Sonora Investment Management, LLC 13F Holdings Overview (1089 Positions)

CIK: 0001418539

Diversified strategyLong-term holder

Total reported value

$797.8M

Reporting period: 2021-09-30 · Number of holdings: 1089

SONORA INVESTMENT MANAGEMENT, LLC disclosed 1089 holdings in its latest 13F filing for the period ending 2021-09-30, with total reported value of $797.8M and a quarterly turnover rate of 0.0%.

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Personality snowflake

Concentration: 5.86
Portfolio Stability: 0
Momentum/Contrarian: 50
Sector conviction: 58.57
Diversification: 100
Sizing Uniformity: 61.32

Sonora Investment Management, LLC's disclosed holdings carry a Herfindahl concentration index of 0.015 — mathematically equivalent to about 68 equally-sized positions, well below its 1089 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 3.87), 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 57% 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.

Recent moves

No holding changes this quarter

Holdings Map

New buyAddUnchangedTrim

Top 10 holdings by weight

Full holdings list this quarter

Showing top 200 holdings (of 1089 total)

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	AAPL	Apple INC	Stock-Tech	5.18%	—	-3.81%
2	MSFT	Microsoft CORP	Stock-Tech	4.71%	—	+0.83%
3	GOOG	Alphabet Inc-cl C	Stock-Comm Services	3.18%	—	+1.30%
4	QCOM	Qualcomm INC	Stock-Tech	2.53%	—	-0.21%
5	RSG	Republic Services INC	Stock-Industrials	1.74%	—	+1.94%
6	BX	Blackstone INC	Stock-Financials	1.70%	—	+0.54%
7	HD	Home Depot INC	Stock-Consumer Disc	1.69%	—	+2.52%
8	JPM	Jpmorgan Chase & Co	Stock-Financials	1.62%	—	+3.87%
9	COST	Costco Wholesale CORP	Stock-Consumer Staples	1.61%	—	+2.66%
10	JNJ	Johnson & Johnson	Stock-Healthcare	1.57%	—	+2.93%
11	MGP	Mgm Growth Properties Llc-a	Stock-Other	1.57%	—	-0.61%
12	ADBE	Adobe INC	Stock-Tech	1.56%	—	-0.09%
13	WMT	Walmart INC	Stock-Consumer Staples	1.56%	—	+4.02%
14	PG	Procter & Gamble Co/the	Stock-Consumer Staples	1.56%	—	-0.61%
15	PFE	Pfizer INC	Stock-Healthcare	1.55%	—	+1.80%
16	AJG	Arthur J Gallagher & Co	Stock-Financials	1.53%	—	+5.57%
17	TXN	Texas Instruments INC	Stock-Tech	1.41%	—	+4.30%
18	ORCL	Oracle CORP	Stock-Tech	1.41%	—	+11.14%
19	PEP	Pepsico INC	Stock-Consumer Staples	1.38%	—	+4.05%
20	DTE 6.25 11-01-22	Dte Energy Co	Stock-Utilities	1.34%	—	-1.91%
21	CSCO	Cisco Systems INC	Stock-Tech	1.32%	—	+5.06%
22	TFC	Truist Financial CORP	Stock-Financials	1.28%	—	+6.59%
23	LMT	Lockheed Martin CORP	Stock-Industrials	1.28%	—	+5.03%
24	KMB	Kimberly-clark CORP	Stock-Consumer Staples	1.23%	—	-0.93%
25	MRK	Merck & Co. INC.	Stock-Healthcare	1.23%	—	+9.26%
26	UNP	Union Pacific CORP	Stock-Industrials	1.22%	—	+14.64%
27	RTX	Rtx CORP	Stock-Industrials	1.22%	—	+0.02%
28	USB	US Bancorp	Stock-Financials	1.22%	—	+8.69%
29	VLO	Valero Energy CORP	Stock-Energy	1.18%	—	+6.90%
30	EMR	Emerson Electric Co	Stock-Industrials	1.13%	—	-1.09%
31	SBUX	Starbucks CORP	Stock-Consumer Disc	1.12%	—	+4.36%
32	VZ	Verizon Communications INC	Stock-Comm Services	1.10%	—	+3.90%
33	AMZN	Amazon.com INC	Stock-Consumer Disc	1.09%	—	+9.67%
34	HON	Honeywell International INC	Stock-Industrials	1.05%	—	+5.09%
35	KLAC	Kla CORP	Stock-Tech	1.04%	—	+5.53%
36	NEE 5.279 03-01-23	Nextera Energy INC	Stock-Utilities	1.04%	—	+3.89%
37	EVRG	Evergy INC	Stock-Utilities	0.96%	—	-2.18%
38	DIS	Walt Disney Co/the	Stock-Comm Services	0.95%	—	+9.56%
39	META	Meta Platforms Inc-class A	Stock-Comm Services	0.92%	—	+12.22%
40	V	Visa Inc-class A Shares	Stock-Financials	0.90%	—	+11.25%
41	LYB	LyondellBasell Industries N.V.	Stock-Materials	0.90%	—	+11.64%
42	MCD	Mcdonald's CORP	Stock-Consumer Disc	0.90%	—	+10.15%
43	PNC	Pnc Financial Services Group	Stock-Financials	0.89%	—	+10.52%
44	MDT	Medtronic plc	Stock-Healthcare	0.87%	—	+9.27%
45	ACN	Accenture plc	Stock-Tech	0.86%	—	+9.05%
46	AMGN	Amgen INC	Stock-Healthcare	0.82%	—	+1.37%
47	MMM	3m Co	Stock-Industrials	0.82%	—	+1.99%
48	GOOGL	Alphabet Inc-cl A	Stock-Comm Services	0.80%	—	+2.96%
49	GIS	General Mills INC	Stock-Consumer Staples	0.78%	—	+0.38%
50	LUV	Southwest Airlines Co	Stock-Industrials	0.76%	—	+17.63%

1–50 of 200

Portfolio Performance

Not enough priced holdings yet to compute performance

Reported value over time

Sector allocation

Sector allocation over time

Quarterly history

Period	Holdings	Total value	Stability	Top holdings
2021-09-30	1089	$797.8M	0	1AAPL 2MSFT 3GOOG Top holdings2021-09-30 1.AAPL 2.MSFT 3.GOOG 4.QCOM 5.RSG 6.BX 7.HD 8.JPM 9.COST 10.JNJ
2021-06-30	1001	$764.9M	0	1AAPL 2MSFT 3GOOG Top holdings2021-06-30 1.AAPL 2.MSFT 3.GOOG 4.QCOM 5.HD 6.ADBE 7.RSG 8.JNJ 9.WMT 10.PG
2021-03-31	1799	$1.3B	28	1AAPL 2MSFT 3GBX 2.875 02-01-24 Top holdings2021-03-31 1.AAPL 2.MSFT 3.GBX 2.875 02-01-24 4.AYX 1 08-01-26 5.CSGS 4.25 03-15-36 6.TOL 4.375 04-15-23 7.QCOM 8.GOOG 9.INN 1.5 02-15-26 10.TOL 5.875 02-15-22
2020-12-31	1759	$1.2B	24	1AAPL 2MSFT 3CSGS 4.25 03-15-36 Top holdings2020-12-31 1.AAPL 2.MSFT 3.CSGS 4.25 03-15-36 4.TOL 4.375 04-15-23 5.QCOM 6.JNPR 4.5 03-15-24 7.VRNT 1.5 06-01-21 8.TOL 5.875 02-15-22 9.VLO 3.65 03-15-25 10.TPR 4.25 04-01-25 .
2020-09-30	1857	$1.1B	17	1AAPL 2MSFT 3CSGS 4.25 03-15-36 Top holdings2020-09-30 1.AAPL 2.MSFT 3.CSGS 4.25 03-15-36 4.JNPR 4.5 03-15-24 5.TOL 4.375 04-15-23 6.VLO 3.65 03-15-25 7.VRNT 1.5 06-01-21 8.TOL 5.875 02-15-22 9.CBG 5.25 03-15-25 10.TPR 4.25 04-01-25 .
2020-06-30	1896	$977.1M	32	1AAPL 2MSFT 3CSGS 4.25 03-15-36 Top holdings2020-06-30 1.AAPL 2.MSFT 3.CSGS 4.25 03-15-36 4.JNPR 4.5 03-15-24 5.TOL 4.375 04-15-23 6.VLO 3.65 03-15-25 7.TOL 5.875 02-15-22 8.VRNT 1.5 06-01-21 9.CBG 5.25 03-15-25 10.TPR 4.25 04-01-25 .
2020-03-31	1786	$843.5M	31	1GAP 5.95 04-12-21 2CSGS 4.25 03-15-36 3JNPR 4.5 03-15-24 Top holdings2020-03-31 1.GAP 5.95 04-12-21 2.CSGS 4.25 03-15-36 3.JNPR 4.5 03-15-24 4.TOL 4.375 04-15-23 5.MSFT 6.VRNT 1.5 06-01-21 7.TPR 4.25 04-01-25 . 8.AAPL 9.TOL 5.875 02-15-22 10.VLO 3.65 03-15-25
2019-12-31	1743	$1.1B	28	1GAP 5.95 04-12-21 2CSGS 4.25 03-15-36 3MSFT Top holdings2019-12-31 1.GAP 5.95 04-12-21 2.CSGS 4.25 03-15-36 3.MSFT 4.AAPL 5.TOL 4.375 04-15-23 6.VRNT 1.5 06-01-21 7.JNPR 4.5 03-15-24 8.TOL 5.875 02-15-22 9.VLO 3.65 03-15-25 10.TPR 4.25 04-01-25 .
2019-09-30	1750	$959.8M	30	1GAP 5.95 04-12-21 2CSGS 4.25 03-15-36 3VRNT 1.5 06-01-21 Top holdings2019-09-30 1.GAP 5.95 04-12-21 2.CSGS 4.25 03-15-36 3.VRNT 1.5 06-01-21 4.MSFT 5.TOL 4.375 04-15-23 6.IONS 1 11-15-21 7.378331 8.TWTR 1 09-15-21 9.VLO 3.65 03-15-25 10.TOL 5.875 02-15-22
2019-06-30	1749	$895.0M	24	1CSGS 4.25 03-15-36 2GAP 5.95 04-12-21 3VRNT 1.5 06-01-21 Top holdings2019-06-30 1.CSGS 4.25 03-15-36 2.GAP 5.95 04-12-21 3.VRNT 1.5 06-01-21 4.IONS 1 11-15-21 5.MSFT 6.TWTR 1 09-15-21 7.TOL 5.875 02-15-22 8.AAPL 9.AAWW 2.25 06-01-22 10.VLO 3.65 03-15-25
2019-03-31	1559	$816.7M	23	1CSGS 4.25 03-15-36 2IONS 1 11-15-21 3VRNT 1.5 06-01-21 Top holdings2019-03-31 1.CSGS 4.25 03-15-36 2.IONS 1 11-15-21 3.VRNT 1.5 06-01-21 4.GAP 5.95 04-12-21 5.MSFT 6.AAPL 7.TWTR 1 09-15-21 8.AAWW 2.25 06-01-22 9.VLO 6.125 02-01-20 10.TOL 5.875 02-15-22
2018-12-31	1327	$689.1M	23	1CSGS 4.25 03-15-36 2VRNT 1.5 06-01-21 3GAP 5.95 04-12-21 Top holdings2018-12-31 1.CSGS 4.25 03-15-36 2.VRNT 1.5 06-01-21 3.GAP 5.95 04-12-21 4.IONS 1 11-15-21 5.MSFT 6.TWTR 1 09-15-21 7.AAWW 2.25 06-01-22 8.AAPL 9.VLO 6.125 02-01-20 10.TOL 5.875 02-15-22
2018-09-30	1285	$723.8M	23	1CSGS 4.25 03-15-36 2VRNT 1.5 06-01-21 3GAP 5.95 04-12-21 Top holdings2018-09-30 1.CSGS 4.25 03-15-36 2.VRNT 1.5 06-01-21 3.GAP 5.95 04-12-21 4.IONS 1 11-15-21 5.AAPL 6.AAWW 2.25 06-01-22 7.MSFT 8.SPPIUSD 9.EMR 10.QCOM
2018-06-30	1251	$648.6M	13	1CSGS 4.25 03-15-36 2VRNT 1.5 06-01-21 3QDEL 3.25 12-15-20 Top holdings2018-06-30 1.CSGS 4.25 03-15-36 2.VRNT 1.5 06-01-21 3.QDEL 3.25 12-15-20 4.AAWW 2.25 06-01-22 5.IONS 1 11-15-21 6.GAP 5.95 04-12-21 7.AAPL 8.MSFT 9.TOL 5.875 02-15-22 10.EMR
2018-03-31	1229	$628.7M	23	1CSGS 4.25 03-15-36 2VRNT 1.5 06-01-21 3QDEL 3.25 12-15-20 Top holdings2018-03-31 1.CSGS 4.25 03-15-36 2.VRNT 1.5 06-01-21 3.QDEL 3.25 12-15-20 4.IONS 1 11-15-21 5.AAWW 2.25 06-01-22 6.GAP 5.95 04-12-21 7.AAPL 8.MSFT 9.CSOD 1.5 07-01-18 10.ENV 1.75 12-15-19
2017-12-31	1242	$621.8M	25	1CSGS 4.25 03-15-36 2SPPI 2.75 12-15-18 3IONS 1 11-15-21 Top holdings2017-12-31 1.CSGS 4.25 03-15-36 2.SPPI 2.75 12-15-18 3.IONS 1 11-15-21 4.VRNT 1.5 06-01-21 5.AAWW 2.25 06-01-22 6.QDEL 3.25 12-15-20 7.GAP 5.95 04-12-21 8.AAPL 9.CSOD 1.5 07-01-18 10.MSFT
2017-09-30	1198	$576.0M	31	1CSGS 4.25 03-15-36 2AAWW 2.25 06-01-22 3IONS 1 11-15-21 Top holdings2017-09-30 1.CSGS 4.25 03-15-36 2.AAWW 2.25 06-01-22 3.IONS 1 11-15-21 4.QDEL 3.25 12-15-20 5.VRNT 1.5 06-01-21 6.SPPI 2.75 12-15-18 7.GAP 5.95 04-12-21 8.378331 9.CSOD 1.5 07-01-18 10.NUAN 2.75 11-01-31
2017-06-30	1037	$529.6M	14	1IONS 1 11-15-21 2AAWW 2.25 06-01-22 3VRNT 1.5 06-01-21 Top holdings2017-06-30 1.IONS 1 11-15-21 2.AAWW 2.25 06-01-22 3.VRNT 1.5 06-01-21 4.GAP 5.95 04-12-21 5.QDEL 3.25 12-15-20 6.CSOD 1.5 07-01-18 7.NUAN 2.75 11-01-31 8.SPPI 2.75 12-15-18 9.AAPL 10.CSGS 4.25 03-15-36
2017-03-31	984	$514.8M	14	1IONS 1 11-15-21 2AAWW 2.25 06-01-22 3GAP 5.95 04-12-21 Top holdings2017-03-31 1.IONS 1 11-15-21 2.AAWW 2.25 06-01-22 3.GAP 5.95 04-12-21 4.QDEL 3.25 12-15-20 5.VRNT 1.5 06-01-21 6.BCOR 4.25 04-01-19 7.CSOD 1.5 07-01-18 8.HWM 1.625 10-15-19 9.NUAN 2.75 11-01-31 10.AAPL
2016-12-31	898	$483.7M	26	1IONS 1 11-15-21 2AAWW 2.25 06-01-22 3CSOD 1.5 07-01-18 Top holdings2016-12-31 1.IONS 1 11-15-21 2.AAWW 2.25 06-01-22 3.CSOD 1.5 07-01-18 4.GAP 5.95 04-12-21 5.BCOR 4.25 04-01-19 6.NUAN 2.75 11-01-31 7.VRNT 1.5 06-01-21 8.QCOM 9.QDEL 3.25 12-15-20 10.HWM 1.625 10-15-19
2016-09-30	894	$477.1M	16	1IONS 1 11-15-21 2CPHD 1.25 02-01-21 3CSOD 1.5 07-01-18 Top holdings2016-09-30 1.IONS 1 11-15-21 2.CPHD 1.25 02-01-21 3.CSOD 1.5 07-01-18 4.AAWW 2.25 06-01-22 5.QCOM 6.NUAN 2.75 11-01-31 7.RGLD 2.875 06-15-19 8.VRNT 1.5 06-01-21 9.QDEL 3.25 12-15-20 10.HWM 1.625 10-15-19
2016-06-30	911	$435.6M	15	1IONS 1 11-15-21 2CSOD 1.5 07-01-18 3NUAN 2.75 11-01-31 Top holdings2016-06-30 1.IONS 1 11-15-21 2.CSOD 1.5 07-01-18 3.NUAN 2.75 11-01-31 4.RGLD 2.875 06-15-19 5.CPHD 1.25 02-01-21 6.HWM 1.625 10-15-19 7.BBWI 7 05-01-20 8.VRNT 1.5 06-01-21 9.HOLX 0 03-01-42 2012 10.QCOM
2016-03-31	1012	$415.6M	32	1IONS 1 11-15-21 2CSOD 1.5 07-01-18 3HWM 1.625 10-15-19 Top holdings2016-03-31 1.IONS 1 11-15-21 2.CSOD 1.5 07-01-18 3.HWM 1.625 10-15-19 4.NUAN 2.75 11-01-31 5.HOLX 0 03-01-42 2012 6.RGLD 2.875 06-15-19 7.WBMD 2.5 01-31-18 8.CPHD 1.25 02-01-21 9.QCOM 10.VRNT 1.5 06-01-21
2015-12-31	899	$383.9M	39	1WBMD 2.5 01-31-18 2ZD 3.25 06-15-29 3HWM 1.625 10-15-19 Top holdings2015-12-31 1.WBMD 2.5 01-31-18 2.ZD 3.25 06-15-29 3.HWM 1.625 10-15-19 4.CSOD 1.5 07-01-18 5.HOLX 0 03-01-42 2012 6.NUAN 2.75 11-01-31 7.RGLD 2.875 06-15-19 8.QCOM 9.BMRN 1.5 10-15-20 10.IONS
2015-09-30	1189	$330.5M	0	1QCOM 2HOLX 0 03-01-42 2012 3WBMD 2.5 01-31-18 Top holdings2015-09-30 1.QCOM 2.HOLX 0 03-01-42 2012 3.WBMD 2.5 01-31-18 4.ZD 3.25 06-15-29 5.HWM 1.625 10-15-19 6.CSOD 1.5 07-01-18 7.RGLD 2.875 06-15-19 8.BMRN 1.5 10-15-20 9.NUAN 2.75 11-01-31 10.ENV 1.75 12-15-19

Holding changes this quarter

Position changes disclosed by Sonora Investment Management, LLC for the quarter ending 2021-09-30, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action

Filing History

Period	Filed	Type	EDGAR
2021-09-30	2021-11-12	13F-HR	View on EDGAR
2021-06-30	2021-10-20	13F-HR	View on EDGAR
2021-03-31	2021-04-28	13F-HR	View on EDGAR
2020-12-31	2021-01-13	13F-HR	View on EDGAR
2020-09-30	2020-10-26	13F-HR	View on EDGAR
2020-06-30	2020-08-13	13F-HR	View on EDGAR
2020-03-31	2020-04-29	13F-HR	View on EDGAR
2019-12-31	2020-01-17	13F-HR	View on EDGAR
2019-09-30	2019-10-15	13F-HR	View on EDGAR
2019-06-30	2019-07-19	13F-HR	View on EDGAR
2019-03-31	2019-04-09	13F-HR	View on EDGAR
2018-12-31	2019-01-25	13F-HR	View on EDGAR
2018-09-30	2018-10-18	13F-HR	View on EDGAR
2018-06-30	2018-08-06	13F-HR	View on EDGAR
2018-03-31	2018-04-19	13F-HR	View on EDGAR
2017-12-31	2018-02-05	13F-HR	View on EDGAR
2017-09-30	2017-10-12	13F-HR	View on EDGAR
2017-06-30	2017-07-21	13F-HR	View on EDGAR
2017-03-31	2017-07-21	13F-HR	View on EDGAR
2016-12-31	2017-01-12	13F-HR	View on EDGAR
2016-09-30	2016-10-17	13F-HR	View on EDGAR
2016-06-30	2016-07-15	13F-HR	View on EDGAR
2016-03-31	2016-05-09	13F-HR	View on EDGAR
2015-12-31	2016-03-10	13F-HR	View on EDGAR
2015-09-30	2015-11-04	13F-HR	View on EDGAR

FAQ

What is Sonora Investment Management, LLC and what type of investor is it?

Sonora Investment Management, LLC is a investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2021-09-30), the firm manages a tracked equity portfolio valued at approximately $797.8M, spread across 1089 disclosed positions.

What are Sonora Investment Management, LLC's largest equity positions?

Based on the latest 13F filing, Sonora Investment Management, LLC's top holdings by market value are: 1. Apple INC (AAPL) — $41.3M (5.2%) 2. Microsoft CORP (MSFT) — $37.6M (4.7%) 3. Alphabet Inc-cl C (GOOG) — $25.4M (3.2%) 4. Qualcomm INC (QCOM) — $20.2M (2.5%) 5. Republic Services INC (RSG) — $13.9M (1.7%)

What changes did Sonora Investment Management, LLC make in its most recent portfolio filing?

No notable portfolio changes were recorded for Sonora Investment Management, LLC in the most recent quarter. Holdings appear to have remained relatively stable.

What sectors does Sonora Investment Management, LLC focus on?

Sonora Investment Management, LLC is concentrated in the following sectors based on its current disclosed equity portfolio: • Information Technology: 35.3% • Communication Services: 13.5% • Consumer Staples: 12.3% • Health Care: 11.9% • Industrials: 10.5% • Consumer Discretionary: 9.5%

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Sonora Investment Management, LLC 13F Holdings Overview (1089 Positions)

CIK: 0001418539

Diversified strategyLong-term holder

Total reported value

$797.8M

Reporting period: 2021-09-30 · Number of holdings: 1089

SONORA INVESTMENT MANAGEMENT, LLC disclosed 1089 holdings in its latest 13F filing for the period ending 2021-09-30, with total reported value of $797.8M and a quarterly turnover rate of 0.0%.

Browse other institutions with $100M to $1B AUM Browse other institutions starting with "S"

Personality snowflake

Concentration: 5.86
Portfolio Stability: 0
Momentum/Contrarian: 50
Sector conviction: 58.57
Diversification: 100
Sizing Uniformity: 61.32

Position sizes vary widely across the portfolio (a coefficient of variation of 3.87), 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.

Recent moves

No holding changes this quarter

Holdings Map

New buyAddUnchangedTrim

Top 10 holdings by weight

Full holdings list this quarter

Showing top 200 holdings (of 1089 total)

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	AAPL	Apple INC	Stock-Tech	5.18%	—	-3.81%
2	MSFT	Microsoft CORP	Stock-Tech	4.71%	—	+0.83%
3	GOOG	Alphabet Inc-cl C	Stock-Comm Services	3.18%	—	+1.30%
4	QCOM	Qualcomm INC	Stock-Tech	2.53%	—	-0.21%
5	RSG	Republic Services INC	Stock-Industrials	1.74%	—	+1.94%
6	BX	Blackstone INC	Stock-Financials	1.70%	—	+0.54%
7	HD	Home Depot INC	Stock-Consumer Disc	1.69%	—	+2.52%
8	JPM	Jpmorgan Chase & Co	Stock-Financials	1.62%	—	+3.87%
9	COST	Costco Wholesale CORP	Stock-Consumer Staples	1.61%	—	+2.66%
10	JNJ	Johnson & Johnson	Stock-Healthcare	1.57%	—	+2.93%
11	MGP	Mgm Growth Properties Llc-a	Stock-Other	1.57%	—	-0.61%
12	ADBE	Adobe INC	Stock-Tech	1.56%	—	-0.09%
13	WMT	Walmart INC	Stock-Consumer Staples	1.56%	—	+4.02%
14	PG	Procter & Gamble Co/the	Stock-Consumer Staples	1.56%	—	-0.61%
15	PFE	Pfizer INC	Stock-Healthcare	1.55%	—	+1.80%
16	AJG	Arthur J Gallagher & Co	Stock-Financials	1.53%	—	+5.57%
17	TXN	Texas Instruments INC	Stock-Tech	1.41%	—	+4.30%
18	ORCL	Oracle CORP	Stock-Tech	1.41%	—	+11.14%
19	PEP	Pepsico INC	Stock-Consumer Staples	1.38%	—	+4.05%
20	DTE 6.25 11-01-22	Dte Energy Co	Stock-Utilities	1.34%	—	-1.91%
21	CSCO	Cisco Systems INC	Stock-Tech	1.32%	—	+5.06%
22	TFC	Truist Financial CORP	Stock-Financials	1.28%	—	+6.59%
23	LMT	Lockheed Martin CORP	Stock-Industrials	1.28%	—	+5.03%
24	KMB	Kimberly-clark CORP	Stock-Consumer Staples	1.23%	—	-0.93%
25	MRK	Merck & Co. INC.	Stock-Healthcare	1.23%	—	+9.26%
26	UNP	Union Pacific CORP	Stock-Industrials	1.22%	—	+14.64%
27	RTX	Rtx CORP	Stock-Industrials	1.22%	—	+0.02%
28	USB	US Bancorp	Stock-Financials	1.22%	—	+8.69%
29	VLO	Valero Energy CORP	Stock-Energy	1.18%	—	+6.90%
30	EMR	Emerson Electric Co	Stock-Industrials	1.13%	—	-1.09%
31	SBUX	Starbucks CORP	Stock-Consumer Disc	1.12%	—	+4.36%
32	VZ	Verizon Communications INC	Stock-Comm Services	1.10%	—	+3.90%
33	AMZN	Amazon.com INC	Stock-Consumer Disc	1.09%	—	+9.67%
34	HON	Honeywell International INC	Stock-Industrials	1.05%	—	+5.09%
35	KLAC	Kla CORP	Stock-Tech	1.04%	—	+5.53%
36	NEE 5.279 03-01-23	Nextera Energy INC	Stock-Utilities	1.04%	—	+3.89%
37	EVRG	Evergy INC	Stock-Utilities	0.96%	—	-2.18%
38	DIS	Walt Disney Co/the	Stock-Comm Services	0.95%	—	+9.56%
39	META	Meta Platforms Inc-class A	Stock-Comm Services	0.92%	—	+12.22%
40	V	Visa Inc-class A Shares	Stock-Financials	0.90%	—	+11.25%
41	LYB	LyondellBasell Industries N.V.	Stock-Materials	0.90%	—	+11.64%
42	MCD	Mcdonald's CORP	Stock-Consumer Disc	0.90%	—	+10.15%
43	PNC	Pnc Financial Services Group	Stock-Financials	0.89%	—	+10.52%
44	MDT	Medtronic plc	Stock-Healthcare	0.87%	—	+9.27%
45	ACN	Accenture plc	Stock-Tech	0.86%	—	+9.05%
46	AMGN	Amgen INC	Stock-Healthcare	0.82%	—	+1.37%
47	MMM	3m Co	Stock-Industrials	0.82%	—	+1.99%
48	GOOGL	Alphabet Inc-cl A	Stock-Comm Services	0.80%	—	+2.96%
49	GIS	General Mills INC	Stock-Consumer Staples	0.78%	—	+0.38%
50	LUV	Southwest Airlines Co	Stock-Industrials	0.76%	—	+17.63%

1–50 of 200

Portfolio Performance

Not enough priced holdings yet to compute performance

Reported value over time

Sector allocation

Sector allocation over time

Quarterly history

Period	Holdings	Total value	Stability	Top holdings
2021-09-30	1089	$797.8M	0	1AAPL 2MSFT 3GOOG Top holdings2021-09-30 1.AAPL 2.MSFT 3.GOOG 4.QCOM 5.RSG 6.BX 7.HD 8.JPM 9.COST 10.JNJ
2021-06-30	1001	$764.9M	0	1AAPL 2MSFT 3GOOG Top holdings2021-06-30 1.AAPL 2.MSFT 3.GOOG 4.QCOM 5.HD 6.ADBE 7.RSG 8.JNJ 9.WMT 10.PG
2021-03-31	1799	$1.3B	28	1AAPL 2MSFT 3GBX 2.875 02-01-24 Top holdings2021-03-31 1.AAPL 2.MSFT 3.GBX 2.875 02-01-24 4.AYX 1 08-01-26 5.CSGS 4.25 03-15-36 6.TOL 4.375 04-15-23 7.QCOM 8.GOOG 9.INN 1.5 02-15-26 10.TOL 5.875 02-15-22
2020-12-31	1759	$1.2B	24	1AAPL 2MSFT 3CSGS 4.25 03-15-36 Top holdings2020-12-31 1.AAPL 2.MSFT 3.CSGS 4.25 03-15-36 4.TOL 4.375 04-15-23 5.QCOM 6.JNPR 4.5 03-15-24 7.VRNT 1.5 06-01-21 8.TOL 5.875 02-15-22 9.VLO 3.65 03-15-25 10.TPR 4.25 04-01-25 .
2020-09-30	1857	$1.1B	17	1AAPL 2MSFT 3CSGS 4.25 03-15-36 Top holdings2020-09-30 1.AAPL 2.MSFT 3.CSGS 4.25 03-15-36 4.JNPR 4.5 03-15-24 5.TOL 4.375 04-15-23 6.VLO 3.65 03-15-25 7.VRNT 1.5 06-01-21 8.TOL 5.875 02-15-22 9.CBG 5.25 03-15-25 10.TPR 4.25 04-01-25 .
2020-06-30	1896	$977.1M	32	1AAPL 2MSFT 3CSGS 4.25 03-15-36 Top holdings2020-06-30 1.AAPL 2.MSFT 3.CSGS 4.25 03-15-36 4.JNPR 4.5 03-15-24 5.TOL 4.375 04-15-23 6.VLO 3.65 03-15-25 7.TOL 5.875 02-15-22 8.VRNT 1.5 06-01-21 9.CBG 5.25 03-15-25 10.TPR 4.25 04-01-25 .
2020-03-31	1786	$843.5M	31	1GAP 5.95 04-12-21 2CSGS 4.25 03-15-36 3JNPR 4.5 03-15-24 Top holdings2020-03-31 1.GAP 5.95 04-12-21 2.CSGS 4.25 03-15-36 3.JNPR 4.5 03-15-24 4.TOL 4.375 04-15-23 5.MSFT 6.VRNT 1.5 06-01-21 7.TPR 4.25 04-01-25 . 8.AAPL 9.TOL 5.875 02-15-22 10.VLO 3.65 03-15-25
2019-12-31	1743	$1.1B	28	1GAP 5.95 04-12-21 2CSGS 4.25 03-15-36 3MSFT Top holdings2019-12-31 1.GAP 5.95 04-12-21 2.CSGS 4.25 03-15-36 3.MSFT 4.AAPL 5.TOL 4.375 04-15-23 6.VRNT 1.5 06-01-21 7.JNPR 4.5 03-15-24 8.TOL 5.875 02-15-22 9.VLO 3.65 03-15-25 10.TPR 4.25 04-01-25 .
2019-09-30	1750	$959.8M	30	1GAP 5.95 04-12-21 2CSGS 4.25 03-15-36 3VRNT 1.5 06-01-21 Top holdings2019-09-30 1.GAP 5.95 04-12-21 2.CSGS 4.25 03-15-36 3.VRNT 1.5 06-01-21 4.MSFT 5.TOL 4.375 04-15-23 6.IONS 1 11-15-21 7.378331 8.TWTR 1 09-15-21 9.VLO 3.65 03-15-25 10.TOL 5.875 02-15-22
2019-06-30	1749	$895.0M	24	1CSGS 4.25 03-15-36 2GAP 5.95 04-12-21 3VRNT 1.5 06-01-21 Top holdings2019-06-30 1.CSGS 4.25 03-15-36 2.GAP 5.95 04-12-21 3.VRNT 1.5 06-01-21 4.IONS 1 11-15-21 5.MSFT 6.TWTR 1 09-15-21 7.TOL 5.875 02-15-22 8.AAPL 9.AAWW 2.25 06-01-22 10.VLO 3.65 03-15-25
2019-03-31	1559	$816.7M	23	1CSGS 4.25 03-15-36 2IONS 1 11-15-21 3VRNT 1.5 06-01-21 Top holdings2019-03-31 1.CSGS 4.25 03-15-36 2.IONS 1 11-15-21 3.VRNT 1.5 06-01-21 4.GAP 5.95 04-12-21 5.MSFT 6.AAPL 7.TWTR 1 09-15-21 8.AAWW 2.25 06-01-22 9.VLO 6.125 02-01-20 10.TOL 5.875 02-15-22
2018-12-31	1327	$689.1M	23	1CSGS 4.25 03-15-36 2VRNT 1.5 06-01-21 3GAP 5.95 04-12-21 Top holdings2018-12-31 1.CSGS 4.25 03-15-36 2.VRNT 1.5 06-01-21 3.GAP 5.95 04-12-21 4.IONS 1 11-15-21 5.MSFT 6.TWTR 1 09-15-21 7.AAWW 2.25 06-01-22 8.AAPL 9.VLO 6.125 02-01-20 10.TOL 5.875 02-15-22
2018-09-30	1285	$723.8M	23	1CSGS 4.25 03-15-36 2VRNT 1.5 06-01-21 3GAP 5.95 04-12-21 Top holdings2018-09-30 1.CSGS 4.25 03-15-36 2.VRNT 1.5 06-01-21 3.GAP 5.95 04-12-21 4.IONS 1 11-15-21 5.AAPL 6.AAWW 2.25 06-01-22 7.MSFT 8.SPPIUSD 9.EMR 10.QCOM
2018-06-30	1251	$648.6M	13	1CSGS 4.25 03-15-36 2VRNT 1.5 06-01-21 3QDEL 3.25 12-15-20 Top holdings2018-06-30 1.CSGS 4.25 03-15-36 2.VRNT 1.5 06-01-21 3.QDEL 3.25 12-15-20 4.AAWW 2.25 06-01-22 5.IONS 1 11-15-21 6.GAP 5.95 04-12-21 7.AAPL 8.MSFT 9.TOL 5.875 02-15-22 10.EMR
2018-03-31	1229	$628.7M	23	1CSGS 4.25 03-15-36 2VRNT 1.5 06-01-21 3QDEL 3.25 12-15-20 Top holdings2018-03-31 1.CSGS 4.25 03-15-36 2.VRNT 1.5 06-01-21 3.QDEL 3.25 12-15-20 4.IONS 1 11-15-21 5.AAWW 2.25 06-01-22 6.GAP 5.95 04-12-21 7.AAPL 8.MSFT 9.CSOD 1.5 07-01-18 10.ENV 1.75 12-15-19
2017-12-31	1242	$621.8M	25	1CSGS 4.25 03-15-36 2SPPI 2.75 12-15-18 3IONS 1 11-15-21 Top holdings2017-12-31 1.CSGS 4.25 03-15-36 2.SPPI 2.75 12-15-18 3.IONS 1 11-15-21 4.VRNT 1.5 06-01-21 5.AAWW 2.25 06-01-22 6.QDEL 3.25 12-15-20 7.GAP 5.95 04-12-21 8.AAPL 9.CSOD 1.5 07-01-18 10.MSFT
2017-09-30	1198	$576.0M	31	1CSGS 4.25 03-15-36 2AAWW 2.25 06-01-22 3IONS 1 11-15-21 Top holdings2017-09-30 1.CSGS 4.25 03-15-36 2.AAWW 2.25 06-01-22 3.IONS 1 11-15-21 4.QDEL 3.25 12-15-20 5.VRNT 1.5 06-01-21 6.SPPI 2.75 12-15-18 7.GAP 5.95 04-12-21 8.378331 9.CSOD 1.5 07-01-18 10.NUAN 2.75 11-01-31
2017-06-30	1037	$529.6M	14	1IONS 1 11-15-21 2AAWW 2.25 06-01-22 3VRNT 1.5 06-01-21 Top holdings2017-06-30 1.IONS 1 11-15-21 2.AAWW 2.25 06-01-22 3.VRNT 1.5 06-01-21 4.GAP 5.95 04-12-21 5.QDEL 3.25 12-15-20 6.CSOD 1.5 07-01-18 7.NUAN 2.75 11-01-31 8.SPPI 2.75 12-15-18 9.AAPL 10.CSGS 4.25 03-15-36
2017-03-31	984	$514.8M	14	1IONS 1 11-15-21 2AAWW 2.25 06-01-22 3GAP 5.95 04-12-21 Top holdings2017-03-31 1.IONS 1 11-15-21 2.AAWW 2.25 06-01-22 3.GAP 5.95 04-12-21 4.QDEL 3.25 12-15-20 5.VRNT 1.5 06-01-21 6.BCOR 4.25 04-01-19 7.CSOD 1.5 07-01-18 8.HWM 1.625 10-15-19 9.NUAN 2.75 11-01-31 10.AAPL
2016-12-31	898	$483.7M	26	1IONS 1 11-15-21 2AAWW 2.25 06-01-22 3CSOD 1.5 07-01-18 Top holdings2016-12-31 1.IONS 1 11-15-21 2.AAWW 2.25 06-01-22 3.CSOD 1.5 07-01-18 4.GAP 5.95 04-12-21 5.BCOR 4.25 04-01-19 6.NUAN 2.75 11-01-31 7.VRNT 1.5 06-01-21 8.QCOM 9.QDEL 3.25 12-15-20 10.HWM 1.625 10-15-19
2016-09-30	894	$477.1M	16	1IONS 1 11-15-21 2CPHD 1.25 02-01-21 3CSOD 1.5 07-01-18 Top holdings2016-09-30 1.IONS 1 11-15-21 2.CPHD 1.25 02-01-21 3.CSOD 1.5 07-01-18 4.AAWW 2.25 06-01-22 5.QCOM 6.NUAN 2.75 11-01-31 7.RGLD 2.875 06-15-19 8.VRNT 1.5 06-01-21 9.QDEL 3.25 12-15-20 10.HWM 1.625 10-15-19
2016-06-30	911	$435.6M	15	1IONS 1 11-15-21 2CSOD 1.5 07-01-18 3NUAN 2.75 11-01-31 Top holdings2016-06-30 1.IONS 1 11-15-21 2.CSOD 1.5 07-01-18 3.NUAN 2.75 11-01-31 4.RGLD 2.875 06-15-19 5.CPHD 1.25 02-01-21 6.HWM 1.625 10-15-19 7.BBWI 7 05-01-20 8.VRNT 1.5 06-01-21 9.HOLX 0 03-01-42 2012 10.QCOM
2016-03-31	1012	$415.6M	32	1IONS 1 11-15-21 2CSOD 1.5 07-01-18 3HWM 1.625 10-15-19 Top holdings2016-03-31 1.IONS 1 11-15-21 2.CSOD 1.5 07-01-18 3.HWM 1.625 10-15-19 4.NUAN 2.75 11-01-31 5.HOLX 0 03-01-42 2012 6.RGLD 2.875 06-15-19 7.WBMD 2.5 01-31-18 8.CPHD 1.25 02-01-21 9.QCOM 10.VRNT 1.5 06-01-21
2015-12-31	899	$383.9M	39	1WBMD 2.5 01-31-18 2ZD 3.25 06-15-29 3HWM 1.625 10-15-19 Top holdings2015-12-31 1.WBMD 2.5 01-31-18 2.ZD 3.25 06-15-29 3.HWM 1.625 10-15-19 4.CSOD 1.5 07-01-18 5.HOLX 0 03-01-42 2012 6.NUAN 2.75 11-01-31 7.RGLD 2.875 06-15-19 8.QCOM 9.BMRN 1.5 10-15-20 10.IONS
2015-09-30	1189	$330.5M	0	1QCOM 2HOLX 0 03-01-42 2012 3WBMD 2.5 01-31-18 Top holdings2015-09-30 1.QCOM 2.HOLX 0 03-01-42 2012 3.WBMD 2.5 01-31-18 4.ZD 3.25 06-15-29 5.HWM 1.625 10-15-19 6.CSOD 1.5 07-01-18 7.RGLD 2.875 06-15-19 8.BMRN 1.5 10-15-20 9.NUAN 2.75 11-01-31 10.ENV 1.75 12-15-19

Holding changes this quarter

Position changes disclosed by Sonora Investment Management, LLC for the quarter ending 2021-09-30, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action

Filing History

Period	Filed	Type	EDGAR
2021-09-30	2021-11-12	13F-HR	View on EDGAR
2021-06-30	2021-10-20	13F-HR	View on EDGAR
2021-03-31	2021-04-28	13F-HR	View on EDGAR
2020-12-31	2021-01-13	13F-HR	View on EDGAR
2020-09-30	2020-10-26	13F-HR	View on EDGAR
2020-06-30	2020-08-13	13F-HR	View on EDGAR
2020-03-31	2020-04-29	13F-HR	View on EDGAR
2019-12-31	2020-01-17	13F-HR	View on EDGAR
2019-09-30	2019-10-15	13F-HR	View on EDGAR
2019-06-30	2019-07-19	13F-HR	View on EDGAR
2019-03-31	2019-04-09	13F-HR	View on EDGAR
2018-12-31	2019-01-25	13F-HR	View on EDGAR
2018-09-30	2018-10-18	13F-HR	View on EDGAR
2018-06-30	2018-08-06	13F-HR	View on EDGAR
2018-03-31	2018-04-19	13F-HR	View on EDGAR
2017-12-31	2018-02-05	13F-HR	View on EDGAR
2017-09-30	2017-10-12	13F-HR	View on EDGAR
2017-06-30	2017-07-21	13F-HR	View on EDGAR
2017-03-31	2017-07-21	13F-HR	View on EDGAR
2016-12-31	2017-01-12	13F-HR	View on EDGAR
2016-09-30	2016-10-17	13F-HR	View on EDGAR
2016-06-30	2016-07-15	13F-HR	View on EDGAR
2016-03-31	2016-05-09	13F-HR	View on EDGAR
2015-12-31	2016-03-10	13F-HR	View on EDGAR
2015-09-30	2015-11-04	13F-HR	View on EDGAR

FAQ

What is Sonora Investment Management, LLC and what type of investor is it?

What are Sonora Investment Management, LLC's largest equity positions?

What changes did Sonora Investment Management, LLC make in its most recent portfolio filing?

No notable portfolio changes were recorded for Sonora Investment Management, LLC in the most recent quarter. Holdings appear to have remained relatively stable.

What sectors does Sonora Investment Management, LLC focus on?