GRADIENT INVESTMENTS LLC

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Gradient Investments is based out of Arden Hills. Gradient Investments is a large advisory firm with 12866 clients and discretionary assets under management (AUM) of $1,969,212,938 (Form ADV from 2019-08-02). Their last reported 13F filing for Q3 2019 included $2,041,471,000 in managed 13F securities and a top 10 holdings concentration of 40.01%. Gradient Investments's largest holding is Invesco S&P 500 Low Volatility ETF with shares held of 5,920,456. Whalewisdom has at least 33 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $2.041 Billion
  • Prior Market Value $1.948 Billion
  • New Purchases224 stocks
  • Additional Purchases341 stocks
  • Sold out of88 stocks
  • Reduced holdings in236 stocks
  • Top 10 Holdings % 40.01 %
  • Turnover % [1]:25.70%
  • Turnover Alt % [2]: 10.81 %
  • Time Held Top20:6.25 quarters
  • Time Held Top10:7.20 quarters
  • Time Held All:10.69 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 2019-08-14

Performance for Q2 2019: 1.43%
Performance Last 4 Quarters: 2.53%
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/A (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)

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: 28
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 12866
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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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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