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AE Wealth Management LLC

SEC CIK
0001697723
Latest filing
Aug 3, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 1, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
1,591
+36 vs. Q2 2021
Portfolio value
$12.1B
+$694.3M (+6.1%) vs. Q2 2021
Filed
Nov 1, 2021
SEC
Holdings of AE Wealth Management LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
Vanguard S&P 500 ETF922908363ETF1,126,617$444.3M3.7%−27,135−2.4%Reduced–
AAPLApple Inc.Stock2,175,127$307.8M2.5%+80,528+3.8%AddedHistory
iShares Core S&P 500 ETF464287200ETF652,331$281.0M2.3%+109,045+20.1%Added–
iShares Russell Top 200 Growth ETF464289438ETF1,816,051$277.3M2.3%−327,443−15.3%Reduced–
Invesco QQQ Trust Series I46090E103ETF720,556$257.9M2.1%+205,589+39.9%Added–
Vanguard Morningstar Growth ETF922908736ETF786,349$228.2M1.9%+228,543+41.0%Added–
State Street SPDR Portfolio S&P 500 ETF78464A854ETF3,922,491$197.9M1.6%+503,924+14.7%Added–
SPYSPDR S&P 500 ETF TrustETF429,996$184.5M1.5%+286,197+199.0%AddedHistory
iShares Tr464289420RUS TP200 VL ETF2,414,221$158.5M1.3%−210,120−8.0%Reduced–
MSFTMicrosoft CorpStock549,352$154.9M1.3%+28,039+5.4%AddedHistory
Vanguard Mortgage-Backed Securities ETF92206C771ETF2,674,669$142.5M1.2%−3520.0%Reduced–
iShares Tr46428743220 YR TR BD ETF952,056$137.4M1.1%+6,705+0.7%Added–
Vanguard Ftse Developed Markets ETF921943858ETF2,609,455$131.8M1.1%−7,835−0.3%Reduced–
iShares Broad Usd Investment Grade Corporate Bond ETF464288620ETF2,093,548$125.8M1.0%−133,503−6.0%Reduced–
AMZNAmazon Com IncStock32,835$107.9M0.9%+3,167+10.7%AddedHistory
GLDSPDR Gold TrustETF647,462$106.3M0.9%+58,935+10.0%AddedHistory
State Street SPDR Portfolio S&P 500 Growth ETF78464A409ETF1,600,616$102.5M0.8%+437,334+37.6%Added–
iShares MSCI USA Momentum Factor ETF46432F396ETF538,833$94.6M0.8%+298,008+123.7%Added–
iShares Tr464288885EAFE GRWTH ETF881,973$93.9M0.8%+176,182+25.0%Added–
iShares Tr464288877EAFE VALUE ETF1,819,342$92.5M0.8%−46,643−2.5%Reduced–
iShares Core U.S. Aggregate Bond ETF464287226ETF784,566$90.1M0.7%−170,694−17.9%Reduced–
iShares Russell 2000 ETF464287655ETF402,370$88.0M0.7%+38,888+10.7%Added–
Vanguard Ftse Emerging Markets ETF922042858ETF1,748,677$87.5M0.7%−30,764−1.7%Reduced–
iShares Russell Mid-Cap Value ETF464287473ETF762,644$86.4M0.7%+39,451+5.5%Added–
iShares Core MSCI Emerging Markets ETF46434G103ETF1,339,832$82.7M0.7%+71,182+5.6%Added–
State Street SPDR Bloomberg Convertible Securities ETF78464A359ETF910,034$77.7M0.6%+782,912+615.9%Added–
Vanguard Morningstar Small-Cap Growth ETF922908595ETF276,084$77.3M0.6%+176,522+177.3%Added–
Vanguard Scottsdale FDS92206C706INTER TERM TREAS996,457$67.3M0.6%−68,314−6.4%Reduced–
JPMorgan Ultra-Short Income ETF46641Q837ETF1,285,299$65.2M0.5%+214,495+20.0%Added–
iShares Core S&P Small Cap ETF464287804ETF573,180$62.6M0.5%+76,234+15.3%Added–
Vanguard Scottsdale FDS92206C102SHORT TERM TREAS1,019,153$62.6M0.5%+216,684+27.0%Added–
Vanguard Information Technology ETF92204A702ETF154,346$61.9M0.5%−11,347−6.8%Reduced–
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF1,588,116$61.9M0.5%+235,084+17.4%Added–
Advisorshares Tr00768Y420ALPHA DNA EQUITY2,313,313$61.9M0.5%+74,397+3.3%Added–
iShares Tips Bond ETF464287176ETF484,247$61.8M0.5%+141,578+41.3%Added–
Invesco Exchange Traded FD T46137V837DORS WRI MOM ETF687,110$61.5M0.5%+682,279+14,122.9%Added–
iShares S&P 100 ETF464287101ETF302,328$59.7M0.5%+302,328New–
Schwab Fundamental U.S. Large Company ETF808524771ETF1,094,444$59.0M0.5%+109,857+11.2%Added–
iShares Core S&P U.S. Growth ETF464287671ETF568,391$58.2M0.5%+468,520+469.1%Added–
Vanguard Scottsdale FDS92206C664VNG RUS2000IDX658,362$58.2M0.5%+11,473+1.8%Added–
iShares Tr464289875CORE 40 MODE ETF1,290,787$57.8M0.5%+1,088,371+537.7%Added–
iShares Tr46435G425ESG AWR MSCI USA576,280$56.7M0.5%+161,367+38.9%Added–
Vanguard Morningstar Total Stock Market ETF922908769ETF241,857$53.7M0.4%+80,852+50.2%Added–
Aim ETF Products Trust00888H802ALLIA US JAN ETF2,032,089$53.4M0.4%+275,877+15.7%Added–
State Street Technology Select Sector SPDR ETF81369Y803ETF354,621$53.0M0.4%+26,276+8.0%Added–
iShares Tr464289867CORE 60 BALA ETF952,783$52.9M0.4%+915,248+2,438.4%Added–
Vanguard World FD921910816MEGA GRWTH IND220,807$51.8M0.4%−233,359−51.4%Reduced–
VVisa Inc.Stock232,416$51.8M0.4%+9,140+4.1%AddedHistory
Schwab US Tips ETF808524870ETF822,721$51.5M0.4%+731,762+804.5%Added–
Vanguard Morningstar Value ETF922908744ETF373,812$50.6M0.4%+98,823+35.9%Added–
iShares Tr464288414NATIONAL MUN ETF423,479$49.2M0.4%+37,099+9.6%Added–
DIASPDR Dow Jones Industrial Average ETF TrustUT SER 1143,945$48.7M0.4%−25,972−15.3%ReducedHistory
iShares Tr464288273EAFE SML CP ETF640,565$47.7M0.4%+1,580+0.2%Added–
First Tr Exchange-Traded FD33739Q200FST LOW OPPT EFT890,773$45.1M0.4%−157,252−15.0%Reduced–
HDHome Depot, Inc.Stock137,204$45.0M0.4%+418+0.3%AddedHistory
iShares Tr4642886613 7 YR TREAS BD336,615$43.8M0.4%+26,716+8.6%Added–
MAMastercard IncStock122,796$42.7M0.4%+8,192+7.1%AddedHistory
NVDANVIDIA CorpStock203,371$42.1M0.3%+6,799+3.5%AddedConverted for a 4-for-1 splitHistory
METAMeta Platforms, Inc.Stock123,473$41.9M0.3%+7,471+6.4%AddedHistory
PGProcter & Gamble CoStock298,050$41.7M0.3%+25,447+9.3%AddedHistory
GOOGLAlphabet Inc.Stock15,007$40.1M0.3%+331+2.3%AddedHistory
DISWalt Disney CoStock236,885$40.1M0.3%+26,059+12.4%AddedHistory
iShares Russell Mid-Cap Growth ETF464287481ETF354,298$39.7M0.3%−46,414−11.6%Reduced–
Tidal ETF Tr886364751EUCLID CAP GRWT1,502,534$39.6M0.3%−94,786−5.9%Reduced–
First Tr Exchng Traded FD VI33740F805SMITH OPPORT FXD713,012$38.2M0.3%−68,672−8.8%Reduced–
iShares Tr46434V613CORE UNIVRSL USD712,388$37.9M0.3%+245,302+52.5%Added–
Vanguard High Dividend Yield Index ETF921946406ETF363,448$37.6M0.3%−78,754−17.8%Reduced–
TSLATesla, Inc.Stock48,382$37.5M0.3%+1,000+2.1%AddedHistory
JPMJPMorgan Chase & CoStock227,098$37.2M0.3%+15,289+7.2%AddedHistory
Vanguard Total International Bond ETF92203J407ETF645,669$36.8M0.3%+80,767+14.3%Added–
iShares U.S. Treasury Bond ETF46429B267ETF1,382,184$36.7M0.3%−172,009−11.1%Reduced–
XOMExxonMobil Holdings CorpCOM612,954$36.1M0.3%+69,920+12.9%AddedHistory
iShares Russell Midcap ETF464287499ETF458,018$35.8M0.3%+58,790+14.7%Added–
Aim ETF Products Trust00888H703ALLIANZIM US EQT1,301,004$35.6M0.3%+171,551+15.2%Added–
TAT&T Inc.Stock1,293,918$34.9M0.3%+97,615+8.2%AddedHistory
CVXChevron CorpStock342,654$34.8M0.3%+33,670+10.9%AddedHistory
Vanguard Short-Term Bond ETF921937827ETF417,029$34.2M0.3%−608,871−59.3%Reduced–
GOOGAlphabet Inc.Stock12,779$34.1M0.3%+452+3.7%AddedHistory
JNJJohnson & JohnsonStock209,970$33.9M0.3%+7,940+3.9%AddedHistory
WisdomTree Tr97717X511YIELD ENHANCD US644,536$33.5M0.3%−38,393−5.6%Reduced–
State Street Financial Select Sector SPDR ETF81369Y605ETF889,445$33.4M0.3%+60,277+7.3%Added–
WisdomTree Tr97717X198US CORP BOND FD616,421$33.3M0.3%+44,661+7.8%Added–
PFEPfizer IncStock754,947$32.5M0.3%+32,305+4.5%AddedHistory
Tidal ETF Tr886364660ZEGA BUY AND HED1,627,216$32.3M0.3%+1,627,216New–
Vanguard Total Bond Market ETF921937835ETF376,261$32.2M0.3%−48,669−11.5%Reduced–
Vanguard Real Estate ETF922908553ETF306,219$31.2M0.3%−48,082−13.6%Reduced–
iShares Core S&P Mid-Cap ETF464287507ETF116,737$30.7M0.3%+10,872+10.3%Added–
Invesco Exchange Traded FD T46137V357S&P500 EQL WGT204,712$30.7M0.3%+37,652+22.5%Added–
ACNAccenture plcStock94,634$30.3M0.2%−256−0.3%ReducedHistory
VZVerizon Communications IncStock551,810$29.8M0.2%+36,944+7.2%AddedHistory
BRK.BBerkshire Hathaway IncStock107,952$29.5M0.2%−6,245−5.5%ReducedHistory
WisdomTree Tr97717X172US HGH YLD CORP559,401$29.4M0.2%+13,442+2.5%Added–
State Street Consumer Discretionary Select Sector SPDR ETF81369Y407ETF162,454$29.2M0.2%−3,258−2.0%Reduced–
PINSPinterest, Inc.CL A563,613$28.7M0.2%+13,029+2.4%AddedHistory
iShares Core MSCI Eafe ETF46432F842ETF381,190$28.3M0.2%+83,938+28.2%Added–
Invesco S&P 500 Equal Weight Technology ETF46137V282ETF96,844$27.9M0.2%+626+0.7%Added–
PYPLPayPal Holdings, Inc.Stock107,093$27.9M0.2%+102+0.1%AddedHistory
WMTWalmart Inc.Stock199,729$27.8M0.2%+13,939+7.5%AddedHistory
SPDR Series Trust78464A805ST STR PR SP1500522,827$27.7M0.2%+13,027+2.6%Added–
KOCoca Cola CoStock525,891$27.6M0.2%+50,756+10.7%AddedHistory

Options (22)

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

Option positions of AE Wealth Management LLC in Q3 2021
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$322.0K$7.92M
iShares Russell 2000 ETF464287655ETF$1.74M$108.0K
iShares Tr464288513IBOXX HI YD ETF$465.0K–
TSLATesla, Inc.Stock$60.0K–
UNHUnitedHealth Group IncStock$48.0K–
SPDR Series Trust78468R408ST TERM HIGH ETF$21.0K–
PGProcter & Gamble CoStock$19.0K–
RCLRoyal Caribbean Cruises LtdCOM–$10.0K
VLOValero Energy CorpStock–$5.00K
State Street Consumer Discretionary Select Sector SPDR ETF81369Y407ETF–$4.00K
UALUnited Airlines Holdings, Inc.COM–$4.00K
CVSCVS Health CorpStock–$3.00K
AAPLApple Inc.Stock–$3.00K
NTRSNorthern Trust CorpCOM$3.00K–
USOUnited States Oil Fund, LPUNITS–$2.00K
NEENextera Energy IncStock–$1.00K
JPMJPMorgan Chase & CoStock$1.00K–
State Street Utilities Select Sector SPDR ETF81369Y886ETF$1.00K–
DIASPDR Dow Jones Industrial Average ETF TrustUT SER 1–$1.00K
TRMBTrimble Inc.COM–$1.00K
ROSTRoss Stores, Inc.COM–$1.00K
iShares Tr4642874571 3 YR TREAS BD$1.00K–

Sold out since Q2 2021 (123)

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

The largest 100 of 123 by value last quarter.

Positions of AE Wealth Management LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
iShares Tr464288802ESG OPTIMIZED126,544$12.1M0.1%–
Invesco S&P 500 Quality ETF46137V241ETF152,880$7.43M0.1%–
MKTXMarketaxess Holdings IncCOM10,525$4.88M<0.1%History
iShares Tr464287341GLOBAL ENERG ETF179,459$4.77M<0.1%–
Ssga Active ETF Tr78467V202ST STR INCOM ETF109,669$3.91M<0.1%–
iShares Tr46435G656ADAPTIVE ETF110,836$3.67M<0.1%–
PBIPitney Bowes IncCOM314,452$2.76M<0.1%History
iShares Tr464287572GLOBAL 100 ETF31,338$2.23M<0.1%–
iShares Inc46434G822MSCI JAPAN ETF28,913$1.95M<0.1%–
SRCLStericycle IncCOM19,219$1.38M<0.1%History
WisdomTree Tr97717Y725MORTGAGE PLUS BD22,782$1.16M<0.1%–
WisdomTree Tr97717X651US S CAP QTY DIV23,523$1.09M<0.1%–
WisdomTree Tr97717Y857US MULTIFACTOR26,248$1.03M<0.1%–
NICENICE Ltd.SPONSORED ADR4,148$1.03M<0.1%History
TPRTapestry, Inc.COM22,789$991.0K<0.1%History
WisdomTree Tr97717W760INTL SMCAP DIV12,910$964.0K<0.1%–
WORKSlack Technologies, Inc.COM CL A20,572$911.0K<0.1%History
Ssga Active Tr78470P200ST STR TOTAL ETF17,544$873.0K<0.1%–
CRSRCorsair Gaming, Inc.COM26,092$869.0K<0.1%History
OSKOshkosh CorpCOM6,960$867.0K<0.1%History
ENTGEntegris IncCOM6,694$823.0K<0.1%History
Pacer FDS Tr69374H741DATA AND INFRAST20,406$823.0K<0.1%–
AXTAAxalta Coating Systems Ltd.COM26,845$819.0K<0.1%History
Amplify ETF Tr032108888BLACKSWAN GRWT23,437$803.0K<0.1%–
FNDFloor & Decor Holdings, Inc.CL A7,588$802.0K<0.1%History
FIVNFive9, Inc.COM4,243$778.0K<0.1%History
BCBrunswick CorpCOM7,374$735.0K<0.1%History
FLFoot Locker, Inc.COM11,757$725.0K<0.1%History
DBIDesigner Brands Inc.CL A43,364$718.0K<0.1%History
First Tr Exchange Traded FD33738R860NASDAQ BK ETF22,914$711.0K<0.1%–
SLABSilicon Laboratories Inc.Stock4,613$707.0K<0.1%History
CGNXCognex CorpCOM7,961$669.0K<0.1%History
CIENCiena CorpCOM NEW11,761$669.0K<0.1%History
Alps ETF Tr00162Q478DISRUPTIVE TECH13,727$667.0K<0.1%–
EVRIEveri Holdings Inc.COM26,337$657.0K<0.1%History
Agf Invts Tr00110G408US MARKET NETRL38,532$652.0K<0.1%–
MNDTMandiant, Inc.COM31,915$645.0K<0.1%History
FLEXFlex Ltd.Stock35,943$642.0K<0.1%History
Churchill Capital Corp IV171439102CL A22,174$639.0K<0.1%–
MKSIMKS IncCOM3,583$638.0K<0.1%History
SPDR Ser Tr78468R689S&P KENSHO SMART10,173$632.0K<0.1%–
TXRHTexas Roadhouse, Inc.COM6,561$631.0K<0.1%History
SNBRQSleep Number CorpCOM5,718$629.0K<0.1%History
EATBrinker International, IncStock10,084$624.0K<0.1%History
SITMSITIME CorpCOM4,877$617.0K<0.1%History
XRAYDentsply Sirona Inc.Stock9,721$615.0K<0.1%History
WGOWinnebago Industries IncCOM8,966$609.0K<0.1%History
BJRIBJs RESTAURANTS INCCOM12,330$606.0K<0.1%History
UCTTUltra Clean Holdings, Inc.COM11,271$605.0K<0.1%History
BRKRBruker CorpCOM7,947$604.0K<0.1%History
JNPRJuniper Networks IncCOM21,813$597.0K<0.1%History
MXIMMaxim Integrated Products IncCOM5,655$596.0K<0.1%History
First Tr Exchange-Traded FD33736Q104UT COM SHS ETF10,718$592.0K<0.1%–
iShares Inc464286772MSCI STH KOR ETF6,305$587.0K<0.1%–
ESTCElastic N.V.ORD SHS4,021$586.0K<0.1%History
CMBMFCambium Networks CorpSHS11,832$572.0K<0.1%History
ANFAbercrombie & Fitch CoCL A12,031$559.0K<0.1%History
LESLLeslie's, Inc.COM20,319$559.0K<0.1%History
ICHRIchor Holdings, Ltd.SHS10,109$544.0K<0.1%History
SPDR Series Trust78464A755ST STR SP METAL12,129$522.0K<0.1%–
BILLBILL Holdings, Inc.Stock2,846$521.0K<0.1%History
WisdomTree Tr97717X560EQUITY PREMIUM15,480$492.0K<0.1%–
Global X FDS37954Y426CANNABIS ETF34,665$478.0K<0.1%–
iShares Tr464288737GLB CNSM STP ETF7,733$473.0K<0.1%–
Direxion Shs ETF Tr25460G831DAILY JR GLD MIN5,754$469.0K<0.1%–
iShares Tr464288182MSCI AC ASIA ETF4,903$463.0K<0.1%–
LPXLouisiana-Pacific CorpCOM7,423$448.0K<0.1%History
TGLSTecnoglass Holdings Inc.ORD SHS20,880$447.0K<0.1%History
ZDGEZedge, Inc.CL B23,611$435.0K<0.1%History
VanEck Vectors ETF Tr92189H839SOCIAL SENTIMENT15,125$404.0K<0.1%–
GRWGGrowGeneration Corp.COM8,047$387.0K<0.1%History
Pgim ETF Tr69344A107PGIM ULTRA SH BD7,557$376.0K<0.1%–
Invesco Exch Traded FD Tr II46138E198S&P MIDCP LOW6,958$372.0K<0.1%–
LYVLive Nation Entertainment, Inc.COM4,078$357.0K<0.1%History
CTRECareTrust REIT, Inc.COM14,882$346.0K<0.1%History
RTLRRattler Midstream LPCOM UNITS31,630$345.0K<0.1%History
ETF Managers Tr26924G771ETFMG TRAVEL TEC11,546$344.0K<0.1%–
Global X FDS37954Y285TELMDC&DIG ETF17,501$338.0K<0.1%–
BBWIBath & Body Works, Inc.COM4,644$335.0K<0.1%History
ZNGAZynga IncCL A31,414$334.0K<0.1%History
ATOAtmos Energy CorpCOM3,453$332.0K<0.1%History
SAMBoston Beer Co IncCL A321$328.0K<0.1%History
EPRTEssential Properties Realty Trust, Inc.COM11,992$324.0K<0.1%History
CODICompass Diversified HoldingsSH BEN INT12,580$321.0K<0.1%History
LWLamb Weston Holdings, Inc.Stock3,884$313.0K<0.1%History
ETF Ser Solutions26922A230HOYA CAP HOUSI7,741$311.0K<0.1%–
TWSTTwist Bioscience CorpCOM2,280$304.0K<0.1%History
SASRSandy Spring Bancorp IncCOM6,829$301.0K<0.1%History
APPSDigital Turbine, Inc.COM NEW3,933$299.0K<0.1%History
ALEAllete IncCOM NEW4,124$289.0K<0.1%History
Direxion Shs ETF Tr25460G732MOONSHOT INNOVAT7,732$283.0K<0.1%–
CPBCAMPBELL'S CoCOM6,105$278.0K<0.1%History
HOGHarley-Davidson, Inc.COM6,052$277.0K<0.1%History
CHDChurch & Dwight Co IncCOM3,176$271.0K<0.1%History
KNOPKNOT Offshore Partners LPCOM UNITS13,484$269.0K<0.1%History
EAElectronic Arts Inc.COM1,732$249.0K<0.1%History
WisdomTree Tr97717W406US AI ENHANCED2,454$239.0K<0.1%–
ASBAssociated Banc-CorpCOM11,237$230.0K<0.1%History
Global X FDS37954Y624AUTONMOUS EV ETF8,115$230.0K<0.1%–
TLSTelos CorpCOM6,626$225.0K<0.1%History