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Livermore
Livermore
ZHEN

Sofos Investments, Inc.

SEC CIK
0001741736
Latest filing
May 8, 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.

Institution overview
Positions
955
−25 vs. Q2 2021
Portfolio value
$137.4M
−$79.4M (−36.6%) vs. Q2 2021
Filed
Nov 12, 2021
SEC
Holdings of Sofos Investments, Inc. in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
iShares Tr46435G672CORE INTL AGGR141,668$7.78M5.7%−80,343−36.2%Reduced–
DBX ETF Tr233051432XTRACK USD HIGH167,464$6.71M4.9%−99,686−37.3%Reduced–
iShares Tr46434V4070-5YR HI YL CP130,423$5.96M4.3%−75,838−36.8%Reduced–
NVRNVR IncCOM0$4.79M3.5%0UnchangedHistory
DBX ETF Tr233051267XTRACKERS LOW93,278$4.77M3.5%−50,343−35.1%Reduced–
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375ETF126,905$4.63M3.4%−71,535−36.0%Reduced–
iShares Tr46429B7470-5 YR TIPS ETF42,743$4.58M3.3%−25,491−37.4%Reduced–
SHWSherwin Williams CoCOM12,781$3.85M2.8%−45−0.4%ReducedHistory
Vanguard Emerging Markets Government Bond ETF921946885ETF44,986$3.52M2.6%−25,760−36.4%Reduced–
TSLATesla, Inc.Stock3,422$3.44M2.5%−2,794−44.9%ReducedHistory
SPDR Series Trust78464A144ST STR CORPO ETF86,973$3.05M2.2%−54,565−38.6%Reduced–
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853ETF66,646$2.84M2.1%−34,337−34.0%Reduced–
UPWKUpwork, IncCOM55,901$2.52M1.8%−48,024−46.2%ReducedHistory
WisdomTree Tr97717W588US LARGECAP FUND54,157$2.49M1.8%−30,667−36.2%Reduced–
State Street SPDR Portfolio S&P 500 Growth ETF78464A409ETF37,119$2.44M1.8%−18,840−33.7%Reduced–
iShares Tr46435G102CONV BD ETF23,533$2.44M1.8%−12,665−35.0%Reduced–
State Street SPDR Portfolio S&P 400 Mid Cap ETF78464A847ETF51,772$2.39M1.7%−28,964−35.9%Reduced–
BKNGBooking Holdings Inc.Stock0$2.37M1.7%0UnchangedHistory
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF50,948$2.00M1.5%−27,930−35.4%Reduced–
SPDR Index Shs FDS78463X509ST PORT MARK ETF43,607$1.84M1.3%−22,473−34.0%Reduced–
MSFTMicrosoft CorpStock4,660$1.58M1.2%−5,747−55.2%ReducedHistory
MRNAModerna, Inc.Stock3,016$1.53M1.1%−4,385−59.2%ReducedHistory
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF36,079$1.44M1.0%−19,675−35.3%Reduced–
INTUIntuit Inc.Stock1,376$1.29M0.9%−1,629−54.2%ReducedHistory
Nestle SA ADR641069406COM9,689$1.28M0.9%−10,813−52.7%Reduced–
NFLXNetflix IncStock1,003$1.20M0.9%−1,168−53.8%ReducedHistory
State Street SPDR Bloomberg Convertible Securities ETF78464A359ETF12,609$1.16M0.8%−2,252−15.2%Reduced–
iShares Core MSCI Europe ETF46434V738ETF19,813$1.11M0.8%−10,412−34.4%Reduced–
ASMLASML Holding NVADR497$1.09M0.8%+497NewHistory
iShares MSCI USA Quality Factor ETF46432F339ETF7,757$1.02M0.7%−743−8.7%Reduced–
METAMeta Platforms, Inc.Stock1,878$954.0K0.7%−2,068−52.4%ReducedHistory
CRMSalesforce, Inc.Stock2,432$940.0K0.7%−2,819−53.7%ReducedHistory
Ssga Active ETF Tr78467V707ST STR UL BD ETF23,202$939.0K0.7%−5,302−18.6%Reduced–
SPDR Series Trust78468R804ST STR R1K LOWV6,647$884.0K0.6%−1,627−19.7%Reduced–
ADSKAutodesk, Inc.COM2,035$872.0K0.6%−2,232−52.3%ReducedHistory
BRK.BBerkshire Hathaway IncStock2,118$845.0K0.6%−2,438−53.5%ReducedHistory
SYKStryker CorpStock2,192$845.0K0.6%−2,448−52.8%ReducedHistory
AAPLApple Inc.Stock4,856$803.0K0.6%−4,933−50.4%ReducedHistory
iShares U S ETF Tr46431W507SHOR DURA BD ETF15,847$795.0K0.6%−4,143−20.7%Reduced–
EQIXEquinix IncCOM1$790.0K0.6%+1NewHistory
DEODiageo PLCSPON ADR NEW2,999$772.0K0.6%−3,673−55.1%ReducedHistory
DISWalt Disney CoStock3,441$762.0K0.6%−3,882−53.0%ReducedHistory
NKENIKE, Inc.Stock4,160$742.0K0.5%−4,600−52.5%ReducedHistory
WisdomTree Tr97717W406US AI ENHANCED7,825$735.0K0.5%−899−10.3%Reduced–
NVONovo Nordisk A SADR6,686$731.0K0.5%−8,376−55.6%ReducedHistory
Siemens A G Sponsored ADR826197501COM7,526$699.0K0.5%−7,829−51.0%Reduced–
SBUXStarbucks CorpStock5,322$698.0K0.5%−6,019−53.1%ReducedHistory
JNJJohnson & JohnsonStock3,139$657.0K0.5%−3,676−53.9%ReducedHistory
CMGChipotle Mexican Grill IncCOM353$655.0K0.5%−431−55.0%ReducedHistory
PGProcter & Gamble CoStock3,685$654.0K0.5%−4,701−56.1%ReducedHistory
MMM3M CoStock2,749$653.0K0.5%−3,228−54.0%ReducedHistory
WMTWalmart Inc.Stock3,612$641.0K0.5%−4,232−54.0%ReducedHistory
MARMarriott International IncStock4,275$633.0K0.5%−4,984−53.8%ReducedHistory
iShares Tr46434V696CORE MSCI PAC9,171$614.0K0.4%−4,877−34.7%Reduced–
ADBEAdobe Inc.Stock0$576.0K0.4%0UnchangedHistory
LRCXLam Research CorpCOM0$569.0K0.4%0UnchangedHistory
BABoeing CoStock2,569$562.0K0.4%−2,884−52.9%ReducedHistory
Roche Hldg Ltd ADR771195104COM11,013$545.0K0.4%−14,589−57.0%Reduced–
CLColgate Palmolive CoStock6,261$538.0K0.4%−7,188−53.4%ReducedHistory
KOCoca Cola CoStock9,093$527.0K0.4%−11,875−56.6%ReducedHistory
ZBRAZebra Technologies CorpCL A0$515.0K0.4%0UnchangedHistory
Adidas AG ADR00687A107ADR3,178$503.0K0.4%−3,499−52.4%Reduced–
Heineken NV Sponsored ADR L1423012301COM9,527$497.0K0.4%−10,741−53.0%Reduced–
PAYCPaycom Software, Inc.Stock0$496.0K0.4%0UnchangedHistory
PANWPalo Alto Networks IncStock0$479.0K0.3%0NewHistory
CHEChemed CorpCOM0$465.0K0.3%0UnchangedHistory
SMGScotts Miracle-Gro CoStock3,147$455.0K0.3%−3,056−49.3%ReducedHistory
Mitsui & Co Ltd606827202COM0$440.0K0.3%0New–
COOCooper Companies, Inc.COM NEW0$413.0K0.3%0UnchangedHistory
iShares Tr46429B655FLTG RATE NT ETF7,766$409.0K0.3%−26−0.3%Reduced–
LULUlululemon athletica inc.Stock0$405.0K0.3%0UnchangedHistory
Asm International N.V. (ADR)N07045102COMMON0$394.0K0.3%0Unchanged–
GWWW.W. Grainger, Inc.Stock0$393.0K0.3%0UnchangedHistory
TEAMAtlassian CorpCL A0$391.0K0.3%0NewHistory
NOCNorthrop Grumman CorpStock0$360.0K0.3%0UnchangedHistory
SBACSba Communications CorpCOM0$331.0K0.2%0NewHistory
Sea Ltd ADR847560109ADR0$319.0K0.2%0Unchanged–
Twilio Inc CL A87309T200COMMON STOCK15$319.0K0.2%00.0%Unchanged–
SPDR Series Trust78464A805ST STR PR SP15005,700$304.0K0.2%−4,265−42.8%Reduced–
Schwab US Tips ETF808524870ETF3,667$292.0K0.2%00.0%Unchanged–
RGENRepligen CorpCOM0$289.0K0.2%0UnchangedHistory
NICENICE Ltd.SPONSORED ADR0$284.0K0.2%0UnchangedHistory
MASIMasimo CorpCOM0$271.0K0.2%0UnchangedHistory
AMTAmerican Tower CorpREIT1$265.0K0.2%−52−98.1%ReducedHistory
SEDGSolaredge Technologies, Inc.COM0$265.0K0.2%0NewHistory
WisdomTree Tr97717W380INTRST RATE HDGE4,570$258.0K0.2%−2,357−34.0%Reduced–
JLLJones Lang Lasalle IncCOM0$248.0K0.2%0NewHistory
BDXBecton Dickinson & CoStock1$246.0K0.2%00.0%UnchangedHistory
XYZBlock, Inc.CL A0$240.0K0.2%0UnchangedHistory
NDSNNordson CorpCOM0$238.0K0.2%0UnchangedHistory
TGTTarget CorpStock0$229.0K0.2%0UnchangedHistory
SPOTSpotify Technology S.A.Stock1$225.0K0.2%+1NewHistory
State Street SPDR Bloomberg 1-3 Month T-Bill ETF78468R663ETF2,162$218.0K0.2%+4+0.2%Added–
SPDR Series Trust78464A664ST LON TREAS ETF5,251$216.0K0.2%00.0%Unchanged–
DGDollar General CorpCOM2$212.0K0.2%−41−95.3%ReducedHistory
ETSYEtsy IncCOM0$208.0K0.2%0UnchangedHistory
ITWIllinois Tool Works IncStock2$207.0K0.2%00.0%UnchangedHistory
NVDANVIDIA CorpStock0$207.0K0.2%0UnchangedConverted for a 4-for-1 splitHistory
NVAXNovavax IncStock1$207.0K0.2%00.0%UnchangedHistory
GDGeneral Dynamics CorpStock0$196.0K0.1%0UnchangedHistory

Sold out since Q2 2021 (217)

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

The largest 100 of 217 by value last quarter.

Positions of Sofos Investments, Inc. sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
ASML Holding NV00B908F01NY Reg Shrs11$691.0K0.3%–
Aberdeen STD Palladium ETF0000000NAStock117,634$535.0K0.2%–
Broadcom Ltd Shs001730168Stock1$477.0K0.2%–
Roku Inc Com CL A001428439Stock1$459.0K0.2%–
Mitsui & Co Ltd000067099ADR0$450.0K0.2%–
Palo Alto Networks Inc Com001327567Stock0$371.0K0.2%–
PayPal Hldgs Inc001633917Stock0$291.0K0.1%–
Wix Com Ltd Shs001576789Stock17$290.0K0.1%–
Solaredge Technologies Inc Com001419612Stock0$276.0K0.1%–
Atlassian Corp PLC CL A001650372Stock0$257.0K0.1%–
Dassault Sys S A001016118ADR44$244.0K0.1%–
IQVIQVIA Holdings Inc.Stock13$242.0K0.1%History
Fortinet Inc Com00350E113Stock56$238.0K0.1%–
VRSNVerisign IncStock45$228.0K0.1%History
Universal Display Corp001005284Stock0$222.0K0.1%–
Icon Pub Ltd Co45103T107Stock63$207.0K0.1%–
Steris PLC Shs Usd001757898Stock16$206.0K0.1%–
IIPRInnovative Industrial Properties IncCOM0$191.0K0.1%History
First Trust NYSE Arca Biotechnology Inde00337E207ETF5$173.0K0.1%–
Crispr Therapeutics AG Namen Akt001674416Stock0$162.0K0.1%–
Match Group Inc New Com000891103Stock0$161.0K0.1%–
CBChubb LtdStock60$159.0K0.1%History
LVMH Moet Hennessy Lou Vuitton ADR000824046ADR0$158.0K0.1%–
PPLIPeople IncCOM NEW0$154.0K0.1%History
Rydex ETF Trust Gug SP SC500 Eq78355W882Stock28$148.0K0.1%–
Sodastream International Ltd Usd ShsM9068E105Common Stock0$141.0K0.1%–
Twist Bioscience Corp Com001581280Stock0$133.0K0.1%–
Ascendis Pharma A S Sponsored ADR001612042ADR34$132.0K0.1%–
ARK Innovation ETF0214Q1040ETF553$131.0K0.1%–
Nestles SA000800921ADR2$125.0K0.1%–
ICEIntercontinental Exchange, Inc.Stock58$119.0K0.1%History
PRKPark National CorpCOM0$117.0K0.1%History
AmerisourceBergen Corp Com001140859Stock76$114.0K0.1%–
CFRCullen/Frost Bankers, Inc.COM0$112.0K0.1%History
CNICanadian National Railway CoStock0$106.0K<0.1%History
MXIMMaxim Integrated Products IncCOM0$105.0K<0.1%History
SPPPSprott Physical Platinum & Palladium TrustPHYSICAL PLATINU0$100.0K<0.1%History
Shutterstock Inc Com001549346Stock0$98.0K<0.1%–
Horizon Therapeutics Pub Ltd Shs001492426Stock4$94.0K<0.1%–
ProShares Tr74347R735PSHS ULT HLTHCRE434$93.0K<0.1%–
Cgi Inc CL A Sub VTG001061574Stock152$91.0K<0.1%–
Quanta Svcs Inc00748E106Stock112$91.0K<0.1%–
MSMMSC Industrial Direct Co IncCL A0$90.0K<0.1%History
Syneos Health Inc001610950Stock39$89.0K<0.1%–
WELPMWisconsin Electric Power CoStock4$89.0K<0.1%History
Raytheon Technologies Com00755E105COM0$85.0K<0.1%–
BOHBank of Hawaii CorpCOM0$84.0K<0.1%History
Joint Corp Com001612630Stock44$84.0K<0.1%–
Livanova PLC Shs001639691ADR108$84.0K<0.1%–
ARWRArrowhead Pharmaceuticals, Inc.Stock8$83.0K<0.1%History
Otis Worldwide Corp Com001781335Stock121$82.0K<0.1%–
SRPTSarepta Therapeutics, Inc.COM0$78.0K<0.1%History
GDS Hldgs Ltd Sponsored ADR001526125ADR70$78.0K<0.1%–
APPSDigital Turbine, Inc.Stock9$76.0K<0.1%History
Tencent Hldgs Ltd ADR001293451ADR35$75.0K<0.1%–
EWBCEast West Bancorp IncCOM0$72.0K<0.1%History
Snap Inc CL A001564408Stock56$68.0K<0.1%–
Innovator ETFs Trust45782C508US EQTY PWR BUF2,051$67.0K<0.1%–
Intercontinental HTLS Grp000858446ADR133$67.0K<0.1%–
State Street SPDR S&P Regional Banking ETF78464A698ETF1,236$66.0K<0.1%–
BIGGQFormer BL Stores IncCOM0$66.0K<0.1%History
AMRCAmeresco, Inc.COM0$63.0K<0.1%History
Powershares ETF Tr II73937B779CEF2$61.0K<0.1%–
First Tr Exchange Traded FD33738R662INTL DEV STRNGTH72$60.0K<0.1%–
BHP Billiton PLC00555E212ADR0$60.0K<0.1%–
Progyny Inc Com00743E107COM49$59.0K<0.1%–
Hannon Armstrong Sust Infr Cap Com001561894Stock2$56.0K<0.1%–
JPMorgan Corporate Bond Research EnhanceCUSIP4664ETF35$56.0K<0.1%–
Innovator ETFs Trust45782C466GRWT100 PWR BF1,364$55.0K<0.1%–
Artisan Partners Asset Mgmt001517302Stock1$51.0K<0.1%–
Avangrid Inc Com001634997Stock0$51.0K<0.1%–
Claymore Exchange TRD FD Tr Gugg Ultr SH Dur18383M654CEF1,429$50.0K<0.1%–
Absolute Shs Tr00400R874WBI BBR GBL INME1,979$49.0K<0.1%–
Vimeo Inc Common Stock001837686Stock0$49.0K<0.1%–
Tpi Composites Inc Com001455684Stock0$48.0K<0.1%–
Axos Finl Inc001299709Stock222$46.0K<0.1%–
GLPIGaming & Leisure Properties, Inc.Stock7$46.0K<0.1%History
Innovator ETFs Trust45782C516EMRGNG MKT JAN1,453$45.0K<0.1%–
NEONeogenomics IncStock7$45.0K<0.1%History
Knight Swift Transn001492691Stock10$45.0K<0.1%–
Envista Hldgs Corp Com001757073Stock70$43.0K<0.1%–
Brookfield Renewable Corp CL A Sub VTG001791863Stock0$42.0K<0.1%–
Heinz H J Co Com423074103Stock27$41.0K<0.1%–
Absolute Shs Tr00400R601WBI BBR VAL 30001,248$40.0K<0.1%–
Absolute Shs Tr00400R809WBI BBR QTY 30001,279$39.0K<0.1%–
Invitation Homes Inc Com001687229Stock2$37.0K<0.1%–
Absolute Shs Tr00400R700WBI BBR YLD 30001,366$36.0K<0.1%–
Federated Hermes Inc CL B001056288Stock1$34.0K<0.1%–
Invitae Corp Com001501134Stock0$34.0K<0.1%–
VanEck Vectors ETF Tr JP Morgan MKTS92189F494CEF23$31.0K<0.1%–
Global X FDS FTSENORD30 ETF00380E105ETF1$31.0K<0.1%–
Powershares S&P International Developed00461E234ETF4$31.0K<0.1%–
Veolia Environment001160110ADR451$30.0K<0.1%–
Jumia Technologies AG Sponsored ADS001756708ADR428$30.0K<0.1%–
Sonic Healthcare Ltd Sponsored ADR001450487ADR345$29.0K<0.1%–
First Hawaiian Inc Com000036377Stock1$28.0K<0.1%–
iShares Tr46435U432IBONDS DEC 25342$27.0K<0.1%–
Symantec Corp Com871503108Stock14$27.0K<0.1%–
Azure PWR Global Ltd Shs001633438Stock0$27.0K<0.1%–
VREXVarex Imaging CorpStock129$27.0K<0.1%History