SA
Shamrock Asset Management LLC Historical SEC 13F Holdings & Archive (Q3 2019)
Shamrock Asset Management LLCCIK: 0001555909
Diversified strategyMomentum followerLong-term holder
Total reported value
$128.4M
Reporting period: 2019-09-30 · Number of holdings: 257
Shamrock Asset Management LLC disclosed 257 holdings in its latest 13F filing for the period ending 2019-09-30, with total reported value of $128.4M and a quarterly turnover rate of 15.6%.
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Personality snowflake
- Concentration
- 15.42
- Portfolio Stability
- 15.56
- Momentum
- 100
- Sector conviction
- 41.06
- Diversification
- 100
- Sizing Uniformity
- 70.09
Shamrock Asset Management LLC's disclosed holdings carry a Herfindahl concentration index of 0.039 — mathematically equivalent to about 26 equally-sized positions, well below its 257 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 2.99), 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 21% 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.govTrim FUTY
-99.3% -$790.0K
Add FNCL
+8547.5% $688.0K
Add EMB
+14.8% $263.0K
Add FTSM
-3.8% -$289.0K
Trim UVXY
-100.0% -$427.0K
Add HD
-3.3% $176.0K
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
Showing top 200 holdings (of 257 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | PTLC | Pacer Trendpilot US Large Ca | ETF-Other | 12.64% | +0.24% | -8.75% | |
| 2 | HDV | Ishares Core High Dividend E | ETF-Other | 7.85% | +0.20% | -6.48% | |
| 3 | IEMG | Ishares Core Msci Emerging | ETF-Emerging Markets | 5.79% | -0.10% | -6.24% | |
| 4 | FTSM | First Trust Enh Short Mat Fd | ETF-Other | 5.75% | +0.32% | -3.80% | |
| 5 | IXUS | Ishares Core Intl Stock ETF | ETF-Other | 4.87% | +0.08% | -6.41% | |
| 6 | FXU | First Trust Utilities Alphad | ETF-Other | 4.70% | +0.15% | -9.14% | |
| 7 | MSFT | Microsoft CORP | Stock-Tech | 2.61% | — | -2.08% | |
| 8 | FXG | First Trust Consumer Staples | ETF-Other | 2.44% | +0.16% | -8.30% | |
| 9 | HD | Home Depot Inc | Stock-Consumer Disc | 1.87% | +0.29% | -3.29% | |
| 10 | EMB | Ishares Jp Morgan Usd Emergi | ETF-Other | 1.58% | +0.33% | +14.80% | |
| 11 | FNIUSD | First Trust Chindia ETF | ETF-Other | 1.42% | -0.01% | -5.49% | |
| 12 | LHX | L3harris Technologies Inc | Stock-Industrials | 1.34% | +0.18% | -5.01% | |
| 13 | R6C2 | Royal Dutch Shell-spon Adr-b | Stock-Other | 1.30% | -0.02% | -1.90% | |
| 14 | CVX | Chevron CORP | Stock-Energy | 1.15% | -0.01% | -4.80% | |
| 15 | GOVT | Ishares US Treasury Bond ETF | ETF-Gov Bonds | 1.10% | — | -3.01% | |
| 16 | DIS | Walt Disney Co/the | Stock-Comm Services | 1.06% | -0.02% | -4.76% | |
| 17 | T | At&t Inc | Stock-Comm Services | 1.05% | +0.14% | -6.91% | |
| 18 | JPST | Jpmorgan Ultra-short Income | ETF-Other | 0.97% | +0.21% | +15.74% | |
| 19 | JMST | JPM Ultra-short Muni Income | ETF-Other | 0.94% | — | — | |
| 20 | IVV | Ishares Core S&p 500 ETF | ETF-Large Cap & Growth | 0.91% | +0.01% | -9.50% | |
| 21 | JPM | Jpmorgan Chase & Co | Stock-Financials | 0.88% | — | -5.70% | |
| 22 | FPE | Ft-preferred Secur & Inc ETF | ETF-Other | 0.87% | — | -6.07% | |
| 23 | COP | Conocophillips | Stock-Energy | 0.85% | -0.01% | -4.52% | |
| 24 | JD | Jd.com Inc-adr | Stock-Consumer Disc | 0.84% | -0.04% | -6.83% | |
| 25 | XOM | Exxon Mobil CORP | Stock-Energy | 0.78% | -0.02% | -3.88% | |
| 26 | MCD | Mcdonald's CORP | Stock-Consumer Disc | 0.78% | — | -6.43% | |
| 27 | BAC | Bank Of America CORP | Stock-Financials | 0.77% | +0.02% | -7.14% | |
| 28 | NLYEUR | Annaly Capital Management In | Stock-Other | 0.77% | +0.01% | -4.07% | |
| 29 | AJG | Arthur J Gallagher & Co | Stock-Financials | 0.76% | — | -4.53% | |
| 30 | ALB | Albemarle CORP | Stock-Materials | 0.76% | +0.01% | -6.86% | |
| 31 | ABT | Abbott Laboratories | Stock-Healthcare | 0.76% | — | -4.38% | |
| 32 | ACN | Accenture plc | Stock-Tech | 0.71% | — | -4.13% | |
| 33 | BWX | State Street Spdr Bloomberg | ETF-Other | 0.69% | — | -7.24% | |
| 34 | ADI | Analog Devices Inc | Stock-Tech | 0.69% | — | -4.54% | |
| 35 | MCHP | Microchip Technology Inc | Stock-Tech | 0.68% | — | -4.63% | |
| 36 | FTSL | First Trust Senior Loan ETF | ETF-Other | 0.67% | — | -7.34% | |
| 37 | PAYX | Paychex Inc | Stock-Tech | 0.65% | — | -5.95% | |
| 38 | VIG | Vanguard Dividend Apprec ETF | ETF-Other | 0.64% | — | -1.64% | |
| 39 | RTN1USD | Raytheon Company | Stock-Other | 0.63% | — | -3.86% | |
| 40 | ✓ | Invesco Exchng Traded Fd Tr | Stock-Other | 0.63% | — | -8.09% | |
| 41 | ITOT | Ishares Core S&p Total U.s. | ETF-Other | 0.63% | +0.24% | +46.78% | |
| 42 | NVS | Novartis Ag-sponsored Adr | Stock-Healthcare | 0.63% | +0.01% | -2.63% | |
| 43 | MCHI | Ishares Msci China ETF | ETF-Emerging Markets | 0.62% | — | -1.80% | |
| 44 | PEP | Pepsico Inc | Stock-Consumer Staples | 0.61% | — | -3.68% | |
| 45 | PG | Procter & Gamble Co/the | Stock-Consumer Staples | 0.60% | — | -5.83% | |
| 46 | UPWK | Upwork Inc | Stock-Other | 0.59% | -0.10% | -6.34% | |
| 47 | FSTA | Fidelity Msci Cons Stap Indx | ETF-Other | 0.59% | — | -10.26% | |
| 48 | MBB | Ishares Mbs ETF | ETF-Other | 0.57% | +0.18% | +32.83% | |
| 49 | IGIB | Ishares 5-10y Inv Grade CORP | ETF-Corp Bonds | 0.57% | — | -2.75% | |
| 50 | HON | Honeywell International Inc | Stock-Industrials | 0.57% | — | -4.37% |
1–50 of 200
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
| Period | Holdings | Total value | Stability | Top holdings | |
|---|---|---|---|---|---|
| 2019 Q3 | 257 | $128.4M | 16 | ||
| 2019 Q2 | 248 | $141.4M | 36 | ||
| 2019 Q1 | 251 | $126.3M | 73 | ||
| 2018 Q4 | 229 | $66.2M | 83 | ||
| 2018 Q3 | 261 | $158.2M | 39 | ||
| 2018 Q2 | 282 | $164.4M | 25 | ||
| 2018 Q1 | 299 | $167.5M | 57 | ||
| 2017 Q4 | 288 | $168.5M | 30 | ||
| 2017 Q3 | 280 | $155.7M | 23 | ||
| 2017 Q2 | 292 | $159.8M | 35 | ||
| 2017 Q1 | 278 | $160.9M | 66 | ||
| 2016 Q4 | 272 | $164.0M | 100 | ||
| 2016 Q3 | 264 | $174.3M | 75 | ||
| 2016 Q2 | 290 | $172.3M | 71 | ||
| 2016 Q1 | 260 | $169.0M | 100 | ||
| 2015 Q4 | 266 | $178.0M | 41 | ||
| 2015 Q3 | 261 | $188.8M | 51 | ||
| 2015 Q2 | 288 | $215.5M | 86 | ||
| 2015 Q1 | 300 | $251.6M | 76 | ||
| 2014 Q4 | 261 | $249.2M | 73 | ||
| 2014 Q3 | 285 | $266.6M | 100 | ||
| 2014 Q2 | 298 | $322.4M | 49 | ||
| 2014 Q1 | 273 | $302.4M | 48 | ||
| 2013 Q4 | 97 | $292.1M | 36 | ||
| 2013 Q3 | 89 | $246.2M | 50 | ||
| 2013 Q2 | 92 | $239.0M | 0 |
Holding changes this quarter
Shamrock Asset Management LLC's most significant position changes for 2019-09-30: Sold out: First Trust Technology Alpha (FXL); New buy: Ishares 20+ Year Treasury Bd (TLT); Sold out: Ft Tactical High Yield ETF (HYLS); New buy: Visa Inc-class A Shares (V); New buy: Vanguard Small-cap Value ETF (VBR).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | FNCL | Fidelity Msci Financial Indx | +0.5% | +8547.47% | Add |
| 2 | EMB | Ishares Jp Morgan Usd Emergi | +0.3% | +14.80% | Add |
| 3 | FTSM | First Trust Enh Short Mat Fd | +0.3% | -3.80% | Trim |
| 4 | HD | Home Depot Inc | +0.3% | -3.29% | Trim |
| 5 | PTLC | Pacer Trendpilot US Large Ca | +0.2% | -8.75% | Trim |
| 6 | ITOT | Ishares Core S&p Total U.s. | +0.2% | +46.78% | Add |
| 7 | JPST | Jpmorgan Ultra-short Income | +0.2% | +15.74% | Add |
| 8 | HDV | Ishares Core High Dividend E | +0.2% | -6.48% | Trim |
| 9 | MBB | Ishares Mbs ETF | +0.2% | +32.83% | Add |
| 10 | LHX | L3harris Technologies Inc | +0.2% | -5.01% | Trim |
| 11 | FXG | First Trust Consumer Staples | +0.2% | -8.30% | Trim |
| 12 | FXU | First Trust Utilities Alphad | +0.2% | -9.14% | Trim |
| 13 | T | At&t Inc | +0.1% | -6.91% | Trim |
| 14 | AAPL | Apple Inc | +0.1% | +22.47% | Add |
| 15 | KHC | Kraft Heinz Co/the | +0.1% | +88.55% | Add |
| 16 | UPS | United Parcel Service-cl B | +0.1% | -2.20% | Trim |
| 17 | IXUS | Ishares Core Intl Stock ETF | +0.1% | -6.41% | Trim |
| 18 | LABUUSD | Drx Dly S&p Biotech Bull 3x | +0.1% | +310400.00% | Add |
| 19 | USMV | Ishares Msci USA Min Vol Fac | +0.1% | +21.09% | Add |
| 20 | MA | Mastercard Inc - A | +0.1% | +909.09% | Add |
| 21 | BAC | Bank Of America CORP | 0% | -7.14% | Trim |
| 22 | IVV | Ishares Core S&p 500 ETF | 0% | -9.50% | Trim |
| 23 | ALB | Albemarle CORP | 0% | -6.86% | Trim |
| 24 | NLYEUR | Annaly Capital Management In | 0% | -4.07% | Trim |
| 25 | NVS | Novartis Ag-sponsored Adr | 0% | -2.63% | Trim |
| 26 | BWX | State Street Spdr Bloomberg | — | -7.24% | Trim |
| 27 | FDIS | Fidelity Msci Cons Discr Ind | — | -9.43% | Trim |
| 28 | FNIUSD | First Trust Chindia ETF | 0% | -5.49% | Trim |
| 29 | CVX | Chevron CORP | 0% | -4.80% | Trim |
| 30 | COP | Conocophillips | 0% | -4.52% | Trim |
| 31 | DEO | Diageo Plc-sponsored Adr | 0% | -4.71% | Trim |
| 32 | R6C2 | Royal Dutch Shell-spon Adr-b | 0% | -1.90% | Trim |
| 33 | DIS | Walt Disney Co/the | 0% | -4.76% | Trim |
| 34 | XOM | Exxon Mobil CORP | 0% | -3.88% | Trim |
| 35 | JNJ | Johnson & Johnson | 0% | -6.10% | Trim |
| 36 | ✓ | Cbs CORP New | 0% | -3.38% | Trim |
| 37 | JD | Jd.com Inc-adr | 0% | -6.83% | Trim |
| 38 | 6D8 | Dupont De Nemours Inc | 0% | -11.69% | Trim |
| 39 | IEMG | Ishares Core Msci Emerging | -0.1% | -6.24% | Trim |
| 40 | UPWK | Upwork Inc | -0.1% | -6.34% | Trim |
| 41 | LQD | Ishr Ibx Usd Invgd Cb Etf-ui | -0.1% | -29.97% | Trim |
| 42 | HYG | Ishr Ibx Usd Hiyld Cb Etf-ui | -0.2% | -72.15% | Trim |
| 43 | IYR | Ishares US Real Estate ETF | -0.3% | -99.34% | Trim |
| 44 | UVXY | ProShares Ultra VIX Short-Term Futures ETF | -0.3% | -99.99% | Trim |
| 45 | FUTY | Fidelity Msci US Utilities | -0.6% | -99.34% | Trim |
| 46 | FXL | First Trust Technology Alpha | — | EXIT | Sold out |
| 47 | TLT | Ishares 20+ Year Treasury Bd | — | NEW | New buy |
| 48 | HYLS | Ft Tactical High Yield ETF | — | EXIT | Sold out |
| 49 | V | Visa Inc-class A Shares | — | NEW | New buy |
| 50 | VBR | Vanguard Small-cap Value ETF | — | NEW | New buy |
Filing History
FAQ
What is Shamrock Asset Management LLC and what type of investor is it?
Shamrock Asset 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 (2019-09-30), the firm manages a tracked equity portfolio valued at approximately $128.4M, spread across 257 disclosed positions.
What are Shamrock Asset Management LLC's largest equity positions?
Based on the latest 13F filing, Shamrock Asset Management LLC's top holdings by market value are:
1. Pacer Trendpilot US Large Ca (PTLC) — $16.2M (12.6%)
2. Ishares Core High Dividend E (HDV) — $10.1M (7.8%)
3. Ishares Core Msci Emerging (IEMG) — $7.4M (5.8%)
4. First Trust Enh Short Mat Fd (FTSM) — $7.4M (5.8%)
5. Ishares Core Intl Stock ETF (IXUS) — $6.2M (4.9%)
What changes did Shamrock Asset Management LLC make in its most recent portfolio filing?
In the latest reported quarter, Shamrock Asset Management LLC made 50 notable position adjustments: 3 new positions were initiated, 10 existing holdings were added to, 35 positions were partially reduced, and 2 were completely exited. The largest of these moves: Sold out: First Trust Technology Alpha (FXL); New buy: Ishares 20+ Year Treasury Bd (TLT); Sold out: Ft Tactical High Yield ETF (HYLS); New buy: Visa Inc-class A Shares (V); New buy: Vanguard Small-cap Value ETF (VBR)
What sectors does Shamrock Asset Management LLC focus on?
Shamrock Asset Management LLC is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 18.4%
• Consumer Discretionary: 17.1%
• Health Care: 14.3%
• Energy: 13.2%
• Communication Services: 11.9%
• Financials: 10.8%
Investment Profile
Shamrock Asset Management LLC's portfolio is broadly diversified and long-term-holding.
Its turnover score has fallen from 39 to 16 over the past 4 quarters — a shift toward longer holding periods.
It has added to its T position over the past two quarters (+$689.0K, now $1.4M), while trimming FTSM over the same stretch (-$5.3M, still holding $7.4M).
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