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Livermore
Livermore
ZHEN

Wealth Effects LLC

SEC CIK
0001907254
Latest filing
Aug 6, 2026

Holdings in Q3 2023

Holdings as of Sep 30, 2023, filed Oct 16, 2023. Long positions only; changes compare share counts with Q2 2023.

Institution overview
Positions
197
−5 vs. Q2 2023
Portfolio value
$202.5M
−$24.4M (−10.8%) vs. Q2 2023
Filed
Oct 16, 2023
SEC
Holdings of Wealth Effects LLC in Q3 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
Pieris Pharmaceuticals Inc720795103COM11,700$3.49K<0.1%−5,000−29.9%Reduced–
AMRNAmarin Corp PLCSPONS ADR NEW12,599$11.6K<0.1%+12,599NewHistory
AMLIFAmerican Lithium Corp.COM10,000$14.3K<0.1%00.0%UnchangedHistory
HYZNHyzon Motors Inc.COMMON STOCK15,000$18.8K<0.1%00.0%UnchangedHistory
BYRNByrna Technologies Inc.COM NEW10,000$22.4K<0.1%00.0%UnchangedHistory
TVRDTvardi Therapeutics, Inc.COM14,000$23.5K<0.1%+14,000NewHistory
CATXPerspective Therapeutics, Inc.COM110,000$30.1K<0.1%00.0%UnchangedHistory
AKBAAkebia Therapeutics, Inc.COM29,500$33.6K<0.1%+11,184+61.1%AddedHistory
LPCNLipocine Inc.COM NEW18,761$55.9K<0.1%−10,512−35.9%ReducedHistory
BCSBarclays PLCADR10,000$77.9K<0.1%00.0%UnchangedHistory
HYFMHydrofarm Holdings Group, Inc.COM66,000$80.5K<0.1%+5,099+8.4%AddedHistory
ICCCImmucell CorpCOM PAR15,617$83.4K<0.1%−500−3.1%ReducedHistory
IBRXImmunityBio, Inc.COM53,500$90.4K<0.1%−17,500−24.6%ReducedHistory
ONDSOndas Inc.COM NEW152,000$92.6K<0.1%+42,100+38.3%AddedHistory
HAHawaiian Holdings IncCOM15,000$95.0K<0.1%+1,500+11.1%AddedHistory
BFXBowflex Inc.COM121,500$103.3K0.1%+45,092+59.0%AddedHistory
VVRInvesco Senior Income TrustCOM26,755$104.9K0.1%+7,050+35.8%AddedHistory
STXSStereotaxis, Inc.COM NEW69,060$109.1K0.1%+9,500+16.0%AddedHistory
AUTLAutolus Therapeutics plcSPON ADS47,000$109.5K0.1%00.0%UnchangedHistory
Flagstar Bank, National Association649445103COM10,000$113.4K0.1%−1,500−13.0%Reduced–
TGTXTG Therapeutics, Inc.COM15,500$129.6K0.1%+15,500NewHistory
ETJEaton Vance Risk-Managed Diversified Equity Income FundCOM19,174$147.3K0.1%−220−1.1%ReducedHistory
ETEnergy Transfer LPCOM UT LTD PTN10,500$147.3K0.1%+200+1.9%AddedHistory
DBDeutsche Bank AktiengesellschaftNAMEN AKT14,200$156.1K0.1%−2,500−15.0%ReducedHistory
NXJNuveen New Jersey Quality Municipal Income FundCOM15,106$159.8K0.1%00.0%UnchangedHistory
KEYKeycorpCOM14,964$161.0K0.1%−1,250−7.7%ReducedHistory
PMDPsychemedics CorpCOM NEW40,701$161.6K0.1%−800−1.9%ReducedHistory
First Tr Exchange-Traded FD33734X127ENERGY ALPHADX10,500$182.9K0.1%00.0%Unchanged–
JMIAJumia Technologies AGSPONSORED ADS73,650$194.4K0.1%+4,035+5.8%AddedHistory
TAT&T Inc.Stock13,201$198.3K0.1%−6,439−32.8%ReducedHistory
ACNAccenture plcStock659$202.4K0.1%00.0%UnchangedHistory
First Tr Exchange-Traded FD33734X184UTILITIES ALPH7,148$204.1K0.1%−150−2.1%Reduced–
DUKDuke Energy CORPStock2,315$204.3K0.1%−325−12.3%ReducedHistory
KMIKinder Morgan, Inc.Stock12,468$206.7K0.1%−6,219−33.3%ReducedHistory
VanEck ETF Trust92189F700AGRIBUSINESS ETF2,644$208.1K0.1%+70+2.7%Added–
UPSUnited Parcel Service IncStock1,358$211.7K0.1%+30+2.3%AddedHistory
CSCOCisco Systems, Inc.Stock3,941$211.9K0.1%+2+0.1%AddedHistory
SCYXScynexis IncCOM NEW93,000$212.0K0.1%+21,950+30.9%AddedHistory
STZConstellation Brands, Inc.Stock846$212.5K0.1%+1+0.1%AddedHistory
MRNAModerna, Inc.Stock2,106$217.5K0.1%−285−11.9%ReducedHistory
MAMastercard IncStock550$217.8K0.1%00.0%UnchangedHistory
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242ETF2,145$218.8K0.1%00.0%Unchanged–
First Tr Exchange-Traded FD33734X846NASDAQ CYB ETF4,843$220.0K0.1%+55+1.1%Added–
Innovator ETFs Trust45783Y541EQUITY DEF PROTN9,035$220.6K0.1%+9,035New–
ALBAlbemarle CorpStock1,300$221.1K0.1%+1,300NewHistory
Exchange Traded Concepts Tru301505707ROBO GLB ETF4,429$223.1K0.1%00.0%Unchanged–
TRVTravelers Companies, Inc.Stock1,369$223.5K0.1%−49−3.5%ReducedHistory
iShares Ibonds Dec 2025 Term Corporate ETF46434VBD1ETF9,187$223.9K0.1%00.0%Unchanged–
CCitigroup IncStock5,600$230.3K0.1%+985+21.3%AddedHistory
CMICummins IncStock1,010$230.8K0.1%00.0%UnchangedHistory
First Tr Exchange-Traded Alp33734Y109COM SHS2,956$238.5K0.1%00.0%Unchanged–
HOLXHologic IncCOM3,500$242.9K0.1%00.0%UnchangedHistory
First Tr Exchange-Traded FD33733A201DOW 30 EQL WGT8,733$253.5K0.1%−699−7.4%Reduced–
CHICalamos Convertible Opportunities & Income FundSH BEN INT24,258$255.7K0.1%−440−1.8%ReducedHistory
TSCOTractor Supply CoCOM1,265$256.9K0.1%00.0%UnchangedHistory
LMTLockheed Martin CorpStock635$259.7K0.1%+110+21.0%AddedHistory
STKLSunOpta Inc.COM77,350$260.7K0.1%+8,260+12.0%AddedHistory
Schwab US Dividend Equity ETF808524797ETF3,732$264.1K0.1%+162+4.5%Added–
CSXCSX CorpStock8,646$265.9K0.1%−600−6.5%ReducedHistory
HMCHonda Motor Co LtdADR ECH CNV IN 38,067$271.4K0.1%00.0%UnchangedHistory
DEDeere & CoStock725$273.6K0.1%+15+2.1%AddedHistory
MUJBlackRock Muniholdings New Jersey Quality Fund, Inc.COM28,094$284.3K0.1%+5,000+21.7%AddedHistory
AIGAmerican International Group, Inc.Stock4,860$294.5K0.1%−315−6.1%ReducedHistory
WFCWells Fargo & CompanyStock7,243$295.9K0.1%+310+4.5%AddedHistory
CBChubb LtdStock1,467$305.4K0.2%+38+2.7%AddedHistory
TJXTJX Companies IncStock3,487$309.9K0.2%−2−0.1%ReducedHistory
PCTPureCycle Technologies, Inc.COM55,300$310.2K0.2%−1,450−2.6%ReducedHistory
State Street Energy Select Sector SPDR ETF81369Y506ETF3,448$311.7K0.2%−72−2.0%Reduced–
CHDChurch & Dwight Co IncCOM3,427$314.0K0.2%−97−2.8%ReducedHistory
Vanguard Total Bond Market ETF921937835ETF4,540$316.8K0.2%+1,557+52.2%Added–
EPDEnterprise Products Partners L.P.Stock11,700$320.2K0.2%00.0%UnchangedHistory
Vanguard High Dividend Yield Index ETF921946406ETF3,102$320.5K0.2%+135+4.6%Added–
DISWalt Disney CoStock3,971$321.9K0.2%−741−15.7%ReducedHistory
NEENextera Energy IncStock5,645$323.4K0.2%−299−5.0%ReducedHistory
AMATApplied Materials IncStock2,400$332.3K0.2%−1,420−37.2%ReducedHistory
RNPCohen & Steers REIT & Preferred & Income Fund IncCOM19,500$334.6K0.2%00.0%UnchangedHistory
DALDelta Air Lines, Inc.COM NEW9,125$337.6K0.2%00.0%UnchangedHistory
HONHoneywell International IncCOM1,840$339.9K0.2%+1+0.1%AddedHistory
IRDMIridium Communications Inc.COM7,500$341.2K0.2%00.0%UnchangedHistory
BGRBlackRock Energy & Resources TrustCOM26,901$352.7K0.2%00.0%UnchangedHistory
MCDMcDonalds CorpStock1,346$354.6K0.2%+13+1.0%AddedHistory
Vanguard Dividend Appreciation ETF921908844ETF2,296$356.8K0.2%+70+3.1%Added–
DHRDanaher CorpStock1,467$364.1K0.2%−30−2.0%ReducedHistory
Vanguard Utilities ETF92204A876ETF2,877$367.0K0.2%00.0%Unchanged–
iShares Core Dividend Growth ETF46434V621ETF7,442$368.6K0.2%+100+1.4%Added–
GLPGlobal Partners LPCOM UNITS10,510$371.2K0.2%+170+1.6%AddedHistory
STTState Street CorpCOM5,554$371.9K0.2%00.0%UnchangedHistory
Vanguard Information Technology ETF92204A702ETF912$378.5K0.2%00.0%Unchanged–
ZTSZoetis Inc.Stock2,267$394.5K0.2%00.0%UnchangedHistory
State Street Consumer Staples Select Sector SPDR ETF81369Y308ETF6,023$414.4K0.2%+235+4.1%Added–
PCYOPure Cycle CorpCOM NEW43,450$417.1K0.2%−3,450−7.4%ReducedHistory
SPYSPDR S&P 500 ETF TrustETF980$419.1K0.2%00.0%UnchangedHistory
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM57,514$423.9K0.2%−188−0.3%ReducedHistory
EOSEaton Vance Enhanced Equity Income Fund IICOM25,210$433.1K0.2%−438−1.7%ReducedHistory
First Tr Exchange-Traded FD33738D101NO AMER ENERGY16,405$433.4K0.2%+59+0.4%Added–
Vanguard Star FDS921909768VG TL INTL STK F8,315$445.0K0.2%+150+1.8%Added–
WTRGEssential Utilities, Inc.COM13,104$449.9K0.2%+851+6.9%AddedHistory
MOAltria Group, Inc.Stock11,075$465.7K0.2%+1,200+12.2%AddedHistory
MSMorgan StanleyStock5,705$465.9K0.2%+10.0%AddedHistory
AVGOBroadcom Inc.Stock565$469.6K0.2%+65+13.0%AddedHistory

Sold out since Q2 2023 (11)

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

Positions of Wealth Effects LLC sold out since Q2 2023
SecurityClassShares in Q2 2023Value in Q2 2023% of portfolio in Q2 2023History
BTUPeabody Energy CorpCOM13,559$293.7K0.1%History
First Tr Exchange Traded FD33734X143HLTH CARE ALPH2,189$237.1K0.1%–
GEGeneral Electric CoStock2,096$230.2K0.1%History
NFLXNetflix IncStock460$202.6K0.1%History
TDToronto Dominion BankStock3,258$202.0K0.1%History
ROKURoku, IncCOM CL A3,154$201.7K0.1%History
CICigna GroupStock717$201.2K0.1%History
Vanguard Morningstar Mid-Cap Value ETF922908512ETF1,450$200.6K0.1%–
MUIBlackRock Municipal Credit Alpha Portfolio, Inc.COM16,724$191.3K0.1%History
IMDXInsight Molecular Diagnostics Inc.COM40,500$9.31K<0.1%History
AAICArlington Asset Investment Corp.CL A NEW7,045––History