Castle Rock Wealth Management, LLC
- SEC CIK
- 0001727605
- Latest filing
- Jul 7, 2026
Holdings in Q3 2021
Holdings as of Sep 30, 2021, filed Nov 12, 2021. Long positions only; changes compare share counts with Q2 2021.
- Positions
- 254
- +5 vs. Q2 2021
- Portfolio value
- $292.1M
- +$19.5M (+7.2%) vs. Q2 2021
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| NVDANVIDIA Corp | Stock | 30,973 | $9.54M | 3.3% | −100,371−76.4% | ReducedConverted for a 4-for-1 split | History |
| AAPLApple Inc. | Stock | 59,986 | $9.02M | 3.1% | −479−0.8% | Reduced | History |
| First Trust Rising Dividend Achievers ETF33738R506 | ETF | 152,490 | $7.85M | 2.7% | −28,660−15.8% | Reduced | – |
| MSFTMicrosoft Corp | Stock | 20,645 | $6.96M | 2.4% | −1,813−8.1% | Reduced | History |
| First Tr Exchange Trad FD VI33739H101 | FST TR GLB FD | 260,031 | $6.47M | 2.2% | +147,165+130.4% | Added | – |
| CVXChevron Corp | Stock | 55,706 | $6.42M | 2.2% | −4,226−7.1% | Reduced | History |
| Global X FDS37954Y475 | S&P 500 COVERED | 114,276 | $5.78M | 2.0% | +6,319+5.9% | Added | – |
| AMZNAmazon Com Inc | Stock | 1,586 | $5.53M | 1.9% | −8−0.5% | Reduced | History |
| FSKFS KKR Capital Corp | COM | 203,498 | $4.41M | 1.5% | +8,625+4.4% | Added | History |
| J P Morgan Exchange Traded F46641Q332 | EQUITY PREMIUM | 64,559 | $3.96M | 1.4% | +5,462+9.2% | Added | – |
| Global X FDS37954Y657 | US PFD ETF | 147,992 | $3.84M | 1.3% | +5,087+3.6% | Added | – |
| Invesco QQQ Trust Series I46090E103 | ETF | 9,218 | $3.67M | 1.3% | −48−0.5% | Reduced | – |
| SPYSPDR S&P 500 ETF Trust | ETF | 7,801 | $3.66M | 1.3% | −583−7.0% | Reduced | History |
| COSTCostco Wholesale Corp | Stock | 6,958 | $3.50M | 1.2% | −321−4.4% | Reduced | History |
| HDHome Depot, Inc. | Stock | 8,753 | $3.23M | 1.1% | −1,036−10.6% | Reduced | History |
| BXBlackstone Inc. | COM | 22,044 | $3.13M | 1.1% | +739+3.5% | Added | History |
| ARK Innovation ETF00214Q104 | ETF | 24,843 | $3.07M | 1.0% | +894+3.7% | Added | – |
| iShares U.S. Medical Devices ETF464288810 | ETF | 46,250 | $3.02M | 1.0% | −217,594−82.5% | ReducedConverted for a 6-for-1 split | – |
| GOOGAlphabet Inc. | Stock | 981 | $2.93M | 1.0% | +23+2.4% | Added | History |
| VanEck Morningstar Wide Moat ETF92189F643 | ETF | 37,228 | $2.91M | 1.0% | +1,229+3.4% | Added | – |
| Innovator ETFs Trust45782C318 | US EQTY PWR BUF | 92,455 | $2.81M | 1.0% | 00.0% | Unchanged | – |
| VVisa Inc. | Stock | 12,539 | $2.77M | 0.9% | +1,110+9.7% | Added | History |
| AMDAdvanced Micro Devices Inc | Stock | 18,255 | $2.74M | 0.9% | +2,026+12.5% | Added | History |
| ABTAbbott Laboratories | Stock | 21,293 | $2.70M | 0.9% | +9,035+73.7% | Added | History |
| NETCloudflare, Inc. | CL A COM | 12,300 | $2.58M | 0.9% | −326−2.6% | Reduced | History |
| Global X FDS37954Y483 | NASDAQ 100 COVER | 104,808 | $2.40M | 0.8% | +9,173+9.6% | Added | – |
| ARCCAres Capital Corp | CEF | 113,255 | $2.39M | 0.8% | +2,279+2.1% | Added | History |
| TGTTarget Corp | Stock | 9,300 | $2.36M | 0.8% | +416+4.7% | Added | History |
| First Tr Exchng Traded FD VI33740F805 | SMITH OPPORT FXD | 43,233 | $2.32M | 0.8% | +3,845+9.8% | Added | – |
| iShares Russell Midcap ETF464287499 | ETF | 26,569 | $2.25M | 0.8% | −135−0.5% | Reduced | – |
| iShares Core S&P Small Cap ETF464287804 | ETF | 18,334 | $2.21M | 0.8% | −1,608−8.1% | Reduced | – |
| Innovator ETFs Trust45782C292 | US EQT ULTRA BF | 76,405 | $2.19M | 0.7% | 00.0% | Unchanged | – |
| TMOThermo Fisher Scientific Inc. | Stock | 3,454 | $2.16M | 0.7% | +191+5.9% | Added | History |
| First Trust Cloud Computing ETF33734X192 | ETF | 17,318 | $2.05M | 0.7% | +968+5.9% | Added | – |
| First Trust Dow Jones Internet Index Fund33733E302 | ETF | 8,167 | $2.03M | 0.7% | −837−9.3% | Reduced | – |
| CAGConagra Brands Inc. | Stock | 62,733 | $2.03M | 0.7% | −298−0.5% | Reduced | History |
| JPMorgan Chase & Co46625H365 | ALERIAN ML ETN | 104,197 | $2.02M | 0.7% | +8,323+8.7% | Added | – |
| JNJJohnson & Johnson | Stock | 12,376 | $2.02M | 0.7% | +1,003+8.8% | Added | History |
| WMWaste Management Inc | Stock | 12,559 | $2.01M | 0.7% | +668+5.6% | Added | History |
| The Alger ETF Trust015564107 | MID CAP 40 ETF | 77,912 | $1.96M | 0.7% | −44,756−36.5% | Reduced | – |
| QCOMQualcomm Inc | Stock | 11,715 | $1.94M | 0.7% | +1,308+12.6% | Added | History |
| The Alger ETF Trust015564206 | 35 ETF | 83,103 | $1.93M | 0.7% | −35,043−29.7% | Reduced | – |
| METAMeta Platforms, Inc. | Stock | 5,615 | $1.90M | 0.7% | −2,230−28.4% | Reduced | History |
| Exchange Listed FDS Tr30151E806 | SABA INT RATE | 86,788 | $1.90M | 0.7% | +7,570+9.6% | Added | – |
| UNHUnitedHealth Group Inc | Stock | 4,051 | $1.87M | 0.6% | +219+5.7% | Added | History |
| DXCMDexcom Inc | COM | 2,927 | $1.86M | 0.6% | +39+1.4% | Added | History |
| ADBEAdobe Inc. | Stock | 2,765 | $1.84M | 0.6% | −38−1.4% | Reduced | History |
| ICEIntercontinental Exchange, Inc. | Stock | 13,468 | $1.83M | 0.6% | +1,717+14.6% | Added | History |
| PYPLPayPal Holdings, Inc. | Stock | 7,273 | $1.67M | 0.6% | +484+7.1% | Added | History |
| Vanguard Utilities ETF92204A876 | ETF | 11,378 | $1.65M | 0.6% | +288+2.6% | Added | – |
| SPGSimon Property Group Inc. | REIT | 9,838 | $1.65M | 0.6% | +9,838 | New | History |
| LOWLowes Companies Inc | Stock | 7,015 | $1.65M | 0.6% | +519+8.0% | Added | History |
| State Street SPDR Bloomberg Convertible Securities ETF78464A359 | ETF | 18,297 | $1.64M | 0.6% | +1,220+7.1% | Added | – |
| CCICrown Castle Inc. | REIT | 9,013 | $1.62M | 0.6% | +842+10.3% | Added | History |
| iShares Iboxx $ Investment Grade Corporate Bond ETF464287242 | ETF | 11,791 | $1.59M | 0.5% | −815−6.5% | Reduced | – |
| PANWPalo Alto Networks Inc | Stock | 3,057 | $1.58M | 0.5% | +29+1.0% | Added | History |
| Schwab US Tips ETF808524870 | ETF | 24,479 | $1.55M | 0.5% | +553+2.3% | Added | – |
| AMGNAmgen Inc | Stock | 7,248 | $1.53M | 0.5% | +6,213+600.3% | Added | History |
| TSLATesla, Inc. | Stock | 1,313 | $1.53M | 0.5% | −1,625−55.3% | Reduced | History |
| UNPUnion Pacific Corp | Stock | 6,277 | $1.50M | 0.5% | +548+9.6% | Added | History |
| AVGOBroadcom Inc. | Stock | 2,652 | $1.48M | 0.5% | +195+7.9% | Added | History |
| VZVerizon Communications Inc | Stock | 28,131 | $1.47M | 0.5% | −1,264−4.3% | Reduced | History |
| CRMSalesforce, Inc. | Stock | 4,704 | $1.46M | 0.5% | −10−0.2% | Reduced | History |
| TREXTrex Co Inc | COM | 12,480 | $1.45M | 0.5% | +956+8.3% | Added | History |
| RIORio Tinto PLC | ADR | 22,064 | $1.37M | 0.5% | +2,547+13.1% | Added | History |
| Innovator ETFs Trust45782C730 | US EQT ULTRA BF | 46,673 | $1.37M | 0.5% | −1,905−3.9% | Reduced | – |
| Janus Detroit STR Tr47103U886 | HENDRSN SHRT ETF | 27,290 | $1.36M | 0.5% | +173+0.6% | Added | – |
| iShares Tr46435G425 | ESG AWR MSCI USA | 12,658 | $1.36M | 0.5% | +1,219+10.7% | Added | – |
| Vanguard Total Bond Market ETF921937835 | ETF | 15,693 | $1.34M | 0.5% | −602−3.7% | Reduced | – |
| BABoeing Co | Stock | 5,965 | $1.33M | 0.5% | +605+11.3% | Added | History |
| DKNGDraftKings Inc. | COM CL A | 29,146 | $1.30M | 0.4% | −236−0.8% | Reduced | History |
| TTDTrade Desk, Inc. | Stock | 14,388 | $1.28M | 0.4% | −884−5.8% | Reduced | History |
| LWLamb Weston Holdings, Inc. | Stock | 21,910 | $1.27M | 0.4% | −150−0.7% | Reduced | History |
| NOWServiceNow, Inc. | Stock | 1,807 | $1.25M | 0.4% | +58+3.3% | Added | History |
| DOCUDocuSign, Inc. | Stock | 4,355 | $1.19M | 0.4% | +80+1.9% | Added | History |
| DIASPDR Dow Jones Industrial Average ETF Trust | UT SER 1 | 3,219 | $1.17M | 0.4% | +361+12.6% | Added | History |
| CRWDCrowdStrike Holdings, Inc. | Stock | 4,131 | $1.17M | 0.4% | +4,131 | New | History |
| SNOWSnowflake Inc. | Stock | 3,034 | $1.13M | 0.4% | +3,034 | New | History |
| Global X FDS37954Y814 | FINTECH ETF | 21,490 | $1.13M | 0.4% | +60+0.3% | Added | – |
| ARK Next Generation Technology ETF00214Q401 | ETF | 7,045 | $1.12M | 0.4% | −5,643−44.5% | Reduced | – |
| iShares Russell 2000 ETF464287655 | ETF | 4,500 | $1.09M | 0.4% | −363−7.5% | Reduced | – |
| RBLXRoblox Corp | Stock | 14,126 | $1.09M | 0.4% | +7,989+130.2% | Added | History |
| Innovator ETFs Trust45782C417 | US EQTY PWR BUF | 37,420 | $1.09M | 0.4% | −937−2.4% | Reduced | – |
| First Tr Exchange-Traded FD337344105 | NASDAQ-100 SEL | 9,025 | $1.08M | 0.4% | −170−1.8% | Reduced | – |
| XYZBlock, Inc. | CL A | 4,527 | $1.07M | 0.4% | +3,009+198.2% | Added | History |
| Invesco Exch Traded FD Tr II46138G706 | SOLAR ETF | 11,073 | $1.07M | 0.4% | +196+1.8% | Added | – |
| WMTWalmart Inc. | Stock | 7,064 | $1.05M | 0.4% | +196+2.9% | Added | History |
| AXONAxon Enterprise, Inc. | COM | 5,916 | $1.04M | 0.4% | +191+3.3% | Added | History |
| Innovator ETFs Trust45782C532 | US EQTY ULTRA B | 35,067 | $1.04M | 0.4% | 00.0% | Unchanged | – |
| JPMJPMorgan Chase & Co | Stock | 6,173 | $1.04M | 0.4% | +20+0.3% | Added | History |
| CHWYChewy, Inc. | CL A | 13,547 | $1.02M | 0.4% | +2,292+20.4% | Added | History |
| PEPPepsiCo Inc | Stock | 6,254 | $1.02M | 0.3% | −204−3.2% | Reduced | History |
| UUnity Software Inc. | COM | 6,117 | $998.0K | 0.3% | +526+9.4% | Added | History |
| Vanguard Health Care ETF92204A504 | ETF | 3,692 | $959.0K | 0.3% | −633−14.6% | Reduced | – |
| First Tr Exchange-Traded FD33739Q507 | SSI STRG ETF | 17,673 | $952.0K | 0.3% | +78+0.4% | Added | – |
| CLColgate Palmolive Co | Stock | 12,021 | $935.0K | 0.3% | +20.0% | Added | History |
| Innovator ETFs Trust45782C565 | US EQTY ULTRA BU | 31,728 | $935.0K | 0.3% | −1,459−4.4% | Reduced | – |
| First Trust Nasdaq-100 Technology Sector Index Fund337345102 | ETF | 5,197 | $930.0K | 0.3% | +186+3.7% | Added | – |
| State Street Real Estate Select Sector SPDR ETF81369Y860 | ETF | 19,199 | $926.0K | 0.3% | +1,549+8.8% | Added | – |
| iShares MSCI USA Min Vol Factor ETF46429B697 | ETF | 11,851 | $923.0K | 0.3% | +1,096+10.2% | Added | – |
Sold out since Q2 2021 (19)
Positions held at the end of Q2 2021 that are gone from this filing.
| Security | Class | Shares in Q2 2021 | Value in Q2 2021 | % of portfolio in Q2 2021 | History |
|---|---|---|---|---|---|
| SCCOSouthern Copper Corp | Stock | 17,508 | $1.17M | 0.4% | History |
| LPXLouisiana-Pacific Corp | COM | 19,868 | $1.15M | 0.4% | History |
| MFCManulife Financial Corp | COM | 56,449 | $1.13M | 0.4% | History |
| PTONPeloton Interactive, Inc. | CL A COM | 9,630 | $1.10M | 0.4% | History |
| NXQuanex Building Products CORP | COM | 44,374 | $1.09M | 0.4% | History |
| CAHCardinal Health Inc | Stock | 19,946 | $1.02M | 0.4% | History |
| NKXNuveen California Amt-Free Quality Municipal Income Fund | COM | 24,235 | $401.0K | 0.1% | History |
| Invesco Exch Traded FD Tr II46138E511 | PFD ETF | 25,732 | $389.0K | 0.1% | – |
| ETSYEtsy Inc | COM | 1,875 | $353.0K | 0.1% | History |
| RABrookfield Real Assets Income Fund Inc. | SHS BEN INT | 14,113 | $313.0K | 0.1% | History |
| Kraneshares Tr500767736 | QUADRTC INT RT | 10,351 | $289.0K | 0.1% | – |
| iShares Tr46432F388 | MSCI USA VALUE | 2,614 | $276.0K | 0.1% | – |
| JCIJohnson Controls International plc | Stock | 3,048 | $221.0K | 0.1% | History |
| MMM3M Co | Stock | 1,087 | $216.0K | 0.1% | History |
| SPDR Index Shs FDS78463X541 | ST STR NAT ETF | 3,880 | $206.0K | 0.1% | – |
| GAINGladstone Investment Corporationde | CEF | 13,710 | $204.0K | 0.1% | History |
| GLDSPDR Gold Trust | ETF | 1,255 | $203.0K | 0.1% | History |
| GPROGoPro, Inc. | CL A | 11,000 | $117.0K | <0.1% | History |
| OPKOpko Health, Inc. | COM | 22,500 | $84.0K | <0.1% | History |