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Livermore
Livermore
ZHEN

Retirement Group, LLC

SEC CIK
0001740491
Latest filing
Apr 30, 2024

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 16, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
663
−32 vs. Q2 2021
Portfolio value
$216.5M
+$9.28M (+4.5%) vs. Q2 2021
Filed
Nov 16, 2021
SEC
Holdings of Retirement Group, LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
BRK.BBerkshire Hathaway IncStock98,835$27.0M12.5%+2,439+2.5%AddedHistory
Invesco Exchange Traded FD T46137V233S&P 500 TOP 5053,254$17.6M8.1%+1,064+2.0%Added–
State Street SPDR S&P 600 Small Cap Value ETF78464A300ETF121,318$9.94M4.6%+4,443+3.8%Added–
State Street SPDR S&P 400 Mid Cap Value ETF78464A839ETF143,782$9.52M4.4%+4,447+3.2%Added–
CVXChevron CorpStock83,558$8.48M3.9%+11,768+16.4%AddedHistory
Schwab US Dividend Equity ETF808524797ETF107,162$7.96M3.7%+4,550+4.4%Added–
XOMExxonMobil Holdings CorpCOM125,170$7.41M3.4%−8,065−6.1%ReducedHistory
iShares Tr46428743220 YR TR BD ETF40,397$5.83M2.7%+39,694+5,646.4%Added–
Invesco QQQ Trust Series I46090E103ETF16,612$4.70M2.2%+3,826+29.9%Added–
First Tr Exch Traded FD III33739E108PFD SECS INC ETF225,464$4.63M2.1%+3,217+1.4%Added–
iShares Core S&P 500 ETF464287200ETF9,550$4.11M1.9%−7−0.1%Reduced–
Vanguard Morningstar Growth ETF922908736ETF13,958$4.05M1.9%−437−3.0%Reduced–
CATCaterpillar IncStock19,573$3.76M1.7%+102+0.5%AddedHistory
Vanguard Morningstar Value ETF922908744ETF25,443$3.44M1.6%+1,595+6.7%Added–
JEFJefferies Financial Group Inc.COM85,273$3.17M1.5%+6,544+8.3%AddedHistory
TAT&T Inc.Stock112,848$3.05M1.4%+463+0.4%AddedHistory
SPYSPDR S&P 500 ETF TrustETF6,918$2.97M1.4%−84−1.2%ReducedHistory
BAMBrookfield Asset Management Ltd.CL A LTD VT SH50,702$2.71M1.3%+2,928+6.1%AddedHistory
First Tr Exchange-Traded FD33738D309SENIOR LN FD52,231$2.50M1.2%−501−1.0%Reduced–
VanEck ETF Trust92189F106GOLD MINERS ETF81,373$2.40M1.1%+3,672+4.7%Added–
Vanguard Dividend Appreciation ETF921908844ETF14,974$2.30M1.1%+226+1.5%Added–
Schwab US Aggregate Bond ETF808524839ETF41,979$2.28M1.1%−1,678−3.8%Reduced–
Ssga Active ETF Tr78467V608ST STR BL LN ETF41,124$1.89M0.9%+1,724+4.4%Added–
AMZNAmazon Com IncStock533$1.75M0.8%+10+1.9%AddedHistory
Schwab U.S. Broad Market ETF808524102ETF16,845$1.75M0.8%+140+0.8%Added–
Global X FDS37954Y657US PFD ETF62,998$1.62M0.7%+7,855+14.2%Added–
BABAAlibaba Group Holding LtdADR10,890$1.61M0.7%+10,699+5,601.6%AddedHistory
GLDSPDR Gold TrustETF9,641$1.58M0.7%+300+3.2%AddedHistory
Invesco Exch Traded FD Tr II46138E511PFD ETF104,941$1.58M0.7%−11,213−9.7%Reduced–
iShares Core Dividend Growth ETF46434V621ETF31,135$1.56M0.7%+498+1.6%Added–
iShares Tr464288646ISHS 1-5YR INVS28,464$1.55M0.7%−2,736−8.8%Reduced–
Vanguard Ftse Developed Markets ETF921943858ETF23,556$1.19M0.5%−22−0.1%Reduced–
Vanguard Morningstar Total Stock Market ETF922908769ETF5,313$1.18M0.5%00.0%Unchanged–
iShares Tr46434V1000-5YR INVT GR CP22,303$1.15M0.5%−442−1.9%Reduced–
Invesco Exchange Traded FD T46137V621FINL PFD ETF60,474$1.15M0.5%−1,990−3.2%Reduced–
Invesco Exch Traded FD Tr II46138G870VAR RATE PFD43,319$1.14M0.5%+4,815+12.5%Added–
iShares Tr46432F388MSCI USA VALUE11,205$1.13M0.5%−235−2.1%Reduced–
iShares Russell 2000 ETF464287655ETF4,911$1.07M0.5%00.0%Unchanged–
Invesco Actively Managed Exc46090A804TOTAL RETURN18,705$1.06M0.5%−793−4.1%Reduced–
MSFTMicrosoft CorpStock3,751$1.06M0.5%+18+0.5%AddedHistory
COPConocoPhillipsStock15,326$1.04M0.5%+1,672+12.2%AddedHistory
INTCIntel CorpStock19,316$1.03M0.5%+12,997+205.7%AddedHistory
ADBEAdobe Inc.Stock1,746$1.00M0.5%+2+0.1%AddedHistory
NVDANVIDIA CorpStock4,717$977.0K0.5%00.0%UnchangedConverted for a 4-for-1 splitHistory
Schwab U.S. Large-Cap Value ETF808524409ETF13,822$933.0K0.4%−676−4.7%Reduced–
Schwab US Tips ETF808524870ETF14,854$930.0K0.4%+69+0.5%Added–
AAPLApple Inc.Stock6,441$911.0K0.4%+52+0.8%AddedHistory
Vanguard High Dividend Yield Index ETF921946406ETF8,725$902.0K0.4%+2,000+29.7%Added–
iShares MSCI USA Momentum Factor ETF46432F396ETF5,023$882.0K0.4%+128+2.6%Added–
PCIPIMCO Dynamic Credit & Mortgage Income FundCOM SHS41,571$878.0K0.4%+2,102+5.3%AddedHistory
SGOLabrdn Gold ETF TrustETF51,120$861.0K0.4%00.0%UnchangedHistory
VanEck ETF Trust92189F429PREFERRED SECURT40,232$854.0K0.4%+3,102+8.4%Added–
WMTWalmart Inc.Stock5,632$785.0K0.4%+4,753+540.7%AddedHistory
Schwab Fundamental U.S. Small Company ETF808524763ETF14,733$776.0K0.4%−388−2.6%Reduced–
Osi ETF Tr67110P704OSHS GBL INTER20,722$708.0K0.3%+9,272+81.0%Added–
SIVRabrdn Silver ETF TrustPHYSCL SILVR SHS32,981$705.0K0.3%−300−0.9%ReducedHistory
State Street SPDR Portfolio Short Term Corporate Bond ETF78464A474ETF21,687$678.0K0.3%−4,464−17.1%Reduced–
LMTLockheed Martin CorpStock1,958$676.0K0.3%+1,907+3,739.2%AddedHistory
ORealty Income CorpREIT10,218$663.0K0.3%+1,670+19.5%AddedHistory
iShares Core S&P Mid-Cap ETF464287507ETF2,464$648.0K0.3%−40−1.6%Reduced–
iShares Tr464288687PFD AND INCM SEC16,173$628.0K0.3%+3,308+25.7%Added–
Vanguard Morningstar Small-Cap Value ETF922908611ETF3,637$616.0K0.3%+2,003+122.6%Added–
ETVEaton Vance Tax-Managed Buy-Write Opportunities FundCOM37,572$601.0K0.3%00.0%UnchangedHistory
Fidelity MSCI Materials Index ETF316092881ETF11,640$596.0K0.3%+10,140+676.0%Added–
FDXFedEx CorpStock2,640$579.0K0.3%+2,640NewHistory
Schwab International Equity ETF808524805ETF14,818$573.0K0.3%−1,394−8.6%Reduced–
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242ETF3,941$524.0K0.2%−123−3.0%Reduced–
iShares Tr46435G409MSCI INTL VLU FT19,704$507.0K0.2%+2,126+12.1%Added–
WisdomTree Tr97717X511YIELD ENHANCD US9,421$489.0K0.2%−187−1.9%Reduced–
RTLNecessity Retail REIT, Inc.COM CLASS A60,780$489.0K0.2%−4,000−6.2%ReducedHistory
HONHoneywell International IncCOM2,271$482.0K0.2%00.0%UnchangedHistory
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF6,365$480.0K0.2%−246−3.7%Reduced–
ProShares Tr74348A467S&P 500 DV ARIST5,288$468.0K0.2%+1,299+32.6%Added–
TSLATesla, Inc.Stock590$458.0K0.2%+1+0.2%AddedHistory
Invesco Exch Traded FD Tr II46138E669GLOBAL EX US HGH20,990$456.0K0.2%−5,785−21.6%Reduced–
iShares Tr4642874571 3 YR TREAS BD5,100$439.0K0.2%−184−3.5%Reduced–
PSXPhillips 66Stock6,077$426.0K0.2%+216+3.7%AddedHistory
Schwab Strategic Tr808524862SHT TM US TRES8,218$421.0K0.2%−320−3.7%Reduced–
Schwab U.S. REIT ETF808524847ETF9,130$417.0K0.2%+203+2.3%Added–
BXBlackstone Inc.COM3,568$415.0K0.2%+290+8.8%AddedHistory
IBMInternational Business Machines CorpStock9,882$390.0K0.2%+7,218+270.9%AddedHistory
WMWaste Management IncStock2,581$385.0K0.2%00.0%UnchangedHistory
iShares Tr46434V4070-5YR HI YL CP7,730$353.0K0.2%−1,636−17.5%Reduced–
SPDR Series Trust78468R200ST STR RATE ETF11,102$340.0K0.2%+6+0.1%Added–
BACBank of America CorpStock7,830$332.0K0.2%+212+2.8%AddedHistory
Invesco Exch Traded FD Tr II46138G656S&P ULTRA DIVIDE8,260$322.0K0.1%−245−2.9%Reduced–
NOCNorthrop Grumman CorpStock876$315.0K0.1%+619+240.9%AddedHistory
State Street SPDR Bloomberg Convertible Securities ETF78464A359ETF3,611$308.0K0.1%+8+0.2%Added–
Schwab Emerging Markets Equity ETF808524706ETF9,790$298.0K0.1%+108+1.1%Added–
BPBP PLCADR17,684$287.0K0.1%+9,000+103.6%AddedHistory
iShares Core U.S. Aggregate Bond ETF464287226ETF2,482$285.0K0.1%00.0%Unchanged–
Schwab Intermediate-Term US Treasury ETF808524854ETF4,957$281.0K0.1%−236−4.5%Reduced–
Schwab U.S. Mid-Cap ETF808524508ETF3,614$277.0K0.1%−97−2.6%Reduced–
Schwab U.S. Small-Cap ETF808524607ETF2,717$272.0K0.1%−55−2.0%Reduced–
GOOGAlphabet Inc.Stock99$264.0K0.1%00.0%UnchangedHistory
PCGPG&E CorpStock27,440$263.0K0.1%−34−0.1%ReducedHistory
Vanguard Total World Stock ETF922042742ETF2,570$262.0K0.1%+170+7.1%Added–
Invesco Exch Traded FD Tr II46138E404CEF INM COMPSI10,515$252.0K0.1%−1,755−14.3%Reduced–
MOAltria Group, Inc.Stock5,515$251.0K0.1%+567+11.5%AddedHistory
GOOGLAlphabet Inc.Stock93$249.0K0.1%+5+5.7%AddedHistory

Sold out since Q2 2021 (72)

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

Positions of Retirement Group, LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
Fidelity Merrimack STR Tr316188200LTD TRM BD ETF11,045$578.0K0.3%–
iShares Tr46435G425ESG AWR MSCI USA2,497$246.0K0.1%–
Strategy Shares Nasdaq 7HANDL Index ETF86280R506ETF9,000$231.0K0.1%–
Amplify ETF Tr032108102ONLIN RETL ETF705$91.0K<0.1%–
NTLAIntellia Therapeutics, Inc.COM500$81.0K<0.1%History
State Street SPDR NYSE Technology ETF78464A102ETF500$80.0K<0.1%–
iShares Inc46434G863ESG AWR MSCI EM1,772$80.0K<0.1%–
USALiberty All Star Equity FundSH BEN INT8,250$75.0K<0.1%History
RYTMRhythm Pharmaceuticals, Inc.COM3,812$75.0K<0.1%History
iShares Tr464288885EAFE GRWTH ETF670$72.0K<0.1%–
OCGNOcugen, Inc.COM8,505$68.0K<0.1%History
BNGOBionano Genomics, Inc.COM9,000$66.0K<0.1%History
CRSPCRISPR Therapeutics AGNAMEN AKT323$52.0K<0.1%History
HALHalliburton CoStock2,000$46.0K<0.1%History
PXDPioneer Natural Resources CoCOM276$45.0K<0.1%History
Fidelity Merrimack STR Tr316188309TOTAL BD ETF826$44.0K<0.1%–
iShares Tr46434V456MSCI INTL QUALTY973$38.0K<0.1%–
MXLMaxlinear, IncCOM756$32.0K<0.1%History
DOCUDocuSign, Inc.Stock100$28.0K<0.1%History
IEPIcahn Enterprises L.P.DEPOSITARY UNIT500$27.0K<0.1%History
ILMNIllumina, Inc.COM56$26.0K<0.1%History
SNOWSnowflake Inc.Stock100$24.0K<0.1%History
GRWGGrowGeneration Corp.COM500$24.0K<0.1%History
SPDR Series Trust78464A656ST STR TIPS ETF678$21.0K<0.1%–
NOKNokia CorpSPONSORED ADR4,000$21.0K<0.1%History
iShares Tr46434V803HDG MSCI EAFE605$21.0K<0.1%–
RDWRRadware LtdORD662$20.0K<0.1%History
STMSTMicroelectronics N.V.NY REGISTRY500$18.0K<0.1%History
EDITEditas Medicine, Inc.COM325$18.0K<0.1%History
SLESuper League Enterprise, Inc.COM3,000$16.0K<0.1%History
ProShares Tr74347G507RUSSELL US DIV325$15.0K<0.1%–
SPHSuburban Propane Partners LPUNIT LTD PARTN1,000$15.0K<0.1%History
ATENA10 Networks, Inc.Stock1,050$12.0K<0.1%History
VanEck ETF Trust92189H607OIL SERVICES ETF50$11.0K<0.1%–
IMAXImax CorpCOM500$11.0K<0.1%History
IBIOiBio, Inc.COM NEW7,135$11.0K<0.1%History
MXIMMaxim Integrated Products IncCOM100$11.0K<0.1%History
MPLXMPLX LPCOM UNIT REP LTD326$10.0K<0.1%History
AVAVAeroVironment IncCOM100$10.0K<0.1%History
Vanguard Materials ETF92204A801ETF42$8.00K<0.1%–
VBIVVBI Vaccines Inc/BCCOM NEW2,450$8.00K<0.1%History
GTT Communications, Inc.362393100COM3,000$7.00K<0.1%–
IDEXIdeanomics, Inc.COM2,500$7.00K<0.1%History
J P Morgan Exchange Traded F46641Q217BETABULDRS JAPAN111$6.00K<0.1%–
First Tr High Income L/S FD33738E109COM374$6.00K<0.1%–
SPCEVirgin Galactic Holdings, IncCOM133$6.00K<0.1%History
J P Morgan Exchange Traded F46641Q225BETA CDA ETF NEW80$5.00K<0.1%–
First Tr Exchange-Traded FD33733B100WTR ETF60$5.00K<0.1%–
J P Morgan Exchange Traded F46641Q191BETA EURO ET NE85$5.00K<0.1%–
BYNDBeyond Meat, Inc.COM30$5.00K<0.1%History
TARAProtara Therapeutics, Inc.COM STK500$5.00K<0.1%History
Churchill Capital Corp IV171439102CL A170$5.00K<0.1%–
Global X FDS37950E606MSCI CHINA FINCL300$5.00K<0.1%–
AIXCAIxCrypto Holdings, Inc.COM2,500$5.00K<0.1%History
FLXNFlexion Therapeutics IncCOM500$4.00K<0.1%History
LULUlululemon athletica inc.Stock8$3.00K<0.1%History
ZMZoom Communications, Inc.Stock7$3.00K<0.1%History
J P Morgan Exchange Traded F46641Q233BETA DEVE EX ETF55$3.00K<0.1%–
LBTYKLiberty Global Ltd.SHS CL C114$3.00K<0.1%History
ORLYO Reilly Automotive IncStock4$2.00K<0.1%History
ABUSArbutus Biopharma CorpCOM500$2.00K<0.1%History
Holicity Inc435063102COM CL A150$2.00K<0.1%–
KEYSKeysight Technologies, Inc.Stock4$1.00K<0.1%History
AKAMAkamai Technologies IncCOM11$1.00K<0.1%History
iShares Tr464288588MBS ETF13$1.00K<0.1%–
AZPNASPENTECH CorpCOM4$1.00K<0.1%History
MNSTMonster Beverage CorpCOM5$00.0%History
SIGSignet Jewelers LtdSHS3$00.0%History
LILAKLiberty Latin America Ltd.COM CL C8$00.0%History
CODXCo-Diagnostics, Inc.COM35$00.0%History
VanEck Vectors ETF Tr92189F445INTL HIGH YIELD1$00.0%–
Maxeon Solar Technologies LTY58473102SHS1$00.0%–