CIK: 0001730476
Total reported value
$88.2M
Reporting period: 2018-09-30 · Number of holdings: 23
Dragon Financial & Investment Group, LLC disclosed 23 holdings in its latest 13F filing for the period ending 2018-09-30, with total reported value of $88.2M and a quarterly turnover rate of 26.1%.
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Dragon Financial & Investment Group, LLC's disclosed holdings carry a Herfindahl concentration index of 0.182 — mathematically equivalent to about 5 equally-sized positions, well below its 23 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 1.83), with a handful of outsized bets alongside many smaller positions.
Recent activity leans toward initiating meaningfully larger new positions than it adds to existing ones (a 13.5 percentage-point tilt) — a pattern consistent with a more contrarian, new-idea-driven approach.
Sector classification currently covers about 1% 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.
Trim SCHZ
-10.3% -$2.3M
Trim SPY
-11.3% -$1.4M
Trim CRBN
-41.4% -$900.0K
Trim VWO
-9.9% -$741.0K
Trim HEFA
-13.0% -$658.0K
Trim VEA
-6.9% -$481.0K
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 31.74% | -1.95% | -11.27% | |
| 2 | SCHZ | Schwab US Aggregate Bond ETF | ETF-Other | 21.59% | -2.88% | -10.26% | |
| 3 | XLG | Invesco S&p 500 Top 50 ETF | ETF-Large Cap & Growth | 13.46% | +13.46% | NEW | |
| 4 | VEA | Vanguard Ftse Developed ETF | ETF-Other | 8.45% | -0.63% | -6.87% | |
| 5 | VWO | Vanguard Ftse Emerging Marke | ETF-Emerging Markets | 5.92% | -0.90% | -9.86% | |
| 6 | HEFA | Isha Curr Hedged Msci Eafe | ETF-Other | 5.46% | -0.81% | -12.98% | |
| 7 | XLV | Ss Health Care Select Sector | ETF-Other | 3.86% | -0.09% | -13.52% | |
| 8 | XLF | Ss Financial Select Sector | ETF-Other | 3.39% | -0.41% | -13.14% | |
| 9 | CRBN | Ish Low Car Opt Ms Ac Etf-us | ETF-Other | 1.59% | -1.04% | -41.43% | |
| 10 | VEU | Vanguard Ftse All-world Ex-u | ETF-Other | 0.46% | -0.14% | -22.68% | |
| 11 | DSI | Ishares Esg Msci Kld 400 ETF | ETF-Other | 0.43% | -0.28% | -41.42% | |
| 12 | SHE | Ss Spdr Msci U Gend Div ETF | ETF-Other | 0.41% | -0.25% | -40.41% | |
| 13 | IVV | Ishares Core S&p 500 ETF | ETF-Large Cap & Growth | 0.39% | -0.04% | -13.83% | |
| 14 | ESGD | Ishares Trust Ishares Esg Aw | ETF-Other | 0.36% | -0.25% | -40.82% | |
| 15 | ✓ | Stock-Other | 0.36% | -0.13% | -33.38% | ||
| 16 | ESGE | Ishares INC Ishares Esg Awar | ETF-Other | 0.34% | -0.25% | -40.79% | |
| 17 | AAPL | Apple INC | Stock-Tech | 0.30% | -0.04% | -26.23% | |
| 18 | MMM | 3m Co | Stock-Industrials | 0.28% | -0.11% | -32.71% | |
| 19 | V | Visa Inc-class A Shares | Stock-Financials | 0.26% | -0.21% | -49.54% | |
| 20 | HD | Home Depot INC | Stock-Consumer Disc | 0.24% | -0.18% | -45.75% | |
| 21 | JNJ | Johnson & Johnson | Stock-Healthcare | 0.24% | -0.05% | -28.86% | |
| 22 | BIIB | Biogen INC | Stock-Healthcare | 0.24% | -0.11% | -44.22% | |
| 23 | DIS | Walt Disney Co/the | Stock-Comm Services | 0.23% | -0.08% | -31.48% |
Not enough priced holdings yet to compute performance
Dragon Financial & Investment Group, LLC's most significant position changes for 2018-09-30: New buy: Invesco S&p 500 Top 50 ETF (XLG); Sold out: Microsoft CORP (MSFT); Sold out: Pepsico INC (PEP); Sold out: Alphabet Inc-cl A (GOOGL); Sold out: Electronic Arts INC (EA).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | AAPL | Apple INC | 0% | -26.23% | Trim |
| 2 | IVV | Ishares Core S&p 500 ETF | 0% | -13.83% | Trim |
| 3 | JNJ | Johnson & Johnson | -0.1% | -28.86% | Trim |
| 4 | DIS | Walt Disney Co/the | -0.1% | -31.48% | Trim |
| 5 | XLV | Ss Health Care Select Sector | -0.1% | -13.52% | Trim |
| 6 | BIIB | Biogen INC | -0.1% | -44.22% | Trim |
| 7 | MMM | 3m Co | -0.1% | -32.71% | Trim |
| 8 | ✓ | -0.1% | -33.38% | Trim | |
| 9 | VEU | Vanguard Ftse All-world Ex-u | -0.1% | -22.68% | Trim |
| 10 | HD | Home Depot INC | -0.2% | -45.75% | Trim |
| 11 | V | Visa Inc-class A Shares | -0.2% | -49.54% | Trim |
| 12 | ESGE | Ishares INC Ishares Esg Awar | -0.3% | -40.79% | Trim |
| 13 | ESGD | Ishares Trust Ishares Esg Aw | -0.3% | -40.82% | Trim |
| 14 | SHE | Ss Spdr Msci U Gend Div ETF | -0.3% | -40.41% | Trim |
| 15 | DSI | Ishares Esg Msci Kld 400 ETF | -0.3% | -41.42% | Trim |
| 16 | XLF | Ss Financial Select Sector | -0.4% | -13.14% | Trim |
| 17 | VEA | Vanguard Ftse Developed ETF | -0.6% | -6.87% | Trim |
| 18 | HEFA | Isha Curr Hedged Msci Eafe | -0.8% | -12.98% | Trim |
| 19 | VWO | Vanguard Ftse Emerging Marke | -0.9% | -9.86% | Trim |
| 20 | CRBN | Ish Low Car Opt Ms Ac Etf-us | -1% | -41.43% | Trim |
| 21 | SPY | Ss Spdr S&p 500 ETF Trust-us | -2% | -11.27% | Trim |
| 22 | SCHZ | Schwab US Aggregate Bond ETF | -2.9% | -10.26% | Trim |
| 23 | XLG | Invesco S&p 500 Top 50 ETF | — | NEW | New buy |
| 24 | MSFT | Microsoft CORP | — | EXIT | Sold out |
| 25 | PEP | Pepsico INC | — | EXIT | Sold out |
| 26 | GOOGL | Alphabet Inc-cl A | — | EXIT | Sold out |
| 27 | EA | Electronic Arts INC | — | EXIT | Sold out |
| 28 | DHR | Danaher CORP | — | EXIT | Sold out |
| 29 | WFC | Wells Fargo & Co | — | EXIT | Sold out |
| 30 | NKE | Nike INC -cl B | — | EXIT | Sold out |
| 31 | INTC | Intel CORP | — | EXIT | Sold out |
| 32 | AEP | American Electric Power Company, Inc. | — | EXIT | Sold out |
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2018-09-30 | 2018-10-19 | 13F-HR | View on EDGAR |
| 2018-06-30 | 2018-08-03 | 13F-HR | View on EDGAR |
| 2018-03-31 | 2018-04-30 | 13F-HR | View on EDGAR |
| 2017-12-31 | 2018-02-09 | 13F-HR | View on EDGAR |
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