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Livermore
Livermore
ZHEN

XML Financial, LLC

SEC CIK
0001800465
Latest filing
Jul 24, 2026

Holdings in Q3 2023

Holdings as of Sep 30, 2023, filed Nov 6, 2023. Long positions only; changes compare share counts with Q2 2023.

Institution overview
Positions
316
−25 vs. Q2 2023
Portfolio value
$834.4M
−$30.1M (−3.5%) vs. Q2 2023
Filed
Nov 6, 2023
SEC
Holdings of XML Financial, LLC in Q3 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
ENGEnglobal CorpCOM30,122$10.2K<0.1%00.0%UnchangedHistory
LUMNLumen Technologies, Inc.Stock10,315$14.6K<0.1%00.0%UnchangedHistory
ATAIAtai Beckley N.V.SHS27,457$35.4K<0.1%+5,390+24.4%AddedHistory
PAVMPAVmed Inc.COM154,991$45.7K<0.1%00.0%UnchangedHistory
MMTAberdeen Multi-Market Income FundSH BEN INT14,120$60.2K<0.1%00.0%UnchangedHistory
SIRISirius XM Holdings Inc.COM14,306$64.7K<0.1%−3,028−17.5%ReducedHistory
MGNXMacrogenics IncCOM14,600$68.0K<0.1%−100−0.7%ReducedHistory
FNKOFunko, Inc.COM CL A12,000$91.8K<0.1%00.0%UnchangedHistory
CHWCalamos Global Dynamic Income FundCOM17,200$95.3K<0.1%00.0%UnchangedHistory
IAEVoya Asia Pacific High Dividend Equity Income FundCOM19,968$115.6K<0.1%00.0%UnchangedHistory
BDJBlackRock Enhanced Equity Dividend TrustCOM16,115$122.6K<0.1%−1,224−7.1%ReducedHistory
RFMZRiverNorth Flexible Municipal Income Fund II, Inc.COM11,500$141.7K<0.1%00.0%UnchangedHistory
DNPDNP Select Income Fund IncCOM15,098$143.7K<0.1%+270+1.8%AddedHistory
NZFNuveen Municipal Credit Income FundCOM SH BEN INT14,600$152.3K<0.1%00.0%UnchangedHistory
GLADGladstone Capital CorpCOM17,249$166.3K<0.1%+340+2.0%AddedHistory
iShares S&P 500 Value ETF464287408ETF1,303$200.4K<0.1%−28−2.1%Reduced–
Exchange Listed FDS Tr30151E806SABA INT RATE11,746$205.8K<0.1%+11,746New–
CLHClean Harbors IncCOM1,230$205.9K<0.1%00.0%UnchangedHistory
MCHPMicrochip Technology IncStock2,645$206.4K<0.1%+261+10.9%AddedHistory
METMetlife IncStock3,300$207.6K<0.1%+3,300NewHistory
iShares Tr46435G516ESG AW MSCI EAFE3,013$208.3K<0.1%+3,013New–
AEPAmerican Electric Power Co IncStock2,791$210.0K<0.1%+5+0.2%AddedHistory
RMMRiverNorth Managed Duration Municipal Income Fund, Inc.COM15,500$212.7K<0.1%−1,500−8.8%ReducedHistory
CLXClorox CoStock1,626$213.1K<0.1%+32+2.0%AddedHistory
Invesco Exchange Traded FD T46137V506DIVID ACHIEVEV5,847$213.6K<0.1%+23+0.4%Added–
MSIMotorola Solutions, Inc.Stock790$215.1K<0.1%00.0%UnchangedHistory
Invesco Exch Traded FD Tr II46138E370S&P 500 HB ETF3,093$216.8K<0.1%+90+3.0%Added–
iShares Core S&P US Value ETF464287663ETF2,941$219.5K<0.1%−59−2.0%Reduced–
State Street SPDR S&P Regional Banking ETF78464A698ETF5,376$224.5K<0.1%−7,060−56.8%Reduced–
MAVPioneer Municipal High Income Advantage Fund, Inc.COM33,700$226.8K<0.1%−44,650−57.0%ReducedHistory
iShares Tr464288208MRGSTR MD CP ETF3,828$228.6K<0.1%00.0%Unchanged–
BLKBlackRock, Inc.COM356$230.3K<0.1%+8+2.3%AddedHistory
GPNGlobal Payments IncStock2,000$230.8K<0.1%−275−12.1%ReducedHistory
LEOBNY Mellon Strategic Municipals, Inc.COM44,000$234.5K<0.1%−25,650−36.8%ReducedHistory
TMOThermo Fisher Scientific Inc.Stock477$241.2K<0.1%−110−18.7%ReducedHistory
HUMHumana IncStock500$243.3K<0.1%00.0%UnchangedHistory
VLOValero Energy CorpStock1,760$249.4K<0.1%00.0%UnchangedHistory
iShares Tr464288877EAFE VALUE ETF5,316$260.1K<0.1%00.0%Unchanged–
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF7,418$260.1K<0.1%−103,946−93.3%Reduced–
DIASPDR Dow Jones Industrial Average ETF TrustUT SER 1782$261.8K<0.1%+2+0.3%AddedHistory
MAMastercard IncStock663$262.4K<0.1%−249−27.3%ReducedHistory
GTESGates Industrial Corp Ltd.ORD SHS22,750$264.1K<0.1%−7,342−24.4%ReducedHistory
INTUIntuit Inc.Stock520$265.7K<0.1%00.0%UnchangedHistory
iShares Core MSCI Eafe ETF46432F842ETF4,147$266.9K<0.1%−302−6.8%Reduced–
ETNEaton Corp plcStock1,259$268.5K<0.1%−99−7.3%ReducedHistory
SPDR Series Trust78468R770ST STR R1K YLD2,946$269.3K<0.1%−30,345−91.2%Reduced–
First Tr Exchange-Traded FD336917109SHS8,069$269.8K<0.1%−14,090−63.6%Reduced–
Innovator U.S. Equity Power Buffer ETF - October45782C797ETF7,989$271.3K<0.1%00.0%Unchanged–
First Tr Exchng Traded FD VI33740F870LOW DUR STRTGC14,989$274.9K<0.1%00.0%Unchanged–
TGTTarget CorpStock2,494$275.8K<0.1%+2,494NewHistory
RPMRPM International IncCOM3,000$284.4K<0.1%00.0%UnchangedHistory
CUBECubeSmartREIT7,591$289.5K<0.1%+59+0.8%AddedHistory
WMBWilliams Companies, Inc.COM8,798$296.4K<0.1%−832−8.6%ReducedHistory
MHIPioneer Municipal High Income Fund, Inc.COM SHS41,102$297.2K<0.1%−29,597−41.9%ReducedHistory
TXNTexas Instruments IncStock1,878$298.7K<0.1%+32+1.7%AddedHistory
ZTSZoetis Inc.Stock1,726$300.2K<0.1%00.0%UnchangedHistory
Innovator ETFs Trust45782C540US EQTY PWR BUF9,309$301.2K<0.1%+79+0.9%Added–
DALDelta Air Lines, Inc.COM NEW8,335$308.4K<0.1%+12+0.1%AddedHistory
DEDeere & CoStock821$309.8K<0.1%+118+16.8%AddedHistory
COFCapital One Financial CorpStock3,199$310.4K<0.1%−246−7.1%ReducedHistory
ECLEcolab Inc.Stock1,835$310.9K<0.1%−19−1.0%ReducedHistory
FMNFederated Hermes Premier Municipal Income FundCOM33,220$318.2K<0.1%−13,500−28.9%ReducedHistory
SCDLMP Capital & Income Fund Inc.COM25,468$318.4K<0.1%−1,910−7.0%ReducedHistory
LYBLyondellBasell Industries N.V.SHS - A -3,373$319.4K<0.1%+33+1.0%AddedHistory
DBX ETF Tr233051432XTRACK USD HIGH9,541$323.4K<0.1%−169−1.7%Reduced–
First Tr Exchange-Traded FD33734X846NASDAQ CYB ETF7,127$323.8K<0.1%00.0%Unchanged–
EVNEaton Vance Municipal Income TrustSH BEN INT36,500$325.2K<0.1%+13,500+58.7%AddedHistory
Principal Exchange Traded FD74255Y888SPECTRUM PFD19,396$327.0K<0.1%+232+1.2%Added–
FFord Motor CoStock26,614$330.5K<0.1%−11,470−30.1%ReducedHistory
CSLCarlisle Companies IncCOM1,290$334.4K<0.1%+210+19.4%AddedHistory
ProShares Tr74348A467S&P 500 DV ARIST3,793$335.9K<0.1%−306−7.5%Reduced–
BPBP PLCADR8,682$336.2K<0.1%−36−0.4%ReducedHistory
iShares Tr464287556ISHARES BIOTECH2,761$337.6K<0.1%00.0%Unchanged–
WisdomTree Tr97717W786INTL DIV EX FINL9,038$339.5K<0.1%−2,615−22.4%Reduced–
Innovator U.S. Equity Ultra Buffer ETF - January45782C300ETF10,458$340.6K<0.1%+385+3.8%Added–
CPCanadian Pacific Kansas City LtdCOM4,584$341.1K<0.1%00.0%UnchangedHistory
Townebank Portsmouth Va89214P109COM15,055$345.2K<0.1%+2,091+16.1%Added–
RMIRiverNorth Opportunistic Municipal Income Fund, Inc.COM24,300$348.9K<0.1%+2,813+13.1%AddedHistory
CPRXCatalyst Pharmaceuticals, Inc.COM30,000$350.7K<0.1%00.0%UnchangedHistory
ANETArista Networks, Inc.COM1,911$351.5K<0.1%+15+0.8%AddedHistory
CINFCincinnati Financial CorpCOM3,521$360.1K<0.1%+26+0.7%AddedHistory
State Street SPDR S&P Semiconductor ETF78464A862ETF1,853$363.1K<0.1%+2+0.1%Added–
CSQCalamos Strategic Total Return FundCOM SH BEN INT26,128$367.6K<0.1%−300−1.1%ReducedHistory
RCLRoyal Caribbean Cruises LtdCOM3,992$367.8K<0.1%00.0%UnchangedHistory
OMCOmnicom Group Inc.COM4,977$370.7K<0.1%+21+0.4%AddedHistory
Innovator U.S. Equity Buffer ETF - October45782C771ETF10,503$372.8K<0.1%−17,633−62.7%Reduced–
PXDPioneer Natural Resources CoCOM1,634$375.1K<0.1%+327+25.0%AddedHistory
ARK Innovation ETF00214Q104ETF9,560$379.2K<0.1%−48−0.5%Reduced–
BKNGBooking Holdings Inc.Stock124$382.4K<0.1%−30−19.5%ReducedHistory
iShares Tr464288281JPMORGAN USD EMG4,657$384.3K<0.1%−729−13.5%Reduced–
NMCONuveen Municipal Credit Opportunities FundCOM39,750$385.2K<0.1%00.0%UnchangedHistory
STZConstellation Brands, Inc.Stock1,549$389.3K<0.1%−1−0.1%ReducedHistory
ARCCAres Capital CorpCEF20,042$390.2K<0.1%+1,752+9.6%AddedHistory
GHIGreystone Housing Impact Investors LPBEN UNIT CTF25,527$394.4K<0.1%+539+2.2%AddedHistory
AZNAstraZeneca PLCSPONSORED ADR5,948$402.8K<0.1%00.0%UnchangedHistory
OLEDUniversal Display CorpCOM2,587$406.1K<0.1%00.0%UnchangedHistory
MTBM&T Bank CorpCOM3,221$407.3K<0.1%−492−13.3%ReducedHistory
iShares Tr464288513IBOXX HI YD ETF5,954$438.9K0.1%−749−11.2%Reduced–
MPWRMonolithic Power Systems, Inc.COM958$442.6K0.1%+95+11.0%AddedHistory
ROKRockwell Automation, IncStock1,549$442.8K0.1%+40+2.7%AddedHistory

Sold out since Q2 2023 (32)

Positions held at the end of Q2 2023 that are gone from this filing.

Positions of XML Financial, LLC sold out since Q2 2023
SecurityClassShares in Q2 2023Value in Q2 2023% of portfolio in Q2 2023History
iShares Core High Dividend ETF46429B663ETF61,747$6.22M0.7%–
iShares Tr464288158SHRT NAT MUN ETF6,891$716.9K0.1%–
FOCSFocus Financial Partners Inc.COM CL A11,781$618.6K0.1%History
LUVSouthwest Airlines CoCOM16,766$607.1K0.1%History
SYYSysco CorpStock5,215$386.9K<0.1%History
State Street Consumer Staples Select Sector SPDR ETF81369Y308ETF5,212$386.6K<0.1%–
ADBEAdobe Inc.Stock705$344.7K<0.1%History
SPDR Series Trust78468R739ST NUVE TERM ETF6,699$315.2K<0.1%–
iShares Global Clean Energy ETF464288224ETF16,631$306.0K<0.1%–
Schwab US Aggregate Bond ETF808524839ETF6,164$284.5K<0.1%–
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375ETF8,494$272.7K<0.1%–
State Street Energy Select Sector SPDR ETF81369Y506ETF3,254$264.1K<0.1%–
Vanguard Malvern FDS922020805STRM INFPROIDX5,358$254.1K<0.1%–
IRMIron Mountain IncCOM4,468$253.9K<0.1%History
NIEVirtus Equity & Convertible Income FundCOM11,641$246.2K<0.1%History
VanEck ETF Trust92189F528VANECK SHRT MUNI14,608$245.9K<0.1%–
Vanguard World FD921910816MEGA GRWTH IND1,034$243.4K<0.1%–
CHHChoice Hotels International IncCOM2,000$235.0K<0.1%History
LVSLas Vegas Sands CorpCOM3,976$230.6K<0.1%History
BTTBlackRock Municipal 2030 Target Term TrustCOM SHS BEN IN11,033$229.3K<0.1%History
DTEDte Energy CoCOM2,000$220.0K<0.1%History
KMBKimberly Clark CorpStock1,585$218.9K<0.1%History
RNPCohen & Steers REIT & Preferred & Income Fund IncCOM11,329$215.1K<0.1%History
Vanguard Scottsdale FDS92206C409SHRT TRM CORP BD2,761$208.9K<0.1%–
ABNBAirbnb, Inc.Stock1,622$207.9K<0.1%History
NKENIKE, Inc.Stock1,854$204.6K<0.1%History
AMTAmerican Tower CorpREIT1,053$204.3K<0.1%History
GWWW.W. Grainger, Inc.Stock259$204.2K<0.1%History
NBHNeuberger Municipal Fund Inc.COM12,250$125.9K<0.1%History
VKQInvesco Municipal TrustCOM11,880$112.0K<0.1%History
NMTNuveen Massachusetts Quality Municipal Income FundCOM10,000$104.4K<0.1%History
Berkshire Grey I084656115EQUITY WRT20,000$6.70K<0.1%–