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VAUGHAN & Co SECURITIES, INC. Holdings Report (Q3 2026) — 13F Stock Portfolio
VAUGHAN & Co SECURITIES, INC.CIK: 0000805870
Diversified strategyMomentum followerLong-term holder
Total reported value
$212.5M
Reporting period: 2026-09-30 · Number of holdings: 61
VAUGHAN & Co SECURITIES, INC. disclosed 61 holdings in its latest 13F filing for the period ending 2026-09-30, with total reported value of $212.5M and a quarterly turnover rate of 7.5%.
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Personality snowflake
- Concentration
- 34.86
- Portfolio Stability
- 7.53
- Momentum
- 100
- Sector conviction
- 36.54
- Diversification
- 100
- Sizing Uniformity
- 79.05
VAUGHAN & Co SECURITIES, INC.'s disclosed holdings carry a Herfindahl concentration index of 0.087 — mathematically equivalent to about 11 equally-sized positions, well below its 61 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 2.09), with a handful of outsized bets alongside many smaller positions.
Recent activity leans toward adding more aggressively to already-large existing positions than to newly initiated ones (a 3.8 percentage-point tilt) — a pattern consistent with a momentum-following approach.
Sector classification currently covers about 10% 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 IWO
-0.1% -$2.6M
Add GSLC
+1.3% $934.7K
Add HDV
+1.0% $764.3K
Add IWF
+1.9% $742.4K
Trim ISCV
+0.5% -$918.4K
Sold out OKE
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | GSLC | Goldman Activebeta US Lc ETF | ETF-Commodities | 12.83% | +0.55% | +1.30% | |
| 2 | IWF | Ishares Russell 1000 Growth | ETF-Other | 12.78% | +0.46% | +1.92% | |
| 3 | HDV | Ishares Core High Dividend E | ETF-Other | 12.10% | +0.47% | +1.04% | |
| 4 | IWO | Ishares Russell 2000 Growth | ETF-Small Cap | 11.72% | -1.11% | -0.09% | |
| 5 | ISCV | Ishares Morningstar Small-ca | ETF-Other | 10.29% | -0.34% | +0.48% | |
| 6 | IEMG | Ishares Core Msci Emerging | ETF-Emerging Markets | 7.89% | -0.06% | +0.35% | |
| 7 | IEFA | Ishares Core Msci Eafe ETF | ETF-Other | 7.04% | +0.22% | +1.99% | |
| 8 | IXN | Ishares Global Tech ETF | ETF-Tech | 5.49% | -0.06% | -4.45% | |
| 9 | DES | Wisdomtree US Smallcap Divid | ETF-Other | 1.38% | -0.11% | -1.25% | |
| 10 | EFAV | Ishares Msci Eafe Min Vol Fa | ETF-Other | 1.34% | +0.06% | -0.19% | |
| 11 | AAPL | Apple Inc | Stock-Tech | 1.32% | +0.18% | -0.54% | |
| 12 | VWO | Vanguard Ftse Emerging Marke | ETF-Emerging Markets | 1.01% | -0.06% | -5.41% | |
| 13 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 0.74% | -0.01% | -3.36% | |
| 14 | IUSG | Ishares Core S&p U.s. Growth | ETF-Other | 0.74% | +0.02% | -0.18% | |
| 15 | ISCG | Ishares Morningstar Small-ca | ETF-Other | 0.67% | -0.05% | -1.27% | |
| 16 | DVY | Ishares Select Dividend ETF | ETF-Other | 0.62% | -0.01% | -0.70% | |
| 17 | IJS | Ishares S&p Small-cap 600 Va | ETF-Other | 0.52% | -0.03% | — | |
| 18 | VLO | Valero Energy CORP | Stock-Energy | 0.50% | -0.03% | -37.62% | |
| 19 | IWN | Ishares Russell 2000 Value E | ETF-Small Cap | 0.48% | -0.02% | -0.97% | |
| 20 | VZ | Verizon Communications Inc | Stock-Comm Services | 0.42% | +0.12% | +28.39% | |
| 21 | BMY | Bristol-myers Squibb Co | Stock-Healthcare | 0.41% | +0.01% | -5.77% | |
| 22 | CVX | Chevron CORP | Stock-Energy | 0.40% | +0.08% | -0.50% | |
| 23 | IJT | Ishares S&p Small-cap 600 Gr | ETF-Other | 0.37% | -0.04% | — | |
| 24 | EMN | Eastman Chemical Co | Stock-Materials | 0.37% | +0.06% | +20.42% | |
| 25 | AGG | Ishares Core U.s. Aggregate | ETF-Other | 0.37% | -0.01% | +0.29% | |
| 26 | UPS | United Parcel Service-cl B | Stock-Industrials | 0.35% | -0.05% | -0.59% | |
| 27 | ✓ | Stock-Other | 0.33% | +0.33% | NEW | ||
| 28 | PM | Philip Morris International | Stock-Consumer Staples | 0.33% | -0.04% | -16.89% | |
| 29 | ABBV | Abbvie Inc | Stock-Healthcare | 0.32% | +0.01% | +0.11% | |
| 30 | OGE | Oge Energy CORP | Stock-Utilities | 0.31% | -0.04% | -4.45% | |
| 31 | BMO | Bank Of Montreal | Stock-Financials | 0.31% | -0.10% | -20.48% | |
| 32 | GSK | Gsk Plc-spon Adr | Stock-Healthcare | 0.31% | -0.09% | -16.10% | |
| 33 | NWE | Northwestern Energy Group In | Stock-Utilities | 0.29% | -0.01% | +0.55% | |
| 34 | VLY | Valley National Bancorp | Stock-Financials | 0.29% | -0.07% | -7.25% | |
| 35 | RCI | Rogers Communications Inc-b | Stock-Other | 0.29% | +0.07% | +35.57% | |
| 36 | BX | Blackstone Inc | Stock-Financials | 0.29% | +0.13% | +87.98% | |
| 37 | MU | Micron Technology Inc | Stock-Tech | 0.29% | -0.02% | — | |
| 38 | CMCSA | Comcast Corp-class A | Stock-Comm Services | 0.28% | +0.28% | NEW | |
| 39 | MMM | 3m Co | Stock-Industrials | 0.28% | -0.08% | -24.71% | |
| 40 | IBM | Intl Business Machines CORP | Stock-Tech | 0.28% | -0.10% | -7.19% | |
| 41 | HRL | Hormel Foods CORP | Stock-Consumer Staples | 0.25% | +0.25% | NEW | |
| 42 | CVS | Cvs Health CORP | Stock-Healthcare | 0.25% | -0.13% | -20.56% | |
| 43 | CLX | Clorox Company | Stock-Consumer Staples | 0.25% | +0.25% | NEW | |
| 44 | MTB | M & T Bank CORP | Stock-Financials | 0.25% | -0.02% | — | |
| 45 | PPL | Ppl CORP | Stock-Utilities | 0.25% | -0.02% | -1.22% | |
| 46 | CNP | Centerpoint Energy Inc | Stock-Utilities | 0.22% | -0.05% | -1.80% | |
| 47 | CHRD | Chord Energy CORP | Stock-Energy | 0.21% | +0.03% | — | |
| 48 | VICI | Vici Properties Inc | Stock-Real Estate | 0.19% | -0.09% | -22.05% | |
| 49 | APO | Apollo Global Management Inc | Stock-Financials | 0.19% | +0.02% | +9.75% | |
| 50 | XNTK | Ss Spdr Nyse Tech ETF | ETF-Tech | 0.18% | — | — |
1–50 of 61
Portfolio Performance
Performance for Q4 2026
+0.5%
Performance Last 4 Quarters
+16%
- Stdev
- +12.4%
- Beta
- +0.92
- Alpha
- +0.1%
- Max Drawdown
- -8.3%
- Annualized Perf
- +21.8%
- Batting Avg vs S&P
- +33.3%
- Sortino
- +3.58
- Stutzer
- +0.49
- Treynor
- +0.22
- Sterling
- +1.36
- Calmar
- +2.62
- Information Ratio
- -0.32
- Tracking Error
- +5.1%
- Stdev Down
- +5.8%
- Winning Months %
- +72.2%
- Losing Months %
- +27.8%
- Best 12 Months
- +34.1%
- Worst 12 Months
- +5.3%
- Efficiency Ratio
- +0.7
- Sharpe
- +1.67
- Stdev Sectors
- +5.3%
- Skewness
- -0.04
- Kurtosis
- -0.34
- Upside Potential
- +5.14
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
| Period | Holdings | Total value | Stability | Top holdings | |
|---|---|---|---|---|---|
| 2026 Q3 | 61 | $212.5M | 8 | ||
| 2026 Q2 | 61 | $214.4M | 14 | ||
| 2026 Q1 | 58 | $192.6M | 7 | ||
| 2025 Q4 | 57 | $193.4M | 4 | ||
| 2025 Q3 | 57 | $188.2M | 22 | ||
| 2025 Q2 | 57 | $174.4M | 0 | ||
| 2025 Q1 | 55 | $161.5M | 100 | ||
| 2024 Q4 | 54 | $165.9M | 0 | ||
| 2024 Q3 | 54 | $169.8M | 0 | ||
| 2024 Q2 | 54 | $158.6M | 0 | ||
| 2024 Q1 | 56 | $157.1M | 0 | ||
| 2023 Q4 | 55 | $149.1M | 0 | ||
| 2023 Q3 | 52 | $134.6M | 0 | ||
| 2023 Q2 | 54 | $140.7M | 0 | ||
| 2023 Q1 | 54 | $134.8M | 0 | ||
| 2022 Q4 | 52 | $125.5M | 0 | ||
| 2022 Q3 | 49 | $115.9M | 0 | ||
| 2022 Q2 | 51 | $124.8M | 0 | ||
| 2022 Q1 | 59 | $144.7M | 0 | ||
| 2021 Q4 | 54 | $147.4M | 0 | ||
| 2021 Q3 | 53 | $133.8M | 0 | ||
| 2021 Q2 | 53 | $135.3M | 96 | ||
| 2021 Q1 | 52 | $124.0M | 14 | ||
| 2020 Q4 | 51 | $112.8M | 18 | ||
| 2020 Q3 | 50 | $95.8M | 8 | ||
| 2020 Q2 | 49 | $90.9M | 26 | ||
| 2020 Q1 | 163 | $78.7M | 34 | ||
| 2019 Q4 | 170 | $110.8M | 0 |
Holding changes this quarter
VAUGHAN & Co SECURITIES, INC.'s most significant position changes for 2026-09-30: Sold out: Oneok Inc (OKE); New buy: ; New buy: Comcast Corp-class A (CMCSA); New buy: Hormel Foods CORP (HRL); New buy: Clorox Company (CLX).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | GSLC | Goldman Activebeta US Lc ETF | +0.6% | +1.30% | Add |
| 2 | HDV | Ishares Core High Dividend E | +0.5% | +1.04% | Add |
| 3 | IWF | Ishares Russell 1000 Growth | +0.5% | +1.92% | Add |
| 4 | ✓ | +0.3% | NEW | New buy | |
| 5 | CMCSA | Comcast Corp-class A | +0.3% | NEW | New buy |
| 6 | HRL | Hormel Foods CORP | +0.3% | NEW | New buy |
| 7 | CLX | Clorox Company | +0.3% | NEW | New buy |
| 8 | IEFA | Ishares Core Msci Eafe ETF | +0.2% | +1.99% | Add |
| 9 | AAPL | Apple Inc | +0.2% | -0.54% | Trim |
| 10 | BX | Blackstone Inc | +0.1% | +87.98% | Add |
| 11 | VZ | Verizon Communications Inc | +0.1% | +28.39% | Add |
| 12 | ✓ | +0.1% | NEW | New buy | |
| 13 | CVX | Chevron CORP | +0.1% | -0.50% | Trim |
| 14 | RCI | Rogers Communications Inc-b | +0.1% | +35.57% | Add |
| 15 | EMN | Eastman Chemical Co | +0.1% | +20.42% | Add |
| 16 | EFAV | Ishares Msci Eafe Min Vol Fa | +0.1% | -0.19% | Trim |
| 17 | TU | Telus CORP | +0.1% | +84.00% | Add |
| 18 | CHRD | Chord Energy CORP | 0% | — | Unchanged |
| 19 | IUSG | Ishares Core S&p U.s. Growth | 0% | -0.18% | Trim |
| 20 | APO | Apollo Global Management Inc | 0% | +9.75% | Add |
| 21 | ABBV | Abbvie Inc | 0% | +0.11% | Add |
| 22 | BMY | Bristol-myers Squibb Co | 0% | -5.77% | Trim |
| 23 | AMZN | Amazon.com Inc | 0% | +0.72% | Add |
| 24 | XNTK | Ss Spdr Nyse Tech ETF | — | — | Unchanged |
| 25 | DHS | Wisdomtree US High Dividend | — | — | Unchanged |
| 26 | IWD | Ishares Russell 1000 Value E | — | -0.22% | Trim |
| 27 | XT | Ishar Fture Exp Tech Etf-usd | — | — | Unchanged |
| 28 | QQQ | Invesco Qqq Trust Series 1 | — | — | Unchanged |
| 29 | UNP | Union Pacific CORP | — | — | Unchanged |
| 30 | DVY | Ishares Select Dividend ETF | 0% | -0.70% | Trim |
| 31 | AGG | Ishares Core U.s. Aggregate | 0% | +0.29% | Add |
| 32 | BIPC | Brookfield Infrastructure-a | 0% | -1.31% | Trim |
| 33 | ESML | Ishares Esg Aware Msci USA S | 0% | -1.68% | Trim |
| 34 | NWE | Northwestern Energy Group In | 0% | +0.55% | Add |
| 35 | SPY | Ss Spdr S&p 500 ETF Trust-us | 0% | -3.36% | Trim |
| 36 | IWN | Ishares Russell 2000 Value E | 0% | -0.97% | Trim |
| 37 | PPL | Ppl CORP | 0% | -1.22% | Trim |
| 38 | MU | Micron Technology Inc | 0% | — | Unchanged |
| 39 | MTB | M & T Bank CORP | 0% | — | Unchanged |
| 40 | VLO | Valero Energy CORP | 0% | -37.62% | Trim |
| 41 | IJS | Ishares S&p Small-cap 600 Va | 0% | — | Unchanged |
| 42 | PM | Philip Morris International | 0% | -16.89% | Trim |
| 43 | IJT | Ishares S&p Small-cap 600 Gr | 0% | — | Unchanged |
| 44 | OGE | Oge Energy CORP | 0% | -4.45% | Trim |
| 45 | ISCG | Ishares Morningstar Small-ca | -0.1% | -1.27% | Trim |
| 46 | UPS | United Parcel Service-cl B | -0.1% | -0.59% | Trim |
| 47 | CNP | Centerpoint Energy Inc | -0.1% | -1.80% | Trim |
| 48 | IEMG | Ishares Core Msci Emerging | -0.1% | +0.35% | Add |
| 49 | IXN | Ishares Global Tech ETF | -0.1% | -4.45% | Trim |
| 50 | VWO | Vanguard Ftse Emerging Marke | -0.1% | -5.41% | Trim |
1–50 of 66
Filing History
FAQ
What is VAUGHAN & Co SECURITIES, INC. and what type of investor is it?
VAUGHAN & Co SECURITIES, 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 (2026-09-30), the firm manages a tracked equity portfolio valued at approximately $212.5M, spread across 61 disclosed positions.
What are VAUGHAN & Co SECURITIES, INC.'s largest equity positions?
Based on the latest 13F filing, VAUGHAN & Co SECURITIES, INC.'s top holdings by market value are:
1. Goldman Activebeta US Lc ETF (GSLC) — $27.3M (12.8%)
2. Ishares Russell 1000 Growth (IWF) — $27.2M (12.8%)
3. Ishares Core High Dividend E (HDV) — $25.7M (12.1%)
4. Ishares Russell 2000 Growth (IWO) — $24.9M (11.7%)
5. Ishares Morningstar Small-ca (ISCV) — $21.9M (10.3%)
What changes did VAUGHAN & Co SECURITIES, INC. make in its most recent portfolio filing?
In the latest reported quarter, VAUGHAN & Co SECURITIES, INC. made 56 notable position adjustments: 5 new positions were initiated, 16 existing holdings were added to, 30 positions were partially reduced, and 5 were completely exited. The largest of these moves: Sold out: Oneok Inc (OKE); New buy: ; New buy: Comcast Corp-class A (CMCSA); New buy: Hormel Foods CORP (HRL); New buy: Clorox Company (CLX)
What sectors does VAUGHAN & Co SECURITIES, INC. focus on?
VAUGHAN & Co SECURITIES, INC. is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 19.0%
• Financials: 14.9%
• Health Care: 13.1%
• Utilities: 12.1%
• Energy: 11.2%
• Consumer Staples: 8.5%
Investment Profile
VAUGHAN & Co SECURITIES, INC. returned an annualized 21.8% over the trailing 36 months — outperforming the S&P 500 by 0.1 points — based on a reconstructed track record of its disclosed 13F positions, with a beta of 0.92 (roughly in line with the market) and a 33% quarterly batting average against the index.
Its portfolio is broadly diversified and long-term-holding.
It has added to its IWF position over the past two quarters (+$4.4M, now $27.2M), while trimming SPY over the same stretch (-$1.1M, still holding $1.6M).
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Developer Access
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REST API
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