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Livermore
Livermore
ZHEN

Transform Wealth, LLC

SEC CIK
0001682266
Latest filing
Apr 15, 2025

Holdings in Q3 2023

Holdings as of Sep 30, 2023, filed Oct 11, 2023. Long positions only; changes compare share counts with Q2 2023.

Institution overview
Positions
237
−20 vs. Q2 2023
Portfolio value
$948.1M
−$162.5M (−14.6%) vs. Q2 2023
Filed
Oct 11, 2023
SEC
Holdings of Transform Wealth, LLC in Q3 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
FSCOFS Credit Opportunities Corp.COMMON STOCK17,545$95.1K<0.1%00.0%UnchangedHistory
FISKEmpire State Realty OP, L.P.UNIT LTD PRT 25013,565$108.5K<0.1%00.0%UnchangedHistory
EGFBlackRock Enhanced Government Fund, Inc.COM12,475$123.0K<0.1%−12,475−50.0%ReducedHistory
JFRNuveen Floating Rate Income FundCOM15,312$127.0K<0.1%+15,312NewHistory
FMYFirst Trust Mortgage Income FundCOM SHS11,600$129.5K<0.1%+11,600NewHistory
JMMNuveen Multi-Market Income FundCOM26,244$148.0K<0.1%−26,020−49.8%ReducedHistory
VanEck Morningstar Wide Moat ETF92189F643ETF2,682$203.4K<0.1%+2,682New–
DOWDow Inc.Stock4,024$207.5K<0.1%−2,941−42.2%ReducedHistory
UNPUnion Pacific CorpStock1,030$209.7K<0.1%−1−0.1%ReducedHistory
CICigna GroupStock740$211.7K<0.1%−171−18.8%ReducedHistory
Vanguard Morningstar Small-Cap ETF922908751ETF1,130$213.6K<0.1%−1,126−49.9%Reduced–
Vanguard Dividend Appreciation ETF921908844ETF1,381$215.6K<0.1%−1,302−48.5%Reduced–
AEEAmeren CorpCOM2,950$220.7K<0.1%−2,950−50.0%ReducedHistory
BOKFBok Financial CorpCOM NEW2,822$225.7K<0.1%−4−0.1%ReducedHistory
MPCMarathon Petroleum CorpStock1,509$228.4K<0.1%+1,509NewHistory
MCDMcDonalds CorpStock881$232.2K<0.1%−75−7.8%ReducedHistory
J P Morgan Exchange Traded F46641Q647MUNICIPAL ETF4,805$232.4K<0.1%00.0%Unchanged–
iShares Core S&P Mid-Cap ETF464287507ETF951$237.9K<0.1%−575−37.7%Reduced–
iShares Russell 1000 Growth ETF464287614ETF917$244.4K<0.1%−324−26.1%Reduced–
WMTWalmart Inc.Stock1,529$244.5K<0.1%−638−29.4%ReducedHistory
LNTAlliant Energy CorpStock5,200$251.9K<0.1%−5,203−50.0%ReducedHistory
OGCPEmpire State Realty OP, L.P.UNIT LTD PRT 6031,546$252.4K<0.1%00.0%UnchangedHistory
AMPAmeriprise Financial IncCOM787$259.5K<0.1%−243−23.6%ReducedHistory
LMTLockheed Martin CorpStock638$261.0K<0.1%−230−26.5%ReducedHistory
Innovator ETFs Trust45782C318US EQTY PWR BUF8,925$263.5K<0.1%−2,689−23.2%Reduced–
iShares Russell 1000 Value ETF464287598ETF1,735$264.8K<0.1%−554−24.2%Reduced–
KTFDWS Municipal Income TrustCOM34,800$268.0K<0.1%−34,800−50.0%ReducedHistory
BKTBlackRock Income Trust, Inc.COM NEW23,755$270.3K<0.1%−23,755−50.0%ReducedHistory
iShares S&P Mid-Cap 400 Value ETF464287705ETF2,747$278.2K<0.1%−81−2.9%Reduced–
Vanguard Ftse All-World Ex-US Index Fund922042775ETF5,375$278.8K<0.1%−4,279−44.3%Reduced–
WWDWoodward, Inc.COM2,260$280.8K<0.1%−125−5.2%ReducedHistory
State Street Energy Select Sector SPDR ETF81369Y506ETF3,151$284.8K<0.1%+201+6.8%Added–
iShares S&P Mid-Cap 400 Growth ETF464287606ETF3,935$285.0K<0.1%−109−2.7%Reduced–
NBBNuveen Taxable Municipal Income FundCOM19,595$286.0K<0.1%+19,595NewHistory
SPDR Index Shs FDS78463X541ST STR NAT ETF5,384$300.0K<0.1%−5,384−50.0%Reduced–
WisdomTree Tr97717W208US HIGH DIVIDEND3,998$312.1K<0.1%00.0%Unchanged–
QCOMQualcomm IncStock2,887$320.6K<0.1%−656−18.5%ReducedHistory
PSXPhillips 66Stock2,698$324.2K<0.1%−479−15.1%ReducedHistory
APHAmphenol CorpCL A3,882$326.9K<0.1%−50−1.3%ReducedHistory
FMCFMC CorpCOM NEW4,875$329.3K<0.1%+1,705+53.8%AddedHistory
SGOLabrdn Gold ETF TrustETF18,840$333.3K<0.1%−18,840−50.0%ReducedHistory
TSITCW Strategic Income Fund IncCOM72,848$338.0K<0.1%−68,448−48.4%ReducedHistory
Invesco Exch Traded FD Tr II46138E263S&P GBL WATER7,424$345.4K<0.1%−7,424−50.0%Reduced–
AMGNAmgen IncStock1,290$346.8K<0.1%−61−4.5%ReducedHistory
Vanguard Morningstar Mid-Cap ETF922908629ETF1,670$347.8K<0.1%−1,136−40.5%Reduced–
MMM3M CoStock3,788$354.6K<0.1%−3,412−47.4%ReducedHistory
ADXAdams Diversified Equity Fund, Inc.COM21,577$359.0K<0.1%−29,743−58.0%ReducedHistory
TGTTarget CorpStock3,346$369.9K<0.1%−3,548−51.5%ReducedHistory
NADNuveen Quality Municipal Income FundCOM36,425$370.7K<0.1%−30,100−45.2%ReducedHistory
HPHelmerich & Payne, Inc.COM8,919$376.0K<0.1%+354+4.1%AddedHistory
LHXL3HARRIS Technologies, Inc.Stock2,173$378.4K<0.1%+173+8.6%AddedHistory
PLDPrologis, Inc.REIT3,437$385.7K<0.1%−149−4.2%ReducedHistory
DUKDuke Energy CORPStock4,452$392.9K<0.1%−2,543−36.4%ReducedHistory
MROMarathon Oil CorpCOM14,852$397.3K<0.1%+279+1.9%AddedHistory
BABoeing CoStock2,083$399.2K<0.1%+25+1.2%AddedHistory
VRSNVerisign IncCOM2,039$412.9K<0.1%+110+5.7%AddedHistory
iShares Russell 2000 ETF464287655ETF2,332$414.2K<0.1%−123−5.0%Reduced–
iShares Core S&P Small Cap ETF464287804ETF4,427$419.5K<0.1%−1,421−24.3%Reduced–
NVGNuveen AMT-Free Municipal Credit Income FundCEF41,132$425.7K<0.1%−36,432−47.0%ReducedHistory
INTUIntuit Inc.Stock834$426.1K<0.1%−35−4.0%ReducedHistory
CMGChipotle Mexican Grill IncCOM236$431.5K<0.1%+4+1.7%AddedHistory
SHELShell plcADR6,745$434.3K<0.1%−959−12.4%ReducedHistory
NUENucor CorpCOM2,771$434.6K<0.1%−1,832−39.8%ReducedHistory
PPTFranklin Premier Income TrustSH BEN INT128,800$435.2K<0.1%−115,000−47.2%ReducedHistory
VRSKVerisk Analytics, Inc.COM1,856$438.6K<0.1%−272−12.8%ReducedHistory
HPQHP IncStock17,027$442.1K<0.1%−1,501−8.1%ReducedHistory
ROPRoper Technologies IncStock913$442.2K<0.1%+1+0.1%AddedHistory
FANGDiamondback Energy, Inc.Stock2,898$448.8K<0.1%−72−2.4%ReducedHistory
State Street Technology Select Sector SPDR ETF81369Y803ETF2,855$468.0K<0.1%−93,529−97.0%Reduced–
ETNEaton Corp plcStock2,211$471.6K<0.1%−35−1.6%ReducedHistory
State Street Financial Select Sector SPDR ETF81369Y605ETF14,427$478.5K0.1%−1,100−7.1%Reduced–
TXNTexas Instruments IncStock3,034$482.4K0.1%−8,561−73.8%ReducedHistory
iShares Russell 2000 Growth ETF464287648ETF2,317$520.5K0.1%−65−2.7%Reduced–
AXPAmerican Express CoStock3,542$528.4K0.1%+101+2.9%AddedHistory
BKNGBooking Holdings Inc.Stock172$531.7K0.1%+7+4.2%AddedHistory
WisdomTree Tr97717Y527FLOATNG RAT TREA11,206$563.9K0.1%+139+1.3%Added–
BBNBlackRock Taxable Municipal Bond TrustSHS37,200$564.0K0.1%+37,200NewHistory
CARRCarrier Global CorpStock10,272$567.0K0.1%−2,892−22.0%ReducedHistory
SYKStryker CorpStock2,086$571.6K0.1%−283−11.9%ReducedHistory
iShares Tr464287630RUS 2000 VAL ETF4,334$591.5K0.1%−33−0.8%Reduced–
PIMFranklin Master Intermediate Income TrustSH BEN INT195,225$593.9K0.1%−168,025−46.3%ReducedHistory
Vanguard S&P 500 ETF922908363ETF1,509$594.9K0.1%+13+0.9%Added–
NEANuveen AMT-Free Quality Municipal Income FundCOM63,584$617.6K0.1%−58,032−47.7%ReducedHistory
iShares Tr464288687PFD AND INCM SEC20,593$620.9K0.1%−23,573−53.4%Reduced–
iShares Tr46436E7180-3 MTH TREASURY6,176$621.7K0.1%−104,443−94.4%Reduced–
TYTRI-CONTINENTAL CorpCOM23,440$623.3K0.1%−23,052−49.6%ReducedHistory
MINAberdeen Intermediate Income FundSH BEN INT237,594$636.8K0.1%−221,406−48.2%ReducedHistory
Schwab U.S. Large-Cap ETF808524201ETF12,740$644.6K0.1%−1,006−7.3%Reduced–
GDGeneral Dynamics CorpStock2,925$646.3K0.1%−8,923−75.3%ReducedHistory
VanEck Semiconductor ETF92189F676ETF4,616$669.3K0.1%+4,616New–
Vanguard Industrials ETF92204A603ETF3,574$698.3K0.1%+3,574New–
iShares Tr464287515EXPANDED TECH2,057$702.1K0.1%+2,057New–
HONHoneywell International IncCOM3,822$706.1K0.1%−732−16.1%ReducedHistory
iShares Tr464287580US CONSUM DISCRE10,566$708.2K0.1%+10,566New–
ABTAbbott LaboratoriesStock7,322$709.1K0.1%−1,984−21.3%ReducedHistory
Invesco Exchange Traded FD T46137V357S&P500 EQL WGT5,014$710.4K0.1%−500−9.1%Reduced–
ODFLOld Dominion Freight Line, Inc.COM1,749$715.7K0.1%−1,747−50.0%ReducedHistory
BMYBristol Myers Squibb CoStock12,698$737.0K0.1%−40,607−76.2%ReducedHistory
iShares Select Dividend ETF464287168ETF6,840$745.5K0.1%−2,071−23.2%Reduced–
RTXRTX CorpStock10,807$777.8K0.1%−1,696−13.6%ReducedHistory

Sold out since Q2 2023 (44)

Positions held at the end of Q2 2023 that are gone from this filing.

Positions of Transform Wealth, LLC sold out since Q2 2023
SecurityClassShares in Q2 2023Value in Q2 2023% of portfolio in Q2 2023History
Innovator U.S. Equity Power Buffer ETF - September45782C656ETF277,905$9.09M0.8%–
SPDR Series Trust78468R408ST TERM HIGH ETF230,172$5.69M0.5%–
Innovator ETFs Trust45782C367INTRNL DEV APRL176,938$4.41M0.4%–
WisdomTree Tr97717W315EMER MKT HIGH FD68,897$2.64M0.2%–
iShares Tr46434V456MSCI INTL QUALTY65,993$2.35M0.2%–
ETF Managers Tr26924G789ETFMG SIT ULTR20,724$1.00M0.1%–
SCHWSchwab Charles CorpStock12,223$692.8K0.1%History
SOSouthern CoStock6,605$464.0K<0.1%History
PEPPepsiCo IncStock2,333$432.2K<0.1%History
PXDPioneer Natural Resources CoCOM1,989$412.1K<0.1%History
PNWPinnacle West Capital CorpCOM4,746$386.6K<0.1%History
Invesco Exchange Traded FD T46137V142WATER RES ETF6,830$385.2K<0.1%–
FISFidelity National Information Services, Inc.Stock6,343$346.9K<0.1%History
PFEPfizer IncStock9,402$344.9K<0.1%History
SIGISelective Insurance Group IncCOM3,468$332.8K<0.1%History
DFSDiscover Financial ServicesCOM2,734$319.5K<0.1%History
WFCWells Fargo & CompanyStock6,680$285.1K<0.1%History
ProShares Tr74347B425SHORT S&P 500 NE20,328$282.2K<0.1%–
EWEdwards Lifesciences CorpStock2,888$272.4K<0.1%History
ORCLOracle CorpStock2,236$266.2K<0.1%History
Dimensional U.S. Core Equity 2 ETF25434V708ETF9,322$253.1K<0.1%–
URIUnited Rentals, Inc.COM564$251.2K<0.1%History
DDDuPont de Nemours, Inc.COM3,405$243.3K<0.1%History
CTVACorteva, Inc.Stock4,200$240.7K<0.1%History
AJGArthur J. Gallagher & Co.COM1,086$238.4K<0.1%History
ECLEcolab Inc.Stock1,265$236.8K<0.1%History
Schwab Fundamental U.S. Large Company ETF808524771ETF4,108$236.5K<0.1%–
PAYXPaychex IncStock2,114$236.5K<0.1%History
DDominion Energy, IncStock4,292$222.3K<0.1%History
Schwab Fundamental Emerging Markets Equity ETF808524730ETF8,229$220.3K<0.1%–
Schwab Fundamental U.S. Small Company ETF808524763ETF4,346$219.2K<0.1%–
PEOAdams Natural Resources Fund, Inc.COM10,310$214.7K<0.1%History
NSCNorfolk Southern CorpStock946$214.5K<0.1%History
State Street SPDR Portfolio S&P 500 ETF78464A854ETF4,062$211.7K<0.1%–
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF5,631$208.8K<0.1%–
BALLBALL CorpCOM3,534$205.7K<0.1%History
SIVRabrdn Silver ETF TrustPHYSCL SILVR SHS9,322$203.7K<0.1%History
METAMeta Platforms, Inc.Stock708$203.2K<0.1%History
OBDCBlue Owl Capital CorpCOM11,539$158.7K<0.1%History
MHDBlackRock Muniholdings Fund, Inc.COM11,501$134.2K<0.1%History
DISHDISH Network CORPCL A20,000$131.8K<0.1%History
JRONuveen Floating Rate Income Opportunity FundCOM SHS15,519$122.2K<0.1%History
WIAWestern Asset Inflation-Linked Income FundCOM SH BEN INT11,200$92.5K<0.1%History
MFMAberdeen Municipal Income FundSH BEN INT14,246$72.7K<0.1%History