Gladstone Institutional Advisory LLC
- SEC CIK
- 0001766530
- Latest filing
- Jul 27, 2026
Holdings in Q3 2021
Holdings as of Sep 30, 2021, filed Jan 30, 2023. Long positions only; changes compare share counts with Q2 2021.
- Positions
- 544
- +28 vs. Q2 2021
- Portfolio value
- $1.02B
- +$190.8M (+22.9%) vs. Q2 2021
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| AAPLApple Inc. | Stock | 203,869 | $28.8M | 2.8% | +40,133+24.5% | Added | History |
| SPYSPDR S&P 500 ETF Trust | ETF | 54,513 | $23.4M | 2.3% | +15,118+38.4% | Added | History |
| AMZNAmazon Com Inc | Stock | 6,581 | $21.6M | 2.1% | +1,408+27.2% | Added | History |
| MSFTMicrosoft Corp | Stock | 72,101 | $20.3M | 2.0% | +23,979+49.8% | Added | History |
| First Tr Exchange-Traded FD33738D408 | FIRST TR TA HIYL | 365,575 | $17.6M | 1.7% | +10,069+2.8% | Added | – |
| iShares Core S&P 500 ETF464287200 | ETF | 37,341 | $16.1M | 1.6% | +9,134+32.4% | Added | – |
| iShares S&P 500 Growth ETF464287309 | ETF | 212,114 | $15.7M | 1.5% | +38,033+21.8% | Added | – |
| First Tr Exchng Traded FD VI33740U109 | TCW SECURITIZED | 533,743 | $13.8M | 1.4% | −8,081−1.5% | Reduced | – |
| iShares Core S&P Mid-Cap ETF464287507 | ETF | 50,078 | $13.2M | 1.3% | +8,370+20.1% | Added | – |
| First Trust Dow Jones Internet Index Fund33733E302 | ETF | 52,880 | $12.5M | 1.2% | +1,140+2.2% | Added | – |
| METAMeta Platforms, Inc. | Stock | 36,144 | $12.3M | 1.2% | +13,738+61.3% | Added | History |
| GOOGLAlphabet Inc. | Stock | 4,470 | $12.0M | 1.2% | +1,461+48.6% | Added | History |
| First Tr Exchange-Traded FD33738D309 | SENIOR LN FD | 226,079 | $10.8M | 1.1% | +1,520+0.7% | Added | – |
| iShares S&P 500 Value ETF464287408 | ETF | 71,682 | $10.4M | 1.0% | +19,183+36.5% | Added | – |
| First Tr Exch Traded FD III33739E108 | PFD SECS INC ETF | 496,630 | $10.2M | 1.0% | +131,754+36.1% | Added | – |
| First Tr Exchange-Traded FD33734H106 | SHS | 254,102 | $9.96M | 1.0% | −28,272−10.0% | Reduced | – |
| First Tr Exchange-Traded FD33739Q408 | FIRST TR ENH NEW | 154,941 | $9.29M | 0.9% | −11,163−6.7% | Reduced | – |
| First Tr Exchange Trad FD VI33739H101 | FST TR GLB FD | 363,274 | $8.76M | 0.9% | +12,716+3.6% | Added | – |
| Schwab U.S. Large-Cap Value ETF808524409 | ETF | 128,656 | $8.68M | 0.8% | −1,315−1.0% | Reduced | – |
| ARK ETF Tr00214Q302 | GENOMIC REV ETF | 113,607 | $8.49M | 0.8% | −33,962−23.0% | Reduced | – |
| PIMCO Enhanced Short Maturity Active Exchange-Traded Fund72201R833 | ETF | 81,897 | $8.35M | 0.8% | +3,716+4.8% | Added | – |
| Vanguard S&P 500 ETF922908363 | ETF | 21,070 | $8.31M | 0.8% | +7,656+57.1% | Added | – |
| NVDANVIDIA Corp | Stock | 37,985 | $7.87M | 0.8% | +14,925+64.7% | AddedConverted for a 4-for-1 split | History |
| State Street SPDR Portfolio Developed World Ex-US ETF78463X889 | ETF | 216,075 | $7.82M | 0.8% | +3,900+1.8% | Added | – |
| iShares Core S&P Small Cap ETF464287804 | ETF | 70,953 | $7.75M | 0.8% | +33,197+87.9% | Added | – |
| First Trust Rising Dividend Achievers ETF33738R506 | ETF | 161,125 | $7.65M | 0.7% | +20,070+14.2% | Added | – |
| WisdomTree Tr97717Y691 | CLOUD COMPUTNG | 131,485 | $7.58M | 0.7% | +5,588+4.4% | Added | – |
| Schwab U.S. Large-Cap Growth ETF808524300 | ETF | 48,956 | $7.25M | 0.7% | −1,994−3.9% | Reduced | – |
| First Tr Exchange-Traded Alp33734K109 | COM SHS | 84,873 | $7.24M | 0.7% | −1,457−1.7% | Reduced | – |
| HDHome Depot, Inc. | Stock | 20,795 | $6.83M | 0.7% | +10,931+110.8% | Added | History |
| iShares Russell 1000 Growth ETF464287614 | ETF | 24,901 | $6.82M | 0.7% | +23+0.1% | Added | – |
| First Tr Exchng Traded FD VI33740F805 | SMITH OPPORT FXD | 127,407 | $6.82M | 0.7% | +5,948+4.9% | Added | – |
| First Tr Exchange-Traded FD33733E104 | CAP STRENGTH ETF | 90,844 | $6.80M | 0.7% | +455+0.5% | Added | – |
| iShares Core MSCI Eafe ETF46432F842 | ETF | 90,972 | $6.75M | 0.7% | +18,136+24.9% | Added | – |
| First Tr Exchng Traded FD VI33740F870 | LOW DUR STRTGC | 334,715 | $6.75M | 0.7% | −7,526−2.2% | Reduced | – |
| iShares MSCI USA Min Vol Factor ETF46429B697 | ETF | 91,135 | $6.70M | 0.7% | −1,280−1.4% | Reduced | – |
| iShares Core MSCI Emerging Markets ETF46434G103 | ETF | 104,066 | $6.43M | 0.6% | +5,734+5.8% | Added | – |
| JNJJohnson & Johnson | Stock | 39,461 | $6.37M | 0.6% | +9,558+32.0% | Added | History |
| TSLATesla, Inc. | Stock | 8,135 | $6.31M | 0.6% | +1,665+25.7% | Added | History |
| JPMJPMorgan Chase & Co | Stock | 36,484 | $5.97M | 0.6% | +10,848+42.3% | Added | History |
| VVisa Inc. | Stock | 26,063 | $5.81M | 0.6% | +9,230+54.8% | Added | History |
| DISWalt Disney Co | Stock | 31,890 | $5.39M | 0.5% | +11,224+54.3% | Added | History |
| iShares Tr464287150 | CORE S&P TTL STK | 54,628 | $5.37M | 0.5% | +4,299+8.5% | Added | – |
| First Tr Exchange-Traded FD33733B100 | WTR ETF | 61,555 | $5.24M | 0.5% | +53,559+669.8% | Added | – |
| XOMExxonMobil Holdings Corp | COM | 86,766 | $5.10M | 0.5% | +7,651+9.7% | Added | History |
| Vanguard Morningstar Value ETF922908744 | ETF | 37,515 | $5.08M | 0.5% | +2,039+5.7% | Added | – |
| iShares Core Dividend Growth ETF46434V621 | ETF | 99,458 | $5.00M | 0.5% | +14,369+16.9% | Added | – |
| CRMSalesforce, Inc. | Stock | 18,357 | $4.98M | 0.5% | +7,893+75.4% | Added | History |
| Vanguard Morningstar Total Stock Market ETF922908769 | ETF | 21,770 | $4.83M | 0.5% | −1,635−7.0% | Reduced | – |
| iShares Core U.S. Aggregate Bond ETF464287226 | ETF | 41,628 | $4.78M | 0.5% | +6,668+19.1% | Added | – |
| State Street SPDR S&P 400 Mid Cap Value ETF78464A839 | ETF | 71,776 | $4.75M | 0.5% | +1,436+2.0% | Added | – |
| First Tr Exchange-Traded FD33739Q507 | SSI STRG ETF | 93,021 | $4.72M | 0.5% | +2,574+2.8% | Added | – |
| ADBEAdobe Inc. | Stock | 8,153 | $4.69M | 0.5% | +5,734+237.0% | Added | History |
| First Trust Nasdaq-100 Technology Sector Index Fund337345102 | ETF | 29,747 | $4.69M | 0.5% | +13,132+79.0% | Added | – |
| First Tr Exchange-Traded Alp33737M102 | MID CP GR ALPH | 65,027 | $4.68M | 0.5% | +27,830+74.8% | Added | – |
| iShares Russell 1000 Value ETF464287598 | ETF | 29,841 | $4.67M | 0.5% | +514+1.8% | Added | – |
| DIASPDR Dow Jones Industrial Average ETF Trust | UT SER 1 | 13,805 | $4.67M | 0.5% | +703+5.4% | Added | History |
| PGProcter & Gamble Co | Stock | 33,336 | $4.66M | 0.5% | +19,014+132.8% | Added | History |
| Vanguard Morningstar Growth ETF922908736 | ETF | 15,572 | $4.52M | 0.4% | +1,068+7.4% | Added | – |
| PYPLPayPal Holdings, Inc. | Stock | 17,177 | $4.47M | 0.4% | +6,102+55.1% | Added | History |
| iShares Russell 2000 ETF464287655 | ETF | 20,368 | $4.46M | 0.4% | +1,430+7.6% | Added | – |
| Invesco Exchange Traded FD T46137V357 | S&P500 EQL WGT | 29,097 | $4.36M | 0.4% | −1,464−4.8% | Reduced | – |
| First Trust Cloud Computing ETF33734X192 | ETF | 41,077 | $4.33M | 0.4% | −80−0.2% | Reduced | – |
| Exchange Traded Concepts Tru301505889 | EMQQ EME MAR ETF | 87,282 | $4.33M | 0.4% | +10,108+13.1% | Added | – |
| Schwab U.S. Small-Cap ETF808524607 | ETF | 41,979 | $4.20M | 0.4% | +2,005+5.0% | Added | – |
| PFEPfizer Inc | Stock | 95,409 | $4.10M | 0.4% | +27,085+39.6% | Added | History |
| First Tr Exchange-Traded FD33733A201 | DOW 30 EQL WGT | 135,811 | $4.07M | 0.4% | −742−0.5% | Reduced | – |
| UNPUnion Pacific Corp | Stock | 20,756 | $4.07M | 0.4% | +11,569+125.9% | Added | History |
| CMCSAComcast Corp | Stock | 71,975 | $4.03M | 0.4% | +39,525+121.8% | Added | History |
| MDTMedtronic plc | Stock | 32,110 | $4.03M | 0.4% | +21,780+210.8% | Added | History |
| UNHUnitedHealth Group Inc | Stock | 10,111 | $3.95M | 0.4% | +3,505+53.1% | Added | History |
| iShares MSCI USA Quality Factor ETF46432F339 | ETF | 29,590 | $3.90M | 0.4% | +5,830+24.5% | Added | – |
| DHRDanaher Corp | Stock | 12,776 | $3.89M | 0.4% | +11,274+750.6% | Added | History |
| GOOGAlphabet Inc. | Stock | 1,442 | $3.84M | 0.4% | +536+59.2% | Added | History |
| First Tr Exchange-Traded Alp33735K108 | COM SHS | 34,160 | $3.79M | 0.4% | +20,799+155.7% | Added | – |
| First Tr Exchng Traded FD VI33740F789 | MLT MNGD LRG GRW | 139,031 | $3.79M | 0.4% | −3,163−2.2% | Reduced | – |
| ETF Ser Solutions26922A321 | DISTILLATE US | 91,643 | $3.75M | 0.4% | +1,574+1.7% | Added | – |
| TXNTexas Instruments Inc | Stock | 18,146 | $3.49M | 0.3% | +11,513+173.6% | Added | History |
| DNAGinkgo Bioworks Holdings, Inc. | CL A SHS | 294,749 | $3.42M | 0.3% | +294,749 | New | History |
| GLDSPDR Gold Trust | ETF | 20,655 | $3.39M | 0.3% | +78+0.4% | Added | History |
| CSCOCisco Systems, Inc. | Stock | 60,746 | $3.31M | 0.3% | +26,900+79.5% | Added | History |
| TMOThermo Fisher Scientific Inc. | Stock | 5,767 | $3.29M | 0.3% | +3,909+210.4% | Added | History |
| CVXChevron Corp | Stock | 31,709 | $3.22M | 0.3% | +12,722+67.0% | Added | History |
| NEENextera Energy Inc | Stock | 40,890 | $3.21M | 0.3% | +27,327+201.5% | Added | History |
| LOWLowes Companies Inc | Stock | 15,793 | $3.20M | 0.3% | +9,624+156.0% | Added | History |
| UPSTUpstart Holdings, Inc. | COM | 10,100 | $3.20M | 0.3% | +3,500+53.0% | Added | History |
| SPDR Series Trust78464A821 | ST STR SP400GRW | 41,181 | $3.12M | 0.3% | +589+1.5% | Added | – |
| State Street SPDR S&P 600 Small Cap Value ETF78464A300 | ETF | 37,917 | $3.11M | 0.3% | +809+2.2% | Added | – |
| BRK.BBerkshire Hathaway Inc | Stock | 11,378 | $3.11M | 0.3% | +3,947+53.1% | Added | History |
| VZVerizon Communications Inc | Stock | 56,603 | $3.06M | 0.3% | −2,845−4.8% | Reduced | History |
| VanEck Morningstar Wide Moat ETF92189F643 | ETF | 41,251 | $3.02M | 0.3% | +2,256+5.8% | Added | – |
| MRKMerck & Co., Inc. | Stock | 39,661 | $2.98M | 0.3% | +3,639+10.1% | Added | History |
| DMTKDermTech, Inc. | COM | 92,267 | $2.96M | 0.3% | +8,151+9.7% | Added | History |
| ORCLOracle Corp | Stock | 33,890 | $2.95M | 0.3% | +19,886+142.0% | Added | History |
| First Tr Exch Traded FD III33739P301 | MUNI HI INCM ETF | 52,892 | $2.95M | 0.3% | +198+0.4% | Added | – |
| COSTCostco Wholesale Corp | Stock | 6,556 | $2.95M | 0.3% | +4,162+173.9% | Added | History |
| First Tr Exch Traded FD III33739N108 | MANAGD MUN ETF | 51,666 | $2.93M | 0.3% | −6,551−11.3% | Reduced | – |
| NFLXNetflix Inc | Stock | 4,723 | $2.88M | 0.3% | +2,964+168.5% | Added | History |
| ACNAccenture plc | Stock | 9,003 | $2.88M | 0.3% | +6,362+240.9% | Added | History |
| BLKBlackRock, Inc. | COM | 3,421 | $2.87M | 0.3% | +2,142+167.5% | Added | History |
Sold out since Q2 2021 (77)
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 |
|---|---|---|---|---|---|
| Soaring Eagle Acquisition CoG8354H126 | CL A SHS | 289,250 | $2.88M | 0.3% | – |
| First Tr Exchange-Traded FD33734X150 | INDLS PROD DUR | 43,377 | $2.56M | 0.3% | – |
| First Tr Exchange Traded FD33738R795 | NASDAQ TRANSN | 73,613 | $2.50M | 0.3% | – |
| First Trust Financials Alphadex Fund33734X135 | ETF | 51,449 | $2.25M | 0.3% | – |
| APRApria, Inc. | COM | 76,590 | $2.15M | 0.3% | History |
| Invesco Exchange Traded FD T46137V258 | S&P500 PUR VAL | 21,281 | $1.64M | 0.2% | – |
| Invesco Exch TRD SLF Idx FD46138J841 | BULSHS 2024 CB | 52,765 | $1.17M | 0.1% | – |
| METMetlife Inc | Stock | 14,214 | $851.0K | 0.1% | History |
| AIGAmerican International Group, Inc. | Stock | 17,572 | $836.0K | 0.1% | History |
| FOXAFox Corp | CL A COM | 22,049 | $819.0K | 0.1% | History |
| ALXNAlexion Pharmaceuticals, Inc. | COM | 4,248 | $780.0K | 0.1% | History |
| Sandbridge Acquisition Corp799793104 | COM CL A | 70,500 | $704.0K | 0.1% | – |
| KHCKraft Heinz Co | Stock | 16,129 | $658.0K | 0.1% | History |
| ATVIActivision Blizzard, Inc. | COM | 6,507 | $621.0K | 0.1% | History |
| ETJEaton Vance Risk-Managed Diversified Equity Income Fund | COM | 52,471 | $604.0K | 0.1% | History |
| State Street SPDR Bloomberg Convertible Securities ETF78464A359 | ETF | 6,841 | $593.0K | 0.1% | – |
| iShares Tr464287861 | EUROPE ETF | 10,998 | $586.0K | 0.1% | – |
| RPMRPM International Inc | COM | 6,225 | $552.0K | 0.1% | History |
| STLDSteel Dynamics Inc | COM | 8,959 | $534.0K | 0.1% | History |
| CSQCalamos Strategic Total Return Fund | COM SH BEN INT | 29,030 | $528.0K | 0.1% | History |
| TDOCTeladoc Health, Inc. | COM | 3,106 | $516.0K | 0.1% | History |
| Invesco Exch Traded FD Tr II46138G706 | SOLAR ETF | 4,967 | $444.0K | 0.1% | – |
| GPCGenuine Parts Co | Stock | 3,477 | $440.0K | 0.1% | History |
| ETWEaton Vance Tax-Managed Global Buy-Write Opportunities Fund | COM | 37,450 | $408.0K | <0.1% | History |
| Soaring Eagle Acquisition CoG8354H100 | UNIT 02/23/2026 | 37,399 | $396.0K | <0.1% | – |
| WKHSWorkhorse Group Inc. | COM NEW | 22,879 | $380.0K | <0.1% | History |
| AESAES Corp | Stock | 14,288 | $372.0K | <0.1% | History |
| Global X FDS37950E408 | MSCI CHINA CNSMR | 10,368 | $367.0K | <0.1% | – |
| ETEnergy Transfer LP | COM UT LTD PTN | 34,187 | $363.0K | <0.1% | History |
| SCIService Corp International | COM | 6,756 | $362.0K | <0.1% | History |
| FCXFreeport-McMoran Inc | Stock | 9,685 | $359.0K | <0.1% | History |
| MGMMGM Resorts International | Stock | 8,342 | $356.0K | <0.1% | History |
| NVCRNovoCure Ltd | ORD SHS | 1,575 | $349.0K | <0.1% | History |
| BNTXBioNTech SE | SPONSORED ADS | 1,547 | $346.0K | <0.1% | History |
| iShares Tr464288869 | MICRO-CAP ETF | 2,127 | $325.0K | <0.1% | – |
| UGIUgi Corp | Stock | 6,802 | $315.0K | <0.1% | History |
| DELLDell Technologies Inc. | Stock | 3,136 | $313.0K | <0.1% | History |
| FSRFisker Inc. | CL A COM STK | 16,237 | $313.0K | <0.1% | History |
| NSCNorfolk Southern Corp | Stock | 1,142 | $303.0K | <0.1% | History |
| MRVIMaravai Lifesciences Holdings, Inc. | COM CL A | 7,181 | $300.0K | <0.1% | History |
| BIDUBaidu, Inc. | ADR | 1,465 | $299.0K | <0.1% | History |
| OSKOshkosh Corp | COM | 2,390 | $298.0K | <0.1% | History |
| GENGen Digital Inc. | Stock | 10,460 | $285.0K | <0.1% | History |
| LOGILogitech International S.A. | SHS | 2,286 | $276.0K | <0.1% | History |
| BGYBlackRock Enhanced International Dividend Trust | COM BENE INTER | 41,550 | $272.0K | <0.1% | History |
| KMIKinder Morgan, Inc. | Stock | 14,875 | $271.0K | <0.1% | History |
| ACHAccendra Health Inc | Stock | 6,390 | $270.0K | <0.1% | History |
| MTWManitowoc Co Inc | COM NEW | 10,700 | $262.0K | <0.1% | History |
| Good Works Acquisition Corp38216X107 | COM | 25,115 | $250.0K | <0.1% | – |
| ENBEnbridge Inc | Stock | 6,116 | $245.0K | <0.1% | History |
| EWEdwards Lifesciences Corp | Stock | 2,338 | $242.0K | <0.1% | History |
| CMGChipotle Mexican Grill Inc | COM | 155 | $240.0K | <0.1% | History |
| TLSTelos Corp | COM | 7,018 | $239.0K | <0.1% | History |
| VEEVVeeva Systems Inc | Stock | 742 | $231.0K | <0.1% | History |
| SPDR Series Trust78464A383 | ST STR BACKE ETF | 8,890 | $230.0K | <0.1% | – |
| GMGeneral Motors Co | COM | 3,855 | $228.0K | <0.1% | History |
| Trillium Therapeutics Inc.89620X506 | COM NEW | 23,542 | $228.0K | <0.1% | – |
| CCICrown Castle Inc. | REIT | 1,060 | $207.0K | <0.1% | History |
| POLYPlantronics Inc | COM | 4,953 | $207.0K | <0.1% | History |
| DBX ETF Tr233051200 | XTRACK MSCI EAFE | 5,402 | $203.0K | <0.1% | – |
| EXASExact Sciences Corp | COM | 1,629 | $203.0K | <0.1% | History |
| SPDR Series Trust78464A755 | ST STR SP METAL | 4,669 | $201.0K | <0.1% | – |
| Schwab U.S. REIT ETF808524847 | ETF | 4,368 | $200.0K | <0.1% | – |
| RLJRLJ Lodging Trust | COM | 13,050 | $199.0K | <0.1% | History |
| BOEBlackRock Enhanced Global Dividend Trust | COM | 14,624 | $184.0K | <0.1% | History |
| Soaring Eagle Acquisition CoG8354H118 | *W EXP 02/23/202 | 47,696 | $157.0K | <0.1% | – |
| HLHecla Mining Co | COM | 18,533 | $138.0K | <0.1% | History |
| CLVSClovis Oncology, Inc. | COM | 22,000 | $128.0K | <0.1% | History |
| Triterras IncG9103H102 | SHS CL A | 15,627 | $109.0K | <0.1% | – |
| TEITempleton Emerging Markets Income Fund | COM | 11,350 | $90.0K | <0.1% | History |
| DSDrive Shack Inc. | COM | 26,950 | $89.0K | <0.1% | History |
| KMFKayne Anderson NextGen Energy & Infrastructure, Inc. | COM | 10,900 | $83.0K | <0.1% | History |
| EGLXFEnthusiast Gaming Holdings Inc. / Canada | COM | 12,000 | $71.0K | <0.1% | History |
| WATTEnergous Corp | COM | 20,736 | $60.0K | <0.1% | History |
| SDOTSadot Group Inc. | COM | 30,000 | $42.0K | <0.1% | History |
| SNDLSNDL Inc. | COM | 21,046 | $20.0K | <0.1% | History |
| Twitter, Inc.90184LAD4 | NOTE 1.000% 9/1 | – | $13.0K | <0.1% | – |