HEARTLAND ADVISORS INC

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Heartland Advisors is based out of Milwaukee. Heartland Advisors is a large advisory firm with 150 clients and discretionary assets under management (AUM) of $1,730,512,613 (Form ADV from 2018-08-07). Their last reported 13F filing for Q4 2018 included $1,210,894,000 in managed 13F securities and a top 10 holdings concentration of 14.46%. Heartland Advisors's largest holding is Kennedy-Wilson Holdings Inc with shares held of 1,165,700. Heartland Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 78 13F filings, 25 13D filings, and 1159 13G filings

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12/31/2018

13F Sector Allocation Over Time

12/31/2018

13F Activity

  • Market Value $1.211 Billion
  • Prior Market Value $1.498 Billion
  • New Purchases14 stocks
  • Additional Purchases76 stocks
  • Sold out of26 stocks
  • Reduced holdings in77 stocks
  • Top 10 Holdings % 14.46 %
  • Turnover % [1]:21.16%
  • Turnover Alt % [2]: 18.66 %
  • Time Held Top20:3.85 quarters
  • Time Held Top10:1.60 quarters
  • Time Held All:10.84 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 2019-02-14

Performance for Q4 2018: 4.38%
Performance Last 4 Quarters: 6.45%
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:
  • 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/A (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/A (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (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)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR/A (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR/A (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR/A (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

HEARTLAND ADVISORS, INC.
789 N WATER STREET SUITE 500
MILWAUKEE WI    53202
Country: United States

Business Phone: 414-347-7777
Fax: 414-347-1339
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Corporation
Organized in: WI
Number of employees: 34
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 150
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (2),11.C (4),11.C (5)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Non-derivative Insider Transactions Since 12/31/2018

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HEARTLAND ADVISORS, INC.

ownership team - last updated 2017-06-01
Name Title Start Date Direct/Indirect % Ownership
NASGOVITZ, WILLIAM, JOHN DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER 03/01/1985 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEARTLAND ADVISORS, INC. DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER direct 1985-03-01
HEARTLAND ADVISORS, INC. DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER indirect 2000-08-01
HEARTLAND ADVISORS, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 1985-03-01 2002-05-03
HEARTLAND ADVISORS, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR indirect 2000-08-01 2002-05-03
HEARTLAND ADVISORS, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER direct 1985-03-01 2008-09-16
HEARTLAND ADVISORS, INC. DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER direct 1985-03-01 2012-08-01
HEARTLAND ADVISORS, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER indirect 2000-08-01 2012-08-01
HEARTLAND HOLDINGS, INC. SHAREHOLDER 08/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
HEARTLAND ADVISORS, INC. SHAREHOLDER direct 2000-08-01
CLARK, KEVIN, DOUGLAS SENIOR VICE PRESIDENT EQUITY TRADING 07/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEARTLAND ADVISORS, INC. SENIOR VICE PRESIDENT EQUITY TRADING direct 2001-07-01
HEARTLAND ADVISORS, INC. SENIOR VICE PRESIDENT - TRADING direct 1993-02-01 2001-01-30
HEARTLAND ADVISORS, INC. SENIOR VICE PRESIDENT & PORTFOLIO MANAGER direct 2001-07-01 2015-03-11
PAUL, VINITA, KAUR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEARTLAND ADVISORS, INC. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & ASSISTANT SECRETARY direct 2008-08-01
HEARTLAND ADVISORS, INC. VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 2008-08-01
HEARTLAND ADVISORS, INC. VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2008-08-01
HEARTLAND ADVISORS, INC. VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER & ASSISTANT SECRETARY direct 2008-08-01
HEARTLAND ADVISORS, INC. VICE PRESIDENT, GENERAL COUNSEL & ASSISTANT SECRETARY direct 2008-08-01
HEARTLAND ADVISORS, INC. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY direct 2008-08-01
ZIEGLER CAPITAL MANAGEMENT, LLC VICE PRESIDENT, INTERIM GENERAL COUNSEL AND SECRETARY direct 2007-07-01
BEST, NICOLE, JEANNINE SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER 05/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEARTLAND ADVISORS, INC. SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER direct 2010-05-01
HEARTLAND ADVISORS, INC. SENIOR VICE PRESIDENT & TREASURER direct 2001-02-01 2005-07-27
HEARTLAND ADVISORS, INC. SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & TREASURER direct 2005-11-01 2006-05-25
HEARTLAND ADVISORS, INC. SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2005-11-01 2008-09-16
HEARTLAND ADVISORS, INC. SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2010-05-01 2010-06-01
HEARTLAND ADVISORS, INC. SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER direct 2010-05-01 2015-03-11
MINER, MATTHEW, JASON VICE PRESIDENT & DIRECTOR OF EQUITY TRADING 07/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEARTLAND ADVISORS, INC. VICE PRESIDENT & DIRECTOR OF EQUITY TRADING direct 2001-07-01
NASGOVITZ, WILLIAM, RICHARD DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER 05/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEARTLAND ADVISORS, INC. DIRECTOR, VICE PRESIDENT & PORTFOLIO MANAGER direct 2006-05-01
HEARTLAND ADVISORS, INC. DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER direct 2006-05-01
HEARTLAND ADVISORS, INC. DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER direct 2006-05-01
EVANS, BRADFORD, ALLEN DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER 09/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEARTLAND ADVISORS, INC. DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER direct 2006-09-01
SHARPE, ROBERT, CRAIG VICE PRESIDENT & PORTFOLIO MANAGER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEARTLAND ADVISORS, INC. VICE PRESIDENT & PORTFOLIO MANAGER direct 2015-10-01
NASGOVITZ, WILLIAM, JOHN DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER HEARTLAND HOLDINGS, INC. 08/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HEARTLAND ADVISORS, INC. DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER direct 1985-03-01
HEARTLAND ADVISORS, INC. DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER indirect 2000-08-01
HEARTLAND ADVISORS, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 1985-03-01 2002-05-03
HEARTLAND ADVISORS, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR indirect 2000-08-01 2002-05-03
HEARTLAND ADVISORS, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER direct 1985-03-01 2008-09-16
HEARTLAND ADVISORS, INC. DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER direct 1985-03-01 2012-08-01
HEARTLAND ADVISORS, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER indirect 2000-08-01 2012-08-01

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