CF
Capstone Financial Group, Inc. Historical SEC 13F Holdings & Archive (Q3 2020)
Capstone Financial Group, Inc.CIK: 0001808129
Diversified strategyMomentum followerSector-focused
Total reported value
$129.4M
Reporting period: 2020-09-30 · Number of holdings: 156
Capstone Financial Group, Inc. disclosed 156 holdings in its latest 13F filing for the period ending 2020-09-30, with total reported value of $129.4M and a quarterly turnover rate of 16.2%.
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Personality snowflake
- Concentration
- 13.7
- Portfolio Stability
- 16.16
- Momentum
- 100
- Sector conviction
- 89.47
- Diversification
- 100
- Sizing Uniformity
- 79.1
Capstone Financial Group, Inc.'s disclosed holdings carry a Herfindahl concentration index of 0.034 — mathematically equivalent to about 29 equally-sized positions, well below its 156 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 2.09), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 53% 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.govAdd ANGL
+130.6% $2.0M
Trim SHOP
-16.4% -$1.3M
Add AAPL
+284.6% $1.6M
Trim MDT
-76.3% -$864.0K
Trim AGZ
+1.0% $146.0K
Trim MSFT
-8.4% -$395.0K
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 | AGZ | Ishares Agency Bond ETF | ETF-Other | 10.27% | -0.52% | +0.97% | |
| 2 | AAPL | Apple Inc | Stock-Tech | 8.81% | +0.79% | +284.56% | |
| 3 | SHOP | Shopify Inc - Class A | Stock-Tech | 6.03% | -1.44% | -16.42% | |
| 4 | AMZN | Amazon.com Inc | Stock-Consumer Disc | 4.98% | -0.21% | -1.33% | |
| 5 | MINT | Pimco Enhanced Short Maturit | ETF-Other | 2.94% | — | -0.60% | |
| 6 | MSFT | Microsoft CORP | Stock-Tech | 2.93% | -0.51% | -8.41% | |
| 7 | MDB | Mongodb Inc | Stock-Tech | 2.90% | -0.01% | -3.16% | |
| 8 | ANGL | Vaneck Fallen Angel High Yld | ETF-Other | 2.63% | +1.46% | +130.57% | |
| 9 | ABT | Abbott Laboratories | Stock-Healthcare | 2.22% | +0.18% | +0.50% | |
| 10 | PYPL | Paypal Holdings Inc | Stock-Financials | 2.16% | +0.03% | -0.01% | |
| 11 | WMT | Walmart Inc | Stock-Consumer Staples | 2.06% | +0.49% | +25.66% | |
| 12 | VZ | Verizon Communications Inc | Stock-Comm Services | 2.04% | +0.10% | +3.65% | |
| 13 | MGK | Vanguard Mega Cap Growth ETF | ETF-Other | 1.91% | — | -8.51% | |
| 14 | INTC | Intel CORP | Stock-Tech | 1.79% | -0.33% | +2.01% | |
| 15 | Z | Zillow Group Inc - C | Stock-Comm Services | 1.73% | +1.73% | NEW | |
| 16 | GOOG | Alphabet Inc-cl C | Stock-Comm Services | 1.70% | -0.05% | +5.87% | |
| 17 | CSCO | Cisco Systems Inc | Stock-Tech | 1.57% | -0.49% | -4.43% | |
| 18 | BANF | Bancfirst CORP | Stock-Other | 1.53% | +0.20% | +5.37% | |
| 19 | LUV | Southwest Airlines Co | Stock-Industrials | 1.46% | +0.09% | -0.33% | |
| 20 | DIS | Walt Disney Co/the | Stock-Comm Services | 1.24% | +0.05% | +3.53% | |
| 21 | AMAT | Applied Materials Inc | Stock-Tech | 1.23% | — | +1.39% | |
| 22 | RIO | Rio Tinto Plc-spon Adr | Stock-Materials | 1.20% | +0.02% | +3.57% | |
| 23 | BRK-B | Berkshire Hathaway Inc-cl B | Stock-Other | 1.19% | +0.06% | -3.96% | |
| 24 | KO | Coca-cola Co/the | Stock-Consumer Staples | 1.16% | — | -9.97% | |
| 25 | CHKP | Check Point Software Technologies Ltd. | Stock-Tech | 1.16% | — | -2.21% | |
| 26 | AMT | American Tower CORP | Stock-Real Estate | 1.16% | -0.21% | -0.72% | |
| 27 | VYM | Vanguard High Dvd Yield ETF | ETF-Other | 1.13% | — | -8.04% | |
| 28 | EXPE | Expedia Group Inc | Stock-Consumer Disc | 1.12% | +0.01% | -1.57% | |
| 29 | GSK | GSK plc | Stock-Healthcare | 1.11% | — | +6.16% | |
| 30 | MRK | Merck & Co. Inc. | Stock-Healthcare | 1.11% | — | +4.09% | |
| 31 | CAG | Conagra Brands Inc | Stock-Consumer Staples | 1.04% | — | +2.03% | |
| 32 | DEO | Diageo Plc-sponsored Adr | Stock-Consumer Staples | 1.02% | +0.01% | +6.17% | |
| 33 | VCSH | Vanguard S/t CORP Bond ETF | ETF-Corp Bonds | 1.02% | — | +4.39% | |
| 34 | DES | Wisdomtree US Smallcap Divid | ETF-Other | 0.97% | — | -8.39% | |
| 35 | IBM | Intl Business Machines CORP | Stock-Tech | 0.94% | — | +1.14% | |
| 36 | PFE | Pfizer Inc | Stock-Healthcare | 0.90% | — | -1.96% | |
| 37 | HFXI | Nyli Ftse Intl Eq Cur Ntrl | ETF-Other | 0.89% | -0.13% | -9.05% | |
| 38 | SPTS | Ss Spdr P St Term Tsy ETF | ETF-Other | 0.86% | -0.40% | -27.31% | |
| 39 | MNA | Nyli Merger Arbitrage ETF | ETF-Other | 0.83% | +0.01% | +0.67% | |
| 40 | SGOL | Abrdn Physical Gold Shares | ETF-Commodities | 0.71% | — | +2.69% | |
| 41 | CGC | Canopy Growth Corporation | Stock-Healthcare | 0.66% | — | +23.48% | |
| 42 | VPU | Vanguard Utilities ETF | ETF-Other | 0.64% | — | -0.98% | |
| 43 | LDUR | Pimco Enhanced Low Duration | ETF-Other | 0.58% | — | +4.50% | |
| 44 | VBK | Vanguard Small-cap Grwth ETF | ETF-Other | 0.55% | +0.03% | +2.94% | |
| 45 | BIV | Vanguard Intermediate-term B | ETF-Other | 0.55% | — | -3.70% | |
| 46 | NVDA | Nvidia CORP | Stock-Tech | 0.45% | +0.14% | +11.66% | |
| 47 | IVV | Ishares Core S&p 500 ETF | ETF-Large Cap & Growth | 0.39% | — | +1.08% | |
| 48 | V | Visa Inc-class A Shares | Stock-Financials | 0.39% | — | — | |
| 49 | MMIN | Nyli Mackay Muni Insured ETF | ETF-Other | 0.38% | +0.38% | NEW | |
| 50 | XSOE | Wisdmtree Emerg Mkt Ex-st Ow | ETF-Other | 0.37% | — | -1.81% |
1–50 of 156
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
Holding changes this quarter
Capstone Financial Group, Inc.'s most significant position changes for 2020-09-30: New buy: Zillow Group Inc - C (Z); New buy: Nyli Mackay Muni Insured ETF (MMIN); Sold out: Abb Ltd-spon Adr (ABBNY); New buy: Agnc Investment CORP (AGNC); New buy: Pepsico Inc (PEP).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | ANGL | Vaneck Fallen Angel High Yld | +1.5% | +130.57% | Add |
| 2 | AAPL | Apple Inc | +0.8% | +284.56% | Add |
| 3 | WMT | Walmart Inc | +0.5% | +25.66% | Add |
| 4 | BANF | Bancfirst CORP | +0.2% | +5.37% | Add |
| 5 | ABBV | Abbvie Inc | +0.2% | +1170.52% | Add |
| 6 | ABT | Abbott Laboratories | +0.2% | +0.50% | Add |
| 7 | NVDA | Nvidia CORP | +0.1% | +11.66% | Add |
| 8 | VZ | Verizon Communications Inc | +0.1% | +3.65% | Add |
| 9 | LUV | Southwest Airlines Co | +0.1% | -0.33% | Trim |
| 10 | MCD | Mcdonald's CORP | +0.1% | +29.47% | Add |
| 11 | CLRUSD | Continental Resources Inc/ok | +0.1% | +289.67% | Add |
| 12 | BRK-B | Berkshire Hathaway Inc-cl B | +0.1% | -3.96% | Trim |
| 13 | GDX | Vaneck Gold Miners ETF | +0.1% | +70.39% | Add |
| 14 | DIS | Walt Disney Co/the | +0.1% | +3.53% | Add |
| 15 | SYY | Sysco CORP | +0.1% | +8.20% | Add |
| 16 | UPS | United Parcel Service-cl B | +0.1% | +84.87% | Add |
| 17 | PYPL | Paypal Holdings Inc | 0% | -0.01% | Trim |
| 18 | VBK | Vanguard Small-cap Grwth ETF | 0% | +2.94% | Add |
| 19 | RIO | Rio Tinto Plc-spon Adr | 0% | +3.57% | Add |
| 20 | EXPE | Expedia Group Inc | 0% | -1.57% | Trim |
| 21 | DEO | Diageo Plc-sponsored Adr | 0% | +6.17% | Add |
| 22 | MNA | Nyli Merger Arbitrage ETF | 0% | +0.67% | Add |
| 23 | MDB | Mongodb Inc | 0% | -3.16% | Trim |
| 24 | GOOG | Alphabet Inc-cl C | -0.1% | +5.87% | Add |
| 25 | UNP | Union Pacific CORP | -0.1% | -64.53% | Trim |
| 26 | JPM | Jpmorgan Chase & Co | -0.1% | -42.74% | Trim |
| 27 | HFXI | Nyli Ftse Intl Eq Cur Ntrl | -0.1% | -9.05% | Trim |
| 28 | AMT | American Tower CORP | -0.2% | -0.72% | Trim |
| 29 | AMZN | Amazon.com Inc | -0.2% | -1.33% | Trim |
| 30 | INTC | Intel CORP | -0.3% | +2.01% | Add |
| 31 | SPTS | Ss Spdr P St Term Tsy ETF | -0.4% | -27.31% | Trim |
| 32 | CSCO | Cisco Systems Inc | -0.5% | -4.43% | Trim |
| 33 | MSFT | Microsoft CORP | -0.5% | -8.41% | Trim |
| 34 | AGZ | Ishares Agency Bond ETF | -0.5% | +0.97% | Add |
| 35 | MDT | Medtronic plc | -0.7% | -76.35% | Trim |
| 36 | SHOP | Shopify Inc - Class A | -1.4% | -16.42% | Trim |
| 37 | Z | Zillow Group Inc - C | — | NEW | New buy |
| 38 | MMIN | Nyli Mackay Muni Insured ETF | — | NEW | New buy |
| 39 | ABBNY | Abb Ltd-spon Adr | — | EXIT | Sold out |
| 40 | AGNC | Agnc Investment CORP | — | NEW | New buy |
| 41 | PEP | Pepsico Inc | — | NEW | New buy |
| 42 | CB | Chubb Limited | — | EXIT | Sold out |
| 43 | DOC | Healthpeak Properties Inc | — | EXIT | Sold out |
| 44 | SDCCQ | Smiledirectclub Inc | — | NEW | New buy |
| 45 | BYD | Boyd Gaming CORP | — | EXIT | Sold out |
| 46 | NFLX | Netflix Inc | — | NEW | New buy |
| 47 | LOB | Live Oak Bancshares Inc | — | NEW | New buy |
| 48 | ET | Energy Transfer LP | — | EXIT | Sold out |
| 49 | GU9 | Guess? Inc | — | NEW | New buy |
| 50 | WPM | Wheaton Precious Metals CORP | — | NEW | New buy |
Filing History
FAQ
What is Capstone Financial Group, Inc. and what type of investor is it?
Capstone Financial Group, 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 (2020-09-30), the firm manages a tracked equity portfolio valued at approximately $129.4M, spread across 156 disclosed positions.
What are Capstone Financial Group, Inc.'s largest equity positions?
Based on the latest 13F filing, Capstone Financial Group, Inc.'s top holdings by market value are:
1. Ishares Agency Bond ETF (AGZ) — $13.3M (10.3%)
2. Apple Inc (AAPL) — $11.4M (8.8%)
3. Shopify Inc - Class A (SHOP) — $7.8M (6.0%)
4. Amazon.com Inc (AMZN) — $6.4M (5.0%)
5. Pimco Enhanced Short Maturit (MINT) — $3.8M (2.9%)
What changes did Capstone Financial Group, Inc. make in its most recent portfolio filing?
In the latest reported quarter, Capstone Financial Group, Inc. made 50 notable position adjustments: 9 new positions were initiated, 21 existing holdings were added to, 15 positions were partially reduced, and 5 were completely exited. The largest of these moves: New buy: Zillow Group Inc - C (Z); New buy: Nyli Mackay Muni Insured ETF (MMIN); Sold out: Abb Ltd-spon Adr (ABBNY); New buy: Agnc Investment CORP (AGNC); New buy: Pepsico Inc (PEP)
What sectors does Capstone Financial Group, Inc. focus on?
Capstone Financial Group, Inc. is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 50.6%
• Communication Services: 10.6%
• Consumer Discretionary: 10.5%
• Health Care: 9.2%
• Financials: 7.4%
• Consumer Staples: 6.8%
Investment Profile
Capstone Financial Group, Inc.'s portfolio is broadly diversified and long-term-holding, with 50.6% of the portfolio concentrated in Information Technology.
Its turnover score has risen from 0 to 16 over the past 3 quarters — a shift toward more active trading.
It has added to its AGZ position over the past two quarters (+$6.1M, now $13.3M), while trimming MDT over the same stretch (-$908.0K, still holding $314.0K).
Peer Institutions
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Sector conviction72.7
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WI
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SF
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