Skip to main content
Livermore
Livermore
ZHEN

Sofos Investments, Inc.

SEC CIK
0001741736
Latest filing
May 8, 2026

Holdings in Q1 2026

Holdings as of Mar 31, 2026, filed May 8, 2026. Long positions only; changes compare share counts with Q4 2025.

Institution overview
Positions
972
+184 vs. Q4 2025
Portfolio value
$562.0M
+$42.5M (+8.2%) vs. Q4 2025
Filed
May 8, 2026
SEC
Holdings of Sofos Investments, Inc. in Q1 2026
SecurityClassSharesValue% of portfolioShare changeActionHistory
iShares Tr46435G672CORE INTL AGGR629,064$31.5M5.6%+16,398+2.7%Added–
DBX ETF Tr233051432XTRACK USD HIGH770,421$27.9M5.0%+25,104+3.4%Added–
iShares Tr46434V4070-5YR HI YL CP541,783$22.9M4.1%+15,099+2.9%Added–
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853ETF413,944$20.0M3.6%+26,446+6.8%Added–
WisdomTree Tr97717W588US LARGECAP FUND286,548$19.5M3.5%+10,480+3.8%Added–
iShares Tr46429B7470-5 YR TIPS ETF186,235$19.3M3.4%+5,803+3.2%Added–
DBX ETF Tr233051267XTRACKERS LOW409,131$19.1M3.4%+21,832+5.6%Added–
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375ETF567,434$19.0M3.4%+29,377+5.5%Added–
State Street SPDR Portfolio S&P 400 Mid Cap ETF78464A847ETF299,322$17.7M3.2%+12,159+4.2%Added–
State Street SPDR Portfolio S&P 500 Growth ETF78464A409ETF163,078$16.0M2.8%+8,128+5.2%Added–
Vanguard Emerging Markets Government Bond ETF921946885ETF223,444$14.7M2.6%+7,148+3.3%Added–
SPDR Index Shs FDS78463X509ST PORT MARK ETF304,934$14.3M2.5%+6,037+2.0%Added–
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF308,980$14.1M2.5%+10,787+3.6%Added–
SPDR Series Trust78464A144ST STR CORPO ETF442,070$12.8M2.3%+16,811+4.0%Added–
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF185,363$10.5M1.9%+9,205+5.2%Added–
iShares Tr46435G102CONV BD ETF88,465$9.00M1.6%+2,539+3.0%Added–
TSLATesla, Inc.Stock23,592$8.77M1.6%−94−0.4%ReducedHistory
iShares Core MSCI Europe ETF46434V738ETF120,171$8.44M1.5%+4,203+3.6%Added–
AMZNAmazon Com IncStock37,979$7.91M1.4%+3,826+11.2%AddedHistory
Schwab808515605Cash Sweep7,499,604$7.50M1.3%+5,868,138+359.7%Added–
NVSNovartis AGADR47,971$7.33M1.3%−466−1.0%ReducedHistory
AAPLApple Inc.Stock27,738$7.04M1.3%+2,129+8.3%AddedHistory
MSFTMicrosoft CorpStock17,171$6.36M1.1%+957+5.9%AddedHistory
TSMTaiwan Semiconductor Manufacturing Co LtdADR16,408$5.55M1.0%−656−3.8%ReducedHistory
SPYSPDR S&P 500 ETF TrustETF7,731$5.03M0.9%+5,857+312.5%AddedHistory
Vanguard Scottsdale FDS92206C102SHORT TERM TREAS84,988$4.98M0.9%+234+0.3%Added–
Vanguard Mortgage-Backed Securities ETF92206C771ETF105,910$4.97M0.9%+663+0.6%Added–
iShares Tr46434V696CORE MSCI PAC64,847$4.96M0.9%+7,013+12.1%Added–
Vanguard Short-Term Bond ETF921937827ETF62,860$4.93M0.9%−129−0.2%Reduced–
iShares Tr46434V860TRS FLT RT BD97,346$4.93M0.9%+1,071+1.1%Added–
iShares Tr46434V878ULTRA SHORT DUR96,067$4.86M0.9%+77+0.1%Added–
UPWKUpwork, IncCOM424,762$4.66M0.8%+23,097+5.8%AddedHistory
GOOGAlphabet Inc.Stock15,802$4.53M0.8%−658−4.0%ReducedHistory
WMTWalmart Inc.Stock36,294$4.51M0.8%−869−2.3%ReducedHistory
ASMLASML Holding NVADR3,404$4.50M0.8%−29−0.8%ReducedHistory
BRK.BBerkshire Hathaway IncStock9,111$4.37M0.8%+209+2.3%AddedHistory
ARMArm Holdings PLCADR26,766$4.05M0.7%+227+0.9%AddedHistory
MRNAModerna, Inc.Stock77,066$3.91M0.7%−1,471−1.9%ReducedHistory
METAMeta Platforms, Inc.Stock6,793$3.89M0.7%−7−0.1%ReducedHistory
SHWSherwin Williams CoCOM12,021$3.85M0.7%00.0%UnchangedHistory
NFLXNetflix IncStock39,150$3.76M0.7%+446+1.2%AddedHistory
JNJJohnson & JohnsonStock15,272$3.73M0.7%00.0%UnchangedHistory
MARMarriott International IncStock10,838$3.54M0.6%−26−0.2%ReducedHistory
AZNAstraZeneca PLCADR16,601$3.27M0.6%00.0%UnchangedConverted for a 1-for-2 splitHistory
MMM3M CoStock20,627$3.00M0.5%+329+1.6%AddedHistory
KOCoca Cola CoStock38,367$2.92M0.5%−104−0.3%ReducedHistory
iShares Core S&P 500 ETF464287200ETF4,353$2.84M0.5%−166−3.7%Reduced–
BABoeing CoStock14,145$2.82M0.5%+152+1.1%AddedHistory
CLColgate Palmolive CoStock30,487$2.60M0.5%+729+2.4%AddedHistory
PGProcter & Gamble CoStock17,592$2.54M0.5%+113+0.6%AddedHistory
SYKStryker CorpStock7,630$2.51M0.4%−310−3.9%ReducedHistory
SBUXStarbucks CorpStock27,926$2.50M0.4%−95−0.3%ReducedHistory
TFINTriumph Financial, Inc.COM41,557$2.48M0.4%00.0%UnchangedHistory
SMGScotts Miracle-Gro CoStock39,830$2.42M0.4%−168−0.4%ReducedHistory
DISWalt Disney CoStock25,040$2.41M0.4%+1,088+4.5%AddedHistory
SPDR Series Trust78464A805ST STR PR SP150030,383$2.40M0.4%−1,629−5.1%Reduced–
Cliffwater Corporate Len186854204BOND FUNDS223,776$2.36M0.4%+217,285+3,347.5%Added–
ADSKAutodesk, Inc.COM9,753$2.33M0.4%+407+4.4%AddedHistory
ULUnilever PLCSPON ADR NEW39,298$2.24M0.4%+807+2.1%AddedHistory
FSKFS KKR Capital CorpCOM218,509$2.22M0.4%+184,605+544.5%AddedHistory
CMGChipotle Mexican Grill IncCOM66,623$2.13M0.4%+1,476+2.3%AddedHistory
CRMSalesforce, Inc.Stock11,245$2.10M0.4%+744+7.1%AddedHistory
INTUIntuit Inc.Stock4,809$2.08M0.4%+490+11.3%AddedHistory
Apollo Diversified Credit FD CL A39822Y109NTF EQUITY FUNDS88,863$1.99M0.4%+50,429+131.2%Added–
NKENIKE, Inc.Stock37,710$1.99M0.4%+2,162+6.1%AddedHistory
BBDCBarings BDC, Inc.COM240,300$1.98M0.4%+220,539+1,116.0%AddedHistory
DEODiageo PLCSPON ADR NEW26,052$1.94M0.3%+1,640+6.7%AddedHistory
NVONovo Nordisk A SADR51,858$1.91M0.3%+5,838+12.7%AddedHistory
Invesco Steelpath MLP Income A00143K343NTF EQUITY FUNDS279,327$1.89M0.3%+15,878+6.0%Added–
BPREBluerock Private Real Estate FundCOM112,043$1.86M0.3%+43,399+63.2%AddedHistory
Griffin Inst'L Access Real Estate Fund Class A Shares39822J102M64,176$1.55M0.3%+19,976+45.2%Added–
Etfis Ser Tr I26923G822VIRTUS INFRCAP76,001$1.55M0.3%+71,484+1,582.6%Added–
Midas59562C109NTF EQUITY FUNDS338,655$1.32M0.2%00.0%Unchanged–
Vanguard Index FDS Tot Stkidx922908728COM7,818$1.22M0.2%+24+0.3%Added–
iShares MSCI USA Quality Factor ETF46432F339ETF5,679$1.09M0.2%−92−1.6%Reduced–
BNP Paribas Note Conv Index LNKD05601WW64NOTE CONV INDEX LNKD775,000$1.02M0.2%00.0%Unchanged–
XOMExxonMobil Holdings CorpCOM5,972$1.01M0.2%+1,742+41.2%AddedHistory
Apollo Diversified Credit Fund CL C39822Y208MUTUAL FUND42,078$944.2K0.2%+40,793+3,174.6%Added–
SPDR Series Trust78464A755ST STR SP METAL8,009$865.1K0.2%+8,009New–
FRBPFranklin BSP Capital CorpCommon Stock63,194$858.2K0.2%+36,670+138.3%AddedHistory
Tidal Trust III45259A316VISTASHARES TARG49,092$854.2K0.2%+49,092New–
WPCW. P. Carey Inc.COM12,112$823.1K0.1%−159−1.3%ReducedHistory
ARCCAres Capital CorpCEF45,620$822.1K0.1%+45,020+7,503.3%AddedHistory
IAUiShares Gold TrustETF9,000$793.4K0.1%+9,000NewHistory
CVXChevron CorpStock3,774$780.9K0.1%+3,353+796.4%AddedHistory
First Eagle Credit Opportunities Fd I32010B106Com33,828$745.9K0.1%−14,176−29.5%Reduced–
Fidelity Advisor Technology - I316391762EQUITY FUNDS18,087$719.2K0.1%+18,087New–
OBDCBlue Owl Capital CorpCOM61,458$679.7K0.1%+57,285+1,372.8%AddedHistory
VanEck ETF Trust92189F106GOLD MINERS ETF7,100$651.6K0.1%+7,000+7,000.0%Added–
BNP Paribas Note Conv Index LNKD05592Q7K5NOTE CONV INDEX LNKD450,000$633.8K0.1%00.0%Unchanged–
VanEck ETF Trust92189F791JUNIOR GOLD MINE5,115$614.0K0.1%+5,115New–
Vanguard S&P 500 ETF922908363ETF1,005$600.3K0.1%−11−1.1%Reduced–
Schwab US Dividend Equity ETF808524797ETF19,157$587.7K0.1%−150−0.8%Reduced–
CIONCION Investment CorpCOM85,834$587.1K0.1%+61,785+256.9%AddedHistory
J P Morgan Exchange Traded F46641Q332EQUITY PREMIUM10,213$578.9K0.1%+9,694+1,867.8%Added–
INTCIntel CorpStock13,062$576.4K0.1%00.0%UnchangedHistory
Vanguard Morningstar Value ETF922908744ETF2,919$572.6K0.1%+2+0.1%Added–
NVDANVIDIA CorpStock3,253$567.4K0.1%+941+40.7%AddedHistory
FROFrontline plcCOM16,000$557.8K0.1%+15,000+1,500.0%AddedHistory
Cantor Silverstein Opportunity Zone Trust II, Inc001780843REAL ESTATE INVESTME20,683$555.9K0.1%+20,683New–

Sold out since Q4 2025 (59)

Positions held at the end of Q4 2025 that are gone from this filing.

Positions of Sofos Investments, Inc. sold out since Q4 2025
SecurityClassShares in Q4 2025Value in Q4 2025% of portfolio in Q4 2025History
Schwab Charles Family FD Treas808515480Cash Sweep2,236,011$2.24M0.4%–
0000000000Stock419,517$475.0K0.1%–
Put Tesla Inc 250 Exp 01/20/230NONUMBEROEQ22,000$301.8K0.1%–
Guggenheim Defined P Unit 2098 Dividend Growth Port Ser 19 Monthly Re40176W319UIT STOCK21,599$280.4K0.1%–
US Treasur NT 4.25 01/26UST Note Due 01/31/2691282CJV4COM194,000$194.0K<0.1%–
First Tr Exchange-Traded FD336917109SHS1,372$60.8K<0.1%–
American Fd Washington939330106COM770$50.2K<0.1%–
United States Treas NTS91282CGR6US Government Note/Bond50,000$50.1K<0.1%–
BXBlackstone Inc.COM235$36.2K<0.1%History
J P Morgan Exchange Traded F46641Q647MUNICIPAL ETF565$28.5K<0.1%–
First Tr Exchange-Traded FD33733E732WCM INTL EQUITY1,483$25.2K<0.1%–
ODFLOld Dominion Freight Line, Inc.COM160$25.1K<0.1%History
First Tr Exchange-Traded FD33739Q705FT VEST S&P 500491$24.1K<0.1%–
Fidelity Large Cap Growth Idx31635V729Equities518$24.0K<0.1%–
First Tr Exchange-Traded FD33738D788CORE INVESTMENT947$20.1K<0.1%–
Fidelity Select Brokerage & Inv Mgmt316390855EQUITY FUNDS100$19.0K<0.1%–
BJBJ's Wholesale Club Holdings, Inc.COM200$18.0K<0.1%History
Fidelity STK Sel SM Cap315912303COM419$17.7K<0.1%–
OHIOmega Healthcare Investors IncCOM385$17.1K<0.1%History
Beaufort Cnty S C Go Adv Ref BDS074347F75GO ADV REF BDS15,000$15.0K<0.1%–
J P Morgan Exchange Traded F46641Q654ULTRA SHT MUNCPL270$13.8K<0.1%–
APAAPA CorpStock500$12.2K<0.1%History
First Trust Nasdaq-100 Technology Sector Index Fund337345102ETF50$11.5K<0.1%–
Fidelity Covington Trust316092873MSCI COMMNTN SVC151$11.1K<0.1%–
RKTRocket Companies, Inc.Stock553$10.7K<0.1%History
PECOPhillips Edison & Company, Inc.COMMON STOCK300$10.7K<0.1%History
Lord Abbett Ultra Short Bond I54401E457Mutual Fund999$10.0K<0.1%–
SFIXStitch Fix, Inc.Stock1,850$9.71K<0.1%History
First Trust Portfolios Unit 11884 AI Robotics & Technology Opportunity30339J610UIT STOCK764$8.92K<0.1%–
First Trust Portfolios Unit 11988 Vest Large Cap Buffered 10 Portfolio30340C182UIT STOCK733$8.15K<0.1%–
First Trust Portfolios Unit 11967 Cap Strength Opportunity Port Ser 3630339X239UIT STOCK761$8.08K<0.1%–
iShares Trust iShares 0-1 Year Treasury Bond ETF464288679ETF66$7.27K<0.1%–
TMUST-Mobile US, Inc.Stock35$7.11K<0.1%History
Honeywell Intern 4.25 29 Due 01/15/29438516CL8CORPORATE BONDS7,000$7.05K<0.1%–
The Goldman Sachs Var 28 Due 02/28/2838141GPC2CORPORATE BONDS7,000$6.37K<0.1%–
iShares U.S. Healthcare Providers ETF464288828ETF115$5.51K<0.1%–
iShares Tr464289867CORE 60 BALA ETF80$5.20K<0.1%–
NIONIO Inc.ADR1,000$5.10K<0.1%History
Aledo Tex Indpt SCH 0 26GO Utx Due 02/15/26OID014464UH2MUNI BONDS5,000$4.98K<0.1%–
ETNEaton Corp plcStock15$4.78K<0.1%History
Schwab Fundamental International Equity ETF808524755ETF102$4.61K<0.1%–
NOWServiceNow, Inc.Stock25$3.83K<0.1%History
Schwab U.S. Small-Cap ETF808524607ETF98$2.79K<0.1%–
Lord Abbett Short Duration High Yield I54401T504NTF BOND FUNDS256$2.50K<0.1%–
SJTSan Juan Basin Royalty TrustUNIT BEN INT366$2.06K<0.1%History
AAPLApple Inc.cb2,000$2.00K<0.1%History
Schwab Fundamental Emerging Markets Equity ETF808524730ETF37$1.33K<0.1%–
Toews Tactical Oceana66537V591Mutual Fund114$1.29K<0.1%–
Schwab Fundamental U.S. Small Company ETF808524763ETF38$1.20K<0.1%–
Public Fin Auth 4.25 34MULT HSG Due 07/01/34OID Xtro74443FBF2MUNI BONDS1,000$1.00K<0.1%–
Schwab Emerging Markets Equity ETF808524706ETF25$819<0.1%–
Invesco Main Street Fund Class A00141B725M9$581<0.1%–
KULRKULR Technology Group, Inc.COM150$444<0.1%History
NLOPNet Lease Office PropertiesCOM10$258<0.1%History
Lord Abbett High Yield F54400N508BOND FUNDS3$21<0.1%–
PIMCO Investment Grade Credit Bond I-272201M685BOND FUNDS1$11<0.1%–
Legg Mason Western Asset Core Plus Bond Portfolio Class I957663503M1$9<0.1%–
PIMCO International Bond (Usd-HDG) I-272201M784BOND FUNDS1$6<0.1%–
Digatrade Finl Corp Xxxregistration Revoked by the Sec Eff: 07/01/2525381C109FOREIGN CANADIAN300,000$00.0%–