GW
Gupta Wealth Management LLC Historical SEC 13F Holdings & Archive (Q1 2016)
Gupta Wealth Management LLCCIK: 0001639966
Diversified strategyMomentum follower
Total reported value
$426.8M
Reporting period: 2016-03-31 · Number of holdings: 1173
Gupta Wealth Management LLC disclosed 1173 holdings in its latest 13F filing for the period ending 2016-03-31, with total reported value of $426.8M and a quarterly turnover rate of 20.6%.
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Personality snowflake
- Concentration
- 5.86
- Portfolio Stability
- 20.63
- Momentum
- 100
- Sector conviction
- 50.81
- Diversification
- 100
- Sizing Uniformity
- 59.78
Gupta Wealth Management LLC's disclosed holdings carry a Herfindahl concentration index of 0.015 — mathematically equivalent to about 68 equally-sized positions, well below its 1173 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 4.02), 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 25% 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 VIG
+23.2% $3.6M
Add VOE
+30.4% $2.9M
Add TLT
+11.2% $3.6M
Add IEF
+21.1% $2.8M
Add VOO
+635.3% $1.8M
Trim LLY
-4.5% -$1.2M
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
Showing top 200 holdings (of 1173 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | TLT | Ishares 20+ Year Treasury Bd | ETF-Gov Bonds | 4.98% | +0.49% | +11.20% | |
| 2 | LQD | Ishr Ibx Usd Invgd Cb Etf-ui | ETF-Corp Bonds | 4.75% | +0.15% | +7.46% | |
| 3 | AAPL | Apple Inc | Stock-Tech | 3.83% | +0.12% | +8.09% | |
| 4 | VIG | Vanguard Dividend Apprec ETF | ETF-Other | 3.81% | +0.60% | +23.22% | |
| 5 | IEF | Ishares 7-10 Year Treasury B | ETF-Gov Bonds | 3.13% | +0.45% | +21.11% | |
| 6 | MGK | Vanguard Mega Cap Growth ETF | ETF-Other | 3.02% | +0.01% | +8.63% | |
| 7 | VOE | Vanguard Mid-cap Value ETF | ETF-Other | 2.81% | +0.50% | +30.38% | |
| 8 | BA | Boeing Co/the | Stock-Industrials | 2.03% | -0.34% | +5.90% | |
| 9 | VGLT | Vanguard Long-term Treasury | ETF-Gov Bonds | 1.61% | -0.25% | -12.96% | |
| 10 | DES | Wisdomtree US Smallcap Divid | ETF-Other | 1.39% | — | -4.23% | |
| 11 | DOL | Wisdomtree Tr Dvlp Intnl-usd | ETF-Other | 1.30% | +0.23% | +35.49% | |
| 12 | INTC | Intel CORP | Stock-Tech | 1.27% | — | +8.34% | |
| 13 | LLY | Eli Lilly & Co | Stock-Healthcare | 1.25% | -0.41% | -4.55% | |
| 14 | HD | Home Depot Inc | Stock-Consumer Disc | 1.16% | — | +7.96% | |
| 15 | VGIT | Vanguard Intermediate-term T | ETF-Other | 1.15% | -0.21% | -11.43% | |
| 16 | GLD | Spdr Gold Shares | ETF-Commodities | 1.14% | +0.01% | -5.46% | |
| 17 | GOLD | Gold.com, Inc. | Stock-Other | 1.14% | +0.26% | +20.87% | |
| 18 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 1.12% | — | +0.81% | |
| 19 | MSFT | Microsoft CORP | Stock-Tech | 1.05% | — | +4.91% | |
| 20 | KRE | Ss Spdr S&p Regional Bank | ETF-Other | 1.00% | -0.31% | -7.48% | |
| 21 | ITW | Illinois Tool Works | Stock-Industrials | 0.98% | — | -5.99% | |
| 22 | O | Realty Income CORP | Stock-Real Estate | 0.98% | +0.14% | +4.39% | |
| 23 | CL | Colgate-palmolive Co | Stock-Consumer Staples | 0.89% | +0.04% | +7.92% | |
| 24 | IAUUSD | Ishares Gold Trust | ETF-Commodities | 0.89% | +0.13% | +8.61% | |
| 25 | VTI | Vanguard Total Stock Mkt ETF | ETF-Other | 0.88% | — | +10.99% | |
| 26 | NEE | Nextera Energy Inc | Stock-Utilities | 0.83% | +0.10% | +8.13% | |
| 27 | JNJ | Johnson & Johnson | Stock-Healthcare | 0.83% | — | -2.75% | |
| 28 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 0.82% | — | -1.12% | |
| 29 | UTXZ | United Tech CORP | Stock-Other | 0.81% | +0.05% | +10.10% | |
| 30 | GOOG | Alphabet Inc-cl C | Stock-Comm Services | 0.74% | — | -0.98% | |
| 31 | KO | Coca-cola Co/the | Stock-Consumer Staples | 0.72% | +0.15% | +27.73% | |
| 32 | BRK-B | Berkshire Hathaway Inc-cl B | Stock-Other | 0.67% | — | -1.23% | |
| 33 | LTC | Ltc Properties Inc | Stock-Other | 0.65% | +0.06% | +14.85% | |
| 34 | AFL | Aflac Inc | Stock-Financials | 0.61% | — | -8.53% | |
| 35 | VONE | Vanguard Russell 1000 | ETF-Other | 0.61% | — | — | |
| 36 | NVS | Novartis Ag-sponsored Adr | Stock-Healthcare | 0.59% | — | +23.07% | |
| 37 | DOC | Healthpeak Properties, Inc. | Stock-Real Estate | 0.58% | — | +14.81% | |
| 38 | ✓ | Eg Dj Emrg Mkt Cnsumr Tita | Stock-Other | 0.58% | — | -1.53% | |
| 39 | SDY | Ss Spdr S&p Dividend ETF | ETF-Other | 0.56% | — | +2.43% | |
| 40 | OXY | Occidental Petroleum CORP | Stock-Energy | 0.56% | — | +0.58% | |
| 41 | MDT | Medtronic plc | Stock-Healthcare | 0.56% | — | +16.83% | |
| 42 | NNN | Nnn Reit Inc | Stock-Real Estate | 0.55% | +0.10% | +16.23% | |
| 43 | QCOM | Qualcomm Inc | Stock-Tech | 0.53% | — | +9.57% | |
| 44 | VXF | Vanguard Extended Market ETF | ETF-Other | 0.51% | — | +8.42% | |
| 45 | TD | Toronto-dominion Bank | Stock-Financials | 0.49% | +0.09% | +20.64% | |
| 46 | DEO | Diageo Plc-sponsored Adr | Stock-Consumer Staples | 0.49% | — | +18.03% | |
| 47 | UPS | United Parcel Service-cl B | Stock-Industrials | 0.49% | — | -17.89% | |
| 48 | VOO | Vanguard S&p 500 ETF | ETF-Large Cap & Growth | 0.48% | +0.41% | +635.29% | |
| 49 | DVY | Ishares Select Dividend ETF | ETF-Other | 0.48% | — | +8.14% | |
| 50 | MCD | Mcdonald's CORP | Stock-Consumer Disc | 0.47% | +0.12% | +35.02% |
1–50 of 200
* 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.
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
Holding changes this quarter
Gupta Wealth Management LLC's most significant position changes for 2016-03-31: Sold out: Maxlinear Inc (MXL); Sold out: Goldman Activebeta US Lc ETF (GSLC); Add: Vanguard Dividend Apprec ETF (VIG) — shares +23.22%; Add: Vanguard Mid-cap Value ETF (VOE) — shares +30.38%; Add: Ishares 20+ Year Treasury Bd (TLT) — shares +11.20%.
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | VIG | Vanguard Dividend Apprec ETF | +0.6% | +23.22% | Add |
| 2 | VOE | Vanguard Mid-cap Value ETF | +0.5% | +30.38% | Add |
| 3 | TLT | Ishares 20+ Year Treasury Bd | +0.5% | +11.20% | Add |
| 4 | IEF | Ishares 7-10 Year Treasury B | +0.5% | +21.11% | Add |
| 5 | VOO | Vanguard S&p 500 ETF | +0.4% | +635.29% | Add |
| 6 | GOLD | Gold.com, Inc. | +0.3% | +20.87% | Add |
| 7 | DOL | Wisdomtree Tr Dvlp Intnl-usd | +0.2% | +35.49% | Add |
| 8 | SCHB | Schwab US Broad Market ETF | +0.2% | +287.11% | Add |
| 9 | PFF | Ishares Preferred & Income S | +0.2% | +113.21% | Add |
| 10 | JWNUSD | Nordstrom Inc | +0.2% | +52.09% | Add |
| 11 | LQD | Ishr Ibx Usd Invgd Cb Etf-ui | +0.2% | +7.46% | Add |
| 12 | KO | Coca-cola Co/the | +0.2% | +27.73% | Add |
| 13 | O | Realty Income CORP | +0.1% | +4.39% | Add |
| 14 | IAUUSD | Ishares Gold Trust | +0.1% | +8.61% | Add |
| 15 | ACN | Accenture plc | +0.1% | +44.79% | Add |
| 16 | JNJ | Johnson & Johnson | +0.1% | +69.75% | Add |
| 17 | AAPL | Apple Inc | +0.1% | +8.09% | Add |
| 18 | MCD | Mcdonald's CORP | +0.1% | +35.02% | Add |
| 19 | SLB | Slb LTD | +0.1% | +56.46% | Add |
| 20 | SCHD | Schwab US Dvd Equity ETF | +0.1% | +94.78% | Add |
| 21 | APU | Amerigas Partners LP | +0.1% | +307.57% | Add |
| 22 | CR1USD | Crane Co | +0.1% | +48.88% | Add |
| 23 | LMT | Lockheed Martin CORP | +0.1% | +294.83% | Add |
| 24 | NEE | Nextera Energy Inc | +0.1% | +8.13% | Add |
| 25 | NNN | Nnn Reit Inc | +0.1% | +16.23% | Add |
| 26 | MRSH | Marsh & Mclennan Cos | +0.1% | +37.03% | Add |
| 27 | SCHF | Schwab Intl Equity ETF | +0.1% | +202.57% | Add |
| 28 | TD | Toronto-dominion Bank | +0.1% | +20.64% | Add |
| 29 | TXN | Texas Instruments Inc | +0.1% | +29.62% | Add |
| 30 | ROK | Rockwell Automation Inc | +0.1% | +37.10% | Add |
| 31 | UNP | Union Pacific CORP | +0.1% | +39.03% | Add |
| 32 | VFC | Vf CORP | +0.1% | +37.22% | Add |
| 33 | PEP | Pepsico Inc | +0.1% | +26.66% | Add |
| 34 | LTC | Ltc Properties Inc | +0.1% | +14.85% | Add |
| 35 | UTXZ | United Tech CORP | +0.1% | +10.10% | Add |
| 36 | CL | Colgate-palmolive Co | 0% | +7.92% | Add |
| 37 | MGK | Vanguard Mega Cap Growth ETF | 0% | +8.63% | Add |
| 38 | GLD | Spdr Gold Shares | 0% | -5.46% | Trim |
| 39 | HD | Home Depot Inc | — | +7.96% | Add |
| 40 | FTGC | First Trust Global Tactical | -0.2% | -20.53% | Trim |
| 41 | WFC | Wells Fargo & Co | -0.2% | -9.52% | Trim |
| 42 | VGIT | Vanguard Intermediate-term T | -0.2% | -11.43% | Trim |
| 43 | VGLT | Vanguard Long-term Treasury | -0.3% | -12.96% | Trim |
| 44 | KRE | Ss Spdr S&p Regional Bank | -0.3% | -7.48% | Trim |
| 45 | ✓ | Vantiv Inc | -0.3% | -99.96% | Trim |
| 46 | BA | Boeing Co/the | -0.3% | +5.90% | Add |
| 47 | PRFUSD | Invesco Ftse Rafi US 1000 Et | -0.4% | -91.90% | Trim |
| 48 | LLY | Eli Lilly & Co | -0.4% | -4.55% | Trim |
| 49 | MXL | Maxlinear Inc | — | EXIT | Sold out |
| 50 | GSLC | Goldman Activebeta US Lc ETF | — | EXIT | Sold out |
Filing History
FAQ
What is Gupta Wealth Management LLC and what type of investor is it?
Gupta Wealth Management 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 (2016-03-31), the firm manages a tracked equity portfolio valued at approximately $426.8M, spread across 1173 disclosed positions.
What are Gupta Wealth Management LLC's largest equity positions?
Based on the latest 13F filing, Gupta Wealth Management LLC's top holdings by market value are:
1. Ishares 20+ Year Treasury Bd (TLT) — $21.3M (5.0%)
2. Ishr Ibx Usd Invgd Cb Etf-ui (LQD) — $20.3M (4.8%)
3. Apple Inc (AAPL) — $16.4M (3.8%)
4. Vanguard Dividend Apprec ETF (VIG) — $16.3M (3.8%)
5. Ishares 7-10 Year Treasury B (IEF) — $13.3M (3.1%)
What changes did Gupta Wealth Management LLC make in its most recent portfolio filing?
In the latest reported quarter, Gupta Wealth Management LLC made 50 notable position adjustments: 0 new positions were initiated, 39 existing holdings were added to, 9 positions were partially reduced, and 2 were completely exited. The largest of these moves: Sold out: Maxlinear Inc (MXL); Sold out: Goldman Activebeta US Lc ETF (GSLC); Add: Vanguard Dividend Apprec ETF (VIG) — shares +23.22%; Add: Vanguard Mid-cap Value ETF (VOE) — shares +30.38%; Add: Ishares 20+ Year Treasury Bd (TLT) — shares +11.20%
What sectors does Gupta Wealth Management LLC focus on?
Gupta Wealth Management LLC is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 30.3%
• Health Care: 15.7%
• Industrials: 12.8%
• Communication Services: 10.9%
• Consumer Discretionary: 10.8%
• Financials: 7.7%
Investment Profile
Gupta Wealth Management LLC's portfolio is broadly diversified and moderately active, with 30.3% of the portfolio concentrated in Information Technology.
Its turnover score has risen from 0 to 21 over the past 4 quarters — a shift toward more active trading.
It has added to its TLT position over the past two quarters (+$8.1M, now $21.3M), while trimming DLS over the same stretch (-$8.4M, still holding $200.0K).
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