13F-HR filed by Gladstone Institutional Advisory LLC
Gladstone Institutional Advisory LLC filed this 13F-HR for the quarter ended 2021-12-31, filed 2022-02-11, with 594 holding rows worth $1,290,814,000.
- Accession
- 0001172661-22-000340
- Filer
- CIK 1766530
- Filed
- 2022-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2021
A holdings report, 594 entries on the cover page, a total value of $1,290,814,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,290,814,000 with VALUE read as thousands by filing date, 13F file number 028-19151. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 2,200 | $267,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 1,060 | $266,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 330 | $263,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 8,884 | $263,000 | thousands by filing date | |
| Hartford Municipal Opportnits ETF | 41653L503 | ETF | 6,293 | $263,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 5,734 | $263,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 4,313 | $262,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 9,490 | $261,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 1,248 | $260,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 668 | $259,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 6,610 | $259,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 7,506 | $257,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 1,256 | $255,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 4,113 | $255,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 57,889 | $251,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 994 | $250,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 631 | $247,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 20,728 | $247,000 | thousands by filing date | |
| INVESCO | 46138J841 | EXCHANGE TRADED | 11,176 | $244,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 676 | $243,000 | thousands by filing date | |
| FS KKR CAP CORP | 302635206 | COM | 11,552 | $242,000 | thousands by filing date | |
| STEM INC | 85859N102 | COM | 12,725 | $241,000 | thousands by filing date | |
| SPDR SER TR | 78468R556 | S&P OILGAS EXP | 2,494 | $239,000 | thousands by filing date | |
| SIREN ETF TR | 829658202 | NEXGEN ECONOMY | 5,615 | $239,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 25,000 | $237,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 3,543 | $236,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 2,000 | $236,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 15,000 | $234,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 8,391 | $232,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 3,963 | $231,000 | thousands by filing date | |
| CAPRI HOLDINGS LIMITED | G1890L107 | SHS | 3,536 | $230,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y376 | RATE PREFERRED | 8,283 | $230,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 7,643 | $229,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 4,402 | $229,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 10,619 | $228,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 4,377 | $227,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 4,392 | $226,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 3,527 | $225,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 2,082 | $223,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 8,913 | $223,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 3,595 | $220,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 614 | $220,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 2,028 | $220,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 1,576 | $219,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V282 | S&P500 EQL TEC | 674 | $218,000 | thousands by filing date | |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 5,337 | $218,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 1,185 | $217,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J206 | MULTIFACTOR MI | 3,873 | $215,000 | thousands by filing date | |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 1,962 | $213,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 1,260 | $212,000 | thousands by filing date | |
| INMODE LTD SHS | M5425M103 | Stock | 3,000 | $212,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09260K101 | SHS BEN INT | 5,414 | $211,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 15,157 | $211,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 4,408 | $208,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 1,300 | $208,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 4,924 | $208,000 | thousands by filing date | |
| WHITING PETROLEUM CORP | 966387508 | COMMON STOCK | 3,223 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 1,679 | $207,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 2,416 | $206,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 5,258 | $206,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TE | 09260E105 | COM SHS | 8,075 | $205,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 1,501 | $204,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 1,882 | $204,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 10,151 | $204,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 3,490 | $203,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 1,804 | $202,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 1,334 | $201,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 4,781 | $200,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 24,543 | $197,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 12,115 | $189,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 16,543 | $182,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 11,483 | $160,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 10,046 | $159,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 14,584 | $139,000 | thousands by filing date | |
| REDWIRE CORPORATION | 75776W103 | COM | 20,000 | $135,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 12,010 | $128,000 | thousands by filing date | |
| GINKGO BIOWORKS HOLDINGS INC | 37611X100 | CL A SHS | 14,233 | $118,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 12,000 | $112,000 | thousands by filing date | |
| ALTO INGREDIENTS INC | 021513106 | COMMON STOCK | 23,000 | $111,000 | thousands by filing date | |
| XERIS BIOPHARMA HOLDINGS INC | 98422E103 | COM | 35,500 | $104,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 12,429 | $97,000 | thousands by filing date | |
| DESKTOP METAL INC | 25058X105 | COM CL A | 19,364 | $96,000 | thousands by filing date | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 17,092 | $92,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 12,313 | $76,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 14,056 | $74,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 10,687 | $68,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 10,450 | $61,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 11,622 | $56,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 10,837 | $55,000 | thousands by filing date | |
| OWLET INC | 69120X107 | COM | 18,600 | $50,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 14,000 | $17,000 | thousands by filing date | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 55,058 | $17,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 10,000 | $12,000 | thousands by filing date | |
| DEXCOM INC | 252131AK3 | NOTE 0.250%11/1 | 10,000 | $12,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001172661-22-000340 | this filing | 2022-02-11 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001172661-23-000335 | base | 2023-01-30 | acceptance time not in the bulk data set |