SONORA INVESTMENT MANAGEMENT, LLC

HTTP://WWW.INVMGMT.COM TUCSON, AZ Investment Advisor How do I update this listing?

Sonora Investment Management is based out of Tucson. Sonora Investment Management is a large advisory firm with 982 clients and discretionary assets under management (AUM) of $772,581,810 (Form ADV from 2019-07-24). Their last reported 13F filing for Q3 2019 included $931,273,000 in managed 13F securities and a top 10 holdings concentration of 22.33%. Sonora Investment Management's largest holding is Focus Enhancements Inc. with shares held of 34,246,000. Whalewisdom has at least 17 13F filings, and 4 13G filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $959.77 Million
  • Prior Market Value $895.045 Million
  • New Purchases111 stocks
  • Additional Purchases228 stocks
  • Sold out of149 stocks
  • Reduced holdings in184 stocks
  • Top 10 Holdings % 21.67 %
  • Turnover % [1]:20.90%
  • Turnover Alt % [2]: 11.18 %
  • Time Held Top20:8.42 quarters
  • Time Held Top10:5.89 quarters
  • Time Held All:8.35 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: -3.45%
Performance Last 4 Quarters: -3.41%
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)

View Last Form Adv Compilation Report on Record

SONORA INVESTMENT MANAGEMENT LLC
2343 E BROADWAY STE 116
TUCSON AZ    85719
Country: United States

Business Phone: 520-624-4554
Fax: 520-624-1401
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: AZ
Number of employees: 12
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities: 4,659,670
Total Number of Clients: 982
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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SONORA INVESTMENT MANAGEMENT LLC

ownership team - last updated 2019-04-02
Name Title Start Date Direct/Indirect % Ownership
TOLAND,, HUGH, BRADLEY MEMBER 08/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 1986-08-01
ROGERS, DOUGLAS, R. MEMBER 08/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 1986-08-01
WILCOX, TIMOTHY, DUANE MEMBER 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 2007-01-01
ALEXANDER, SARA, SUZANN CHIEF COMPLIANCE OFFICER 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-06-01
ARKO, MICHAEL, H MEMBER 01/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 2017-01-01
GAINES, LUDWELL, GRAHAM MEMBER 01/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 2017-01-01

SONORA INVESTMENT MANAGEMENT LLC

ownership team - last updated 2019-03-15
Name Title Start Date Direct/Indirect % Ownership
TOLAND,, HUGH, BRADLEY MEMBER 08/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 1986-08-01
ROGERS, DOUGLAS, R. MEMBER 08/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 1986-08-01
WILCOX, TIMOTHY, DUANE MEMBER 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 2007-01-01
ALEXANDER, SARA, SUZANN CHIEF COMPLIANCE OFFICER 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-06-01
ARKO, MICHAEL, H MEMBER 01/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 2017-01-01
GAINES, LUDWELL, GRAHAM MEMBER 01/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 2017-01-01

SONORA INVESTMENT MANAGEMENT LLC

ownership team - last updated 2018-10-10
Name Title Start Date Direct/Indirect % Ownership
TOLAND,, HUGH, BRADLEY MEMBER 08/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 1986-08-01
ROGERS, DOUGLAS, R. MEMBER 08/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 1986-08-01
WILCOX, TIMOTHY, DUANE MEMBER 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 2007-01-01
ALEXANDER, SARA, SUZANN CHIEF COMPLIANCE OFFICER 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-06-01
ARKO, MICHAEL, H MEMBER 01/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 2017-01-01
GAINES, LUDWELL, GRAHAM MEMBER 01/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 2017-01-01

SONORA INVESTMENT MANAGEMENT LLC

ownership team - last updated 2018-06-13
Name Title Start Date Direct/Indirect % Ownership
TOLAND,, HUGH, BRADLEY MEMBER 08/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 1986-08-01
ROGERS, DOUGLAS, R. MEMBER 08/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 1986-08-01
WILCOX, TIMOTHY, DUANE MEMBER 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 2007-01-01
ALEXANDER, SARA, SUZANN CHIEF COMPLIANCE OFFICER 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-06-01
ARKO, MICHAEL, H MEMBER 01/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 2017-01-01
GAINES, LUDWELL, GRAHAM MEMBER 01/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SONORA INVESTMENT MANAGEMENT LLC MEMBER direct 2017-01-01

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