DB
Dubuque Bank & Trust Co Historical SEC 13F Holdings & Archive (Q3 2023)
Dubuque Bank & Trust CoCIK: 0000933482
Diversified strategyLong-term holderQuality / disciplined sizing
Total reported value
$748.4M
Reporting period: 2023-09-30 · Number of holdings: 352
Dubuque Bank & Trust Co disclosed 352 holdings in its latest 13F filing for the period ending 2023-09-30, with total reported value of $748.4M and a quarterly turnover rate of 0.0%.
Browse other institutions with $100M to $1B AUMBrowse other institutions starting with "D"
Personality snowflake
- Concentration
- 10.17
- Portfolio Stability
- 0
- Momentum
- 50
- Sector conviction
- 46.81
- Diversification
- 100
- Sizing Uniformity
- 77.09
Dubuque Bank & Trust Co's disclosed holdings carry a Herfindahl concentration index of 0.025 — mathematically equivalent to about 39 equally-sized positions, well below its 352 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 2.29), 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 35% 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.govNo holding changes this quarter
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
Showing top 200 holdings (of 352 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | VTV | Vanguard Value ETF | ETF-Other | 6.67% | — | -2.74% | |
| 2 | HTLFEUR | Heartland Financial USA Inc | Stock-Other | 6.37% | — | -4.34% | |
| 3 | VUG | Vanguard Growth ETF | ETF-Other | 6.31% | — | +1.32% | |
| 4 | ITM | Vaneck Intermediate Muni ETF | ETF-Other | 4.94% | — | +7.04% | |
| 5 | EFV | Ishares Msci Eafe Value ETF | ETF-Other | 4.15% | — | +5.29% | |
| 6 | EFG | Ishares Msci Eafe Growth ETF | ETF-Other | 3.85% | — | +3.54% | |
| 7 | AAPL | Apple Inc | Stock-Tech | 2.81% | — | -4.96% | |
| 8 | MSFT | Microsoft CORP | Stock-Tech | 2.49% | — | +0.67% | |
| 9 | SHM | Ss Spdr N Ice St Muni ETF | ETF-Other | 2.41% | — | +3.18% | |
| 10 | QAI | Nyli Hdg Multi-str Trk ETF | ETF-Other | 2.34% | — | +1.04% | |
| 11 | JEPI | Jpmorgan Equity Premium Inco | ETF-Other | 2.06% | — | +2.90% | |
| 12 | SHY | Ishares 1-3 Year Treasury Bo | ETF-Gov Bonds | 1.79% | — | -4.00% | |
| 13 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 1.72% | — | -0.89% | |
| 14 | VWO | Vanguard Ftse Emerging Marke | ETF-Emerging Markets | 1.62% | — | +6.43% | |
| 15 | INCE | Franklin Income Equity Focus | ETF-Other | 1.62% | — | +1.83% | |
| 16 | BND | Vanguard Total Bond Market | ETF-Other | 1.28% | — | +50.20% | |
| 17 | AVGO | Broadcom Inc | Stock-Tech | 1.23% | — | -11.82% | |
| 18 | VBR | Vanguard Small-cap Value ETF | ETF-Other | 1.23% | — | +6.43% | |
| 19 | JNJ | Johnson & Johnson | Stock-Healthcare | 1.20% | — | -0.34% | |
| 20 | VBK | Vanguard Small-cap Grwth ETF | ETF-Other | 1.19% | — | +4.70% | |
| 21 | JPM | Jpmorgan Chase & Co | Stock-Financials | 1.16% | — | -0.62% | |
| 22 | AMGN | Amgen Inc | Stock-Healthcare | 1.15% | — | -1.05% | |
| 23 | VCSH | Vanguard S/t CORP Bond ETF | ETF-Corp Bonds | 1.11% | — | -32.29% | |
| 24 | CVX | Chevron CORP | Stock-Energy | 1.07% | — | +6.12% | |
| 25 | CSCO | Cisco Systems Inc | Stock-Tech | 1.03% | — | -0.65% | |
| 26 | AMZN | Amazon.com Inc | Stock-Consumer Disc | 0.97% | — | -17.91% | |
| 27 | VTI | Vanguard Total Stock Mkt ETF | ETF-Other | 0.95% | — | -2.80% | |
| 28 | RTX | Rtx CORP | Stock-Industrials | 0.92% | — | -0.58% | |
| 29 | TY | Tri-continental CORP | Stock-Other | 0.89% | — | -3.49% | |
| 30 | UPS | United Parcel Service-cl B | Stock-Industrials | 0.87% | — | -0.99% | |
| 31 | IDLV | Invesco S&p International De | ETF-Other | 0.87% | — | +8.30% | |
| 32 | WMT | Walmart Inc | Stock-Consumer Staples | 0.86% | — | -38.49% | |
| 33 | ADX | Adams Diversified Equity | Stock-Other | 0.85% | — | -15.23% | |
| 34 | MBB | Ishares Mbs ETF | ETF-Other | 0.84% | — | -0.45% | |
| 35 | TXN | Texas Instruments Inc | Stock-Tech | 0.83% | — | -0.61% | |
| 36 | LOW | Lowe's Cos Inc | Stock-Consumer Disc | 0.77% | — | -1.81% | |
| 37 | ABBV | Abbvie Inc | Stock-Healthcare | 0.72% | — | +2.19% | |
| 38 | BLKCHF | Blackrock Inc | Stock-Other | 0.70% | — | -1.06% | |
| 39 | MDT | Medtronic plc | Stock-Healthcare | 0.70% | — | -2.52% | |
| 40 | SBUX | Starbucks CORP | Stock-Consumer Disc | 0.69% | — | -0.60% | |
| 41 | IGF | Ishares Global Infrastructur | ETF-Other | 0.67% | — | +1.51% | |
| 42 | ORCL | Oracle CORP | Stock-Tech | 0.65% | — | -3.96% | |
| 43 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 0.64% | — | -1.88% | |
| 44 | IVV | Ishares Core S&p 500 ETF | ETF-Large Cap & Growth | 0.64% | — | -0.94% | |
| 45 | PG | Procter & Gamble Co/the | Stock-Consumer Staples | 0.61% | — | +4.31% | |
| 46 | XLU | St Sr Utl Sl Se Spdr Etf-usd | ETF-Other | 0.57% | — | +21.94% | |
| 47 | V | Visa Inc-class A Shares | Stock-Financials | 0.57% | — | -1.07% | |
| 48 | HD | Home Depot Inc | Stock-Consumer Disc | 0.55% | — | -0.15% | |
| 49 | MCD | Mcdonald's CORP | Stock-Consumer Disc | 0.55% | — | +0.37% | |
| 50 | ING | Ing Groep N.v.-sponsored Adr | Stock-Financials | 0.54% | — | — |
1–50 of 200
Portfolio Performance
Performance for Q3 2026
+3.1%
Performance Last 4 Quarters
+19.8%
- Stdev
- +9.9%
- Beta
- +0.7
- Alpha
- +2%
- Max Drawdown
- -5.6%
- Annualized Perf
- +16.7%
- Batting Avg vs S&P
- +38.9%
- Sortino
- +3.03
- Stutzer
- +0.46
- Treynor
- +0.23
- Sterling
- +1.17
- Calmar
- +2.99
- Information Ratio
- -0.72
- Tracking Error
- +5.5%
- Stdev Down
- +5.3%
- Winning Months %
- +75%
- Losing Months %
- +25%
- Best 12 Months
- +27.8%
- Worst 12 Months
- +7.4%
- Efficiency Ratio
- +0.61
- Sharpe
- +1.62
- Stdev Sectors
- +7.7%
- Skewness
- -0.45
- Kurtosis
- -0.07
- Upside Potential
- +4.57
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
| Period | Holdings | Total value | Stability | Top holdings | |
|---|---|---|---|---|---|
| 2023 Q3 | 352 | $748.4M | 0 | ||
| 2023 Q2 | 344 | $776.8M | 0 | ||
| 2023 Q1 | 332 | $779.6M | 0 | ||
| 2022 Q4 | 330 | $764.3M | 0 | ||
| 2022 Q3 | 334 | $714.9M | 0 | ||
| 2022 Q2 | 338 | $774.3M | 0 | ||
| 2022 Q1 | 351 | $895.4M | 0 | ||
| 2021 Q4 | 394 | $952.4M | 0 | ||
| 2021 Q3 | 416 | $893.8M | 0 | ||
| 2021 Q2 | 419 | $900.1M | 99 | ||
| 2021 Q1 | 405 | $878.4M | 14 | ||
| 2020 Q4 | 382 | $815.9M | 25 | ||
| 2020 Q3 | 317 | $681.2M | 18 | ||
| 2020 Q2 | 316 | $641.9M | 30 | ||
| 2020 Q1 | 297 | $529.5M | 36 | ||
| 2019 Q4 | 283 | $655.6M | 18 | ||
| 2019 Q3 | 259 | $616.8M | 10 | ||
| 2019 Q2 | 253 | $619.5M | 15 | ||
| 2019 Q1 | 841 | $619.9M | 20 | ||
| 2018 Q4 | 788 | $555.8M | 25 | ||
| 2018 Q3 | 766 | $645.9M | 17 | ||
| 2018 Q2 | 872 | $611.2M | 13 | ||
| 2018 Q1 | 902 | $618.1M | 17 | ||
| 2017 Q4 | 812 | $660.4M | 16 | ||
| 2017 Q3 | 779 | $607.2M | 37 | ||
| 2017 Q2 | 642 | $459.1M | 23 | ||
| 2017 Q1 | 645 | $451.2M | 52 | ||
| 2016 Q4 | 551 | $564.0M | 23 | ||
| 2016 Q3 | 539 | $532.6M | 24 | ||
| 2016 Q2 | 555 | $516.5M | 34 | ||
| 2016 Q1 | 685 | $518.1M | 63 | ||
| 2015 Q4 | 740 | $473.0M | 24 | ||
| 2015 Q3 | 600 | $466.5M | 25 | ||
| 2015 Q2 | 625 | $537.3M | 55 | ||
| 2015 Q1 | 655 | $667.5M | 48 | ||
| 2014 Q4 | 608 | $626.6M | 50 | ||
| 2014 Q3 | 612 | $607.1M | 29 | ||
| 2014 Q2 | 694 | $634.2M | 35 | ||
| 2014 Q1 | 516 | $558.5M | 39 | ||
| 2013 Q4 | 509 | $568.6M | 22 | ||
| 2013 Q3 | 498 | $526.3M | 32 | ||
| 2013 Q2 | 487 | $506.2M | 0 |
Holding changes this quarter
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|
Filing History
FAQ
What is Dubuque Bank & Trust Co and what type of investor is it?
Dubuque Bank & Trust Co 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 (2023-09-30), the firm manages a tracked equity portfolio valued at approximately $748.4M, spread across 352 disclosed positions.
What are Dubuque Bank & Trust Co's largest equity positions?
Based on the latest 13F filing, Dubuque Bank & Trust Co's top holdings by market value are:
1. Vanguard Value ETF (VTV) — $49.9M (6.7%)
2. Heartland Financial USA Inc (HTLFEUR) — $47.7M (6.4%)
3. Vanguard Growth ETF (VUG) — $47.3M (6.3%)
4. Vaneck Intermediate Muni ETF (ITM) — $37.0M (4.9%)
5. Ishares Msci Eafe Value ETF (EFV) — $31.0M (4.2%)
What changes did Dubuque Bank & Trust Co make in its most recent portfolio filing?
No notable portfolio changes were recorded for Dubuque Bank & Trust Co in the most recent quarter. Holdings appear to have remained relatively stable.
What sectors does Dubuque Bank & Trust Co focus on?
Dubuque Bank & Trust Co is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 29.1%
• Health Care: 14.3%
• Financials: 11.5%
• Consumer Discretionary: 11.4%
• Consumer Staples: 9.1%
• Industrials: 8.5%
💡
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
Dubuque Bank & Trust Co returned an annualized 16.7% over the trailing 36 months — outperforming the S&P 500 by 2.0 points — based on a reconstructed track record of its disclosed 13F positions, with a beta of 0.70 (less volatile than the market) and a 39% quarterly batting average against the index.
Its portfolio is broadly diversified and long-term-holding.
It has added to its VNQ position over the past two quarters (+$2.8M, now $3.0M), while trimming VCSH over the same stretch (-$4.5M, still holding $8.3M).
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Developer Access
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