GRADIENT INVESTMENTS LLC

https://www.facebook.com/Gradient-Investments-LLC-236379150467050/ ARDEN HILLS, MN Investment Advisor How do I update this listing?

Gradient Investments is based out of Arden Hills. Gradient Investments is a large advisory firm with 13975 clients and discretionary assets under management (AUM) of $2,402,869,697 (Form ADV from 2020-06-24). Their last reported 13F filing for Q2 2020 included $2,193,041,000 in managed 13F securities and a top 10 holdings concentration of 37.86%. Gradient Investments's largest holding is SPDR S&P 500 ETF Trust with shares held of 929,013. Whalewisdom has at least 36 13F filings

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06/30/2020

13F Activity

  • Market Value $2.193 Billion
  • Prior Market Value $1.856 Billion
  • New Purchases76 stocks
  • Additional Purchases224 stocks
  • Sold out of172 stocks
  • Reduced holdings in387 stocks
  • Top 10 Holdings % 37.86 %
  • Turnover % [1]:22.10%
  • Turnover Alt % [2]: 21.62 %
  • Time Held Top20:4.50 quarters
  • Time Held Top10:6.50 quarters
  • Time Held All:12.98 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.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 14.33%
Performance Last 4 Quarters: 2.74%
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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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

GRADIENT INVESTMENTS, LLC
4105 LEXINGTON AVENUE NORTH SUITE 250
ARDEN HILLS MN    55126
Country: United States

Business Phone: 888-824-3525
Fax: 651-212-2566
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 29
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 13975
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.D (1),11.D (2),11.D (5)
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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GRADIENT INVESTMENTS, LLC

ownership team - last updated 2020-06-24
Name Title Start Date Direct/Indirect % Ownership
Alexander, NICOLE, SHELTON CHIEF COMPLIANCE OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2018-07-01
LUCIUS, CHARLES, EDWARD MANAGING MEMBER 12/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC MANAGING MEMBER direct 2006-12-01
GRADIENT INVESTMENT GROUP LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
GRADIENT ADVISORS, LLC MANAGING MEMBER direct 2009-12-01
GRADIENT ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2009-12-01
GRADIENT WEALTH MANAGEMENT, LLC OWNER direct 2013-10-01
GRADIENT WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/OWNER direct 2013-10-01
SCHMIDT, WAYNE, RICHARD CHIEF INVESTMENT OFFICER 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2008-10-01
LUCIUS, NATHAN, EDWARD MEMBER 11/01/2009 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
GRADIENT ADVISORS, LLC ELECTED MANAGER direct 2015-03-01
BINGER, MICHAEL, ARTHUR PRESIDENT 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC PRESIDENT direct 2018-07-01

GRADIENT INVESTMENTS, LLC

ownership team - last updated 2020-03-13
Name Title Start Date Direct/Indirect % Ownership

GRADIENT INVESTMENTS, LLC

ownership team - last updated 2019-11-21
Name Title Start Date Direct/Indirect % Ownership
LUCIUS, CHARLES, EDWARD MANAGING MEMBER 12/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC MANAGING MEMBER direct 2006-12-01
GRADIENT INVESTMENT GROUP LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
GRADIENT ADVISORS, LLC MANAGING MEMBER direct 2009-12-01
GRADIENT ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2009-12-01
GRADIENT WEALTH MANAGEMENT, LLC OWNER direct 2013-10-01
GRADIENT WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/OWNER direct 2013-10-01
SCHMIDT, WAYNE, RICHARD CHIEF INVESTMENT OFFICER 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2008-10-01
LUCIUS, NATHAN, EDWARD MEMBER 11/01/2009 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
GRADIENT ADVISORS, LLC ELECTED MANAGER direct 2015-03-01
Alexander, NICOLE, SHELTON CHIEF COMPLIANCE OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2018-07-01
BINGER, MICHAEL, ARTHUR PRESIDENT 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC PRESIDENT direct 2018-07-01

GRADIENT INVESTMENTS, LLC

ownership team - last updated 2019-08-13
Name Title Start Date Direct/Indirect % Ownership
LUCIUS, CHARLES, EDWARD MANAGING MEMBER 12/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC MANAGING MEMBER direct 2006-12-01
GRADIENT INVESTMENT GROUP LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
GRADIENT ADVISORS, LLC MANAGING MEMBER direct 2009-12-01
GRADIENT ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2009-12-01
GRADIENT WEALTH MANAGEMENT, LLC OWNER direct 2013-10-01
GRADIENT WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/OWNER direct 2013-10-01
SCHMIDT, WAYNE, RICHARD CHIEF INVESTMENT OFFICER 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2008-10-01
LUCIUS, NATHAN, EDWARD MEMBER 11/01/2009 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
GRADIENT ADVISORS, LLC ELECTED MANAGER direct 2015-03-01
Alexander, NICOLE, SHELTON CHIEF COMPLIANCE OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2018-07-01
BINGER, MICHAEL, ARTHUR PRESIDENT 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC PRESIDENT direct 2018-07-01

GRADIENT INVESTMENTS, LLC

ownership team - last updated 2019-06-20
Name Title Start Date Direct/Indirect % Ownership
Alexander, NICOLE, SHELTON CHIEF COMPLIANCE OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2018-07-01
LUCIUS, CHARLES, EDWARD MANAGING MEMBER 12/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC MANAGING MEMBER direct 2006-12-01
GRADIENT INVESTMENT GROUP LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
GRADIENT ADVISORS, LLC MANAGING MEMBER direct 2009-12-01
GRADIENT ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2009-12-01
GRADIENT WEALTH MANAGEMENT, LLC OWNER direct 2013-10-01
GRADIENT WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/OWNER direct 2013-10-01
SCHMIDT, WAYNE, RICHARD CHIEF INVESTMENT OFFICER 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2008-10-01
LUCIUS, NATHAN, EDWARD MEMBER 11/01/2009 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
GRADIENT ADVISORS, LLC ELECTED MANAGER direct 2015-03-01
BINGER, MICHAEL, ARTHUR PRESIDENT 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC PRESIDENT direct 2018-07-01

GRADIENT INVESTMENTS, LLC

ownership team - last updated 2019-02-27
Name Title Start Date Direct/Indirect % Ownership
LUCIUS, CHARLES, EDWARD MANAGING MEMBER 12/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC MANAGING MEMBER direct 2006-12-01
GRADIENT INVESTMENT GROUP LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
GRADIENT ADVISORS, LLC MANAGING MEMBER direct 2009-12-01
GRADIENT ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2009-12-01
GRADIENT WEALTH MANAGEMENT, LLC OWNER direct 2013-10-01
GRADIENT WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/OWNER direct 2013-10-01
SCHMIDT, WAYNE, RICHARD CHIEF INVESTMENT OFFICER 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2008-10-01
LUCIUS, NATHAN, EDWARD MEMBER 11/01/2009 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
GRADIENT ADVISORS, LLC ELECTED MANAGER direct 2015-03-01
Alexander, NICOLE, SHELTON CHIEF COMPLIANCE OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2018-07-01
BINGER, MICHAEL, ARTHUR PRESIDENT 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC PRESIDENT direct 2018-07-01

GRADIENT INVESTMENTS, LLC

ownership team - last updated 2018-10-18
Name Title Start Date Direct/Indirect % Ownership
LUCIUS, CHARLES, EDWARD MANAGING MEMBER 12/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC MANAGING MEMBER direct 2006-12-01
GRADIENT INVESTMENT GROUP LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
GRADIENT ADVISORS, LLC MANAGING MEMBER direct 2009-12-01
GRADIENT ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2009-12-01
GRADIENT WEALTH MANAGEMENT, LLC OWNER direct 2013-10-01
GRADIENT WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/OWNER direct 2013-10-01
SCHMIDT, WAYNE, RICHARD CHIEF INVESTMENT OFFICER 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2008-10-01
LUCIUS, NATHAN, EDWARD MEMBER 11/01/2009 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
GRADIENT ADVISORS, LLC ELECTED MANAGER direct 2015-03-01
Alexander, NICOLE, SHELTON CHIEF COMPLIANCE OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2018-07-01
BINGER, MICHAEL, ARTHUR PRESIDENT 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC PRESIDENT direct 2018-07-01

GRADIENT INVESTMENTS, LLC

ownership team - last updated 2018-05-15
Name Title Start Date Direct/Indirect % Ownership
LUCIUS, CHARLES, EDWARD MANAGING MEMBER 12/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC MANAGING MEMBER direct 2006-12-01
GRADIENT INVESTMENT GROUP LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
GRADIENT ADVISORS, LLC MANAGING MEMBER direct 2009-12-01
GRADIENT ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2009-12-01
GRADIENT WEALTH MANAGEMENT, LLC OWNER direct 2013-10-01
GRADIENT WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/OWNER direct 2013-10-01
SCHMIDT, WAYNE, RICHARD CHIEF INVESTMENT OFFICER 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2008-10-01
LUCIUS, NATHAN, EDWARD CHIEF COMPLIANCE OFFICER 11/01/2009 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GRADIENT INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
GRADIENT ADVISORS, LLC ELECTED MANAGER direct 2015-03-01

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