Bruderman Asset Management, LLC historic quarter change: USA ETF, Reduced
In exchange-traded fund shares (known by the fund name on the filing) (listed in the US), over 6 quarters from 2015-03-31 to 2016-09-30, Bruderman Asset Management, LLC opened 51 positions, added to 96, reduced 66 and sold out of 40.
- Q3 2016: Stock RYDEX ETF TRUST; Country of operation —; Class GUG S&P500EQWTHC; Shares before 11,188.
- Q3 2016: Stock SDY; Country of operation —; Class S&P DIVID ETF; Shares before 31,565.
- Q3 2016: Stock RYDEX ETF TRUST; Country of operation —; Class GUG S&P500 EQ WT; Shares before 28,532.
- Q3 2016: Stock XLY; Country of operation —; Class SBI CONS DISCR; Shares before 25,289.
Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1633673), 6 quarters: Q3 2016 (2016-06-30 to 2016-09-30, filed 2016-11-08); Q2 2016 (2016-03-31 to 2016-06-30, filed 2016-08-09); Q1 2016 (2015-12-31 to 2016-03-31, filed 2016-05-09); Q4 2015 (2015-09-30 to 2015-12-31, filed 2016-02-08); Q3 2015 (2015-06-30 to 2015-09-30, filed 2015-11-19); Q2 2015 (2015-03-31 to 2015-06-30, filed 2015-08-13). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move. Only the filings held here are compared; the firm's 13F-HR filings go back to the quarter ended 2015-03-31.
| Quarter | Stock | Country of operation | Class | Shares before | Shares after | Share change | Value before | Value after | Value change | Filed |
|---|
| Q3 2016 | RYDEX ETF TRUST
CUSIP 78355W841 | | GUG S&P500EQWTHC | 11,188 | 6,153 | -5,035 | $1,687,000 | $958,000 | -$729,000 | 2016-11-08 |
|---|
| Q3 2016 | SDY
SPDR SERIES TRUST | | S&P DIVID ETF | 31,565 | 29,614 | -1,951 | $2,649,000 | $2,498,000 | -$151,000 | 2016-11-08 |
|---|
| Q3 2016 | RYDEX ETF TRUST
CUSIP 78355W106 | | GUG S&P500 EQ WT | 28,532 | 26,990 | -1,542 | $2,293,000 | $2,256,000 | -$37,000 | 2016-11-08 |
|---|
| Q3 2016 | XLY
SELECT SECTOR SPDR TR | | SBI CONS DISCR | 25,289 | 24,283 | -1,006 | $1,974,000 | $1,944,000 | -$30,000 | 2016-11-08 |
|---|
| Q3 2016 | IDU
ISHARES TR | | U.S. UTILITS ETF | 620 | 585 | -35 | $81,000 | $72,000 | -$9,000 | 2016-11-08 |
|---|
| Q3 2016 | HEFA
ISHARES TR | | HDG MSCI EAFE | 31,639 | 30,309 | -1,330 | $759,000 | $752,000 | -$7,000 | 2016-11-08 |
|---|
| Q3 2016 | LQD
ISHARES TR | | IBOXX INV CP ETF | 700 | 685 | -15 | $86,000 | $84,000 | -$2,000 | 2016-11-08 |
|---|
| Q3 2016 | DVY
ISHARES TR | | SELECT DIVID ETF | 1,330 | 1,290 | -40 | $113,000 | $111,000 | -$2,000 | 2016-11-08 |
|---|
| Q2 2016 | DBEF
DBX ETF TR | | XTRAK MSCI EAFE | 1,617 | 135 | -1,482 | $41,000 | $3,000 | -$38,000 | 2016-08-09 |
|---|
| Q2 2016 | JGH
NUVEEN GLOBAL HIGH INCOME FD | | SHS | 1,800 | 200 | -1,600 | $25,000 | $3,000 | -$22,000 | 2016-08-09 |
|---|
| Q2 2016 | FFC
FLAHERTY&CRMN PFD SEC INCOM | | COM | 23,613 | 22,676 | -937 | $481,000 | $491,000 | +$10,000 | 2016-08-09 |
|---|
| Q2 2016 | IDU
ISHARES TR | | U.S. UTILITS ETF | 685 | 620 | -65 | $85,000 | $81,000 | -$4,000 | 2016-08-09 |
|---|
| Q2 2016 | LQD
ISHARES TR | | IBOXX INV CP ETF | 745 | 700 | -45 | $89,000 | $86,000 | -$3,000 | 2016-08-09 |
|---|
| Q2 2016 | DVY
ISHARES TR | | SELECT DIVID ETF | 1,425 | 1,330 | -95 | $116,000 | $113,000 | -$3,000 | 2016-08-09 |
|---|
| Q1 2016 | XLY
SELECT SECTOR SPDR TR | | SBI CONS DISCR | 34,230 | 25,011 | -9,219 | $2,675,000 | $1,978,000 | -$697,000 | 2016-05-09 |
|---|
| Q1 2016 | XLK
SELECT SECTOR SPDR TR | | TECHNOLOGY | 11,777 | 555 | -11,222 | $504,000 | $25,000 | -$479,000 | 2016-05-09 |
|---|
| Q1 2016 | KRE
SPDR SERIES TRUST | | S&P REGL BKG | 10,692 | 330 | -10,362 | $448,000 | $12,000 | -$436,000 | 2016-05-09 |
|---|
| Q1 2016 | RYDEX ETF TRUST
CUSIP 78355W841 | | GUG S&P500EQWTHC | 12,992 | 11,147 | -1,845 | $1,994,000 | $1,609,000 | -$385,000 | 2016-05-09 |
|---|
| Q1 2016 | RYDEX ETF TRUST
CUSIP 78355W106 | | GUG S&P500 EQ WT | 33,155 | 28,343 | -4,812 | $2,541,000 | $2,226,000 | -$315,000 | 2016-05-09 |
|---|
| Q1 2016 | HEFA
ISHARES TR | | HDG MSCI EAFE | 36,421 | 31,534 | -4,887 | $925,000 | $753,000 | -$172,000 | 2016-05-09 |
|---|
| Q1 2016 | VNQ
VANGUARD INDEX FDS | | REIT ETF | 22,311 | 19,272 | -3,039 | $1,779,000 | $1,615,000 | -$164,000 | 2016-05-09 |
|---|
| Q1 2016 | SDY
SPDR SERIES TRUST | | S&P DIVID ETF | 35,962 | 31,100 | -4,862 | $2,646,000 | $2,486,000 | -$160,000 | 2016-05-09 |
|---|
| Q1 2016 | XLE
SELECT SECTOR SPDR TR | | SBI INT-ENERGY | 505 | 200 | -305 | $30,000 | $12,000 | -$18,000 | 2016-05-09 |
|---|
| Q1 2016 | IDU
ISHARES TR | | U.S. UTILITS ETF | 700 | 685 | -15 | $76,000 | $85,000 | +$9,000 | 2016-05-09 |
|---|
| Q1 2016 | JRS
NUVEEN REAL ESTATE INCOME FD | | COM | 34,856 | 33,459 | -1,397 | $370,000 | $363,000 | -$7,000 | 2016-05-09 |
|---|
| Q1 2016 | JGH
NUVEEN GLOBAL HIGH INCOME FD | | SHS | 2,200 | 1,800 | -400 | $30,000 | $25,000 | -$5,000 | 2016-05-09 |
|---|
| Q1 2016 | FEZ
SPDR INDEX SHS FDS | | EURO STOXX 50 | 570 | 565 | -5 | $20,000 | $19,000 | -$1,000 | 2016-05-09 |
|---|
| Q1 2016 | DFE
WISDOMTREE TR | | EUROPE SMCP DV | 387 | 385 | -2 | $22,000 | $22,000 | $0 | 2016-05-09 |
|---|
| Q4 2015 | RYDEX ETF TRUST
CUSIP 78355W841 | | GUG S&P500EQWTHC | 13,691 | 12,992 | -699 | $1,924,000 | $1,994,000 | +$70,000 | 2016-02-08 |
|---|
| Q4 2015 | SDY
SPDR SERIES TRUST | | S&P DIVID ETF | 37,437 | 35,962 | -1,475 | $2,701,000 | $2,646,000 | -$55,000 | 2016-02-08 |
|---|
| Q4 2015 | VNQ
VANGUARD INDEX FDS | | REIT ETF | 23,245 | 22,311 | -934 | $1,756,000 | $1,779,000 | +$23,000 | 2016-02-08 |
|---|
| Q4 2015 | JRS
NUVEEN REAL ESTATE INCOME FD | | COM | 38,766 | 34,856 | -3,910 | $390,000 | $370,000 | -$20,000 | 2016-02-08 |
|---|
| Q4 2015 | LQD
ISHARES TR | | IBOXX INV CP ETF | 860 | 745 | -115 | $100,000 | $85,000 | -$15,000 | 2016-02-08 |
|---|
| Q4 2015 | RYDEX ETF TRUST
CUSIP 78355W106 | | GUG S&P500 EQ WT | 34,349 | 33,155 | -1,194 | $2,527,000 | $2,541,000 | +$14,000 | 2016-02-08 |
|---|
| Q4 2015 | IGE
ISHARES TR | | NA NAT RES | 850 | 450 | -400 | $25,000 | $13,000 | -$12,000 | 2016-02-08 |
|---|
| Q4 2015 | BSV
VANGUARD BD INDEX FD INC | | SHORT TRM BOND | 585 | 450 | -135 | $47,000 | $36,000 | -$11,000 | 2016-02-08 |
|---|
| Q4 2015 | IDU
ISHARES TR | | U.S. UTILITS ETF | 795 | 700 | -95 | $86,000 | $76,000 | -$10,000 | 2016-02-08 |
|---|
| Q4 2015 | DVY
ISHARES TR | | SELECT DIVID ETF | 1,575 | 1,425 | -150 | $115,000 | $107,000 | -$8,000 | 2016-02-08 |
|---|
| Q4 2015 | BHK
BLACKROCK CORE BD TR | | SHS BEN INT | 1,365 | 940 | -425 | $18,000 | $12,000 | -$6,000 | 2016-02-08 |
|---|
| Q4 2015 | EXG
EATON VANCE TAX MNGD GBL DV | | COM | 900 | 200 | -700 | $7,000 | $2,000 | -$5,000 | 2016-02-08 |
|---|
| Q4 2015 | IVV
ISHARES TR | | CORE S&P500 ETF | 25 | 15 | -10 | $5,000 | $3,000 | -$2,000 | 2016-02-08 |
|---|
| Q4 2015 | HEFA
ISHARES TR | | HDG MSCI EAFE | 37,725 | 36,421 | -1,304 | $927,000 | $925,000 | -$2,000 | 2016-02-08 |
|---|
| Q4 2015 | IJR
ISHARES TR | | CORE S&P SCP ETF | 30 | 20 | -10 | $3,000 | $2,000 | -$1,000 | 2016-02-08 |
|---|
| Q4 2015 | XLV
SELECT SECTOR SPDR TR | | SBI HEALTHCARE | 341 | 340 | -1 | $23,000 | $24,000 | +$1,000 | 2016-02-08 |
|---|
| Q3 2015 | JGH
NUVEEN GLOBAL HIGH INCOME FD | | SHS | 10,735 | 2,200 | -8,535 | $179,000 | $32,000 | -$147,000 | 2015-11-19 |
|---|
| Q3 2015 | IGSB
ISHARES TR | | 1-3 YR CR BD ETF | 2,425 | 2,025 | -400 | $255,000 | $213,000 | -$42,000 | 2015-11-19 |
|---|
| Q3 2015 | IJR
ISHARES TR | | CORE S&P SCP ETF | 330 | 30 | -300 | $39,000 | $3,000 | -$36,000 | 2015-11-19 |
|---|
| Q3 2015 | EEM
ISHARES TR | | MSCI EMG MKT ETF | 1,625 | 1,125 | -500 | $64,000 | $37,000 | -$27,000 | 2015-11-19 |
|---|
| Q3 2015 | FEZ
SPDR INDEX SHS FDS | | EURO STOXX 50 | 924 | 570 | -354 | $35,000 | $19,000 | -$16,000 | 2015-11-19 |
|---|
| Q3 2015 | BSV
VANGUARD BD INDEX FD INC | | SHORT TRM BOND | 750 | 585 | -165 | $60,000 | $47,000 | -$13,000 | 2015-11-19 |
|---|
| Q3 2015 | XLP
SELECT SECTOR SPDR TR | | SBI CONS STPLS | 10,860 | 10,785 | -75 | $517,000 | $509,000 | -$8,000 | 2015-11-19 |
|---|
| Q3 2015 | DFE
WISDOMTREE TR | | EUROPE SMCP DV | 489 | 387 | -102 | $28,000 | $21,000 | -$7,000 | 2015-11-19 |
|---|
| Q3 2015 | XLU
SELECT SECTOR SPDR TR | | SBI INT-UTILS | 3,033 | 2,746 | -287 | $126,000 | $119,000 | -$7,000 | 2015-11-19 |
|---|
| Q3 2015 | DVY
ISHARES TR | | SELECT DIVID ETF | 1,590 | 1,575 | -15 | $119,000 | $115,000 | -$4,000 | 2015-11-19 |
|---|
| Q3 2015 | XLK
SELECT SECTOR SPDR TR | | TECHNOLOGY | 625 | 555 | -70 | $26,000 | $22,000 | -$4,000 | 2015-11-19 |
|---|
| Q3 2015 | IDU
ISHARES TR | | U.S. UTILITS ETF | 800 | 795 | -5 | $83,000 | $86,000 | +$3,000 | 2015-11-19 |
|---|
| Q3 2015 | IVV
ISHARES TR | | CORE S&P500 ETF | 30 | 25 | -5 | $6,000 | $5,000 | -$1,000 | 2015-11-19 |
|---|
| Q3 2015 | CWI
SPDR INDEX SHS FDS | | MSCI ACWI EXUS | 40 | 30 | -10 | $1,000 | $1,000 | $0 | 2015-11-19 |
|---|
| Q2 2015 | VGSH
VANGUARD SCOTTSDALE FDS | | SHTRM GVT BD ETF | 2,590 | 1,500 | -1,090 | $158,000 | $92,000 | -$66,000 | 2015-08-13 |
|---|
| Q2 2015 | BSV
VANGUARD BD INDEX FD INC | | SHORT TRM BOND | 1,050 | 750 | -300 | $85,000 | $60,000 | -$25,000 | 2015-08-13 |
|---|
| Q2 2015 | PCN
PIMCO CORPORATE INCOME STRAT | | COM | 3,020 | 1,590 | -1,430 | $47,000 | $23,000 | -$24,000 | 2015-08-13 |
|---|
| Q2 2015 | DVY
ISHARES TR | | SELECT DIVID ETF | 1,791 | 1,590 | -201 | $140,000 | $119,000 | -$21,000 | 2015-08-13 |
|---|
| Q2 2015 | LQD
ISHARES TR | | IBOXX INV CP ETF | 978 | 860 | -118 | $119,000 | $100,000 | -$19,000 | 2015-08-13 |
|---|
| Q2 2015 | HYT
BLACKROCK CORPOR HI YLD FD I | | COM | 2,096 | 918 | -1,178 | $23,000 | $10,000 | -$13,000 | 2015-08-13 |
|---|
| Q2 2015 | FFC
FLAHERTY&CRMN PFD SEC INCOM | | COM | 4,789 | 4,732 | -57 | $97,000 | $88,000 | -$9,000 | 2015-08-13 |
|---|
| Q2 2015 | EXG
EATON VANCE TAX MNGD GBL DV | | COM | 1,500 | 900 | -600 | $15,000 | $9,000 | -$6,000 | 2015-08-13 |
|---|
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