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Garton & Associates Financial Advisors LLC Holdings Report (Q3 2026) — 13F Stock Portfolio
Garton & Associates Financial Advisors LLCCIK: 0002109857
Momentum followerQuality / disciplined sizingSector-focused
Total reported value
$41.0M
Reporting period: 2026-09-30 · Number of holdings: 25
Garton & Associates Financial Advisors LLC disclosed 25 holdings in its latest 13F filing for the period ending 2026-09-30, with total reported value of $41.0M and a quarterly turnover rate of 54.9%.
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Personality snowflake
- Concentration
- 30.35
- Portfolio Stability
- 54.93
- Momentum
- 100
- Sector conviction
- 65.52
- Diversification
- 50
- Sizing Uniformity
- 90.33
Garton & Associates Financial Advisors LLC's disclosed holdings carry a Herfindahl concentration index of 0.076 — mathematically equivalent to about 13 equally-sized positions, well below its 25 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes are fairly uniform across the portfolio (a coefficient of variation of 0.97), suggesting a disciplined, rules-based approach to how much capital goes into each idea.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govSold out ABBV
Sold out DUK
Sold out TMUS
New buy RELX
New buy POR
New buy EWBC
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 | AAPL | Apple Inc | Stock-Tech | 15.36% | +2.89% | -0.77% | |
| 2 | AVGO | Broadcom Inc | Stock-Tech | 12.13% | -0.29% | -2.52% | |
| 3 | QQQM | Invesco Nasdaq 100 ETF | ETF-Tech | 9.97% | +1.40% | +7.38% | |
| 4 | AMZN | Amazon.com Inc | Stock-Consumer Disc | 9.74% | +1.32% | +2.55% | |
| 5 | TCAF | T Rowe Prc Cap Appreciation | ETF-Other | 5.42% | +0.69% | +3.28% | |
| 6 | HAS | Hasbro Inc | Stock-Consumer Disc | 4.86% | +2.52% | +81.65% | |
| 7 | RELX | Relx PLC - Spon Adr | Stock-Industrials | 4.47% | +4.47% | NEW | |
| 8 | VYMI | Vanguard Int High Dvd Yld In | ETF-Other | 4.42% | +0.50% | +1.74% | |
| 9 | POR | Portland General Electric Co | Stock-Utilities | 4.12% | +4.12% | NEW | |
| 10 | KO | Coca-cola Co/the | Stock-Consumer Staples | 3.50% | +0.43% | +0.04% | |
| 11 | EWBC | East West Bancorp Inc | Stock-Financials | 3.44% | +3.44% | NEW | |
| 12 | RBCAA | Republic Bancorp Inc-class A | Stock-Other | 3.40% | +0.22% | -2.31% | |
| 13 | PEP | Pepsico Inc | Stock-Consumer Staples | 3.29% | -0.49% | -26.22% | |
| 14 | OTIS | Otis Worldwide CORP | Stock-Industrials | 2.57% | +2.57% | NEW | |
| 15 | AMCR | Amcor plc | Stock-Consumer Disc | 2.50% | -2.30% | -50.02% | |
| 16 | EXC | Exelon CORP | Stock-Utilities | 1.65% | -1.40% | -41.99% | |
| 17 | GSK | Gsk Plc-spon Adr | Stock-Healthcare | 1.29% | +1.29% | NEW | |
| 18 | T | At&t Inc | Stock-Comm Services | 1.25% | +0.30% | +3.39% | |
| 19 | PFE | Pfizer Inc | Stock-Healthcare | 1.23% | +0.26% | +0.11% | |
| 20 | AMT | American Tower CORP | Stock-Real Estate | 1.16% | +1.16% | NEW | |
| 21 | EPD | Enterprise Products Partners | Stock-Energy | 1.03% | +0.10% | +6.17% | |
| 22 | SCHD | Schwab US Dvd Equity ETF | ETF-Other | 0.99% | +0.10% | -0.31% | |
| 23 | SPHY | Ss Spdr P High Yield ETF | ETF-High Yield | 0.89% | +0.04% | -0.06% | |
| 24 | FDVV | Fidelity High Dividend ETF | ETF-Other | 0.75% | +0.75% | NEW | |
| 25 | CMCSA | Comcast Corp-class A | Stock-Comm Services | 0.56% | -0.66% | -52.31% |
Portfolio Performance
Performance for Q4 2026
+0.5%
Performance Last 4 Quarters
+7.8%
- Stdev
- +14.1%
- Beta
- +0.83
- Alpha
- -4%
- Max Drawdown
- -2.9%
- Annualized Perf
- +11.9%
- Batting Avg vs S&P
- +37.5%
- Sortino
- +1.9
- Stutzer
- +0.28
- Treynor
- +0.15
- Sterling
- —
- Calmar
- +4.15
- Information Ratio
- -1.37
- Tracking Error
- +5.4%
- Stdev Down
- +6.4%
- Winning Months %
- +62.5%
- Losing Months %
- +37.5%
- Best 12 Months
- —
- Worst 12 Months
- —
- Efficiency Ratio
- +0.32
- Sharpe
- +0.87
- Stdev Sectors
- +10.9%
- Skewness
- +0.65
- Kurtosis
- -0.1
- Upside Potential
- +3.83
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
Holding changes this quarter
Garton & Associates Financial Advisors LLC's most significant position changes for 2026-09-30: Sold out: Abbvie Inc (ABBV); Sold out: Duke Energy CORP (DUK); Sold out: T-mobile US Inc (TMUS); New buy: Relx PLC - Spon Adr (RELX); New buy: Portland General Electric Co (POR).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | RELX | Relx PLC - Spon Adr | +4.5% | NEW | New buy |
| 2 | POR | Portland General Electric Co | +4.1% | NEW | New buy |
| 3 | EWBC | East West Bancorp Inc | +3.4% | NEW | New buy |
| 4 | AAPL | Apple Inc | +2.9% | -0.77% | Trim |
| 5 | OTIS | Otis Worldwide CORP | +2.6% | NEW | New buy |
| 6 | HAS | Hasbro Inc | +2.5% | +81.65% | Add |
| 7 | QQQM | Invesco Nasdaq 100 ETF | +1.4% | +7.38% | Add |
| 8 | AMZN | Amazon.com Inc | +1.3% | +2.55% | Add |
| 9 | GSK | Gsk Plc-spon Adr | +1.3% | NEW | New buy |
| 10 | AMT | American Tower CORP | +1.2% | NEW | New buy |
| 11 | FDVV | Fidelity High Dividend ETF | +0.8% | NEW | New buy |
| 12 | TCAF | T Rowe Prc Cap Appreciation | +0.7% | +3.28% | Add |
| 13 | VYMI | Vanguard Int High Dvd Yld In | +0.5% | +1.74% | Add |
| 14 | KO | Coca-cola Co/the | +0.4% | +0.04% | Add |
| 15 | T | At&t Inc | +0.3% | +3.39% | Add |
| 16 | PFE | Pfizer Inc | +0.3% | +0.11% | Add |
| 17 | RBCAA | Republic Bancorp Inc-class A | +0.2% | -2.31% | Trim |
| 18 | EPD | Enterprise Products Partners | +0.1% | +6.17% | Add |
| 19 | SCHD | Schwab US Dvd Equity ETF | +0.1% | -0.31% | Trim |
| 20 | SPHY | Ss Spdr P High Yield ETF | 0% | -0.06% | Trim |
| 21 | AVGO | Broadcom Inc | -0.3% | -2.52% | Trim |
| 22 | PEP | Pepsico Inc | -0.5% | -26.22% | Trim |
| 23 | CMCSA | Comcast Corp-class A | -0.7% | -52.31% | Trim |
| 24 | EXC | Exelon CORP | -1.4% | -41.99% | Trim |
| 25 | ENB | Enbridge Inc | -1.9% | EXIT | Sold out |
| 26 | AMCR | Amcor plc | -2.3% | -50.02% | Trim |
| 27 | UBER | Uber Technologies Inc | -3.2% | EXIT | Sold out |
| 28 | GNTX | Gentex CORP | -3.2% | EXIT | Sold out |
| 29 | TMUS | T-mobile US Inc | -4.5% | EXIT | Sold out |
| 30 | DUK | Duke Energy CORP | -4.8% | EXIT | Sold out |
| 31 | ABBV | Abbvie Inc | -5.8% | EXIT | Sold out |
Filing History
FAQ
What is Garton & Associates Financial Advisors LLC and what type of investor is it?
Garton & Associates Financial Advisors LLC 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 (2026-09-30), the firm manages a tracked equity portfolio valued at approximately $41.0M, spread across 25 disclosed positions.
What are Garton & Associates Financial Advisors LLC's largest equity positions?
Based on the latest 13F filing, Garton & Associates Financial Advisors LLC's top holdings by market value are:
1. Apple Inc (AAPL) — $6.3M (15.4%)
2. Broadcom Inc (AVGO) — $5.0M (12.1%)
3. Invesco Nasdaq 100 ETF (QQQM) — $4.1M (10.0%)
4. Amazon.com Inc (AMZN) — $4.0M (9.7%)
5. T Rowe Prc Cap Appreciation (TCAF) — $2.2M (5.4%)
What changes did Garton & Associates Financial Advisors LLC make in its most recent portfolio filing?
In the latest reported quarter, Garton & Associates Financial Advisors LLC made 31 notable position adjustments: 7 new positions were initiated, 9 existing holdings were added to, 9 positions were partially reduced, and 6 were completely exited. The largest of these moves: Sold out: Abbvie Inc (ABBV); Sold out: Duke Energy CORP (DUK); Sold out: T-mobile US Inc (TMUS); New buy: Relx PLC - Spon Adr (RELX); New buy: Portland General Electric Co (POR)
What sectors does Garton & Associates Financial Advisors LLC focus on?
Garton & Associates Financial Advisors LLC is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 37.1%
• Consumer Discretionary: 23.1%
• Industrials: 9.5%
• Consumer Staples: 9.2%
• Utilities: 7.8%
• Financials: 4.6%
* This report is exclusively curated by the AlphaSMO team. AlphaSMO is the web's most authoritative 13F / Inside Trader database, delivering precise insider trading and institutional holdings insights.
Investment Profile
Garton & Associates Financial Advisors LLC returned an annualized 11.9% over the trailing 8 months — underperforming the S&P 500 by 4.0 points — based on a reconstructed track record of its disclosed 13F positions, with a beta of 0.83 (less volatile than the market) and a 38% quarterly batting average against the index.
Its portfolio is broadly diversified and moderately active, with 37.1% of the portfolio concentrated in Information Technology.
Its turnover score has risen from 0 to 55 over the past 3 quarters — a shift toward more active trading.
It has added to its QQQM position over the past two quarters (+$1.6M, now $4.1M), while trimming EXC over the same stretch (-$954.0K, still holding $677.5K).
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