NATIONS FINANCIAL GROUP INC,

HTTP://WWW.NATIONSFG.COM/ CEDAR RAPIDS, IA Investment Advisor Broker-Dealer How do I update this listing?

Nations Financial Group Inc is based out of Cedar Rapids. Nations Financial Group Inc is a large advisory firm with 2586 clients and discretionary assets under management (AUM) of $587,158,931 (Form ADV from 2018-09-01). Their last reported 13F filing for Q3 2019 included $278,009,000 in managed 13F securities and a top 10 holdings concentration of 22.89%. Nations Financial Group Inc's largest holding is iShares Trust - Core S&P Mid-Cap 400 Exchange Traded Fund with shares held of 60,955. Whalewisdom has at least 18 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $278.009 Million
  • Prior Market Value $151.28 Million
  • New Purchases119 stocks
  • Additional Purchases124 stocks
  • Sold out of4 stocks
  • Reduced holdings in36 stocks
  • Top 10 Holdings % 22.89 %
  • Turnover % [1]:42.71%
  • Turnover Alt % [2]: 45.12 %
  • Time Held Top20:7.65 quarters
  • Time Held Top10:8.70 quarters
  • Time Held All:6.42 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: 7.31%
Performance Last 4 Quarters: 13.38%
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/A (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR/A (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

NATIONS FINANCIAL GROUP, INC.
4000 RIVER RIDGE DRIVE NE
CEDAR RAPIDS IA    52402-7534
Country: United States

Business Phone: 319-393-9541
Fax: 319-393-3903
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: IA
Number of employees: 57
Other Business Activities: broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 982,210,000
Total Number of Clients: 2586
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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NATIONS FINANCIAL GROUP, INC.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
BENNETT, RICHARD SCOTT PRESIDENT - CFO 01/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. PRESIDENT - CFO direct 1998-01-01
NATIONS FINANCIAL GROUP, INC. SHAREHOLDER indirect 2014-01-01
NATIONS FINANCIAL GROUP, INC. PRESIDENT direct 1998-01-01 2013-04-23
CAIRNEY, STEPHEN MICHAEL CHIEF OPERATING OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. CHIEF OPERATING OFFICER direct 2017-03-01
NATIONS FINANCIAL GROUP, INC. COMPLIANCE COORDINATOR direct 2001-02-01 2006-04-28
NATIONS FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2006-05-01 2017-02-28
BJORSETH, ERIK JOHN CHIEF GROWTH OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. CHIEF GROWTH OFFICER direct 2014-01-01
NATIONS FINANCIAL GROUP, INC. COMPLIANCE COORDINATOR direct 2006-05-01
NATIONS FINANCIAL GROUP, INC. DIRECTOR OF ADVISORY SERVICES direct 2008-05-01
NFGI HOLDING CORPORATION HOLDING CORPORATION 01/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. HOLDING CORPORATION direct 2014-01-01
WILKINSON, BRIAN MICHAEL CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2017-03-01
NATIONS FINANCIAL GROUP, INC. VICE PRESIDENT direct 2000-09-01 2002-02-08
NATIONS FINANCIAL GROUP, INC. VICE PRESIDENT/SENIOR COMPLIANCE OFFICER direct 2000-09-01 2004-11-15
NATIONS FINANCIAL GROUP, INC. SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2000-09-01 2006-04-28
NATIONS FINANCIAL GROUP, INC. SENIOR VICE PRESIDENT direct 2000-09-01 2011-08-10
NATIONS FINANCIAL GROUP, INC. DIRECTOR OF REPRESENTATIVE RELATIONSHIPS direct 2000-09-01 2013-04-23
BENNETT, RICHARD SCOTT SHAREHOLDER NFGI HOLDING CORPORATION 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. PRESIDENT - CFO direct 1998-01-01
NATIONS FINANCIAL GROUP, INC. SHAREHOLDER indirect 2014-01-01
NATIONS FINANCIAL GROUP, INC. PRESIDENT direct 1998-01-01 2013-04-23

NATIONS FINANCIAL GROUP, INC.

ownership team - last updated 2018-12-27
Name Title Start Date Direct/Indirect % Ownership
NFGI HOLDING CORPORATION HOLDING CORPORATION 01/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. HOLDING CORPORATION direct 2014-01-01
BENNETT, RICHARD SCOTT PRESIDENT - CFO 01/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. PRESIDENT - CFO direct 1998-01-01
NATIONS FINANCIAL GROUP, INC. SHAREHOLDER indirect 2014-01-01
NATIONS FINANCIAL GROUP, INC. PRESIDENT direct 1998-01-01 2013-04-23
CAIRNEY, STEPHEN MICHAEL CHIEF OPERATING OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. CHIEF OPERATING OFFICER direct 2017-03-01
NATIONS FINANCIAL GROUP, INC. COMPLIANCE COORDINATOR direct 2001-02-01 2006-04-28
NATIONS FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2006-05-01 2017-02-28
BJORSETH, ERIK JOHN CHIEF GROWTH OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. CHIEF GROWTH OFFICER direct 2014-01-01
NATIONS FINANCIAL GROUP, INC. COMPLIANCE COORDINATOR direct 2006-05-01
NATIONS FINANCIAL GROUP, INC. DIRECTOR OF ADVISORY SERVICES direct 2008-05-01
WILKINSON, BRIAN MICHAEL CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2017-03-01
NATIONS FINANCIAL GROUP, INC. VICE PRESIDENT direct 2000-09-01 2002-02-08
NATIONS FINANCIAL GROUP, INC. VICE PRESIDENT/SENIOR COMPLIANCE OFFICER direct 2000-09-01 2004-11-15
NATIONS FINANCIAL GROUP, INC. SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2000-09-01 2006-04-28
NATIONS FINANCIAL GROUP, INC. SENIOR VICE PRESIDENT direct 2000-09-01 2011-08-10
NATIONS FINANCIAL GROUP, INC. DIRECTOR OF REPRESENTATIVE RELATIONSHIPS direct 2000-09-01 2013-04-23
BENNETT, RICHARD SCOTT SHAREHOLDER NFGI HOLDING CORPORATION 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. PRESIDENT - CFO direct 1998-01-01
NATIONS FINANCIAL GROUP, INC. SHAREHOLDER indirect 2014-01-01
NATIONS FINANCIAL GROUP, INC. PRESIDENT direct 1998-01-01 2013-04-23

NATIONS FINANCIAL GROUP, INC.

ownership team - last updated 2018-05-01
Name Title Start Date Direct/Indirect % Ownership
BENNETT, RICHARD SCOTT PRESIDENT - CFO 01/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. PRESIDENT - CFO direct 1998-01-01
NATIONS FINANCIAL GROUP, INC. SHAREHOLDER indirect 2014-01-01
NATIONS FINANCIAL GROUP, INC. PRESIDENT direct 1998-01-01 2013-04-23
CAIRNEY, STEPHEN MICHAEL CHIEF OPERATING OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. CHIEF OPERATING OFFICER direct 2017-03-01
NATIONS FINANCIAL GROUP, INC. COMPLIANCE COORDINATOR direct 2001-02-01 2006-04-28
NATIONS FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2006-05-01 2017-02-28
BJORSETH, ERIK JOHN CHIEF GROWTH OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. CHIEF GROWTH OFFICER direct 2014-01-01
NATIONS FINANCIAL GROUP, INC. COMPLIANCE COORDINATOR direct 2006-05-01
NATIONS FINANCIAL GROUP, INC. DIRECTOR OF ADVISORY SERVICES direct 2008-05-01
NFGI HOLDING CORPORATION HOLDING CORPORATION 01/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. HOLDING CORPORATION direct 2014-01-01
MILLER, LESLIE DANIEL DIRECTOR OF INFORMATION TECHNOLOGY 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. DIRECTOR OF INFORMATION TECHNOLOGY & OPERATIONS direct 2014-01-01
NATIONS FINANCIAL GROUP, INC. DIRECTOR OF INFORMATION TECHNOLOGY direct 2014-01-01
WILKINSON, BRIAN MICHAEL CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2017-03-01
NATIONS FINANCIAL GROUP, INC. VICE PRESIDENT direct 2000-09-01 2002-02-08
NATIONS FINANCIAL GROUP, INC. VICE PRESIDENT/SENIOR COMPLIANCE OFFICER direct 2000-09-01 2004-11-15
NATIONS FINANCIAL GROUP, INC. SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2000-09-01 2006-04-28
NATIONS FINANCIAL GROUP, INC. SENIOR VICE PRESIDENT direct 2000-09-01 2011-08-10
NATIONS FINANCIAL GROUP, INC. DIRECTOR OF REPRESENTATIVE RELATIONSHIPS direct 2000-09-01 2013-04-23
BENNETT, RICHARD SCOTT SHAREHOLDER NFGI HOLDING CORPORATION 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NATIONS FINANCIAL GROUP, INC. PRESIDENT - CFO direct 1998-01-01
NATIONS FINANCIAL GROUP, INC. SHAREHOLDER indirect 2014-01-01
NATIONS FINANCIAL GROUP, INC. PRESIDENT direct 1998-01-01 2013-04-23

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