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Livermore
Livermore
ZHEN

Arete Wealth Advisors, LLC

SEC CIK
0001600151
Latest filing
Aug 12, 2026

Holdings in Q3 2022

Holdings as of Sep 30, 2022, filed Nov 7, 2022. Long positions only; changes compare share counts with Q2 2022.

Institution overview
Positions
578
+126 vs. Q2 2022
Portfolio value
$1.02B
+$105.1M (+11.5%) vs. Q2 2022
Filed
Nov 7, 2022
SEC
Holdings of Arete Wealth Advisors, LLC in Q3 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
Invesco Exchange Traded FD T46137V357S&P500 EQL WGT539,997$68.7M6.7%+41,227+8.3%Added–
ABBVAbbVie Inc.Stock338,809$45.5M4.5%+314,279+1,281.2%AddedHistory
Vanguard Dividend Appreciation ETF921908844ETF264,757$35.8M3.5%−2,050−0.8%Reduced–
AAPLApple Inc.Stock216,497$29.9M2.9%+68,000+45.8%AddedHistory
PIMCO ETF Tr72201R643ENHANCD SHORT271,257$26.6M2.6%+83,506+44.5%Added–
iShares Tr4642874407-10 YR TRSY BD248,973$23.9M2.3%+248,973New–
Vanguard S&P 500 ETF922908363ETF59,986$19.7M1.9%+48,972+444.6%Added–
Invesco Exchange Traded FD T46137V167S&P SML600 VAL219,828$16.8M1.6%+3,333+1.5%Added–
FSKFS KKR Capital CorpCOM930,051$15.8M1.5%+744,240+400.5%AddedHistory
WisdomTree Tr97717Y527FLOATNG RAT TREA308,554$15.5M1.5%−79,237−20.4%Reduced–
First Tr Exchange-Traded FD33738D309SENIOR LN FD345,449$15.2M1.5%−185,996−35.0%Reduced–
DISWalt Disney CoStock155,236$14.6M1.4%+8,628+5.9%AddedHistory
SPYSPDR S&P 500 ETF TrustETF40,047$14.3M1.4%+3,239+8.8%AddedHistory
AMZNAmazon Com IncStock117,250$13.2M1.3%+57,424+96.0%AddedHistory
Vanguard Morningstar Total Stock Market ETF922908769ETF72,380$13.0M1.3%−14,542−16.7%Reduced–
MSFTMicrosoft CorpStock51,921$12.1M1.2%+23,162+80.5%AddedHistory
SPDR Series Trust78464A805ST STR PR SP1500238,848$10.5M1.0%+10,542+4.6%Added–
iShares Tr464288877EAFE VALUE ETF270,302$10.4M1.0%+270,302New–
iShares Core U.S. Aggregate Bond ETF464287226ETF99,067$9.54M0.9%+6,091+6.6%Added–
BRK.BBerkshire Hathaway IncStock35,309$9.43M0.9%+4,219+13.6%AddedHistory
Vanguard Morningstar Growth ETF922908736ETF42,199$9.03M0.9%−74,709−63.9%Reduced–
J P Morgan Exchange Traded F46641Q654ULTRA SHT MUNCPL177,483$8.93M0.9%+57,096+47.4%Added–
ProShares Tr74347B425SHORT S&P 500 NE507,200$8.76M0.9%+265,109+109.5%Added–
State Street SPDR Bloomberg 1-3 Month T-Bill ETF78468R663ETF87,248$7.99M0.8%+73,979+557.5%Added–
Invesco QQQ Trust Series I46090E103ETF29,609$7.91M0.8%+6,906+30.4%Added–
MCDMcDonalds CorpStock33,285$7.68M0.8%+3,834+13.0%AddedHistory
J P Morgan Exchange Traded F46641Q332EQUITY PREMIUM148,435$7.60M0.7%+20,911+16.4%Added–
TCBKTrico BancsharesCOM168,210$7.51M0.7%+168,210NewHistory
iShares Core S&P 500 ETF464287200ETF20,545$7.37M0.7%+8,033+64.2%Added–
FTHYFirst Trust High Yield Opportunities 2027 Term FundCOM486,423$6.55M0.6%−5,286−1.1%ReducedHistory
Vanguard High Dividend Yield Index ETF921946406ETF68,217$6.47M0.6%+9,958+17.1%Added–
T Rowe Price Exchange-Traded87283Q107PRICE BLUE CHIP292,908$6.15M0.6%+2,226+0.8%Added–
EVVEaton Vance Ltd Duration Income FundCOM665,307$6.13M0.6%+655,070+6,399.0%AddedHistory
BRK.ABerkshire Hathaway IncCL A15$6.10M0.6%00.0%UnchangedHistory
DIASPDR Dow Jones Industrial Average ETF TrustUT SER 119,966$5.74M0.6%+488+2.5%AddedHistory
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853ETF166,212$5.66M0.6%−4,813−2.8%Reduced–
HDHome Depot, Inc.Stock20,369$5.62M0.6%+9,441+86.4%AddedHistory
TSLATesla, Inc.Stock21,078$5.59M0.5%+1,260+6.4%AddedConverted for a 3-for-1 splitHistory
GLDSPDR Gold TrustETF35,779$5.53M0.5%+31,365+710.6%AddedHistory
GOOGLAlphabet Inc.Stock57,297$5.48M0.5%+30,937+117.4%AddedConverted for a 20-for-1 splitHistory
XOMExxonMobil Holdings CorpCOM59,149$5.16M0.5%+17,067+40.6%AddedHistory
JNJJohnson & JohnsonStock31,278$5.11M0.5%+15,479+98.0%AddedHistory
NFJVirtus Dividend, Interest & Premium Strategy FundCOM478,155$5.11M0.5%−4,514−0.9%ReducedHistory
TYGTortoise Energy Infrastructure CorpCOM169,905$5.09M0.5%−4,654−2.7%ReducedHistory
Vanguard Ftse Developed Markets ETF921943858ETF138,782$5.05M0.5%+70,214+102.4%Added–
State Street SPDR Portfolio Developed World Ex-US ETF78463X889ETF185,504$4.79M0.5%+73,541+65.7%Added–
ACNAccenture plcStock18,546$4.77M0.5%+15,679+546.9%AddedHistory
iShares Trust iShares 0-1 Year Treasury Bond ETF464288679ETF43,382$4.77M0.5%−4,546−9.5%Reduced–
State Street SPDR Portfolio S&P 500 ETF78464A854ETF109,405$4.59M0.4%+100,020+1,065.7%Added–
MFICMidCap Financial Investment CorpCOM NEW415,075$4.24M0.4%+415,075NewHistory
VVisa Inc.Stock23,499$4.17M0.4%+13,462+134.1%AddedHistory
iShares Tr46435G425ESG AWR MSCI USA49,287$3.91M0.4%+18,328+59.2%Added–
BCSFBain Capital Specialty Finance, Inc.COM STK325,606$3.91M0.4%+325,606NewHistory
COSTCostco Wholesale CorpStock8,083$3.82M0.4%+4,095+102.7%AddedHistory
JPMJPMorgan Chase & CoStock36,396$3.80M0.4%+6,892+23.4%AddedHistory
Vanguard Morningstar Value ETF922908744ETF30,106$3.72M0.4%−101,677−77.2%Reduced–
WMTWalmart Inc.Stock28,165$3.65M0.4%+7,323+35.1%AddedHistory
MRKMerck & Co., Inc.Stock42,216$3.64M0.4%−21,492−33.7%ReducedHistory
NEANuveen AMT-Free Quality Municipal Income FundCOM328,676$3.48M0.3%+248,237+308.6%AddedHistory
CVXChevron CorpStock24,183$3.47M0.3%+12,186+101.6%AddedHistory
GOOGAlphabet Inc.Stock35,462$3.41M0.3%+7,442+26.6%AddedConverted for a 20-for-1 splitHistory
iShares Core Dividend Growth ETF46434V621ETF76,541$3.40M0.3%+2,017+2.7%Added–
PFEPfizer IncStock77,587$3.40M0.3%+14,835+23.6%AddedHistory
VanEck ETF Trust92189F486IG FLOA RATE ETF135,575$3.37M0.3%+24,195+21.7%Added–
PGProcter & Gamble CoStock26,588$3.36M0.3%+13,162+98.0%AddedHistory
iShares Russell 1000 Growth ETF464287614ETF15,937$3.35M0.3%+377+2.4%Added–
Vanguard Ftse Emerging Markets ETF922042858ETF90,647$3.31M0.3%+77,709+600.6%Added–
State Street SPDR Portfolio S&P 500 Growth ETF78464A409ETF65,249$3.27M0.3%+25,019+62.2%Added–
iShares Core S&P Small Cap ETF464287804ETF36,984$3.23M0.3%+7,257+24.4%Added–
Global X FDS37954Y483NASDAQ 100 COVER192,813$3.02M0.3%−2,422−1.2%Reduced–
iShares Russell 1000 Value ETF464287598ETF21,327$2.90M0.3%+6,750+46.3%Added–
State Street SPDR Portfolio Aggregate Bond ETF78464A649ETF115,410$2.88M0.3%+543+0.5%Added–
MQYBlackRock Muniyield Quality Fund, Inc.COM257,707$2.85M0.3%+257,707NewHistory
Ssga Active ETF Tr78467V608ST STR BL LN ETF69,067$2.82M0.3%+3,988+6.1%Added–
BGYBlackRock Enhanced International Dividend TrustCOM BENE INTER627,954$2.81M0.3%−8,743−1.4%ReducedHistory
BACBank of America CorpStock91,067$2.75M0.3%+28,415+45.4%AddedHistory
UNHUnitedHealth Group IncStock5,361$2.71M0.3%+2,518+88.6%AddedHistory
Invesco Actively Managed Exc46090A804TOTAL RETURN58,404$2.66M0.3%+3,124+5.7%Added–
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF77,090$2.66M0.3%+21,618+39.0%Added–
iShares Russell 2000 ETF464287655ETF15,867$2.62M0.3%−21,346−57.4%Reduced–
iShares Core S&P Mid-Cap ETF464287507ETF11,666$2.56M0.3%+730+6.7%Added–
IBMInternational Business Machines CorpStock21,394$2.54M0.2%+5,343+33.3%AddedHistory
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375ETF78,985$2.47M0.2%+78,985New–
AVKAdvent Convertible & Income FundCOM232,517$2.47M0.2%−2,930−1.2%ReducedHistory
First Tr Exchange Trad FD VI33739H101FST TR GLB FD95,783$2.43M0.2%−5,050−5.0%Reduced–
EIMEaton Vance Municipal Bond FundCOM249,701$2.42M0.2%+249,701NewHistory
SPDR Series Trust78464A672ST INTER ETF85,867$2.42M0.2%+85,867New–
NVDANVIDIA CorpStock19,643$2.38M0.2%+6,873+53.8%AddedHistory
Schwab Fundamental U.S. Large Company ETF808524771ETF49,379$2.36M0.2%+45,116+1,058.3%Added–
VZVerizon Communications IncStock60,372$2.29M0.2%+17,644+41.3%AddedHistory
iShares Tr464288885EAFE GRWTH ETF31,582$2.29M0.2%+7,622+31.8%Added–
Vanguard Malvern FDS922020805STRM INFPROIDX46,923$2.26M0.2%−83,313−64.0%Reduced–
PEPPepsiCo IncStock13,700$2.24M0.2%+1,243+10.0%AddedHistory
KMIKinder Morgan, Inc.Stock133,997$2.23M0.2%+69,050+106.3%AddedHistory
Vanguard Morningstar Mid-Cap ETF922908629ETF11,799$2.22M0.2%+1,223+11.6%Added–
KOCoca Cola CoStock39,306$2.20M0.2%+10,687+37.3%AddedHistory
IAUiShares Gold TrustETF68,538$2.16M0.2%+19,330+39.3%AddedHistory
Fidelity Merrimack STR Tr316188408LOW DURTIN ETF43,584$2.15M0.2%+4,425+11.3%Added–
ProShares Tr74347B714SHORT QQQ NEW138,570$2.07M0.2%−584,124−80.8%Reduced–
CSCOCisco Systems, Inc.Stock50,218$2.01M0.2%+14,541+40.8%AddedHistory

Sold out since Q2 2022 (53)

Positions held at the end of Q2 2022 that are gone from this filing.

Positions of Arete Wealth Advisors, LLC sold out since Q2 2022
SecurityClassShares in Q2 2022Value in Q2 2022% of portfolio in Q2 2022History
iShares Tr464288356CALIF MUN BD ETF96,437$10.3M1.1%–
VanEck ETF Trust92189F700AGRIBUSINESS ETF104,700$9.05M1.0%–
First Tr Exchange-Traded FD33734X846NASDAQ CYB ETF213,022$8.57M0.9%–
Dimensional ETF Trust25434V724US MKTWIDE VALUE46,686$1.48M0.2%–
FLG.PUFlagstar Bank, National AssociationUNIT 11/01/205126,807$1.24M0.1%History
Dimensional U.S. Targeted Value ETF25434V609ETF29,340$1.18M0.1%–
AEMAgnico Eagle Mines LtdStock23,628$1.08M0.1%History
Dimensional ETF Trust25434V807INTERNATNAL VAL35,308$1.02M0.1%–
Dimensional ETF Trust25434V401US EQUI MARK ETF20,827$849.0K0.1%–
Franklin ETF Tr353506108SHRT DUR US GOVT9,182$839.0K0.1%–
FPFFirst Trust Intermediate Duration Preferred & Income FundCOM34,083$635.0K0.1%History
BEPCBrookfield Renewable CorpCL A SUB VTG27,842$597.0K0.1%History
SPDR Index Shs FDS78463X103PORTFLO EURP ETF17,428$568.0K0.1%–
CIONCION Investment CorpCOM65,108$566.0K0.1%History
SNASnap-on IncCOM7,765$554.0K0.1%History
PECOPhillips Edison & Company, Inc.COMMON STOCK16,267$543.0K0.1%History
iShares Tr464288760US AER DEF ETF6,685$539.0K0.1%–
Dimensional U.S. Small Cap ETF25434V500ETF10,810$519.0K0.1%–
Barclays Bank PLC06742A669IPATH SHILR CAPE27,648$516.0K0.1%–
ABTAbbott LaboratoriesStock4,509$491.0K0.1%History
Schwab International Small-Cap Equity ETF808524888ETF5,037$469.0K0.1%–
CNICanadian National Railway CoStock3,505$395.0K<0.1%History
Schwab International Equity ETF808524805ETF7,595$364.0K<0.1%–
iShares Tr464287739U.S. REAL ES ETF3,714$345.0K<0.1%–
Managed Portfolio Series56167N720TORTOISE NRAM PI13,449$326.0K<0.1%–
Invesco Actively Managed Exc46090A887ULTRA SHRT DUR6,175$306.0K<0.1%–
ORCLOracle CorpStock4,285$300.0K<0.1%History
Schwab US Aggregate Bond ETF808524839ETF9,308$289.0K<0.1%–
WPX Energy Inc98212B103COM1,639$282.0K<0.1%–
POSTPost Holdings, Inc.COM3,243$270.0K<0.1%History
LYBLyondellBasell Industries N.V.SHS - A -2,981$261.0K<0.1%History
FDXFedEx CorpStock1,145$260.0K<0.1%History
ETF Ser Solutions26922A172NATIONWIDE RSK13,214$254.0K<0.1%–
CSXCSX CorpStock8,417$244.0K<0.1%History
Dimensional World Ex U.S. Core Equity 2 ETF25434V880ETF11,333$243.0K<0.1%–
DBAInvesco DB Agriculture FundAGRICULTURE FD11,907$243.0K<0.1%History
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF5,949$237.0K<0.1%–
iShares Tr464288372GLB INFRASTR ETF8,640$235.0K<0.1%–
EQIXEquinix IncCOM347$228.0K<0.1%History
iShares Tr46429B7470-5 YR TIPS ETF2,239$227.0K<0.1%–
ENREnergizer Holdings, Inc.COM7,839$227.0K<0.1%History
JOEST JOE CoCOM3,523$223.0K<0.1%History
CECelanese CorpStock1,797$211.0K<0.1%History
iShares Russell Midcap ETF464287499ETF3,227$209.0K<0.1%–
SPDR Series Trust78468R556SP O&G EXPL PRO1,740$207.0K<0.1%–
First Trust Cloud Computing ETF33734X192ETF3,094$204.0K<0.1%–
SJMJ M SMUCKER CoStock1,024$202.0K<0.1%History
GUTGabelli Utility TrustCOM20,100$139.0K<0.1%History
RTLNecessity Retail REIT, Inc.COM CLASS A14,259$105.0K<0.1%History
Sears Holdings Corporation Com812350106COM19,814$58.0K<0.1%–
ATAIAtai Beckley N.V.SHS10,468$38.0K<0.1%History
Vanguard Mun BD FDS922907746TAX EXEMPT BD82,709–––
SMEDSharps Compliance CorpCOM2,500––History