SH
SMITH HAYES Advisers, Inc Historical SEC 13F Holdings & Archive (Q1 2016)
SMITH HAYES Advisers, IncCIK: 0001418870
Diversified strategyMomentum followerQuality / disciplined sizing
Total reported value
$491.3M
Reporting period: 2016-03-31 · Number of holdings: 317
SMITH HAYES Advisers, Inc disclosed 317 holdings in its latest 13F filing for the period ending 2016-03-31, with total reported value of $491.3M and a quarterly turnover rate of 18.8%.
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Personality snowflake
- Concentration
- 3.93
- Portfolio Stability
- 18.76
- Momentum
- 100
- Sector conviction
- 49.57
- Diversification
- 100
- Sizing Uniformity
- 85.81
SMITH HAYES Advisers, Inc's disclosed holdings carry a Herfindahl concentration index of 0.010 — mathematically equivalent to about 102 equally-sized positions, well below its 317 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 1.42), 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 43% 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 SPY
+107.3% $4.6M
Add JNJ
+41.1% $2.4M
Trim WFC
-8.1% -$1.8M
Trim 73935A104
-80.8% -$1.8M
Add MET
+212.6% $1.7M
Add T
+50.6% $1.7M
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
Showing top 200 holdings (of 317 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | BRK-B | Berkshire Hathaway Inc-cl B | Stock-Other | 3.69% | +0.12% | -0.33% | |
| 2 | BRK-A | Berkshire Hathaway Inc-cl A | Stock-Other | 2.82% | +0.11% | — | |
| 3 | V | Visa Inc-class A Shares | Stock-Financials | 2.81% | +0.12% | +9.41% | |
| 4 | CAG | Conagra Brands Inc | Stock-Consumer Staples | 2.56% | +0.12% | +2.88% | |
| 5 | AAPL | Apple Inc | Stock-Tech | 2.01% | +0.12% | +6.28% | |
| 6 | PEP | Pepsico Inc | Stock-Consumer Staples | 1.83% | — | -1.12% | |
| 7 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 1.80% | +0.91% | +107.35% | |
| 8 | WFC | Wells Fargo & Co | Stock-Financials | 1.68% | -0.44% | -8.11% | |
| 9 | INTC | Intel CORP | Stock-Tech | 1.51% | — | -0.40% | |
| 10 | JNJ | Johnson & Johnson | Stock-Healthcare | 1.51% | +0.46% | +41.08% | |
| 11 | MSFT | Microsoft CORP | Stock-Tech | 1.39% | — | +0.80% | |
| 12 | JNJ | Johnson & Johnson | Stock-Healthcare | 1.34% | +0.15% | +17.42% | |
| 13 | ✓ | Stock-Other | 1.31% | +0.22% | +9.91% | ||
| 14 | IBM | Intl Business Machines CORP | Stock-Tech | 1.29% | +0.14% | +5.03% | |
| 15 | UNP | Union Pacific CORP | Stock-Industrials | 1.25% | — | +6.70% | |
| 16 | FV | First Trust Dw Focus 5 Fund | ETF-Other | 1.17% | — | +3.03% | |
| 17 | VMI | Valmont Industries | Stock-Industrials | 1.12% | +0.13% | +0.59% | |
| 18 | ABT | Abbott Laboratories | Stock-Healthcare | 1.12% | — | +0.71% | |
| 19 | VZ | Verizon Communications Inc | Stock-Comm Services | 1.10% | +0.28% | +19.60% | |
| 20 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 1.05% | — | +0.37% | |
| 21 | AHQ | American Woodmark CORP | Stock-Other | 1.01% | — | — | |
| 22 | AEP | American Electric Power Company, Inc. | Stock-Utilities | 1.01% | — | +4.06% | |
| 23 | JPM | Jpmorgan Chase & Co | Stock-Financials | 1.01% | — | +4.67% | |
| 24 | IJH | Ishares Core S&p Midcap ETF | ETF-Other | 0.99% | — | +1.64% | |
| 25 | XOM | Exxon Mobil CORP | Stock-Energy | 0.98% | — | +4.22% | |
| 26 | IWB | Ishares Russell 1000 ETF | ETF-Other | 0.96% | — | +1.48% | |
| 27 | IGSB | Ishares 1-5y Inv Grade CORP | ETF-Other | 0.94% | — | -0.59% | |
| 28 | BDX | Becton Dickinson And Co | Stock-Healthcare | 0.93% | — | -2.35% | |
| 29 | LQD | Ishr Ibx Usd Invgd Cb Etf-ui | ETF-Corp Bonds | 0.93% | — | +0.38% | |
| 30 | DIS | Walt Disney Co/the | Stock-Comm Services | 0.93% | — | -1.28% | |
| 31 | BA | Boeing Co/the | Stock-Industrials | 0.90% | -0.27% | -9.34% | |
| 32 | T | At&t Inc | Stock-Comm Services | 0.84% | +0.33% | +50.62% | |
| 33 | VLO | Valero Energy CORP | Stock-Energy | 0.77% | +0.14% | +39.14% | |
| 34 | IJR | Ishares Core S&p Small-cap E | ETF-Small Cap | 0.74% | — | +3.42% | |
| 35 | AWR | American States Water Co | Stock-Utilities | 0.73% | — | -1.90% | |
| 36 | ACIW | Aci Worldwide Inc | Stock-Tech | 0.71% | — | +8.40% | |
| 37 | PG | Procter & Gamble Co/the | Stock-Consumer Staples | 0.71% | -0.26% | -26.92% | |
| 38 | ✓ | Stock-Other | 0.71% | — | +0.22% | ||
| 39 | PDP | Invesco Dwa Momentum ETF | ETF-Other | 0.69% | — | +4.66% | |
| 40 | TIP | Ishares Tips Bond ETF | ETF-Other | 0.69% | — | +0.29% | |
| 41 | ADP | Automatic Data Processing | Stock-Tech | 0.66% | — | -0.79% | |
| 42 | CVS | Cvs Health CORP | Stock-Healthcare | 0.64% | — | -2.47% | |
| 43 | ADSK | Autodesk Inc | Stock-Tech | 0.63% | — | -0.10% | |
| 44 | CL | Colgate-palmolive Co | Stock-Consumer Staples | 0.61% | — | -5.06% | |
| 45 | DUK | Duke Energy Corporation | Stock-Utilities | 0.59% | — | -0.21% | |
| 46 | CTLEUR | Centurylink Inc | Stock-Other | 0.58% | +0.14% | +7.07% | |
| 47 | KO | Coca-cola Co/the | Stock-Consumer Staples | 0.56% | — | -2.63% | |
| 48 | CME | Cme Group Inc | Stock-Financials | 0.55% | — | -0.66% | |
| 49 | MET | Metlife Inc | Stock-Financials | 0.55% | +0.35% | +212.59% | |
| 50 | DHI | Dr Horton Inc | Stock-Consumer Disc | 0.54% | — | -8.34% |
1–50 of 200
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
💡
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.
Holding changes this quarter
SMITH HAYES Advisers, Inc's most significant position changes for 2016-03-31: Sold out: Schwab U.S. Dividend Equity ETF (SCHD); New buy: Capital One Financial CORP (COF); New buy: Waste Management, Inc. (WM); Sold out: ; New buy: Mastercard Inc - A (MA).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | SPY | Ss Spdr S&p 500 ETF Trust-us | +0.9% | +107.35% | Add |
| 2 | JNJ | Johnson & Johnson | +0.5% | +41.08% | Add |
| 3 | MET | Metlife Inc | +0.4% | +212.59% | Add |
| 4 | T | At&t Inc | +0.3% | +50.62% | Add |
| 5 | FITB | Fifth Third Bancorp | +0.3% | +569.53% | Add |
| 6 | VZ | Verizon Communications Inc | +0.3% | +19.60% | Add |
| 7 | ✓ | +0.2% | +9.91% | Add | |
| 8 | NKE | Nike Inc -cl B | +0.2% | +212.67% | Add |
| 9 | PSX | Phillips 66 | +0.2% | +84.86% | Add |
| 10 | AJG | Arthur J Gallagher & Co | +0.2% | +240.21% | Add |
| 11 | ✓ | Powershares Dwa Tactical Sector | +0.2% | +254.98% | Add |
| 12 | JNJ | Johnson & Johnson | +0.2% | +17.42% | Add |
| 13 | IBM | Intl Business Machines CORP | +0.1% | +5.03% | Add |
| 14 | VLO | Valero Energy CORP | +0.1% | +39.14% | Add |
| 15 | CTLEUR | Centurylink Inc | +0.1% | +7.07% | Add |
| 16 | ADBE | Adobe Inc | +0.1% | +164.58% | Add |
| 17 | VMI | Valmont Industries | +0.1% | +0.59% | Add |
| 18 | BRK-B | Berkshire Hathaway Inc-cl B | +0.1% | -0.33% | Trim |
| 19 | CAG | Conagra Brands Inc | +0.1% | +2.88% | Add |
| 20 | V | Visa Inc-class A Shares | +0.1% | +9.41% | Add |
| 21 | AAPL | Apple Inc | +0.1% | +6.28% | Add |
| 22 | META | Meta Platforms Inc-class A | +0.1% | +31.03% | Add |
| 23 | BRK-A | Berkshire Hathaway Inc-cl A | +0.1% | — | Unchanged |
| 24 | DGX | Quest Diagnostics Inc | -0.1% | -45.62% | Trim |
| 25 | GILD | Gilead Sciences Inc | -0.1% | -49.27% | Trim |
| 26 | EW | Edwards Lifesciences CORP | -0.1% | -60.72% | Trim |
| 27 | DISCKUSD | Discovery Inc-c | -0.2% | -38.95% | Trim |
| 28 | EMN | Eastman Chemical Co | -0.2% | -57.96% | Trim |
| 29 | DOC | Healthpeak Properties, Inc. | -0.2% | -34.62% | Trim |
| 30 | EMR | Emerson Electric Co | -0.2% | -52.59% | Trim |
| 31 | PG | Procter & Gamble Co/the | -0.3% | -26.92% | Trim |
| 32 | BA | Boeing Co/the | -0.3% | -9.34% | Trim |
| 33 | USB | US Bancorp | -0.3% | -32.14% | Trim |
| 34 | STLA | Stellantis N.V. | -0.3% | +3.09% | Add |
| 35 | ✓ | Powershares Qqq Trust Ser 1 | -0.4% | -80.80% | Trim |
| 36 | WFC | Wells Fargo & Co | -0.4% | -8.11% | Trim |
| 37 | SCHD | Schwab U.S. Dividend Equity ETF | — | EXIT | Sold out |
| 38 | COF | Capital One Financial CORP | — | NEW | New buy |
| 39 | WM | Waste Management, Inc. | — | NEW | New buy |
| 40 | ✓ | — | EXIT | Sold out | |
| 41 | MA | Mastercard Inc - A | — | NEW | New buy |
| 42 | ✓ | — | EXIT | Sold out | |
| 43 | PKWUSD | Invesco Buyback Achievers Et | — | EXIT | Sold out |
| 44 | UAA | Under Armour Inc-class A | — | EXIT | Sold out |
| 45 | ✓ | Market Vectors ETF Tr | — | EXIT | Sold out |
| 46 | SMHC | VanEck China Semiconductor ETF | — | NEW | New buy |
| 47 | CHKEUR | Chesapeake Energy CORP | — | EXIT | Sold out |
| 48 | PTHUSD | Invesco Dwa Healthcare Momen | — | EXIT | Sold out |
| 49 | FBT | First Trust Nyse Arca Biotec | — | EXIT | Sold out |
| 50 | RACE | Ferrari N.V. | — | NEW | New buy |
Filing History
FAQ
What is SMITH HAYES Advisers, Inc and what type of investor is it?
SMITH HAYES Advisers, Inc 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 $491.3M, spread across 317 disclosed positions.
What are SMITH HAYES Advisers, Inc's largest equity positions?
Based on the latest 13F filing, SMITH HAYES Advisers, Inc's top holdings by market value are:
1. Berkshire Hathaway Inc-cl B (BRK-B) — $18.1M (3.7%)
2. Berkshire Hathaway Inc-cl A (BRK-A) — $13.9M (2.8%)
3. Visa Inc-class A Shares (V) — $13.8M (2.8%)
4. Conagra Brands Inc (CAG) — $12.6M (2.6%)
5. Apple Inc (AAPL) — $9.9M (2.0%)
What changes did SMITH HAYES Advisers, Inc make in its most recent portfolio filing?
In the latest reported quarter, SMITH HAYES Advisers, Inc made 49 notable position adjustments: 5 new positions were initiated, 22 existing holdings were added to, 13 positions were partially reduced, and 9 were completely exited. The largest of these moves: Sold out: Schwab U.S. Dividend Equity ETF (SCHD); New buy: Capital One Financial CORP (COF); New buy: Waste Management, Inc. (WM); Sold out: ; New buy: Mastercard Inc - A (MA)
What sectors does SMITH HAYES Advisers, Inc focus on?
SMITH HAYES Advisers, Inc is concentrated in the following sectors based on its current disclosed equity portfolio:
• Financials: 25.6%
• Information Technology: 19.4%
• Health Care: 17.1%
• Communication Services: 11.6%
• Consumer Staples: 9.4%
• Industrials: 7.8%
Investment Profile
SMITH HAYES Advisers, Inc's portfolio is broadly diversified and long-term-holding.
It has added to its SPY position over the past two quarters (+$4.9M, now $8.8M), while trimming USB over the same stretch (-$1.5M, still holding $2.3M).
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