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Livermore
Livermore
ZHEN

XML Financial, LLC

SEC CIK
0001800465
Latest filing
Jul 24, 2026

Holdings in Q3 2022

Holdings as of Sep 30, 2022, filed Nov 4, 2022. Long positions only; changes compare share counts with Q2 2022.

Institution overview
Positions
316
+85 vs. Q2 2022
Portfolio value
$720.4M
+$278.1M (+62.9%) vs. Q2 2022
Filed
Nov 4, 2022
SEC
Holdings of XML Financial, LLC in Q3 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
CPRXCatalyst Pharmaceuticals, Inc.COM30,000$385.0K0.1%00.0%UnchangedHistory
SPDR Series Trust78468R721STATE STREET SPD8,805$387.0K0.1%00.0%Unchanged–
iShares Tr464287150CORE S&P TTL STK4,875$388.0K0.1%00.0%Unchanged–
iShares Tr46435G425ESG AWR MSCI USA4,953$393.0K0.1%−72−1.4%Reduced–
FLYYSpirit Aviation Holdings, Inc.COM20,955$394.0K0.1%00.0%UnchangedHistory
GHIGreystone Housing Impact Investors LPBEN UNIT CTF23,001$397.0K0.1%+23,001NewHistory
SNYSanofiSPONSORED ADR10,685$406.0K0.1%+10,685NewHistory
BFSSaul Centers, Inc.COM11,194$420.0K0.1%+11,194NewHistory
NIEVirtus Equity & Convertible Income FundCOM20,951$426.0K0.1%−20−0.1%ReducedHistory
RMMRiverNorth Managed Duration Municipal Income Fund, Inc.COM30,000$439.0K0.1%+30,000NewHistory
First Tr Exch Traded FD III33739N108MANAGD MUN ETF9,179$447.0K0.1%+9,179New–
CRMSalesforce, Inc.Stock3,115$448.0K0.1%−12−0.4%ReducedHistory
ETEnergy Transfer LPCOM UT LTD PTN40,652$448.0K0.1%+40,652NewHistory
KMXCarMax IncCOM6,833$451.0K0.1%+50+0.7%AddedHistory
Vanguard S&P 500 ETF922908363ETF1,378$453.0K0.1%+1,378New–
COFCapital One Financial CorpStock5,040$465.0K0.1%+3,025+150.1%AddedHistory
RSGRepublic Services, Inc.COM3,430$467.0K0.1%+3,430NewHistory
iShares Tr464287374NORTH AMERN NAT14,063$489.0K0.1%−277−1.9%Reduced–
Invesco Actively Managed Exc46090A887ULTRA SHRT DUR10,138$501.0K0.1%+2,077+25.8%Added–
LLYEli Lilly & CoStock1,553$502.0K0.1%+630+68.3%AddedHistory
Vanguard Dividend Appreciation ETF921908844ETF3,752$507.0K0.1%+2,146+133.6%Added–
First Trust Rising Dividend Achievers ETF33738R506ETF13,313$518.0K0.1%00.0%Unchanged–
NQPNuveen Pennsylvania Quality Municipal Income FundCOM48,430$531.0K0.1%+48,430NewHistory
BHPBHP Group LtdADR10,690$535.0K0.1%+10,690NewHistory
SBUXStarbucks CorpStock6,538$551.0K0.1%+367+5.9%AddedHistory
DUKDuke Energy CORPStock5,927$551.0K0.1%+3,735+170.4%AddedHistory
LHXL3HARRIS Technologies, Inc.Stock2,655$552.0K0.1%+2,655NewHistory
ENBEnbridge IncStock14,924$554.0K0.1%+14,924NewHistory
MHIPioneer Municipal High Income Fund, Inc.COM SHS67,481$554.0K0.1%+67,481NewHistory
NMCONuveen Municipal Credit Opportunities FundCOM51,850$555.0K0.1%+51,850NewHistory
CCitigroup IncStock13,483$562.0K0.1%+13,483NewHistory
Flagstar Bank, National Association649445103COM68,068$581.0K0.1%+786+1.2%Added–
NVDANVIDIA CorpStock4,821$585.0K0.1%+166+3.6%AddedHistory
WYNNWynn Resorts LtdCOM9,302$586.0K0.1%+51+0.6%AddedHistory
ITWIllinois Tool Works IncStock3,282$593.0K0.1%+523+19.0%AddedHistory
AGCOAGCO CorpCOM6,264$602.0K0.1%+14+0.2%AddedHistory
AVGOBroadcom Inc.Stock1,371$609.0K0.1%+569+70.9%AddedHistory
HONHoneywell International IncCOM3,792$633.0K0.1%+2,011+112.9%AddedHistory
Vanguard Morningstar Growth ETF922908736ETF3,022$647.0K0.1%+1,091+56.5%Added–
WMWaste Management IncStock4,073$653.0K0.1%+4,073NewHistory
NSCNorfolk Southern CorpStock3,136$658.0K0.1%+1,123+55.8%AddedHistory
ACNAccenture plcStock2,600$669.0K0.1%+1,186+83.9%AddedHistory
MDLZMondelez International, Inc.Stock12,225$670.0K0.1%+2,178+21.7%AddedHistory
Vanguard Morningstar Value ETF922908744ETF5,461$674.0K0.1%+5,461New–
iShares Core S&P U.S. Growth ETF464287671ETF8,529$684.0K0.1%+264+3.2%Added–
CORCencora, Inc.Stock5,121$693.0K0.1%+9+0.2%AddedHistory
Vanguard Morningstar Small-Cap ETF922908751ETF4,087$699.0K0.1%+20.0%Added–
WFCWells Fargo & CompanyStock17,491$703.0K0.1%+900+5.4%AddedHistory
WCCWesco International IncCOM5,890$703.0K0.1%−25−0.4%ReducedHistory
Alps ETF Tr00162Q676ALERIAN ENERGY36,085$712.0K0.1%+36,085New–
Invesco Exchange Traded FD T46137V357S&P500 EQL WGT5,625$716.0K0.1%+82+1.5%Added–
CATCaterpillar IncStock4,374$718.0K0.1%+869+24.8%AddedHistory
Pacer Trendpilot 100 ETF69374H303ETF15,070$742.0K0.1%−180−1.2%Reduced–
iShares Tr464287689RUSSELL 3000 ETF3,584$742.0K0.1%+16+0.4%Added–
iShares S&P 100 ETF464287101ETF4,580$744.0K0.1%+10.0%Added–
MMM3M CoStock6,906$763.0K0.1%+4,040+141.0%AddedHistory
CSXCSX CorpStock29,155$777.0K0.1%+29,155NewHistory
UNMUnum GroupStock20,150$782.0K0.1%00.0%UnchangedHistory
WisdomTree Tr97717X578EM EX ST-OWNED32,420$798.0K0.1%+773+2.4%Added–
BABoeing CoStock6,614$801.0K0.1%+102+1.6%AddedHistory
GPNGlobal Payments IncStock7,440$804.0K0.1%+7,440NewHistory
EGBNEagle Bancorp IncCOM18,065$810.0K0.1%00.0%UnchangedHistory
BRK.ABerkshire Hathaway IncCL A2$813.0K0.1%00.0%UnchangedHistory
AMATApplied Materials IncStock9,997$819.0K0.1%+1,521+17.9%AddedHistory
iShares Tr464288513IBOXX HI YD ETF11,568$826.0K0.1%−875−7.0%Reduced–
CMCSAComcast CorpStock28,393$833.0K0.1%+13,452+90.0%AddedHistory
WMTWalmart Inc.Stock6,530$847.0K0.1%+2,340+55.8%AddedHistory
REGNRegeneron Pharmaceuticals, Inc.COM1,284$885.0K0.1%+52+4.2%AddedHistory
MOAltria Group, Inc.Stock21,979$888.0K0.1%+294+1.4%AddedHistory
Invesco QQQ Trust Series I46090E103ETF3,329$890.0K0.1%+19+0.6%Added–
NEENextera Energy IncStock11,383$893.0K0.1%+2,654+30.4%AddedHistory
Innovator ETFs Trust45782C888US EQT BUFR APR30,715$893.0K0.1%−24−0.1%Reduced–
iShares Tr464287119MORNINGSTAR GRWT18,775$906.0K0.1%−270−1.4%Reduced–
MGMMGM Resorts InternationalStock30,757$914.0K0.1%+20.0%AddedHistory
iShares Tr464288281JPMORGAN USD EMG11,639$924.0K0.1%−2,422−17.2%Reduced–
GOOGAlphabet Inc.Stock9,818$944.0K0.1%+3,338+51.5%AddedConverted for a 20-for-1 splitHistory
GSKGSK plcADR32,792$965.0K0.1%+32,792NewHistory
NVSNovartis AGADR12,789$972.0K0.1%+12,789NewHistory
MDTMedtronic plcStock12,259$990.0K0.1%+8,087+193.8%AddedHistory
SUNSunoco LPCOM UT REP LP26,709$1.04M0.1%+8,369+45.6%AddedHistory
MAVPioneer Municipal High Income Advantage Fund, Inc.COM137,950$1.04M0.1%+137,950NewHistory
FMNFederated Hermes Premier Municipal Income FundCOM101,158$1.05M0.1%+101,158NewHistory
BXBlackstone Inc.COM13,056$1.09M0.2%+10,083+339.2%AddedHistory
SPDR Series Trust78464A292ST STR PFD ETF31,347$1.09M0.2%−907−2.8%Reduced–
RILYBRC Group Holdings, Inc.COM24,597$1.09M0.2%+24,597NewHistory
Vanguard Morningstar Total Stock Market ETF922908769ETF6,349$1.14M0.2%+390+6.5%Added–
PTYPIMCO Corporate & Income Opportunity FundCOM99,070$1.16M0.2%+99,070NewHistory
KOCoca Cola CoStock21,192$1.19M0.2%+9,617+83.1%AddedHistory
BCEBce IncCOM NEW28,942$1.21M0.2%+28,942NewHistory
MARMarriott International IncStock8,680$1.22M0.2%+2,011+30.2%AddedHistory
PMPhilip Morris International Inc.Stock14,808$1.23M0.2%+1,540+11.6%AddedHistory
iShares Core S&P Mid-Cap ETF464287507ETF5,680$1.25M0.2%+64+1.1%Added–
RFRegions Financial CorpCOM62,050$1.25M0.2%+62,050NewHistory
AMDAdvanced Micro Devices IncStock19,703$1.25M0.2%+19,703NewHistory
SPYSPDR S&P 500 ETF TrustETF3,559$1.27M0.2%+335+10.4%AddedHistory
DHRDanaher CorpStock4,956$1.28M0.2%+1,565+46.2%AddedHistory
TSLATesla, Inc.Stock4,833$1.28M0.2%+687+16.6%AddedConverted for a 3-for-1 splitHistory
PGProcter & Gamble CoStock10,159$1.28M0.2%+4,944+94.8%AddedHistory
iShares Select Dividend ETF464287168ETF12,066$1.29M0.2%+271+2.3%Added–
Vanguard Real Estate ETF922908553ETF16,229$1.30M0.2%+16,229New–

Sold out since Q2 2022 (11)

Positions held at the end of Q2 2022 that are gone from this filing.

Positions of XML Financial, LLC sold out since Q2 2022
SecurityClassShares in Q2 2022Value in Q2 2022% of portfolio in Q2 2022History
Innovator ETFs Trust45782C417US EQTY PWR BUF399,591$10.8M2.4%–
RGENRepligen CorpCOM68,478$2.53M0.6%History
Flexshares Tr33939L837INTL QLTDV IDX66,865$1.37M0.3%–
Schwab US Tips ETF808524870ETF23,804$1.33M0.3%–
ADMArcher-Daniels-Midland CoStock7,076$549.0K0.1%History
iShares Tr464288158SHRT NAT MUN ETF3,781$396.0K0.1%–
Global X FDS37954Y467E COMMERCE ETF15,191$255.0K0.1%–
TMOThermo Fisher Scientific Inc.Stock412$224.0K0.1%History
LYBLyondellBasell Industries N.V.SHS - A -2,500$219.0K<0.1%History
IRMIron Mountain IncCOM4,294$209.0K<0.1%History
FAXAbrdn Asia-Pacific Income Fund, Inc.COM10,158$30.0K<0.1%History