AB
Appropriate Balance Financial Services Inc. Historical SEC 13F Holdings & Archive (Q3 2017)
Appropriate Balance Financial Services Inc.CIK: 0000752832
Momentum followerSector-focusedLong-term holder
Total reported value
$2.0M
Reporting period: 2017-09-30 · Number of holdings: 30
APPROPRIATE BALANCE FINANCIAL SERVICES INC. disclosed 30 holdings in its latest 13F filing for the period ending 2017-09-30, with total reported value of $2.0M and a quarterly turnover rate of 2.8%.
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Personality snowflake
- Concentration
- 43.05
- Portfolio Stability
- 2.75
- Momentum
- 100
- Sector conviction
- 98.73
- Diversification
- 60
- Sizing Uniformity
- 84.81
Appropriate Balance Financial Services Inc.'s disclosed holdings carry a Herfindahl concentration index of 0.108 — mathematically equivalent to about 9 equally-sized positions, well below its 30 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 1.52), with a handful of outsized bets alongside many smaller positions.
Recent activity leans toward adding more aggressively to already-large existing positions than to newly initiated ones (a 3.8 percentage-point tilt) — a pattern consistent with a momentum-following approach.
Sector classification currently covers about 3% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govTrim 73935A104
+3.9% -$3.4K
Trim IJR
+6.2% $768.0
Add VUG
+23.6% $3.5K
Add XLI
+8.4% $6.3K
Add XLF
+7.7% $12.4K
Trim MDY
+1.3% -$991.0
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | XLF | Ss Financial Select Sector | ETF-Other | 23.24% | +0.13% | +7.68% | |
| 2 | IJR | Ishares Core S&p Small-cap E | ETF-Small Cap | 11.94% | -0.22% | +6.20% | |
| 3 | ✓ | Powershares Qqq Trust Ser 1 | Stock-Other | 9.98% | -0.38% | +3.92% | |
| 4 | VEA | Vanguard Ftse Developed ETF | ETF-Other | 8.42% | -0.09% | +6.18% | |
| 5 | XLI | Ss Industrial Select Sector | ETF-Other | 8.19% | +0.14% | +8.42% | |
| 6 | IVE | Ishares S&p 500 Value ETF | ETF-Large Cap & Growth | 5.74% | -0.12% | +2.89% | |
| 7 | XLK | Ss Technology Select Sector | ETF-Tech | 5.68% | +0.12% | +12.59% | |
| 8 | VTV | Vanguard Value ETF | ETF-Other | 5.27% | +0.02% | +5.99% | |
| 9 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 4.73% | -0.06% | +4.87% | |
| 10 | VWO | Vanguard Ftse Emerging Marke | ETF-Emerging Markets | 4.33% | +0.06% | +10.50% | |
| 11 | MDY | State Street Spdr S&p Midcap | ETF-Other | 3.54% | -0.13% | +1.33% | |
| 12 | VO | Vanguard Mid-cap ETF | ETF-Other | 1.97% | +0.10% | +11.23% | |
| 13 | SCHX | Schwab US Large-cap ETF | ETF-Other | 1.55% | -0.01% | +5.87% | |
| 14 | VUG | Vanguard Growth ETF | ETF-Other | 1.14% | +0.16% | +23.57% | |
| 15 | SBUX | Starbucks CORP | Stock-Consumer Disc | 0.75% | +0.02% | -3.22% | |
| 16 | OPY | Oppenheimer Holdings Inc. | Stock-Other | 0.62% | -0.09% | -7.54% | |
| 17 | MSFT | Microsoft CORP | Stock-Tech | 0.54% | +0.07% | +24.88% | |
| 18 | META | Meta Platforms Inc-class A | Stock-Comm Services | 0.38% | — | +17.22% | |
| 19 | IVV | Ishares Core S&p 500 ETF | ETF-Large Cap & Growth | 0.30% | — | +6.12% | |
| 20 | CRM | Salesforce Inc | Stock-Tech | 0.30% | — | +9.55% | |
| 21 | SHOP | Shopify Inc - Class A | Stock-Tech | 0.28% | +0.28% | NEW | |
| 22 | NFLX | Netflix Inc | Stock-Comm Services | 0.25% | +0.01% | +30.34% | |
| 23 | BABA | Alibaba Group Holding-sp Adr | Stock-Consumer Disc | 0.25% | — | +60.11% | |
| 24 | DIS | Walt Disney Co/the | Stock-Comm Services | 0.22% | — | -4.96% | |
| 25 | TSLA | Tesla Inc | Stock-Consumer Disc | 0.11% | — | -4.41% | |
| 26 | VB | Vanguard Small-cap ETF | ETF-Other | 0.08% | -0.02% | -9.77% | |
| 27 | AMZN | Amazon.com Inc | Stock-Consumer Disc | 0.07% | — | +4.80% | |
| 28 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 0.07% | +0.01% | +10.55% | |
| 29 | ISRG | Intuitive Surgical Inc | Stock-Healthcare | 0.04% | — | +21.80% | |
| 30 | BKNG | Booking Holdings Inc. | Stock-Consumer Disc | 0.02% | — | +0.52% |
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
Holding changes this quarter
Appropriate Balance Financial Services Inc.'s most significant position changes for 2017-09-30: New buy: Shopify Inc - Class A (SHOP); Add: Powershares Qqq Trust Ser 1 — shares +3.92%; Add: Ishares Core S&p Small-cap E (IJR) — shares +6.20%; Add: Vanguard Growth ETF (VUG) — shares +23.57%; Add: Ss Industrial Select Sector (XLI) — shares +8.42%.
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | VUG | Vanguard Growth ETF | +0.2% | +23.57% | Add |
| 2 | XLI | Ss Industrial Select Sector | +0.1% | +8.42% | Add |
| 3 | XLF | Ss Financial Select Sector | +0.1% | +7.68% | Add |
| 4 | XLK | Ss Technology Select Sector | +0.1% | +12.59% | Add |
| 5 | VO | Vanguard Mid-cap ETF | +0.1% | +11.23% | Add |
| 6 | MSFT | Microsoft CORP | +0.1% | +24.88% | Add |
| 7 | VWO | Vanguard Ftse Emerging Marke | +0.1% | +10.50% | Add |
| 8 | VTV | Vanguard Value ETF | 0% | +5.99% | Add |
| 9 | SBUX | Starbucks CORP | 0% | -3.22% | Trim |
| 10 | NFLX | Netflix Inc | 0% | +30.34% | Add |
| 11 | GOOGL | Alphabet Inc-cl A | 0% | +10.55% | Add |
| 12 | META | Meta Platforms Inc-class A | — | +17.22% | Add |
| 13 | IVV | Ishares Core S&p 500 ETF | — | +6.12% | Add |
| 14 | DIS | Walt Disney Co/the | — | -4.96% | Trim |
| 15 | CRM | Salesforce Inc | — | +9.55% | Add |
| 16 | AMZN | Amazon.com Inc | — | +4.80% | Add |
| 17 | ISRG | Intuitive Surgical Inc | — | +21.80% | Add |
| 18 | TSLA | Tesla Inc | — | -4.41% | Trim |
| 19 | BABA | Alibaba Group Holding-sp Adr | — | +60.11% | Add |
| 20 | BKNG | Booking Holdings Inc. | — | +0.52% | Add |
| 21 | SCHX | Schwab US Large-cap ETF | 0% | +5.87% | Add |
| 22 | VB | Vanguard Small-cap ETF | 0% | -9.77% | Trim |
| 23 | SPY | Ss Spdr S&p 500 ETF Trust-us | -0.1% | +4.87% | Add |
| 24 | VEA | Vanguard Ftse Developed ETF | -0.1% | +6.18% | Add |
| 25 | OPY | Oppenheimer Holdings Inc. | -0.1% | -7.54% | Trim |
| 26 | IVE | Ishares S&p 500 Value ETF | -0.1% | +2.89% | Add |
| 27 | MDY | State Street Spdr S&p Midcap | -0.1% | +1.33% | Add |
| 28 | IJR | Ishares Core S&p Small-cap E | -0.2% | +6.20% | Add |
| 29 | ✓ | Powershares Qqq Trust Ser 1 | -0.4% | +3.92% | Add |
| 30 | SHOP | Shopify Inc - Class A | — | NEW | New buy |
Filing History
FAQ
What is Appropriate Balance Financial Services Inc. and what type of investor is it?
Appropriate Balance Financial Services Inc. is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2017-09-30), the firm manages a tracked equity portfolio valued at approximately $2.0M, spread across 30 disclosed positions.
What are Appropriate Balance Financial Services Inc.'s largest equity positions?
Based on the latest 13F filing, Appropriate Balance Financial Services Inc.'s top holdings by market value are:
1. Ss Financial Select Sector (XLF) — $467.9K (23.2%)
2. Ishares Core S&p Small-cap E (IJR) — $240.5K (11.9%)
3. Powershares Qqq Trust Ser 1 — $200.8K (10.0%)
4. Vanguard Ftse Developed ETF (VEA) — $169.5K (8.4%)
5. Ss Industrial Select Sector (XLI) — $164.9K (8.2%)
What changes did Appropriate Balance Financial Services Inc. make in its most recent portfolio filing?
In the latest reported quarter, Appropriate Balance Financial Services Inc. made 30 notable position adjustments: 1 new positions were initiated, 24 existing holdings were added to, 5 positions were partially reduced, and 0 were completely exited. The largest of these moves: New buy: Shopify Inc - Class A (SHOP); Add: Powershares Qqq Trust Ser 1 — shares +3.92%; Add: Ishares Core S&p Small-cap E (IJR) — shares +6.20%; Add: Vanguard Growth ETF (VUG) — shares +23.57%; Add: Ss Industrial Select Sector (XLI) — shares +8.42%
What sectors does Appropriate Balance Financial Services Inc. focus on?
Appropriate Balance Financial Services Inc. is concentrated in the following sectors based on its current disclosed equity portfolio:
• Consumer Discretionary: 36.3%
• Information Technology: 34.2%
• Communication Services: 28.3%
• Health Care: 1.2%
💡
Data Source Notice: AlphaSMO is the web's most authoritative 13F / Inside Trader database. Institutional holdings and insider trades presented here are precisely computed to deliver accurate portfolio reporting.
Investment Profile
Appropriate Balance Financial Services Inc.'s portfolio is moderately concentrated and long-term-holding, with 36.3% of the portfolio concentrated in Consumer Discretionary.
It has added to its VTV position over the past two quarters (+$7.8K, now $106.0K), while trimming POWERSHARES QQQ TRUST SER 1 over the same stretch (-$14.3K, still holding $200.8K).
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Developer Access
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