEInvesco CurrencyShares Euro TrustEURO SHS2,000$216.0K<0.1%History
DVADavita Inc.COM1,500$174.0K<0.1%History
NRGNRG Energy, Inc.Stock3,900$159.0K<0.1%History
State Street Real Estate Select Sector SPDR ETF81369Y860ETF3,300$147.0K<0.1%–
PFGPrincipal Financial Group IncCOM2,150$138.0K<0.1%History
WRKWestRock CoCOM2,500$125.0K<0.1%History
PLANAnaplan, Inc.COM2,000$122.0K<0.1%History
CCJCameco CorpStock4,725$103.0K<0.1%History
iShares Inc464286749MSCI SWITZERLAND2,100$98.0K<0.1%–
CLDRCloudera, Inc.COM5,600$89.0K<0.1%History
YETIYETI Holdings, Inc.COM1,000$86.0K<0.1%History
ONONOn Holding AGStock2,800$84.0K<0.1%History
CFCF Industries Holdings, Inc.COM1,300$73.0K<0.1%History
BYDBoyd Gaming CorpCOM1,100$70.0K<0.1%History
MSTRStrategy IncStock120$69.0K<0.1%History
CUBECubeSmartREIT1,400$68.0K<0.1%History
FSRFisker Inc.CL A COM STK4,378$64.0K<0.1%History
PDDPDD Holdings Inc.SPONSORED ADS700$63.0K<0.1%History
BKEBuckle IncCOM1,520$60.0K<0.1%History
KLRKaleyra, Inc.COM5,000$55.0K<0.1%History
EQNREquinor ASASPONSORED ADR2,000$51.0K<0.1%History
FOURShift4 Payments, Inc.CL A600$47.0K<0.1%History
PSFEPaysafe LtdORD4,000$31.0K<0.1%History
ELANElanco Animal Health IncCOM800$26.0K<0.1%History
ABCLAbCellera Biologics Inc.COM1,000$20.0K<0.1%History
VERVEREIT, Inc.COM413$19.0K<0.1%History
FVRRFiverr International Ltd.ORD SHS100$18.0K<0.1%History
CYRXCryoport, Inc.COM PAR $0.001200$13.0K<0.1%History
Kensington Capital Acquisiti49006L104COM CL A1,000$8.00K<0.1%–
Nuveen Diversified Divid & I6706EP105COM587$6.00K<0.1%–
PCIPIMCO Dynamic Credit & Mortgage Income FundCOM SHS233$5.00K<0.1%History
Cohn Robbins Holdings CorpG23726105COM CL A500$5.00K<0.1%–
NSNuStar Energy L.P.UNIT COM218$3.00K<0.1%History
HLHecla Mining CoCOM100$1.00K<0.1%History
AMKRAmkor Technology, Inc.COM32$1.00K<0.1%History
ARWRArrowhead Pharmaceuticals, Inc.COM17$1.00K<0.1%History
CAMTCamtek LtdORD14$1.00K<0.1%History
AYXAlteryx, Inc.COM CL A7$1.00K<0.1%History
CALACalithera Biosciences, Inc.COM500$1.00K<0.1%History
CEMIChembio Diagnostics, Inc.COM NEW375$1.00K<0.1%History
SIOXSio Gene Therapies Inc.COMMON500$1.00K<0.1%History
ARK Blockchain & Fintech Innovation ETF00214Q708ETF4$00.0%–
QRVOQorvo, Inc.Stock2$00.0%History
Global X FDS37954Y673US INFR DEV ETF18$00.0%–
ARK ETF Tr00214Q609ISRAEL INOVATE11$00.0%–
CNDTCONDUENT IncCOM2$00.0%History
NMZNuveen Municipal High Income Opportunity FundCOM6$00.0%History
TSLXSixth Street Specialty Lending, Inc.COM11$00.0%History
CSIQCanadian Solar Inc.COM11$00.0%History
EBFEnnis, Inc.COM12$00.0%History
XRXXerox Holdings CorpCOM NEW2$00.0%History
ARK ETF Tr00214Q5003D PRINTING ETF4$00.0%–
Advisorshares Tr00768Y495PURE CANNABIS15$00.0%–
Direxion Shs ETF Tr25460G732MOONSHOT INNOVAT5$00.0%–
IECIec Electronics CorpCOM11$00.0%History
Sonnet Biotherapeutc HLDNG I83548R105COM400$00.0%–
23ANDME Holding Co90138Q116*W EXP 06/16/202250$00.0%–