CIK: 0001653168
Total reported value
$229.8M
Reporting period: 2018-09-30 · Number of holdings: 133
Ken Stern & Associates, Inc. disclosed 133 holdings in its latest 13F filing for the period ending 2018-09-30, with total reported value of $229.8M and a quarterly turnover rate of 27.1%.
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Ken Stern & Associates, Inc.'s disclosed holdings carry a Herfindahl concentration index of 0.054 — mathematically equivalent to about 19 equally-sized positions, well below its 133 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 2.49), 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 8% 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.
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Trim 81369y704
-50.4% -$3.5M
Trim ESS
-1.7% $604.0K
Add 78462f103
+14.8% $1.1M
Add AAPL
+0.0% $489.0K
Add 81369y209
-0.7% $523.0K
Trim BND
+3.9% $331.0K
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | ESS | Essex Property Trust INC | Stock-Real Estate | 17.96% | -0.81% | -1.66% | |
| 2 | IWO | Ishares Russell 2000 Growth | ETF-Small Cap | 5.73% | -0.09% | -0.86% | |
| 3 | VEA | Vanguard Ftse Developed ETF | ETF-Other | 4.93% | — | +1.47% | |
| 4 | BND | Vanguard Total Bond Market | ETF-Other | 4.63% | -0.12% | +3.85% | |
| 5 | SHV | Ishares 0-1 Year Treasury Bo | ETF-Gov Bonds | 4.31% | — | +2.42% | |
| 6 | IEF | Ishares 7-10 Year Treasury B | ETF-Gov Bonds | 4.26% | — | +1.99% | |
| 7 | VGT | Vanguard Info Tech ETF | ETF-Tech | 4.16% | +0.11% | -2.36% | |
| 8 | ✓ | Select Sector Spdr Tr | Stock-Other | 3.75% | -0.02% | -1.41% | |
| 9 | MTUM | Ishares Msci USA Momentum Fa | ETF-Other | 3.34% | -0.05% | -3.65% | |
| 10 | ITA | Ishares U.s. Aerospace & Def | ETF-Other | 3.16% | +3.16% | NEW | |
| 11 | FDN | First Trust Dj Internet Ind | ETF-Other | 3.12% | — | -2.92% | |
| 12 | VTV | Vanguard Value ETF | ETF-Other | 2.71% | — | -0.43% | |
| 13 | ✓ | State Street SPDR S&P 500 ETF Trust | ETF-Large Cap & Growth | 2.46% | +0.34% | +14.78% | |
| 14 | ✓ | State Street SPDR Portfolio Nasdaq 100 ETF | ETF-Tech | 1.94% | +0.12% | -0.66% | |
| 15 | ✓ | Sector Spdr Tr Shs Ben Int Ind | Stock-Other | 1.78% | -1.70% | -50.40% | |
| 16 | ✓ | Select Sector Spdr Tr | Stock-Other | 1.77% | — | -0.06% | |
| 17 | ✓ | Select Sector Spdr Tr | Stock-Other | 1.65% | +1.65% | NEW | |
| 18 | IHI | Ishares U.s. Medical Devices | ETF-Other | 1.46% | +0.10% | -0.01% | |
| 19 | IHF | Ishares U.s. Healthcare Prov | ETF-Other | 1.29% | +1.29% | NEW | |
| 20 | AAPL | Apple INC | Stock-Tech | 1.18% | +0.15% | +0.03% | |
| 21 | DIVYEUR | Reality Shares Divs ETF | ETF-Other | 0.67% | — | -1.21% | |
| 22 | AMZN | Amazon.com INC | Stock-Consumer Disc | 0.63% | — | — | |
| 23 | GSLC | Goldman Activebeta US Lc ETF | ETF-Commodities | 0.61% | — | +0.00% | |
| 24 | JNJ | Johnson & Johnson | Stock-Healthcare | 0.61% | — | +0.02% | |
| 25 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 0.48% | — | — | |
| 26 | ✓ | Invesco Exch Trd Slf Idx Fd | Stock-Other | 0.47% | +0.47% | NEW | |
| 27 | LDOS | Leidos Holdings INC | Stock-Tech | 0.46% | — | +0.01% | |
| 28 | VTI | Vanguard Total Stock Mkt ETF | ETF-Other | 0.41% | — | -15.66% | |
| 29 | RSPD | Invesco S&p 500 Equal Weight | ETF-Large Cap & Growth | 0.38% | +0.38% | NEW | |
| 30 | BSCK | Invesco Bulletshares 2020 Co | ETF-Other | 0.38% | +0.38% | NEW | |
| 31 | RSPT | Invesco S&p 500 Equal Weight | ETF-Large Cap & Growth | 0.38% | +0.38% | NEW | |
| 32 | RSPN | Invesco S&p 500 Equal Weight | ETF-Large Cap & Growth | 0.38% | +0.38% | NEW | |
| 33 | PFE | Pfizer INC | Stock-Healthcare | 0.36% | — | +0.02% | |
| 34 | QCOM | Qualcomm INC | Stock-Tech | 0.36% | — | -8.67% | |
| 35 | RSPH | Invesco S&p 500 Equal Weight | ETF-Large Cap & Growth | 0.36% | +0.36% | NEW | |
| 36 | SDY | Ss Spdr S&p Dividend ETF | ETF-Other | 0.35% | — | +5.41% | |
| 37 | IGV | Ishares Expanded Tech-softwa | ETF-Tech | 0.33% | — | — | |
| 38 | RSPF | Invesco S&p 500 Equal Weight | ETF-Large Cap & Growth | 0.32% | +0.32% | NEW | |
| 39 | ✓ | Stock-Other | 0.32% | +0.32% | NEW | ||
| 40 | PRF | Invesco Rafi US 1000 ETF | ETF-Other | 0.31% | +0.31% | NEW | |
| 41 | ✓ | Aetna Inc | Stock-Other | 0.31% | — | — | |
| 42 | VRP | Invesco Variable Rate Prefer | ETF-Other | 0.30% | +0.30% | NEW | |
| 43 | IFLN | Invesco Bloomberg Enhanced F | ETF-Other | 0.30% | +0.30% | NEW | |
| 44 | HON | Honeywell International INC | Stock-Industrials | 0.30% | — | +0.14% | |
| 45 | ✓ | Visa Inc. | Stock-Other | 0.30% | — | — | |
| 46 | TMO | Thermo Fisher Scientific INC | Stock-Healthcare | 0.30% | — | — | |
| 47 | PGX | Invesco Preferred ETF | ETF-Other | 0.29% | +0.29% | NEW | |
| 48 | ABBV | Abbvie INC | Stock-Healthcare | 0.29% | — | +0.01% | |
| 49 | ✓ | Cisco Systems, Inc. | Stock-Other | 0.28% | — | +0.02% | |
| 50 | INTC | Intel CORP | Stock-Tech | 0.28% | — | +0.04% |
Not enough priced holdings yet to compute performance
| Period | Holdings | Total value | Stability | Top holdings | |
|---|---|---|---|---|---|
| 2018 Q3 | 133 | $229.8M | 27 | ||
| 2018 Q2 | 129 | $216.6M | 24 | ||
| 2018 Q1 | 117 | $227.0M | 13 | ||
| 2017 Q4 | 117 | $229.5M | 20 | ||
| 2017 Q3 | 115 | $226.3M | 22 | ||
| 2017 Q2 | 113 | $219.3M | 11 | ||
| 2017 Q1 | 111 | $213.2M | 47 | ||
| 2016 Q4 | 104 | $193.2M | 84 | ||
| 2016 Q3 | 92 | $144.8M | 50 | ||
| 2016 Q2 | 81 | $127.4M | 37 | ||
| 2016 Q1 | 79 | $144.2M | 60 | ||
| 2015 Q4 | 81 | $149.0M | 57 | ||
| 2015 Q3 | 68 | $128.8M | 49 | ||
| 2015 Q2 | 67 | $138.3M | 44 | ||
| 2015 Q1 | 73 | $133.2M | 59 | ||
| 2014 Q4 | 78 | $128.6M | 0 |
Ken Stern & Associates, Inc.'s most significant position changes for 2018-09-30: New buy: Ishares U.s. Aerospace & Def (ITA); Sold out: Ishares US Financials ETF (IYF); New buy: Select Sector Spdr Tr; New buy: Ishares U.s. Healthcare Prov (IHF); Sold out: Vanguard Small-cap ETF (VB).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | ✓ | State Street SPDR S&P 500 ETF Trust | +0.3% | +14.78% | Add |
| 2 | AAPL | Apple INC | +0.2% | +0.03% | Add |
| 3 | ✓ | State Street SPDR Portfolio Nasdaq 100 ETF | +0.1% | -0.66% | Trim |
| 4 | VGT | Vanguard Info Tech ETF | +0.1% | -2.36% | Trim |
| 5 | IHI | Ishares U.s. Medical Devices | +0.1% | -0.01% | Trim |
| 6 | VTV | Vanguard Value ETF | — | -0.43% | Trim |
| 7 | ✓ | Select Sector Spdr Tr | 0% | -1.41% | Trim |
| 8 | MTUM | Ishares Msci USA Momentum Fa | -0.1% | -3.65% | Trim |
| 9 | IWO | Ishares Russell 2000 Growth | -0.1% | -0.86% | Trim |
| 10 | BND | Vanguard Total Bond Market | -0.1% | +3.85% | Add |
| 11 | ESS | Essex Property Trust INC | -0.8% | -1.66% | Trim |
| 12 | ✓ | Sector Spdr Tr Shs Ben Int Ind | -1.7% | -50.40% | Trim |
| 13 | ITA | Ishares U.s. Aerospace & Def | — | NEW | New buy |
| 14 | IYF | Ishares US Financials ETF | — | EXIT | Sold out |
| 15 | ✓ | Select Sector Spdr Tr | — | NEW | New buy |
| 16 | IHF | Ishares U.s. Healthcare Prov | — | NEW | New buy |
| 17 | VB | Vanguard Small-cap ETF | — | EXIT | Sold out |
| 18 | BSGT | Invesco Bulletshares 2029 Treasury Bond ETF | — | EXIT | Sold out |
| 19 | ✓ | Invesco Exch Trd Slf Idx Fd | — | NEW | New buy |
| 20 | RSPD | Invesco S&p 500 Equal Weight | — | NEW | New buy |
| 21 | BSCK | Invesco Bulletshares 2020 Co | — | NEW | New buy |
| 22 | RSPT | Invesco S&p 500 Equal Weight | — | NEW | New buy |
| 23 | RSPN | Invesco S&p 500 Equal Weight | — | NEW | New buy |
| 24 | RSPH | Invesco S&p 500 Equal Weight | — | NEW | New buy |
| 25 | BSGT | Invesco Bulletshares 2029 Treasury Bond ETF | — | EXIT | Sold out |
| 26 | RSPF | Invesco S&p 500 Equal Weight | — | NEW | New buy |
| 27 | ✓ | — | NEW | New buy | |
| 28 | ✓ | Rydex ETF Trust | — | EXIT | Sold out |
| 29 | PRF | Invesco Rafi US 1000 ETF | — | NEW | New buy |
| 30 | VRP | Invesco Variable Rate Prefer | — | NEW | New buy |
| 31 | ✓ | Powershares ETF Tr Ii | — | EXIT | Sold out |
| 32 | IFLN | Invesco Bloomberg Enhanced F | — | NEW | New buy |
| 33 | ✓ | Powershares Global ETF Trust | — | EXIT | Sold out |
| 34 | PRFUSD | Invesco Ftse Rafi US 1000 Et | — | EXIT | Sold out |
| 35 | PGX | Invesco Preferred ETF | — | NEW | New buy |
| 36 | BSGT | Invesco Bulletshares 2029 Treasury Bond ETF | — | EXIT | Sold out |
| 37 | ✓ | Guggenheim | — | EXIT | Sold out |
| 38 | ✓ | Rydex ETF Trust | — | EXIT | Sold out |
| 39 | ✓ | Rydex ETF Trust | — | EXIT | Sold out |
| 40 | ✓ | Rydex ETF Trust | — | EXIT | Sold out |
| 41 | BSCL | Invesco Bulletshares 2021 Co | — | NEW | New buy |
| 42 | BSCZ | Invesco Exchange-Traded Self-Indexed Fund Trust - Invesco BulletShares 2035 Corporate Bond ETF | — | EXIT | Sold out |
| 43 | AFINUSD | Necessity Retail Reit Inc/th | — | NEW | New buy |
| 44 | ✓ | — | EXIT | Sold out | |
| 45 | BKLN | Invesco Senior Loan ETF | — | NEW | New buy |
| 46 | ✓ | Powershares | — | EXIT | Sold out |
| 47 | RSPU | Invesco S&p 500 Equal Weight | — | NEW | New buy |
| 48 | RSPG | Invesco S&p 500 Equal Weight | — | NEW | New buy |
| 49 | RSPS | Invesco S&p 500 Equal Weight | — | NEW | New buy |
| 50 | FHLC | Fidelity Msci Health Care | — | NEW | New buy |
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2018 Q3 | 2018-11-13 | 13F-HR | View on EDGAR |
| 2018 Q2 | 2018-08-08 | 13F-HR | View on EDGAR |
| 2018 Q1 | 2018-05-21 | 13F-HR | View on EDGAR |
| 2017 Q4 | 2018-02-08 | 13F-HR | View on EDGAR |
| 2017 Q3 | 2017-11-01 | 13F-HR | View on EDGAR |
| 2017 Q2 | 2017-08-11 | 13F-HR | View on EDGAR |
| 2017 Q1 | 2017-05-11 | 13F-HR | View on EDGAR |
| 2016 Q4 | 2017-02-09 | 13F-HR | View on EDGAR |
| 2016 Q3 | 2016-11-15 | 13F-HR | View on EDGAR |
| 2016 Q2 | 2016-07-21 | 13F-HR | View on EDGAR |
| 2016 Q1 | 2016-06-07 | 13F-HR | View on EDGAR |
| 2015 Q4 | 2016-06-10 | Amendment | View on EDGAR |
| 2015 Q4 | 2016-01-27 | 13F-HR | View on EDGAR |
| 2015 Q3 | 2016-06-10 | Amendment | View on EDGAR |
| 2015 Q3 | 2015-11-18 | Amendment | View on EDGAR |
| 2015 Q3 | 2015-11-17 | 13F-HR | View on EDGAR |
| 2015 Q2 | 2016-06-10 | Amendment | View on EDGAR |
| 2015 Q2 | 2015-11-18 | 13F-HR | View on EDGAR |
| 2015 Q1 | 2016-06-10 | Amendment | View on EDGAR |
| 2015 Q1 | 2015-11-17 | 13F-HR | View on EDGAR |
| 2014 Q4 | 2016-06-10 | Amendment | View on EDGAR |
| 2014 Q4 | 2015-12-04 | Amendment | View on EDGAR |
| 2014 Q4 | 2015-09-28 | 13F-HR | View on EDGAR |
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