AE Wealth Management LLC

SEC CIK: 0001697723
Latest filing: Aug 3, 2026

SEC filings (opens in a new tab)

Holdings in Q3 2023

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

Positions: 1,933; +47 vs. Q2 2023
Portfolio value: $16.7B; +$97.1M (+0.6%) vs. Q2 2023
Filed: Oct 11, 2023; SEC

Holdings of AE Wealth Management LLC in Q3 2023
Security	Class	Shares	Value	% of portfolio	Share change	Action	History
AAPLApple Inc.	Stock	2,873,580	$492.0M	2.9%	+199,462+7.5%	Added	History
State Street SPDR Portfolio S&P 500 ETF78464A854	ETF	7,285,184	$366.2M	2.2%	+499,533+7.4%	Added	–
MSFTMicrosoft Corp	Stock	1,004,612	$317.2M	1.9%	+68,848+7.4%	Added	History
iShares Core S&P 500 ETF464287200	ETF	716,360	$307.6M	1.8%	−8,260−1.1%	Reduced	–
Vanguard S&P 500 ETF922908363	ETF	763,831	$300.0M	1.8%	−42,521−5.3%	Reduced	–
State Street SPDR Bloomberg 1-3 Month T-Bill ETF78468R663	ETF	3,266,086	$299.9M	1.8%	+303,461+10.2%	Added	–
SPYSPDR S&P 500 ETF Trust	ETF	670,877	$286.8M	1.7%	−33,865−4.8%	Reduced	History
Invesco QQQ Trust Series I46090E103	ETF	675,725	$242.1M	1.4%	−74,528−9.9%	Reduced	–
iShares Tr46436E718	0-3 MTH TREASURY	1,868,522	$188.1M	1.1%	+145,476+8.4%	Added	–
iShares Russell Top 200 Growth ETF464289438	ETF	1,124,538	$173.0M	1.0%	−29,478−2.6%	Reduced	–
AMZNAmazon Com Inc	Stock	1,354,770	$172.2M	1.0%	+80,329+6.3%	Added	History
Dimensional ETF Trust25434V716	US SUSTAINABILTY	6,123,355	$169.9M	1.0%	+177,980+3.0%	Added	–
NVDANVIDIA Corp	Stock	328,605	$142.9M	0.9%	+35,461+12.1%	Added	History
iShares Core MSCI Emerging Markets ETF46434G103	ETF	2,698,753	$128.4M	0.8%	−137,727−4.9%	Reduced	–
GOOGLAlphabet Inc.	Stock	942,009	$123.3M	0.7%	+44,541+5.0%	Added	History
State Street SPDR Portfolio S&P 500 Growth ETF78464A409	ETF	2,056,187	$121.9M	0.7%	+481,103+30.5%	Added	–
Vanguard Morningstar Growth ETF922908736	ETF	434,590	$118.3M	0.7%	−175,567−28.8%	Reduced	–
iShares Tr464289420	RUS TP200 VL ETF	1,719,064	$112.4M	0.7%	−39,312−2.2%	Reduced	–
Vanguard Morningstar Total Stock Market ETF922908769	ETF	518,487	$110.1M	0.7%	+55,607+12.0%	Added	–
Janus Detroit STR Tr47103U886	HENDRSN SHRT ETF	2,253,434	$108.1M	0.6%	+1,400,701+164.3%	Added	–
Vanguard Scottsdale FDS92206C102	SHORT TERM TREAS	1,830,653	$105.4M	0.6%	+85,722+4.9%	Added	–
XOMExxonMobil Holdings Corp	COM	874,299	$102.8M	0.6%	+42,273+5.1%	Added	History
Vanguard Mortgage-Backed Securities ETF92206C771	ETF	2,262,347	$99.0M	0.6%	+56,612+2.6%	Added	–
iShares Tr464287432	20 YR TR BD ETF	1,029,249	$91.3M	0.5%	−152,366−12.9%	Reduced	–
iShares Tr464288885	EAFE GRWTH ETF	1,036,755	$89.5M	0.5%	−45,873−4.2%	Reduced	–
State Street SPDR Portfolio S&P 500 Value ETF78464A508	ETF	2,091,831	$86.3M	0.5%	+402,824+23.8%	Added	–
iShares MSCI USA Min Vol Factor ETF46429B697	ETF	1,150,992	$83.3M	0.5%	+212,776+22.7%	Added	–
iShares Russell 2000 ETF464287655	ETF	464,001	$82.0M	0.5%	−91,091−16.4%	Reduced	–
Hartford FDS Exchange Traded41653L305	TOTAL RTRN ETF	2,493,569	$80.0M	0.5%	−1,305−0.1%	Reduced	–
CVXChevron Corp	Stock	464,140	$78.3M	0.5%	+38,079+8.9%	Added	History
iShares MSCI USA Quality Factor ETF46432F339	ETF	563,521	$74.3M	0.4%	−91,802−14.0%	Reduced	–
TSLATesla, Inc.	Stock	296,016	$74.1M	0.4%	+28,328+10.6%	Added	History
UNHUnitedHealth Group Inc	Stock	146,780	$74.0M	0.4%	+13,504+10.1%	Added	History
iShares Broad Usd Investment Grade Corporate Bond ETF464288620	ETF	1,537,837	$73.9M	0.4%	−16,140−1.0%	Reduced	–
iShares Tr464288877	EAFE VALUE ETF	1,498,027	$73.3M	0.4%	+55,133+3.8%	Added	–
iShares Tr46434V860	TRS FLT RT BD	1,431,699	$72.6M	0.4%	+664,321+86.6%	Added	–
JPMorgan Ultra-Short Income ETF46641Q837	ETF	1,408,410	$70.7M	0.4%	+22,464+1.6%	Added	–
PGProcter & Gamble Co	Stock	480,777	$70.1M	0.4%	+53,275+12.5%	Added	History
BRK.BBerkshire Hathaway Inc	Stock	198,719	$69.6M	0.4%	+27,277+15.9%	Added	History
Vanguard Morningstar Value ETF922908744	ETF	492,664	$68.0M	0.4%	−232,931−32.1%	Reduced	–
JPMJPMorgan Chase & Co	Stock	463,558	$67.2M	0.4%	+30,092+6.9%	Added	History
METAMeta Platforms, Inc.	Stock	220,967	$66.3M	0.4%	+40,522+22.5%	Added	History
iShares Core S&P Small Cap ETF464287804	ETF	697,803	$65.8M	0.4%	+125,693+22.0%	Added	–
Aim ETF Products Trust00888H711	ALLIA US AUG ETF	2,707,545	$65.7M	0.4%	+2,707,545	New	–
SPDR Series Trust78468R101	ST SHO TREAS ETF	2,191,892	$63.0M	0.4%	+1,203,403+121.7%	Added	–
Collaborative Investmnt Ser19423L623	MOHR GROWTH ETF	3,324,160	$61.1M	0.4%	−14,352−0.4%	Reduced	–
GLDSPDR Gold Trust	ETF	352,384	$60.4M	0.4%	+803+0.2%	Added	History
CSCOCisco Systems, Inc.	Stock	1,113,120	$59.8M	0.4%	+148,084+15.3%	Added	History
iShares Russell Mid-Cap Value ETF464287473	ETF	570,975	$59.6M	0.4%	+7,927+1.4%	Added	–
Bondbloxx ETF Trust09789C788	BLOOMBERG SIX MN	1,171,688	$58.9M	0.4%	+1,171,688	New	–
iShares Tr464288414	NATIONAL MUN ETF	570,552	$58.5M	0.3%	+43,089+8.2%	Added	–
HDHome Depot, Inc.	Stock	190,271	$57.5M	0.3%	+18,348+10.7%	Added	History
iShares Tr46435G326	CORE MSCI INTL	978,006	$57.0M	0.3%	−11,753−1.2%	Reduced	–
JNJJohnson & Johnson	Stock	356,984	$55.6M	0.3%	+34,145+10.6%	Added	History
iShares Core U.S. Aggregate Bond ETF464287226	ETF	573,940	$54.0M	0.3%	+54,472+10.5%	Added	–
J P Morgan Exchange Traded F46641Q332	EQUITY PREMIUM	1,001,626	$53.6M	0.3%	+12,059+1.2%	Added	–
Innovator ETFs Trust45782C680	US EQTY PWR BF	1,708,792	$53.1M	0.3%	+453,748+36.2%	Added	–
Collaborative Investmnt Ser19423L615	MINDFUL CNSRVTV	2,459,045	$52.2M	0.3%	−97,895−3.8%	Reduced	–
Vanguard Scottsdale FDS92206C706	INTER TERM TREAS	911,375	$52.1M	0.3%	+46,549+5.4%	Added	–
MCDMcDonalds Corp	Stock	197,284	$52.0M	0.3%	+20,663+11.7%	Added	History
VZVerizon Communications Inc	Stock	1,598,459	$51.8M	0.3%	+101,401+6.8%	Added	History
DIASPDR Dow Jones Industrial Average ETF Trust	UT SER 1	152,748	$51.2M	0.3%	−13,708−8.2%	Reduced	History
VVisa Inc.	Stock	221,894	$51.0M	0.3%	+8,010+3.7%	Added	History
ABBVAbbVie Inc.	Stock	326,991	$48.7M	0.3%	+19,986+6.5%	Added	History
Aim ETF Products Trust00888H406	ALLIANZIM US EQT	1,649,547	$48.5M	0.3%	+130,404+8.6%	Added	–
WMTWalmart Inc.	Stock	300,783	$48.1M	0.3%	−2,875−0.9%	Reduced	History
Vanguard High Dividend Yield Index ETF921946406	ETF	464,003	$47.9M	0.3%	−51,432−10.0%	Reduced	–
Dimensional ETF Trust25434V104	US CORE EQT MKT	1,595,261	$47.8M	0.3%	+217,129+15.8%	Added	–
Schwab International Equity ETF808524805	ETF	1,367,001	$46.4M	0.3%	+302,063+28.4%	Added	–
Vanguard Ftse Developed Markets ETF921943858	ETF	1,047,532	$45.8M	0.3%	−46,950−4.3%	Reduced	–
iShares Core S&P Mid-Cap ETF464287507	ETF	183,612	$45.8M	0.3%	+51,801+39.3%	Added	–
PFEPfizer Inc	Stock	1,379,056	$45.7M	0.3%	−45,870−3.2%	Reduced	History
Aim ETF Products Trust00888H869	ALLIANZIM US EQ	1,852,378	$45.5M	0.3%	+318,650+20.8%	Added	–
LLYEli Lilly & Co	Stock	82,626	$44.4M	0.3%	−305−0.4%	Reduced	History
Schwab U.S. Large-Cap ETF808524201	ETF	876,423	$44.3M	0.3%	−236,431−21.2%	Reduced	–
GOOGAlphabet Inc.	Stock	333,564	$44.0M	0.3%	+10,626+3.3%	Added	History
Aim ETF Products Trust00888H737	ALLIA US JUN ETF	1,673,844	$42.8M	0.3%	+122,634+7.9%	Added	–
Vanguard Scottsdale FDS92206C664	VNG RUS2000IDX	597,117	$42.7M	0.3%	−15,575−2.5%	Reduced	–
PEPPepsiCo Inc	Stock	249,310	$42.2M	0.3%	+12,305+5.2%	Added	History
Vanguard Morningstar Mid-Cap ETF922908629	ETF	201,365	$41.9M	0.3%	−8,157−3.9%	Reduced	–
MRKMerck & Co., Inc.	Stock	399,971	$41.2M	0.2%	−3,261−0.8%	Reduced	History
Vanguard Information Technology ETF92204A702	ETF	97,262	$40.4M	0.2%	−3,042−3.0%	Reduced	–
iShares Tr464288661	3 7 YR TREAS BD	353,682	$40.0M	0.2%	−21,703−5.8%	Reduced	–
Cambria ETF Tr132061862	TAIL RISK	3,079,633	$39.9M	0.2%	+639,173+26.2%	Added	–
PMPhilip Morris International Inc.	Stock	424,814	$39.3M	0.2%	+15,830+3.9%	Added	History
WisdomTree Tr97717Y527	FLOATNG RAT TREA	767,777	$38.6M	0.2%	+54,461+7.6%	Added	–
Aim ETF Products Trust00888H307	ALLIANZIM US EQ	1,234,800	$38.1M	0.2%	+406,625+49.1%	Added	–
AMDAdvanced Micro Devices Inc	Stock	370,423	$38.1M	0.2%	+94,580+34.3%	Added	History
SPDR Series Trust78464A821	ST STR SP400GRW	546,910	$37.8M	0.2%	+49,204+9.9%	Added	–
Northern LTS FD Tr IV66538H385	STERLING CAPITAL	1,601,934	$37.1M	0.2%	−9,264−0.6%	Reduced	–
IBMInternational Business Machines Corp	Stock	261,768	$36.7M	0.2%	−3,643−1.4%	Reduced	History
iShares Tr46435U184	IBONDS 24 TRM HG	1,578,128	$36.6M	0.2%	+1,395,418+763.7%	Added	–
iShares S&P 500 Growth ETF464287309	ETF	533,734	$36.5M	0.2%	+93,085+21.1%	Added	–
iShares Core Dividend Growth ETF46434V621	ETF	736,950	$36.5M	0.2%	+95,004+14.8%	Added	–
Schwab US Dividend Equity ETF808524797	ETF	513,142	$36.3M	0.2%	+87,832+20.7%	Added	–
Janus Detroit STR Tr47103U845	HENDRSON AAA CL	719,184	$36.2M	0.2%	+141,274+24.4%	Added	–
iShares Tr464287440	7-10 YR TRSY BD	394,957	$36.2M	0.2%	−84,579−17.6%	Reduced	–
iShares Tr46434VBG4	IBONDS DEC24 ETF	1,444,484	$35.7M	0.2%	+1,277,898+767.1%	Added	–
Vanguard Ftse Emerging Markets ETF922042858	ETF	910,324	$35.7M	0.2%	+282,448+45.0%	Added	–
TAT&T Inc.	Stock	2,375,616	$35.7M	0.2%	−366,170−13.4%	Reduced	History

Options (5)

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 2023
Security	Class	Puts	Calls
SPYSPDR S&P 500 ETF Trust	ETF	$1.80M	$3.50M
iShares Russell 2000 ETF464287655	ETF	$873.7K	–
EPDEnterprise Products Partners L.P.	Stock	–	$1.40K
VanEck ETF Trust92189F106	GOLD MINERS ETF	–	$400
iShares Tr464287432	20 YR TR BD ETF	–	$200

Sold out since Q2 2023 (177)

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

The largest 100 of 177 by value last quarter.

Positions of AE Wealth Management LLC sold out since Q2 2023
Security	Class	Shares in Q2 2023	Value in Q2 2023	% of portfolio in Q2 2023	History
Aim ETF Products Trust00888H109	ALLIANZIM US EQ	152,513	$4.79M	<0.1%	–
First Tr Exchange-Traded FD33733E401	NASDAQ 100 EX	52,718	$4.45M	<0.1%	–
GTMZoomInfo Technologies Inc.	Stock	125,956	$3.20M	<0.1%	History
BGTBlackRock Floating Rate Income Trust	COM	252,065	$2.94M	<0.1%	History
RMBSRambus Inc	COM	44,185	$2.84M	<0.1%	History
RTLNecessity Retail REIT, Inc.	COM CLASS A	417,946	$2.83M	<0.1%	History
SPDR Index Shs FDS78463X103	PORTFLO EURP ETF	68,933	$2.65M	<0.1%	–
DBAInvesco DB Agriculture Fund	AGRICULTURE FD	122,524	$2.58M	<0.1%	History
First Tr Exchng Traded FD VI33740U109	TCW SECURITIZED	99,348	$2.12M	<0.1%	–
Advisorshares Tr00768Y727	NEWFLT MULSINC	45,988	$2.06M	<0.1%	–
WINGWingstop Inc.	COM	7,774	$1.56M	<0.1%	History
MOSMosaic Co	COM	40,788	$1.43M	<0.1%	History
ITCIIntra-Cellular Therapies, Inc.	COM	16,137	$1.02M	<0.1%	History
Invesco Actively Managed Exc46090A101	ACTIVE US REAL	10,795	$936.0K	<0.1%	–
iShares Inc464286772	MSCI STH KOR ETF	14,435	$914.9K	<0.1%	–
SPDR Series Trust78464A516	ST INTL BBG ETF	39,874	$899.2K	<0.1%	–
Invesco Exch Traded FD Tr II46138E370	S&P 500 HB ETF	11,716	$895.0K	<0.1%	–
LSILife Storage, Inc.	COM	6,571	$873.7K	<0.1%	History
LMNDLemonade, Inc.	Stock	46,578	$784.8K	<0.1%	History
Dimensional U.S. Small Cap ETF25434V500	ETF	14,274	$782.2K	<0.1%	–
HXLHexcel Corp	COM	10,078	$766.1K	<0.1%	History
IOTSamsara Inc.	Stock	27,135	$751.9K	<0.1%	History
NRONeuberger Real Estate Securities Income Fund Inc	COM	243,431	$740.0K	<0.1%	History
PENPenumbra Inc	COM	2,127	$731.8K	<0.1%	History
AVBAvalonbay Communities Inc	COM	3,763	$712.2K	<0.1%	History
GXOGXO Logistics, Inc.	Stock	11,163	$701.3K	<0.1%	History
LNTHLantheus Holdings, Inc.	Stock	8,248	$692.2K	<0.1%	History
Sprott FDS Tr85208P303	URANIUM MINERS E	20,552	$689.9K	<0.1%	–
UHSUniversal Health Services Inc	CL B	4,294	$677.5K	<0.1%	History
ETF Ser Solutions26922A388	APTUS DEFINED	26,749	$665.0K	<0.1%	–
ARIApollo Commercial Real Estate Finance, Inc.	COM	58,377	$660.8K	<0.1%	History
VNTVontier Corp	Stock	19,740	$635.8K	<0.1%	History
CALXCalix, Inc	COM	12,418	$619.8K	<0.1%	History
GGBGerdau S.A.	SPON ADR REP PFD	117,959	$615.7K	<0.1%	History
Abrdn ETFs003261104	BBRG ALL COMD K1	30,333	$611.5K	<0.1%	–
AIRCApartment Income REIT Corp.	COM	16,772	$605.3K	<0.1%	History
LADRLadder Capital Corp	CL A	55,670	$604.0K	<0.1%	History
OIIOceaneering International Inc	Stock	32,242	$602.9K	<0.1%	History
FIVNFive9, Inc.	COM	7,257	$598.3K	<0.1%	History
UANCVR Partners, LP	COM	7,411	$597.9K	<0.1%	History
iShares Inc464286400	MSCI BRAZIL ETF	18,431	$597.7K	<0.1%	–
RCReady Capital Corp	COM	52,840	$596.0K	<0.1%	History
SNCYSun Country Airlines Holdings, LLC	COM	26,411	$593.7K	<0.1%	History
MCFTMasterCraft Boat Holdings, Inc.	COM	19,353	$593.2K	<0.1%	History
MGNIMagnite, Inc.	COM	43,427	$592.8K	<0.1%	History
STLAStellantis N.V.	SHS	33,514	$587.8K	<0.1%	History
WDSWoodside Energy Group Ltd	ADR	25,053	$581.0K	<0.1%	History
WEXWEX Inc.	COM	3,179	$578.8K	<0.1%	History
BEPBrookfield Renewable Partners L.P.	PARTNERSHIP UNIT	19,291	$568.9K	<0.1%	History
SQSPSquarespace, Inc.	CLASS A	18,008	$568.0K	<0.1%	History
PGNYProgyny, Inc.	COM	14,408	$566.8K	<0.1%	History
HQYHealthequity, Inc.	COM	8,941	$564.5K	<0.1%	History
HIMSHims & Hers Health, Inc.	Stock	59,230	$556.8K	<0.1%	History
TGTXTG Therapeutics, Inc.	COM	22,401	$556.4K	<0.1%	History
WNCWabash National Corp	COM	21,596	$553.7K	<0.1%	History
SIBNSI-BONE, Inc.	COM	20,471	$552.3K	<0.1%	History
ZYMEZymeworks Inc.	COM	63,736	$550.7K	<0.1%	History
AXAxos Financial, Inc.	COM	13,735	$541.7K	<0.1%	History
CARGCarGurus, Inc.	COM CL A	23,888	$540.6K	<0.1%	History
COHUCohu Inc	COM	12,971	$539.1K	<0.1%	History
VISNVistance Networks, Inc.	COM	95,391	$537.1K	<0.1%	History
FLNGFlex LNG Ltd.	SHS	17,572	$536.5K	<0.1%	History
GENIGenius Sports Ltd	SHARES CL A	85,962	$532.1K	<0.1%	History
AMWDAmerican Woodmark Corp	COM	6,953	$531.0K	<0.1%	History
ASNDAscendis Pharma A/S	SPONSORED ADR	5,923	$528.6K	<0.1%	History
Golden Ocean Group LtdG39637205	SHS NEW	70,013	$528.6K	<0.1%	–
FVRRFiverr International Ltd.	ORD SHS	20,142	$523.9K	<0.1%	History
CHCOCity Holding Co	COM	5,815	$523.3K	<0.1%	History
ECEcopetrol S.A.	SPONSORED ADS	50,907	$521.8K	<0.1%	History
TBBKBancorp, Inc.	COM	15,753	$514.3K	<0.1%	History
GTLBGitlab Inc.	CLASS A COM	10,063	$514.3K	<0.1%	History
SYFSynchrony Financial	COM	15,150	$513.9K	<0.1%	History
SHYFShyft Group, Inc.	COM	23,215	$512.1K	<0.1%	History
HRMYHarmony Biosciences Holdings, Inc.	COM	14,487	$509.8K	<0.1%	History
ZIMZIM Integrated Shipping Services Ltd.	SHS	40,422	$500.8K	<0.1%	History
DMOWestern Asset Mortgage Opportunity Fund Inc.	COM	46,980	$497.0K	<0.1%	History
PERIPerion Network Ltd.	SHS NEW	15,742	$482.8K	<0.1%	History
FATEFate Therapeutics Inc	COM	100,885	$480.2K	<0.1%	History
ALKSAlkermes plc.	SHS	15,230	$476.7K	<0.1%	History
TRMDTORM plc	SHS CL A	19,724	$476.5K	<0.1%	History
IEPIcahn Enterprises L.P.	DEPOSITARY UNIT	16,290	$472.9K	<0.1%	History
Global X FDS37954Y632	ARTIFICIAL ETF	16,843	$470.9K	<0.1%	–
MCRBSeres Therapeutics, Inc.	COM	95,188	$456.0K	<0.1%	History
GNKGenco Shipping & Trading Ltd	SHS	32,351	$453.9K	<0.1%	History
WisdomTree Tr97717W604	US SMALLCAP DIVD	15,446	$444.7K	<0.1%	–
PETQPetIQ, Inc.	COM CL A	28,893	$438.3K	<0.1%	History
PCGPG&E Corp	Stock	24,482	$423.0K	<0.1%	History
TMHCTaylor Morrison Home Corp	COM	8,599	$419.4K	<0.1%	History
CEQPCrestwood Equity Partners LP	UNIT LTD PARTNER	15,479	$409.9K	<0.1%	History
TRTNTriton International Ltd	CL A	4,757	$396.1K	<0.1%	History
ASOAcademy Sports & Outdoors, Inc.	COM	7,134	$385.6K	<0.1%	History
MMacy's, Inc.	COM	23,916	$383.9K	<0.1%	History
OLNOLIN Corp	Stock	7,368	$378.6K	<0.1%	History
IDCCInterDigital, Inc.	COM	3,910	$377.5K	<0.1%	History
WIREEncore Wire Corp	COM	1,971	$366.5K	<0.1%	History
MMPMagellan Midstream Partners, L.P.	COM UNIT RP LP	5,843	$364.1K	<0.1%	History
TGLSTecnoglass Holdings Inc.	ORD SHS	6,976	$360.4K	<0.1%	History
MASIMasimo Corp	COM	2,167	$356.6K	<0.1%	History
Exchange Traded Concepts Tru301505707	ROBO GLB ETF	6,011	$352.0K	<0.1%	–
iShares Inc46434G848	MSCI GBL ETF NEW	8,633	$349.3K	<0.1%	–