Hochman Cole Investment Advisors, Inc.

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CIK 1568890

13F portfolio (2021-Q3)

$255M

Positions

128

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2021-Q2. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.

Implied return what this book implies · modeled, not advice methodology →

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As filed = each book applied at its quarter-end (what the reported book did) · As copyable = applied at its statutory 45-day filing deadline (what a 13F follower could have earned).

Computing…

Hypothetical modeled performance constructed with hindsight — not actual results, and not indicative of future results. See the Disclaimer.

Exposures · what this manager owns, by sector & size (2021-Q3)

Holdings

128

Top 5

31.0%

Top 10

47.6%

Effective N

33.2

HHI

0.030

This quarter

11 new · 0 exit →

By sector

Unclassified90.8%

Information Technology2.4%

Health Care2.4%

Communication Services2.2%

Consumer Discretionary0.9%

Financials0.8%

Industrials0.4%

By market cap

Unknown90.8%

Mega (>$200B)6.9%

Large ($10–200B)2.3%

By region

Other90.8%

North America9.2%

By industry group GICS — finer than sector

Industry group	Weight	Names
Unclassified	91.62%	113
Pharmaceuticals & Biotechnology	2.41%	2
Technology Hardware & Equipment	2.16%	1
Software & IT Services	1.69%	3
Specialty Retail	0.85%	2
Diversified Telecommunication Services	0.41%	1
Commercial Services & Supplies	0.30%	1
Aerospace & Defense	0.13%	1
Communications Equipment	0.13%	1
Software	0.13%	1
Hotels, Restaurants & Leisure	0.08%	1
Entertainment	0.08%	1

Top holdings

#	Ticker	Name	Sector	Weight
1	XLK	SELECT SECTOR SPDR TR	Unclassified	7.24%
2	FXL	FIRST TR EXCHANGE-TRADED FD	Unclassified	6.15%
3	QQQ	INVESCO QQQ TR	Unclassified	6.12%
4	XLV	SELECT SECTOR SPDR TR	Unclassified	5.94%
5	PFFD	GLOBAL X FDS	Unclassified	5.58%
6	XLP	SELECT SECTOR SPDR TR	Unclassified	3.87%
7	ICSH	ISHARES TR	Unclassified	3.68%
8	SPY	STATE STR SPDR S&P 500 ETF T	Unclassified	3.40%
9	XLC	SELECT SECTOR SPDR TR	Unclassified	3.30%
10	XLU	SELECT SECTOR SPDR TR	Unclassified	2.34%

16/128 names classified · sector 9.2% of weight · industry 8.4% · mkt cap 9.2%; unclassified names shown, never dropped.

Sector allocation over time · how the GICS mix & top names shifted quarter by quarter

top 5/sector, rest → “Other” · 24 quarters

Health CareABBV, ABT, PFE, FATE

Communication ServicesVZ, GOOG, META, GOOGL, T · other

Information TechnologyAAPL, QCOM, MSFT, IBM

FinancialsBRK.B, HSBC, JPM, COIN

EnergyXOM, CVX

Consumer DiscretionarySHW, AMZN, SBUX

Real EstateO, NNN

IndustrialsHON, UBER, BABA

Consumer StaplesMO, BF.B

UnclassifiedXLV, XLK, FXL, SDY, QQQ · other

Sector is classified on each name's CURRENT fundamentals, not point-in-time — apparent sector drift can reflect the market re-rating a holding, not a manager trade. 13F is a lagged quarterly snapshot of long positions in US-listed securities only — foreign companies held via a US listing or ADR ARE included, but shares listed only on non-US exchanges (plus shorts, options and cash) are not. Latest quarter: 9.2% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2021-Q3), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

Only 8% of book weight classified — the grid is NOT representative of the whole book.

holdings, colored by sector (15 classified)Hochman Cole Investment Advisors, Inc. centroid (Large Core)

Information TechnologyHealth CareCommunication ServicesConsumer DiscretionaryIndustrials

Style box summary for Hochman Cole Investment Advisors, Inc.: centroid Large Core. Heaviest cells: Large Growth 4.5%, Large Value 3.0%, Large Core 0.8%.

Classified: 8.4% of book weight (15/126 names) · unclassified 91.6%: XLK, FXL, QQQ, XLV, PFFD, XLP, ICSH, SPY, XLC, XLU +101 more. Size: cap 70/20/10 bands; style: value/growth composite on our own metrics — not Morningstar's model.

Contribution holdings-based, any period

No contribution data for this period.

Holdings· 128 positions (2021-Q3) · largest first · Δ vs 2021-Q2

#	Security	Shares	Value	Weight	Δ QoQ
1	XLKSELECT SECTOR SPDR TR	123,832	$18M	7.2%	HOLD
2	FXLFIRST TR EXCHANGE-TRADED FD	127,827	$16M	6.2%	TRIM −4%
3	QQQINVESCO QQQ TR	43,671	$16M	6.1%	ADD 3%
4	XLVSELECT SECTOR SPDR TR	119,180	$15M	5.9%	HOLD
5	PFFDGLOBAL X FDS	553,362	$14M	5.6%	ADD 3%
6	XLPSELECT SECTOR SPDR TR	143,690	$10M	3.9%	ADD 4%
7	ICSHISHARES TR	185,797	$9M	3.7%	TRIM −6%
8	SPYSTATE STR SPDR S&P 500 ETF T	20,220	$9M	3.4%	HOLD
9	XLCSELECT SECTOR SPDR TR	105,089	$8M	3.3%	HOLD
10	XLUSELECT SECTOR SPDR TR	93,363	$6M	2.3%	ADD 18%
11	AAPLAPPLE INC	38,987	$6M	2.2%	ADD 6%
12	VBVANGUARD INDEX FDS	23,884	$5M	2.0%	TRIM −8%
13	IBBISHARES TR	30,537	$5M	1.9%	ADD 8%
14	IWFISHARES TR	16,300	$4M	1.7%	TRIM −6%
15	RSPINVESCO EXCHANGE TRADED FD T	29,415	$4M	1.7%	TRIM −4%
16	SDYSPDR SER TR	37,225	$4M	1.7%	HOLD
17	MOATVANECK ETF TRUST	56,287	$4M	1.6%	ADD 11%
18	IWBISHARES TR	16,498	$4M	1.6%	HOLD
19	ABBVABBVIE INC	36,415	$4M	1.5%	ADD 8%
20	VVVANGUARD INDEX FDS	19,185	$4M	1.5%	HOLD
21	VUGVANGUARD INDEX FDS	13,069	$4M	1.5%	TRIM −3%
22	PSEPINNOVATOR ETFS TRUST	107,832	$3M	1.2%	NEW
23	FTSMFIRST TR EXCHANGE-TRADED FD	48,743	$3M	1.1%	TRIM −18%
24	XPHSPDR SERIES TRUST	52,630	$2M	1.0%	TRIM −3%
25	LMBSFIRST TR EXCHANGE-TRADED FD	48,186	$2M	1.0%	ADD 87%
26	IWMISHARES TR	10,859	$2M	0.9%	TRIM −10%
27	ABTABBOTT LABS	18,915	$2M	0.9%	HOLD
28	PFMINVESCO EXCHANGE TRADED FD T	59,976	$2M	0.8%	TRIM −7%
29	BRK.BBERKSHIRE HATHAWAY INC DEL	7,795	$2M	0.8%	HOLD
30	VOOVANGUARD INDEX FDS	5,164	$2M	0.8%	HOLD
31	GOOGALPHABET INC	746	$2M	0.8%	ADD 8%
32	VOVANGUARD INDEX FDS	7,795	$2M	0.7%	TRIM −11%
33	FPEFirst Trust Preferred Secs & Inc ETF	89,020	$2M	0.7%	TRIM −5%
34	VOTVANGUARD INDEX FDS	7,125	$2M	0.7%	TRIM −3%
35	PAUGINNOVATOR ETFS TRUST	55,589	$2M	0.6%	NEW
36	SCHESCHWAB STRATEGIC TR	53,239	$2M	0.6%	TRIM −6%
37	XLISELECT SECTOR SPDR TR	15,914	$2M	0.6%	TRIM −4%
38	JPSTJ P MORGAN EXCHANGE TRADED F	29,513	$1M	0.6%	TRIM −7%
39	FVDFIRST TR EXCHANGE-TRADED FD	35,727	$1M	0.5%	ADD 195%
40	GOOGLALPHABET INC	521	$1M	0.5%	TRIM −3%
41	AMZNAMAZON COM INC	406	$1M	0.5%	ADD 45%
42	CFOVICTORY PORTFOLIOS II	18,551	$1M	0.5%	TRIM −5%
43	VBRVANGUARD INDEX FDS	6,581	$1M	0.4%	ADD 5%
44	FMBFirst Trust Managed Municipal ETF	19,230	$1M	0.4%	HOLD
45	VZVERIZON COMMUNICATIONS INC	19,243	$1M	0.4%	TRIM −9%
46	VTVVANGUARD INDEX FDS	7,628	$1M	0.4%	HOLD
47	IJRISHARES TR	9,119	$996,000	0.4%	HOLD
48	IWRISHARES TR	12,295	$962,000	0.4%	HOLD
49	PAPRINNOVATOR ETFS TRUST	33,251	$950,000	0.4%	NEW
50	DVYISHARES TR	8,196	$940,000	0.4%	TRIM −6%
51	METAMETA PLATFORMS INC	2,764	$938,000	0.4%	ADD 5%
52	IJKISHARES TR	11,830	$937,000	0.4%	TRIM −16%
53	AVUVAMERICAN CENTY ETF TR	12,148	$919,000	0.4%	ADD 198%
54	QUALISHARES TR	6,788	$894,000	0.4%	TRIM −10%
55	SPDSIMPLIFY EXCHANGE TRADED FUN	29,315	$892,000	0.3%	NEW
56	IGSBISHARES TR	16,146	$882,000	0.3%	TRIM −6%
57	IGVISHARES TR	2,149	$858,000	0.3%	HOLD
58	VDCVANGUARD WORLD FD	4,730	$848,000	0.3%	HOLD
59	SHWSHERWIN WILLIAMS CO	3,000	$839,000	0.3%	HOLD
60	XLFSELECT SECTOR SPDR TR	21,795	$818,000	0.3%	TRIM −7%
61	TIPISHARES TR	6,245	$797,000	0.3%	ADD 38%
62	VOEVANGUARD INDEX FDS	5,585	$780,000	0.3%	TRIM −6%
63	XLYSELECT SECTOR SPDR TR	4,294	$771,000	0.3%	HOLD
64	UBERUBER TECHNOLOGIES INC	16,953	$759,000	0.3%	NEW
65	IWDISHARES TR	4,819	$754,000	0.3%	HOLD
66	FXHFIRST TR EXCHANGE TRADED FD	6,124	$729,000	0.3%	HOLD
67	FNDBSchwab Fundamental US Broad Market ETF	13,308	$713,000	0.3%	TRIM −6%
68	VXUSVANGUARD STAR FDS	10,608	$671,000	0.3%	ADD 6%
69	IJHISHARES TR	2,343	$616,000	0.2%	HOLD
70	IYHISHARES TR	2,142	$591,000	0.2%	HOLD
71	VPUVANGUARD WORLD FD	4,134	$575,000	0.2%	ADD 7%
72	COWZPACER FDS TR	13,056	$571,000	0.2%	HOLD
73	SIMPLIFY EXCHANGE TRADED FUN	23,000	$570,000	0.2%	NEW
74	FBTFirst Trust NYSE Arca Biotech ETF	3,225	$536,000	0.2%	HOLD
75	SCHFSCHWAB STRATEGIC TR	13,418	$519,000	0.2%	TRIM −17%
76	IVVISHARES TR	1,164	$501,000	0.2%	HOLD
77	FXOFIRST TR EXCHANGE TRADED FD	10,986	$486,000	0.2%	TRIM −13%
78	IWVISHARES TR	1,885	$480,000	0.2%	HOLD
79	IUSGISHARES TR	4,609	$472,000	0.2%	HOLD
80	PJULINNOVATOR ETFS TRUST	15,810	$470,000	0.2%	NEW
81	GSLCGOLDMAN SACHS ETF TR	5,396	$464,000	0.2%	TRIM −21%
82	SKYYFIRST TR EXCHANGE-TRADED FD	4,285	$452,000	0.2%	TRIM −16%
83	VGTVANGUARD WORLD FD	1,099	$441,000	0.2%	TRIM −5%
84	XSOEWISDOMTREE TR	11,787	$440,000	0.2%	TRIM −17%
85	PFFISHARES TR	11,239	$436,000	0.2%	TRIM −13%
86	FXGFIRST TR EXCHANGE TRADED FD	7,413	$417,000	0.2%	HOLD
87	SCHXSCHWAB U.S. LARGE-CAP ETF	4,011	$417,000	0.2%	ADD 3%
88	USMVISHARES TR	5,426	$399,000	0.2%	TRIM −11%
89	IJJISHARES TR	3,760	$387,000	0.2%	HOLD
90	GDXVANECK ETF TRUST GOLD MINERS ETF	12,577	$371,000	0.1%	ADD 59%
91	FNDESCHWAB STRATEGIC TR	11,231	$362,000	0.1%	HOLD
92	VBKVANGUARD INDEX FDS	1,253	$351,000	0.1%	TRIM −8%
93	SCHPSCHWAB STRATEGIC TR	5,508	$345,000	0.1%	HOLD
94	XBXMXNUVEEN S&P 500 BUY-WRITE INC	23,808	$339,000	0.1%	NEW
95	HONHONEYWELL INTL INC	1,592	$338,000	0.1%	HOLD
96	QCOMQUALCOMM INC	2,613	$337,000	0.1%	ADD 36%
97	MSFTMICROSOFT CORP	1,176	$332,000	0.1%	HOLD
98	NUWNUVEEN AMT-FREE MUN VALUE FD	19,326	$330,000	0.1%	TRIM −61%
99	VTIVANGUARD INDEX FDS	1,467	$326,000	0.1%	HOLD
100	EFAISHARES TR	4,122	$322,000	0.1%	ADD 2%
101	SCHDSCHWAB STRATEGIC TR	4,300	$319,000	0.1%	ADD 15%
102	DDWMWISDOMTREE TR	10,590	$316,000	0.1%	TRIM −10%
103	EEMISHARES TR	6,247	$315,000	0.1%	TRIM −15%
104	FEMFIRST TR EXCH TRD ALPHDX FD	11,586	$312,000	0.1%	TRIM −37%
105	DIASPDR DOW JONES INDL AVERAGE	904	$306,000	0.1%	TRIM −4%
106	SCHMSCHWAB STRATEGIC TR	3,995	$306,000	0.1%	TRIM −9%
107	FXRFIRST TR EXCHANGE TRADED FD	5,285	$303,000	0.1%	HOLD
108	IYJISHARES TR	2,774	$297,000	0.1%	HOLD
109	FCALFIRST TR EXCH TRADED FD III	5,281	$288,000	0.1%	NEW
110	IWSISHARES TR	2,537	$287,000	0.1%	HOLD
111	RSPHINVESCO EXCHANGE TRADED FD T	944	$282,000	0.1%	TRIM −3%
112	VYMVANGUARD WHITEHALL FDS	2,695	$279,000	0.1%	HOLD
113	DFASDIMENSIONAL ETF TRUST	4,825	$277,000	0.1%	NEW
114	VWOVANGUARD INTL EQUITY INDEX F	5,251	$263,000	0.1%	TRIM −18%
115	VICTORY PORTFOLIOS II	7,944	$259,000	0.1%	TRIM −13%
116	VFHVANGUARD WORLD FD	2,749	$255,000	0.1%	HOLD
117	IWPISHARES TR	2,210	$248,000	0.1%	HOLD
118	FXDFIRST TR EXCHANGE TRADED FD	4,107	$243,000	0.1%	HOLD
119	IVEISHARES TR	1,602	$233,000	0.1%	HOLD
120	TOTLSSGA ACTIVE ETF TR	4,816	$233,000	0.1%	TRIM −4%
121	IQLTISHARES TR	6,035	$229,000	0.1%	TRIM −3%
122	VIGVANGUARD SPECIALIZED FUNDS	1,424	$219,000	0.1%	TRIM −7%
123	EQLALPS ETF TR	2,196	$218,000	0.1%	HOLD
124	GLDSPDR GOLD TR	1,304	$214,000	0.1%	HOLD
125	SBUXSTARBUCKS CORP	1,887	$208,000	0.1%	HOLD
126	IEMGISHARES INC	3,354	$207,000	0.1%	TRIM −4%
127	DISDISNEY WALT CO	1,188	$201,000	0.1%	TRIM −5%
128	MIND MEDICINE (MINDMED) INC	31,760	$74,000	0.0%	NEW

☆Hochman Cole Investment Advisors, Inc.