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Livermore
Livermore
ZHEN

Arete Wealth Advisors, LLC

SEC CIK
0001600151
Latest filing
Aug 12, 2026

Holdings in Q2 2021

Holdings as of Jun 30, 2021, filed Aug 9, 2021. Long positions only; changes compare share counts with Q1 2021.

Institution overview
Positions
384
−32 vs. Q1 2021
Portfolio value
$711.2M
−$69.7M (−8.9%) vs. Q1 2021
Filed
Aug 9, 2021
SEC
Holdings of Arete Wealth Advisors, LLC in Q2 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
Innovator U.S. Equity Ultra Buffer ETF - October45782C821ETF20,325$00.0%00.0%Unchanged–
Innovator U.S. Equity Ultra Buffer ETF - January45782C300ETF23,425$00.0%−150−0.6%Reduced–
BCSFBain Capital Specialty Finance, Inc.COM STK16,800$00.0%00.0%UnchangedHistory
OBDCBlue Owl Capital CorpCOM11,989$00.0%−651−5.2%ReducedHistory
Innovator ETFs Trust45782C672US EQT ULTRA BF18,068$00.0%−1,150−6.0%Reduced–
Innovator ETFs Trust45782C649US EQTY ULTRA B43,160$00.0%00.0%Unchanged–
TCBKTrico BancsharesCOM171,162$00.0%+750.0%AddedHistory
GOROGoldgroup Mining Inc.COM25,588$00.0%00.0%UnchangedHistory
FBIOFortress Biotech, Inc.COM11,000$00.0%+11,000NewHistory
SGOLabrdn Gold ETF TrustETF31,447$1.00K<0.1%+2,250+7.7%AddedHistory
Innovator ETFs Trust45782C532US EQTY ULTRA B25,115$1.00K<0.1%−2,100−7.7%Reduced–
NADNuveen Quality Municipal Income FundCOM15,987$2.00K<0.1%+15,987NewHistory
Strategy Shs86280R803DAY HAGAN SMART43,887$4.00K<0.1%−290−0.7%Reduced–
Fidelity Merrimack STR Tr316188408LOW DURTIN ETF36,912$6.00K<0.1%+10,159+38.0%Added–
SPDR Series Trust78464A516ST INTL BBG ETF22,491$18.0K<0.1%+2,172+10.7%Added–
iShares Tr46434V647GLOBAL REIT ETF64,733$19.0K<0.1%+5,767+9.8%Added–
Vanguard Index FDS922908652EXTEND MKT ETF11,817$20.0K<0.1%+6,305+114.4%Added–
iShares Tr464287325GLOB HLTHCRE ETF23,432$23.0K<0.1%+602+2.6%Added–
Ssga Active ETF Tr78467V608ST STR BL LN ETF54,655$25.0K<0.1%+30,194+123.4%Added–
SPDR Series Trust78464A672ST INTER ETF53,792$27.0K<0.1%−14,906−21.7%Reduced–
iShares Tr464287333GLOBAL FINLS ETF30,069$27.0K<0.1%+1,865+6.6%Added–
iShares Russell 1000 Value ETF464287598ETF20,791$28.0K<0.1%+8,696+71.9%Added–
Del Taco Restaurants, Inc.245496104COM10,547$33.0K<0.1%−474−4.3%Reduced–
UAMYUnited States Antimony CorpCOM39,375$39.0K<0.1%00.0%UnchangedHistory
IAUiShares Gold TrustETF33,605$76.0K<0.1%+3,617+12.1%AddedConverted for a 1-for-2 splitHistory
HFROHighland Opportunities & Income FundHIGHLAND INCOME87,857$80.0K<0.1%+1,391+1.6%AddedHistory
AQBAquabounty Technologies IncCOM NEW16,581$89.0K<0.1%+16,581NewHistory
Amplify ETF Tr032108854SEYMOUR CANNBS20,789$94.0K<0.1%−1,018−4.7%Reduced–
Global X FDS37954Y343GLBL X MLP ETF23,062$102.0K<0.1%+354+1.6%Added–
SURFSurface Oncology, Inc.COM15,735$103.0K<0.1%+15,735NewHistory
PLTRPalantir Technologies Inc.Stock52,751$107.0K<0.1%−5,518−9.5%ReducedHistory
DFTXDefinium Therapeutics, Inc.COM32,498$111.0K<0.1%+32,498NewHistory
SLViShares Silver TrustETF24,509$135.0K<0.1%−73−0.3%ReducedHistory
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375ETF64,891$155.0K<0.1%+14,194+28.0%Added–
FFord Motor CoStock29,638$156.0K<0.1%+4,744+19.1%AddedHistory
NUVNuveen Municipal Value Fund IncCOM13,544$156.0K<0.1%−1,148−7.8%ReducedHistory
GMBLEsports Entertainment Group, Inc.COM14,425$157.0K<0.1%+14,425NewHistory
TWNKHostess Brands, Inc.CL A10,028$162.0K<0.1%+10,028NewHistory
ETEnergy Transfer LPCOM UT LTD PTN15,472$165.0K<0.1%+2,000+14.8%AddedHistory
SPDR Series Trust78468R739ST NUVE TERM ETF10,627$165.0K<0.1%+13+0.1%Added–
DSUBlackRock Debt Strategies Fund, Inc.COM NEW14,596$167.0K<0.1%−2,628−15.3%ReducedHistory
iShares Core Dividend Growth ETF46434V621ETF69,354$172.0K<0.1%+26,536+62.0%Added–
QVCGAOld QVC Group, Inc.COM SER A13,553$177.0K<0.1%+13,553NewHistory
LEOBNY Mellon Strategic Municipals, Inc.COM19,885$178.0K<0.1%00.0%UnchangedHistory
PSLVSprott Physical Silver TrustPHYSICAL SILVER19,250$179.0K<0.1%00.0%UnchangedHistory
ASMLASML Holding NVADR657$200.0K<0.1%−86−11.6%ReducedHistory
Invesco Exch Traded FD Tr II46138E354S&P500 LOW VOL3,714$201.0K<0.1%+3,714New–
AGRAvangrid, Inc.COM3,907$201.0K<0.1%+3,907NewHistory
SNASnap-on IncCOM906$202.0K<0.1%+5+0.6%AddedHistory
First Tr Exchange-Traded FD336920103US EQTY OPPT ETF1,591$203.0K<0.1%+1,591New–
EPCEdgewell Personal Care CoCOM4,684$204.0K<0.1%+4,684NewHistory
EQIXEquinix IncCOM255$205.0K<0.1%−56−18.0%ReducedHistory
IDXXIDEXX Laboratories IncCOM412$206.0K<0.1%−1−0.2%ReducedHistory
NVSNovartis AGADR3,445$207.0K<0.1%+124+3.7%AddedHistory
ENREnergizer Holdings, Inc.COM4,784$208.0K<0.1%00.0%UnchangedHistory
PAYXPaychex IncStock2,146$209.0K<0.1%+30+1.4%AddedHistory
SOSouthern CoStock4,337$209.0K<0.1%+216+5.2%AddedHistory
FDXFedEx CorpStock1,248$210.0K<0.1%+50+4.2%AddedHistory
Vanguard Energy ETF92204A306ETF3,425$211.0K<0.1%+287+9.1%Added–
NXPINXP Semiconductors N.V.COM1,322$213.0K<0.1%−118−8.2%ReducedHistory
CRMSalesforce, Inc.Stock1,857$214.0K<0.1%−2,174−53.9%ReducedHistory
GSKGSK plcSPONSORED ADR5,556$215.0K<0.1%−107−1.9%ReducedHistory
CTASCintas CorpStock595$216.0K<0.1%+595NewHistory
WisdomTree Tr97717W703INTL EQUITY FD4,011$219.0K<0.1%−283−6.6%Reduced–
PRUPrudential Financial IncStock3,238$220.0K<0.1%+566+21.2%AddedHistory
CICigna GroupStock1,430$220.0K<0.1%−33−2.3%ReducedHistory
iShares Tr46429B655FLTG RATE NT ETF7,092$220.0K<0.1%−7,602−51.7%Reduced–
First Trust Financials Alphadex Fund33734X135ETF5,189$221.0K<0.1%+5,189New–
ADMArcher-Daniels-Midland CoStock3,897$221.0K<0.1%+40+1.0%AddedHistory
iShares Russell 2000 ETF464287655ETF2,771$223.0K<0.1%+1,021+58.3%Added–
FITBFifth Third BancorpCOM6,548$223.0K<0.1%+422+6.9%AddedHistory
CCitigroup IncStock6,012$224.0K<0.1%−373−5.8%ReducedHistory
EPDEnterprise Products Partners L.P.Stock9,299$225.0K<0.1%−2,295−19.8%ReducedHistory
iShares Tr464288513IBOXX HI YD ETF3,198$226.0K<0.1%−16,591−83.8%Reduced–
SHWSherwin Williams CoCOM1,932$227.0K<0.1%−366−15.9%ReducedConverted for a 3-for-1 splitHistory
SYYSysco CorpStock3,688$228.0K<0.1%−81−2.1%ReducedHistory
Invesco Exch Traded FD Tr II46138E198S&P MIDCP LOW4,306$230.0K<0.1%−179−4.0%Reduced–
TRUTransUnionCOM2,107$230.0K<0.1%−121−5.4%ReducedHistory
Invesco Exchange Traded FD T46137V431S&P 500 GARP ETF2,663$233.0K<0.1%−72−2.6%Reduced–
RPAIRetail Properties of America, Inc.CL A20,448$234.0K<0.1%−1,800−8.1%ReducedHistory
HCAHCA Healthcare, Inc.COM1,240$236.0K<0.1%+1,240NewHistory
UNPUnion Pacific CorpStock1,283$237.0K<0.1%−130−9.2%ReducedHistory
iShares Tr464288273EAFE SML CP ETF4,159$238.0K<0.1%−64−1.5%Reduced–
LRCXLam Research CorpCOM407$238.0K<0.1%+407NewHistory
NTGTortoise Midstream Energy Fund, Inc.COM7,967$238.0K<0.1%−349−4.2%ReducedHistory
WisdomTree Tr97717W570US MIDCAP FUND4,581$240.0K<0.1%−419−8.4%Reduced–
Vanguard Total World Stock ETF922042742ETF2,326$241.0K<0.1%+21+0.9%Added–
HONHoneywell International IncCOM1,737$241.0K<0.1%+48+2.8%AddedHistory
iShares Tr46428743220 YR TR BD ETF4,524$243.0K<0.1%−7,027−60.8%Reduced–
VanEck ETF Trust92189F437FALLEN ANGEL HG7,389$243.0K<0.1%+7,389New–
EMREmerson Electric CoStock2,978$244.0K<0.1%+232+8.4%AddedHistory
FISVFiserv IncStock2,492$244.0K<0.1%−291−10.5%ReducedHistory
WisdomTree Tr97717Y691CLOUD COMPUTNG4,594$248.0K<0.1%+4,594New–
SPLKSplunk IncCOM2,205$249.0K<0.1%+96+4.6%AddedHistory
State Street Financial Select Sector SPDR ETF81369Y605ETF11,246$250.0K<0.1%−36,669−76.5%Reduced–
AIGAmerican International Group, Inc.Stock5,714$251.0K<0.1%−514−8.3%ReducedHistory
MDLZMondelez International, Inc.Stock5,205$252.0K<0.1%+617+13.4%AddedHistory
VanEck ETF Trust92189H607OIL SERVICES ETF1,214$255.0K<0.1%+1,214New–
NSCNorfolk Southern CorpStock1,285$263.0K<0.1%−26−2.0%ReducedHistory
SPGIS&P Global Inc.Stock1,083$266.0K<0.1%00.0%UnchangedHistory

Sold out since Q1 2021 (73)

Positions held at the end of Q1 2021 that are gone from this filing.

Positions of Arete Wealth Advisors, LLC sold out since Q1 2021
SecurityClassShares in Q1 2021Value in Q1 2021% of portfolio in Q1 2021History
Legg Mason ETF Invt Tr52468L810WESTN ASET TTL133,913$3.60M0.5%–
iShares Tr464287291GLOBAL TECH ETF7,648$2.35M0.3%–
iShares S&P Small-Cap 600 Growth ETF464287887ETF16,975$2.18M0.3%–
MCOMoodys CorpStock5,554$1.66M0.2%History
Vanguard Morningstar Large-Cap ETF922908637ETF7,122$1.32M0.2%–
ITGartner IncCOM6,364$1.16M0.1%History
VERVEREIT, Inc.COM26,976$1.04M0.1%History
iShares Tr4642874571 3 YR TREAS BD8,907$768.0K0.1%–
Vanguard Morningstar Small-Cap Growth ETF922908595ETF2,619$719.0K0.1%–
Vanguard Health Care ETF92204A504ETF2,808$642.0K0.1%–
State Street SPDR S&P Semiconductor ETF78464A862ETF2,985$546.0K0.1%–
iShares Tips Bond ETF464287176ETF4,099$514.0K0.1%–
Vanguard Total International Bond ETF92203J407ETF8,893$508.0K0.1%–
First Tr Exchange Traded FD33738R860NASDAQ BK ETF15,936$497.0K0.1%–
State Street Health Care Select Sector SPDR ETF81369Y209ETF3,911$457.0K0.1%–
Vanguard Information Technology ETF92204A702ETF1,230$441.0K0.1%–
Vanguard Scottsdale FDS92206C680VNG RUS1000GRW1,761$440.0K0.1%–
ESEversource EnergyStock5,057$438.0K0.1%History
VERIVeritone, Inc.COM18,000$432.0K0.1%History
BDXBecton Dickinson & CoStock1,696$412.0K0.1%History
Invesco Exchange Traded FD T46137V134WILDERHIL CLAN4,085$402.0K0.1%–
SPDR Series Trust78464A284ST NUVE HIGH ETF6,724$399.0K0.1%–
Vanguard Financials ETF92204A405ETF4,488$379.0K<0.1%–
Schwab US Dividend Equity ETF808524797ETF5,074$370.0K<0.1%–
ETF Ser Solutions26922A826LONCAR CANCER12,246$367.0K<0.1%–
FS KKR Cap Corp II35952V303COM18,748$366.0K<0.1%–
ROPRoper Technologies IncStock905$365.0K<0.1%History
iShares Tr464287630RUS 2000 VAL ETF2,030$324.0K<0.1%–
iShares Inc46434G772MSCI TAIWAN ETF5,224$313.0K<0.1%–
WPMWheaton Precious Metals Corp.COM7,917$302.0K<0.1%History
Schwab International Equity ETF808524805ETF7,715$292.0K<0.1%–
DDDuPont de Nemours, Inc.COM3,700$286.0K<0.1%History
Invesco Exchange Traded FD T46137V100AEROSPACE DEFN3,797$276.0K<0.1%–
State Street SPDR S&P Aerospace & Defense ETF78464A631ETF2,134$268.0K<0.1%–
LLYEli Lilly & CoStock1,430$267.0K<0.1%History
DALDelta Air Lines, Inc.COM NEW5,364$259.0K<0.1%History
iShares Tr464287150CORE S&P TTL STK2,805$257.0K<0.1%–
Fidelity Merrimack STR Tr316188309TOTAL BD ETF4,876$256.0K<0.1%–
CLColgate Palmolive CoStock4,124$255.0K<0.1%History
ECLEcolab Inc.Stock1,138$244.0K<0.1%History
State Street Energy Select Sector SPDR ETF81369Y506ETF4,877$241.0K<0.1%–
KKRKKR & Co. Inc.COM5,024$239.0K<0.1%History
ETNEaton Corp plcStock1,696$236.0K<0.1%History
SPGSimon Property Group Inc.REIT2,060$234.0K<0.1%History
AONAon plcCL A1,012$233.0K<0.1%History
CGCCanopy Growth CorpCOM7,206$231.0K<0.1%History
SYKStryker CorpStock943$230.0K<0.1%History
LUVSouthwest Airlines CoCOM3,757$229.0K<0.1%History
LUMNLumen Technologies, Inc.COM17,069$228.0K<0.1%History
MELIMercadolibre IncCOM154$227.0K<0.1%History
State Street SPDR S&P Homebuilders ETF78464A888ETF3,160$222.0K<0.1%–
AEPAmerican Electric Power Co IncStock2,603$221.0K<0.1%History
RIORio Tinto PLCADR2,850$221.0K<0.1%History
iShares Tr464288752US HOME CONS ETF3,225$219.0K<0.1%–
iShares Tr464287622RUS 1000 ETF980$219.0K<0.1%–
CMICummins IncStock826$214.0K<0.1%History
SPDR Series Trust78464A763ST STR SP DIV1,816$214.0K<0.1%–
CSXCSX CorpStock2,208$213.0K<0.1%History
SPDR Series Trust78468R200ST STR RATE ETF6,947$213.0K<0.1%–
LNTAlliant Energy CorpStock3,913$212.0K<0.1%History
iShares Tr46432F388MSCI USA VALUE2,065$212.0K<0.1%–
HIGHartford Insurance Group, Inc.Stock3,184$211.0K<0.1%History
CNICanadian National Railway CoStock1,795$209.0K<0.1%History
AMDAdvanced Micro Devices IncStock2,635$207.0K<0.1%History
TJXTJX Companies IncStock3,130$207.0K<0.1%History
Churchill Capital Corp IV171439102CL A17,877$199.0K<0.1%–
Nuveen Maryland QLT Mun Inc67061Q107COM13,928$197.0K<0.1%–
ACHRArcher Aviation Inc.COM10,879$109.0K<0.1%History
Bridgetown Holdings LtdG1355U121*W EXP 09/30/20224,487$69.0K<0.1%–
Apex Technology Acquisition03768F110*W EXP 09/18/20225,222$66.0K<0.1%–
LPTHLightpath Technologies IncCOM CL A20,000$62.0K<0.1%History
MTNBMatinas BioPharma Holdings, Inc.COM30,000$32.0K<0.1%History
IBIOiBio, Inc.COM NEW10,080$16.0K<0.1%History