FUNDX INVESTMENT GROUP, LLC

HTTP://WWW.UPGRADERFUNDS.COM SAN FRANCISCO, CA Investment Advisor How do I update this listing?

Fundx Investment Group is based out of San Francisco. Fundx Investment Group is a large advisory firm with 350 clients and discretionary assets under management (AUM) of $809,807,001 (Form ADV from 2019-09-16). Their last reported 13F filing for Q3 2019 included $281,623,000 in managed 13F securities and a top 10 holdings concentration of 83.57%. Fundx Investment Group's largest holding is Invesco S&P 500 Low Volatility ETF with shares held of 690,591. Fundx Investment Group has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 49 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $281.623 Million
  • Prior Market Value $241.896 Million
  • New Purchases9 stocks
  • Additional Purchases5 stocks
  • Sold out of8 stocks
  • Reduced holdings in7 stocks
  • Top 10 Holdings % 83.57 %
  • Turnover % [1]:38.64%
  • Turnover Alt % [2]: 36.21 %
  • Time Held Top20:1.45 quarters
  • Time Held Top10:1.90 quarters
  • Time Held All:6.91 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 2.41%
Performance Last 4 Quarters: 10.28%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR/A (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

FUNDX INVESTMENT GROUP, LLC
101 MONTGOMERY STREET, STE 2400
SAN FRANCISCO CA    94104-4138
Country: United States

Business Phone: 415-986-7979
Fax: 415-986-1595
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: CA
Number of employees: 18
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Subscription fees
Amount of client funds and securities: 289,970,000
Total Number of Clients: 350
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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FUNDX INVESTMENT GROUP, LLC

ownership team - last updated 2019-09-16
Name Title Start Date Direct/Indirect % Ownership
BROWN, JANET, MARIE MEMBER/CHIEF EXECUTIVE OFFICER 07/01/1997 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER/CHIEF EXECUTIVE OFFICER direct 1997-07-01
FUNDX INVESTMENT GROUP, LLC PRESIDENT, CFO, COO direct 1997-07-01 2016-12-06
DAL INVESTMENT CO LLC PRESIDENT direct 1997-07-01 2017-03-31
BAYLEY, CHRISTOPHER, TAPPEN MEMBER 07/01/1997 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 1997-07-01
DAL INVESTMENT CO LLC SHAREHOLDER direct 1997-07-01 2017-03-31
BURKE, BERNARD, WALTER MEMBER 02/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 2011-02-01
DAL INVESTMENT CO LLC COMPLIANCE OFFICER direct 1997-07-01 2005-03-16
DAL INVESTMENT CO LLC CHIEF COMPLIANCE OFFICER direct 1997-07-01 2010-03-16
FUNDX INVESTMENT GROUP, LLC PRINCIPAL direct 2011-02-01 2017-03-31
COYNE, THOMAS, FRANCIS MEMBER 07/01/1997 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 1997-07-01
FUNDX INVESTMENT GROUP, LLC SHAREHOLDER direct 1997-07-01 2017-03-31
DEVAULT, MARTIN, RICHARD MEMBER 07/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 1997-07-01
DAL INVESTMENT CO LLC PORTFOLIO MANAGER direct 1997-07-01 2004-03-08
FUNDX INVESTMENT GROUP, LLC PRINCIPAL direct 1997-07-01 2017-03-31
MCKEON, SEAN MEMBER/CHIEF COMPLIANCE OFFICER 10/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2015-10-01
DAL INVESTMENT CO LLC PORTFOLIO MANAGER direct 1990-08-01 2003-09-27
DAL INVESTMENT CO LLC PORTFOLIO MANAGER direct 1997-07-01 2004-03-08
FUNDX INVESTMENT GROUP, LLC PRINCIPAL direct 1997-07-01 2015-09-09
FUNDX INVESTMENT GROUP, LLC PRINCIPAL, CHIEF COMPLIANCE OFFICER direct 2015-10-01 2017-03-31
SMITH, JEFFREY, CHARLES MEMBER/CHIEF OPERATING OFFICER 01/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DAL INVESTMENT CO LLC PUBLICATIONS DIRECTOR direct 2004-01-01
FUNDX INVESTMENT GROUP, LLC MANAGING PARTNER direct 2014-01-01
FUNDX INVESTMENT GROUP, LLC MEMBER/CHIEF OPERATING OFFICER direct 2014-01-01
ENSLOW, JENNIFER, DIANE MEMBER 03/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC SHAREHOLDER direct 2017-03-01
FUNDX INVESTMENT GROUP, LLC MEMBER direct 2017-03-01

FUNDX INVESTMENT GROUP, LLC

ownership team - last updated 2019-05-01
Name Title Start Date Direct/Indirect % Ownership
BROWN, JANET, MARIE MEMBER/CHIEF EXECUTIVE OFFICER 07/01/1997 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER/CHIEF EXECUTIVE OFFICER direct 1997-07-01
FUNDX INVESTMENT GROUP, LLC PRESIDENT, CFO, COO direct 1997-07-01 2016-12-06
DAL INVESTMENT CO LLC PRESIDENT direct 1997-07-01 2017-03-31
BAYLEY, CHRISTOPHER, TAPPEN MEMBER 07/01/1997 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 1997-07-01
DAL INVESTMENT CO LLC SHAREHOLDER direct 1997-07-01 2017-03-31
BURKE, BERNARD, WALTER MEMBER 02/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 2011-02-01
DAL INVESTMENT CO LLC COMPLIANCE OFFICER direct 1997-07-01 2005-03-16
DAL INVESTMENT CO LLC CHIEF COMPLIANCE OFFICER direct 1997-07-01 2010-03-16
FUNDX INVESTMENT GROUP, LLC PRINCIPAL direct 2011-02-01 2017-03-31
COYNE, THOMAS, FRANCIS MEMBER 07/01/1997 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 1997-07-01
FUNDX INVESTMENT GROUP, LLC SHAREHOLDER direct 1997-07-01 2017-03-31
DEVAULT, MARTIN, RICHARD MEMBER 07/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 1997-07-01
DAL INVESTMENT CO LLC PORTFOLIO MANAGER direct 1997-07-01 2004-03-08
FUNDX INVESTMENT GROUP, LLC PRINCIPAL direct 1997-07-01 2017-03-31
MCKEON, SEAN MEMBER/CHIEF COMPLIANCE OFFICER 10/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2015-10-01
DAL INVESTMENT CO LLC PORTFOLIO MANAGER direct 1990-08-01 2003-09-27
DAL INVESTMENT CO LLC PORTFOLIO MANAGER direct 1997-07-01 2004-03-08
FUNDX INVESTMENT GROUP, LLC PRINCIPAL direct 1997-07-01 2015-09-09
FUNDX INVESTMENT GROUP, LLC PRINCIPAL, CHIEF COMPLIANCE OFFICER direct 2015-10-01 2017-03-31
SMITH, JEFFREY, CHARLES MEMBER/CHIEF OPERATING OFFICER 01/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DAL INVESTMENT CO LLC PUBLICATIONS DIRECTOR direct 2004-01-01
FUNDX INVESTMENT GROUP, LLC MANAGING PARTNER direct 2014-01-01
FUNDX INVESTMENT GROUP, LLC MEMBER/CHIEF OPERATING OFFICER direct 2014-01-01
ENSLOW, JENNIFER, DIANE MEMBER 03/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC SHAREHOLDER direct 2017-03-01
FUNDX INVESTMENT GROUP, LLC MEMBER direct 2017-03-01

FUNDX INVESTMENT GROUP, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
BROWN, JANET, MARIE MEMBER/CHIEF EXECUTIVE OFFICER 07/01/1997 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER/CHIEF EXECUTIVE OFFICER direct 1997-07-01
FUNDX INVESTMENT GROUP, LLC PRESIDENT, CFO, COO direct 1997-07-01 2016-12-06
DAL INVESTMENT CO LLC PRESIDENT direct 1997-07-01 2017-03-31
BAYLEY, CHRISTOPHER, TAPPEN MEMBER 07/01/1997 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 1997-07-01
DAL INVESTMENT CO LLC SHAREHOLDER direct 1997-07-01 2017-03-31
BURKE, BERNARD, WALTER MEMBER 02/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 2011-02-01
DAL INVESTMENT CO LLC COMPLIANCE OFFICER direct 1997-07-01 2005-03-16
DAL INVESTMENT CO LLC CHIEF COMPLIANCE OFFICER direct 1997-07-01 2010-03-16
FUNDX INVESTMENT GROUP, LLC PRINCIPAL direct 2011-02-01 2017-03-31
COYNE, THOMAS, FRANCIS MEMBER 07/01/1997 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 1997-07-01
FUNDX INVESTMENT GROUP, LLC SHAREHOLDER direct 1997-07-01 2017-03-31
DEVAULT, MARTIN, RICHARD MEMBER 07/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 1997-07-01
DAL INVESTMENT CO LLC PORTFOLIO MANAGER direct 1997-07-01 2004-03-08
FUNDX INVESTMENT GROUP, LLC PRINCIPAL direct 1997-07-01 2017-03-31
MCKEON, SEAN MEMBER/CHIEF COMPLIANCE OFFICER 10/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2015-10-01
DAL INVESTMENT CO LLC PORTFOLIO MANAGER direct 1990-08-01 2003-09-27
DAL INVESTMENT CO LLC PORTFOLIO MANAGER direct 1997-07-01 2004-03-08
FUNDX INVESTMENT GROUP, LLC PRINCIPAL direct 1997-07-01 2015-09-09
FUNDX INVESTMENT GROUP, LLC PRINCIPAL, CHIEF COMPLIANCE OFFICER direct 2015-10-01 2017-03-31
SMITH, JEFFREY, CHARLES MEMBER/CHIEF OPERATING OFFICER 01/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DAL INVESTMENT CO LLC PUBLICATIONS DIRECTOR direct 2004-01-01
FUNDX INVESTMENT GROUP, LLC MANAGING PARTNER direct 2014-01-01
FUNDX INVESTMENT GROUP, LLC MEMBER/CHIEF OPERATING OFFICER direct 2014-01-01
ENSLOW, JENNIFER, DIANE MEMBER 03/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC SHAREHOLDER direct 2017-03-01
FUNDX INVESTMENT GROUP, LLC MEMBER direct 2017-03-01

FUNDX INVESTMENT GROUP, LLC

ownership team - last updated 2017-06-12
Name Title Start Date Direct/Indirect % Ownership
BROWN, JANET, MARIE MEMBER/CHIEF EXECUTIVE OFFICER 07/01/1997 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER/CHIEF EXECUTIVE OFFICER direct 1997-07-01
FUNDX INVESTMENT GROUP, LLC PRESIDENT, CFO, COO direct 1997-07-01 2016-12-06
DAL INVESTMENT CO LLC PRESIDENT direct 1997-07-01 2017-03-31
BAYLEY, CHRISTOPHER, TAPPEN MEMBER 07/01/1997 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 1997-07-01
DAL INVESTMENT CO LLC SHAREHOLDER direct 1997-07-01 2017-03-31
BURKE, BERNARD, WALTER MEMBER 02/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 2011-02-01
DAL INVESTMENT CO LLC COMPLIANCE OFFICER direct 1997-07-01 2005-03-16
DAL INVESTMENT CO LLC CHIEF COMPLIANCE OFFICER direct 1997-07-01 2010-03-16
FUNDX INVESTMENT GROUP, LLC PRINCIPAL direct 2011-02-01 2017-03-31
COYNE, THOMAS, FRANCIS MEMBER 07/01/1997 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 1997-07-01
FUNDX INVESTMENT GROUP, LLC SHAREHOLDER direct 1997-07-01 2017-03-31
DEVAULT, MARTIN, RICHARD MEMBER 07/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER direct 1997-07-01
DAL INVESTMENT CO LLC PORTFOLIO MANAGER direct 1997-07-01 2004-03-08
FUNDX INVESTMENT GROUP, LLC PRINCIPAL direct 1997-07-01 2017-03-31
MCKEON, SEAN MEMBER/CHIEF COMPLIANCE OFFICER 10/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2015-10-01
DAL INVESTMENT CO LLC PORTFOLIO MANAGER direct 1990-08-01 2003-09-27
DAL INVESTMENT CO LLC PORTFOLIO MANAGER direct 1997-07-01 2004-03-08
FUNDX INVESTMENT GROUP, LLC PRINCIPAL direct 1997-07-01 2015-09-09
FUNDX INVESTMENT GROUP, LLC PRINCIPAL, CHIEF COMPLIANCE OFFICER direct 2015-10-01 2017-03-31
BROWNE, JASON, WILLIAM MEMBER/CHIEF INVESTMENT OFFICER 01/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC CHIEF INVESTMENT OFFICER direct 2014-01-01
FUNDX INVESTMENT GROUP, LLC MEMBER/CHIEF INVESTMENT OFFICER direct 2014-01-01
DAL INVESTMENT CO LLC PORTFOLIO MANAGER direct 2000-06-01
FUNDX INVESTMENT GROUP, LLC CHIEF INVESTMENT OFFICER direct 2012-01-01
SMITH, JEFFREY, CHARLES MEMBER/CHIEF OPERATING OFFICER 01/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DAL INVESTMENT CO LLC PUBLICATIONS DIRECTOR direct 2004-01-01
FUNDX INVESTMENT GROUP, LLC MANAGING PARTNER direct 2014-01-01
FUNDX INVESTMENT GROUP, LLC MEMBER/CHIEF OPERATING OFFICER direct 2014-01-01
ENSLOW, JENNIFER, DIANE MEMBER 03/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FUNDX INVESTMENT GROUP, LLC SHAREHOLDER direct 2017-03-01
FUNDX INVESTMENT GROUP, LLC MEMBER direct 2017-03-01

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