Capital One, National Association

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CIK 47288

13F portfolio (2019-Q4)

$756M

Positions

314

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2019-Q3. 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 (2019-Q4)

Holdings

314

Top 5

21.2%

Top 10

31.9%

Effective N

60.8

HHI

0.016

This quarter

314 new · 0 exit →

By sector

Unclassified82.0%

Information Technology3.8%

Financials2.4%

Consumer Discretionary2.2%

Industrials1.7%

Energy1.7%

Health Care1.7%

Communication Services1.5%

Other3.1%

By market cap

Unknown82.6%

Large ($10–200B)8.8%

Mega (>$200B)7.6%

Mid ($2–10B)1.0%

Small ($300M–2B)0.1%

By region

Other82.0%

North America17.6%

Europe0.2%

Asia-Pacific0.2%

By industry group GICS — finer than sector

Industry group	Weight	Names
Unclassified	82.11%	186
Technology Hardware & Equipment	1.94%	6
Pharmaceuticals & Biotechnology	1.63%	11
Specialty Retail	1.41%	7
Banks	1.37%	12
Utilities	1.14%	9
Oil, Gas & Consumable Fuels	1.12%	7
Software	0.89%	3
Aerospace & Defense	0.82%	4
Chemicals	0.82%	8
Hotels, Restaurants & Leisure	0.65%	4
Diversified Telecommunication Services	0.63%	2
Coal & Consumable Fuels	0.57%	1
Commercial Services & Supplies	0.54%	5
Semiconductors & Semiconductor Equipment	0.52%	5
Software & IT Services	0.48%	5
Beverages	0.44%	2
Entertainment	0.39%	1
Road & Rail	0.33%	3
Insurance	0.32%	4
Capital Markets	0.29%	5
Food Products	0.23%	4
Food & Staples Retailing	0.22%	1
Communications Equipment	0.18%	1
Tobacco	0.12%	2
Electrical Equipment & Components	0.11%	1
Professional Services	0.11%	1
Health Care Equipment & Supplies	0.10%	2
Machinery	0.10%	1
Media & Entertainment	0.08%	2
Equity Real Estate Investment Trusts (REITs)	0.08%	2
Automobiles & Components	0.06%	2
Marine	0.05%	1
Paper & Forest Products	0.04%	1
Textiles, Apparel & Luxury Goods	0.04%	1
Distributors	0.03%	1
Metals & Mining	0.03%	1

Top holdings

#	Ticker	Name	Sector	Weight
1	SPY	STATE STR SPDR S&P 500 ETF T	Unclassified	5.51%
2	IEFA	ISHARES TR	Unclassified	5.45%
3	GSIE	Goldman Sachs ActiveBeta Int'l Eq ETF	Unclassified	3.81%
4	BND	VANGUARD BD INDEX FDS	Unclassified	3.52%
5	BNDX	VANGUARD CHARLOTTE FDS	Unclassified	2.91%
6	IEMG	ISHARES INC	Unclassified	2.61%
7	PTLC	PACER FDS TR	Unclassified	2.09%
8	MTUM	ISHARES TR	Unclassified	2.01%
9	VTIP	VANGUARD MALVERN FDS	Unclassified	2.01%
10	FNDC	SCHWAB STRATEGIC TR	Unclassified	2.00%

129/314 names classified · sector 18.0% of weight · industry 17.9% · mkt cap 17.4%; unclassified names shown, never dropped.

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

top 5/sector, rest → “Other” · 22 quarters

FinancialsJPM, WFC, V, BAC, TRV · other

Information TechnologyAAPL, MSFT, GE, IBM, ORCL · other

Consumer DiscretionaryAMZN, HD, COR, MCK, SYY · other

IndustrialsMMM, LMT, HON, BA, LSTR · other

Health CareJNJ, PFE, ABBV, MDT, GILD · other

EnergyXOM, CVX, PSX, COP, ARLP · other

Communication ServicesMETA, DIS, VZ, T, GOOGL · other

Consumer StaplesCVS, PM, PEP, KO, ADM · other

MaterialsLYB, KMB, NKE, CC, AA · other

UtilitiesNEE, ATO, AEP, NRG, OKE · other

Real EstatePSA, OHI, SBAC, VAC, WY · other

UnclassifiedIVV, VGIT, SPY, BND, IEFA · 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: 18.0% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2019-Q4), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

Only 16% of book weight classified — the grid is NOT representative of the whole book.

holdings, colored by sector (116 classified)Capital One, National Association centroid (Large Core)

Information TechnologyFinancialsConsumer DiscretionaryIndustrialsHealth CareCommunication ServicesEnergyConsumer StaplesMaterialsUtilitiesReal Estate

Style box summary for Capital One, National Association: centroid Large Core. Heaviest cells: Large Value 6.3%, Large Core 3.8%, Large Growth 3.5%.

Classified: 16.1% of book weight (116/283 names) · unclassified 83.9%: SPY, IEFA, GSIE, BND, , BNDX, IEMG, PTLC, MTUM, VTIP +157 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· 314 positions (2019-Q4) · largest first · Δ vs 2019-Q3

#	Security	Shares	Value	Weight	Δ QoQ
1	SPYSTATE STR SPDR S&P 500 ETF T	129,499	$42M	5.5%	NEW
2	IEFAISHARES TR	631,990	$41M	5.5%	NEW
3	GSIEGoldman Sachs ActiveBeta Int'l Eq ETF	951,350	$29M	3.8%	NEW
4	BNDVANGUARD BD INDEX FDS	316,881	$27M	3.5%	NEW
5	BNDXVANGUARD CHARLOTTE FDS	389,026	$22M	2.9%	NEW
6	IEMGISHARES INC	367,659	$20M	2.6%	NEW
7	PTLCPACER FDS TR	472,733	$16M	2.1%	NEW
8	MTUMISHARES TR	121,209	$15M	2.0%	NEW
9	VTIPVANGUARD MALVERN FDS	308,270	$15M	2.0%	NEW
10	FNDCSCHWAB STRATEGIC TR	454,932	$15M	2.0%	NEW
11	SCHXSCHWAB U.S. LARGE-CAP ETF	189,888	$15M	1.9%	NEW
12	EMBISHARES TR	121,561	$14M	1.8%	NEW
13	VLUEISHARES TR	140,610	$13M	1.7%	NEW
14	IVVISHARES TR	34,559	$11M	1.5%	NEW
15	QUALISHARES TR	109,145	$11M	1.5%	NEW
16	USMVISHARES TR	167,648	$11M	1.5%	NEW
17	FNDASCHWAB STRATEGIC TR	270,214	$11M	1.4%	NEW
18	VCITVANGUARD SCOTTSDALE FDS	113,269	$10M	1.4%	NEW
19	HDVISHARES TR	99,651	$10M	1.3%	NEW
20	GEMGOLDMAN SACHS ETF TR	268,362	$9M	1.2%	NEW
21	XLKSELECT SECTOR SPDR TR	99,756	$9M	1.2%	NEW
22	IWMISHARES TR	47,385	$8M	1.0%	NEW
23	EFAVISHARES TR	101,821	$8M	1.0%	NEW
24	FLRNSPDR SERIES TRUST	245,384	$8M	1.0%	NEW
25	FTSMFIRST TR EXCHANGE-TRADED FD	108,014	$6M	0.9%	NEW
26	XSLVINVESCO EXCH TRADED FD TR II	126,852	$6M	0.9%	NEW
27	SCHZSCHWAB STRATEGIC TR	116,769	$6M	0.8%	NEW
28	VIGVANGUARD SPECIALIZED FUNDS	49,928	$6M	0.8%	NEW
29	MSFTMICROSOFT CORP	38,747	$6M	0.8%	NEW
30	IXUSISHARES TR	98,171	$6M	0.8%	NEW
31	XLVSELECT SECTOR SPDR TR	58,805	$6M	0.8%	NEW
32	VGITVANGUARD SCOTTSDALE FDS	89,974	$6M	0.8%	NEW
33	VGSHVANGUARD SHORT-TERM TREASURY ETF	91,881	$6M	0.7%	NEW
34	FXUFIRST TR EXCHANGE TRADED FD	184,088	$5M	0.7%	NEW
35	XLFSELECT SECTOR SPDR TR	172,284	$5M	0.7%	NEW
36	AAPLAPPLE INC	17,421	$5M	0.7%	NEW
37	DGSWISDOMTREE TR	103,896	$5M	0.7%	NEW
38	SCHGSCHWAB U.S. LARGE-CAP GROWTH ETF	50,062	$5M	0.6%	NEW
39	PFFISHARES TR	122,841	$5M	0.6%	NEW
40	VCSHVANGUARD SCOTTSDALE FDS	56,556	$5M	0.6%	NEW
41	MUBISHARES TR	38,467	$4M	0.6%	NEW
42	ARLPALLIANCE RESOURCE PARTNERS L	399,107	$4M	0.6%	NEW
43	XLYSELECT SECTOR SPDR TR	31,676	$4M	0.5%	NEW
44	VEAVANGUARD TAX-MANAGED FDS	86,600	$4M	0.5%	NEW
45	XLCSELECT SECTOR SPDR TR	71,075	$4M	0.5%	NEW
46	GSYINVESCO ACTIVELY MANAGED EXC	72,871	$4M	0.5%	NEW
47	HYGISHARES TR	41,274	$4M	0.5%	NEW
48	SCHMSCHWAB STRATEGIC TR	56,541	$3M	0.4%	NEW
49	AMZNAMAZON COM INC	1,829	$3M	0.4%	NEW
50	XLISELECT SECTOR SPDR TR	40,760	$3M	0.4%	NEW
51	SHMSPDR SERIES TRUST	66,242	$3M	0.4%	NEW
52	BKLNINVESCO EXCH TRADED FD TR II	135,749	$3M	0.4%	NEW
53	EFAISHARES TR	44,579	$3M	0.4%	NEW
54	CSCOCISCO SYS INC	63,519	$3M	0.4%	NEW
55	DHRDANAHER CORP DEL	19,597	$3M	0.4%	NEW
56	JNJJOHNSON & JOHNSON	20,523	$3M	0.4%	NEW
57	IGMISHARES TR	12,298	$3M	0.4%	NEW
58	JPMJPMORGAN CHASE & CO	21,216	$3M	0.4%	NEW
59	VYMVANGUARD WHITEHALL FDS	31,566	$3M	0.4%	NEW
60	DISDISNEY WALT CO	20,241	$3M	0.4%	NEW
61	FXGFIRST TR EXCHANGE TRADED FD	58,179	$3M	0.4%	NEW
62	XOMEXXON MOBIL CORP	41,691	$3M	0.4%	NEW
63	XLPSELECT SECTOR SPDR TR	44,952	$3M	0.4%	NEW
64	MCDMCDONALDS CORP	14,186	$3M	0.4%	NEW
65	HDHOME DEPOT INC	12,556	$3M	0.4%	NEW
66	ISHARES TR	101,037	$3M	0.3%	NEW
67	TMOTHERMO FISHER SCIENTIFIC INC	7,946	$3M	0.3%	NEW
68	PEPPEPSICO INC	18,463	$3M	0.3%	NEW
69	VZVERIZON COMMUNICATIONS INC	40,316	$2M	0.3%	NEW
70	BONDPIMCO ETF TR	21,524	$2M	0.3%	NEW
71	TAT&T INC	58,658	$2M	0.3%	NEW
72	EPDENTERPRISE PRODS PARTNERS L	81,129	$2M	0.3%	NEW
73	CVXCHEVRON CORP NEW	18,487	$2M	0.3%	NEW
74	CWBSPDR SER TR	39,750	$2M	0.3%	NEW
75	PGPROCTER AND GAMBLE CO	17,016	$2M	0.3%	NEW
76	VTEBVANGUARD MUN BD FDS	38,330	$2M	0.3%	NEW
77	IWYISHARES TR	21,214	$2M	0.3%	NEW
78	PNQIINVESCO EXCHANGE TRADED FD T	13,760	$2M	0.3%	NEW
79	FIRST TR EXCHANGE TRADED FD	48,920	$2M	0.3%	NEW
80	HONHONEYWELL INTL INC	10,494	$2M	0.2%	NEW
81	OKEONEOK INC NEW	22,964	$2M	0.2%	NEW
82	AMGNAMGEN INC	7,171	$2M	0.2%	NEW
83	CVSCVS HEALTH CORP	22,140	$2M	0.2%	NEW
84	SBUXSTARBUCKS CORP	18,636	$2M	0.2%	NEW
85	FTCSFIRST TR EXCHANGE-TRADED FD	26,913	$2M	0.2%	NEW
86	LHXL3HARRIS TECHNOLOGIES INC	8,050	$2M	0.2%	NEW
87	ROYAL DUTCH SHELL PLC	26,425	$2M	0.2%	NEW
88	XLESELECT SECTOR SPDR TR	26,019	$2M	0.2%	NEW
89	LMTLOCKHEED MARTIN CORP	3,955	$2M	0.2%	NEW
90	ACNACCENTURE PLC IRELAND	7,244	$2M	0.2%	NEW
91	COPCONOCOPHILLIPS	23,307	$2M	0.2%	NEW
92	VOEVANGUARD INDEX FDS	12,465	$1M	0.2%	NEW
93	GOVTISHARES TR	57,190	$1M	0.2%	NEW
94	VCLTVANGUARD SCOTTSDALE FDS	14,541	$1M	0.2%	NEW
95	DESWISDOMTREE TR	51,304	$1M	0.2%	NEW
96	MAGELLAN MIDSTREAM PARTNERS LP	23,231	$1M	0.2%	NEW
97	COSTCOSTCO WHSL CORP NEW	4,913	$1M	0.2%	NEW
98	VOTVANGUARD INDEX FDS	9,024	$1M	0.2%	NEW
99	GLDSPDR GOLD TR	9,966	$1M	0.2%	NEW
100	MINTPIMCO ETF TR	13,995	$1M	0.2%	NEW
101	VVISA INC	7,381	$1M	0.2%	NEW
102	ISHARES TR	50,336	$1M	0.2%	NEW
103	TLTISHARES TR	9,938	$1M	0.2%	NEW
104	QCOMQUALCOMM INC	15,194	$1M	0.2%	NEW
105	BMYBRISTOL-MYERS SQUIBB CO	20,568	$1M	0.2%	NEW
106	Ishares Ibonds Dec	51,782	$1M	0.2%	NEW
107	Etfmg Prime Mobile	25,983	$1M	0.2%	NEW
108	ISHARES TR	48,965	$1M	0.2%	NEW
109	ISHARES TR	49,164	$1M	0.2%	NEW
110	AGGISHARES TR	11,188	$1M	0.2%	NEW
111	XLUSELECT SECTOR SPDR TR	19,398	$1M	0.2%	NEW
112	UNPUNION PAC CORP	6,929	$1M	0.2%	NEW
113	JDJD.COM INC	35,545	$1M	0.2%	NEW
114	BACBANK AMERICA CORP	35,381	$1M	0.2%	NEW
115	BABOEING CO	3,744	$1M	0.2%	NEW
116	BROOKFIELD ASSET MGMT INC	21,081	$1M	0.2%	NEW
117	BRK.BBERKSHIRE HATHAWAY INC DEL	5,360	$1M	0.2%	NEW
118	JMSTJ P MORGAN EXCHANGE TRADED F	23,845	$1M	0.2%	NEW
119	INTCINTEL CORP	19,876	$1M	0.2%	NEW
120	WFCWELLS FARGO CO NEW	22,030	$1M	0.2%	NEW
121	ETENERGY TRANSFER L P	89,368	$1M	0.2%	NEW
122	XLRESELECT SECTOR SPDR TR	29,363	$1M	0.2%	NEW
123	ITAIShares U.S. Aerospace & Defense ETF	5,030	$1M	0.1%	NEW
124	ABTABBOTT LABS	12,795	$1M	0.1%	NEW
125	DGROISHARES CORE DIVIDEND GROWTH ETF	26,282	$1M	0.1%	NEW
126	SCHBSCHWAB STRATEGIC TR	14,355	$1M	0.1%	NEW
127	LLYELI LILLY & CO	8,381	$1M	0.1%	NEW
128	Cyber Security ETF	26,277	$1M	0.1%	NEW
129	METAMETA PLATFORMS INC	5,284	$1M	0.1%	NEW
130	CWISPDR INDEX SHS FDS	42,054	$1M	0.1%	NEW
131	INTFISHARES TR	40,035	$1M	0.1%	NEW
132	UPSUNITED PARCEL SERVICE INC	9,174	$1M	0.1%	NEW
133	AXPAMERICAN EXPRESS CO	8,480	$1M	0.1%	NEW
134	VWOVANGUARD INTL EQUITY INDEX F	23,619	$1M	0.1%	NEW
135	IGSBISHARES TR	19,559	$1M	0.1%	NEW
136	ANNALY MORTGAGE MANAGEMENT	109,550	$1M	0.1%	NEW
137	GOOGALPHABET INC	766	$1M	0.1%	NEW
138	LOWLOWES COS INC	8,519	$1M	0.1%	NEW
139	JPSTJ P MORGAN EXCHANGE TRADED F	20,201	$1M	0.1%	NEW
140	FPEFirst Trust Preferred Secs & Inc ETF	50,718	$1M	0.1%	NEW
141	ABBVABBVIE INC	11,461	$1M	0.1%	NEW
142	DUKDUKE ENERGY CORP NEW	11,012	$1M	0.1%	NEW
143	EEMVISHARES INC	17,023	$999,000	0.1%	NEW
144	AJGGALLAGHER ARTHUR J & CO	10,362	$987,000	0.1%	NEW
145	NVSNOVARTIS AG	10,311	$976,000	0.1%	NEW
146	VTVVANGUARD INDEX FDS	8,037	$963,000	0.1%	NEW
147	ALBALBEMARLE CORP	13,046	$953,000	0.1%	NEW
148	IJHISHARES TR	4,602	$947,000	0.1%	NEW
149	COFCAPITAL ONE FINL CORP	9,184	$945,000	0.1%	NEW
150	XLBSELECT SECTOR SPDR TR	15,267	$938,000	0.1%	NEW
151	RZGINVESCO EXCHANGE TRADED FD T	7,936	$937,000	0.1%	NEW
152	OGSONE GAS INC	9,953	$931,000	0.1%	NEW
153	MCHPMICROCHIP TECHNOLOGY INC.	8,736	$915,000	0.1%	NEW
154	DLSWISDOMTREE TR	12,651	$900,000	0.1%	NEW
155	MCHIISHARES TR MSCI CHINA ETF	13,976	$896,000	0.1%	NEW
156	NKENIKE INC	8,816	$893,000	0.1%	NEW
157	ADIANALOG DEVICES INC	7,501	$891,000	0.1%	NEW
158	RAYTHEON CO	4,038	$887,000	0.1%	NEW
159	CMFISHARES TR	14,435	$884,000	0.1%	NEW
160	APDAIR PRODS & CHEMS INC	3,716	$873,000	0.1%	NEW
161	ADVISORSHARES TR	17,723	$859,000	0.1%	NEW
162	GEGENERAL ELECTRIC CO	76,714	$856,000	0.1%	NEW
163	LMBSFIRST TR EXCHANGE-TRADED FD	16,453	$852,000	0.1%	NEW
164	IBBISHARES TR	7,067	$852,000	0.1%	NEW
165	ITOTISHARES TR	11,664	$848,000	0.1%	NEW
166	DEODIAGEO PLC	4,954	$834,000	0.1%	NEW
167	PBEINVESCO EXCHANGE TRADED FD T	14,709	$821,000	0.1%	NEW
168	INVESCO EXCHNG TRADED FD TR	28,091	$804,000	0.1%	NEW
169	PAYXPAYCHEX INC	9,392	$799,000	0.1%	NEW
170	FHLCFIDELITY COVINGTON TRUST	15,560	$774,000	0.1%	NEW
171	BWXSPDR SERIES TRUST	26,866	$774,000	0.1%	NEW
172	FTSLFIRST TR EXCHANGE-TRADED FD	15,887	$761,000	0.1%	NEW
173	FLOTISHARES TR	14,905	$759,000	0.1%	NEW
174	SCZISHARES TR	12,085	$753,000	0.1%	NEW
175	CATCATERPILLAR INC	5,050	$746,000	0.1%	NEW
176	FNCLFIDELITY COVINGTON TRUST	16,517	$734,000	0.1%	NEW
177	IGIBISHARES TR	12,604	$731,000	0.1%	NEW
178	VBRVANGUARD INDEX FDS	5,330	$731,000	0.1%	NEW
179	MBBISHARES TR	6,757	$730,000	0.1%	NEW
180	GOOGLALPHABET INC	543	$727,000	0.1%	NEW
181	IWBISHARES TR	4,026	$718,000	0.1%	NEW
182	LQDISHARES TR	5,535	$708,000	0.1%	NEW
183	NEARISHARES U S ETF TR	13,861	$696,000	0.1%	NEW
184	HPHelmerich & Payne Inc.	15,200	$691,000	0.1%	NEW
185	GSLCGOLDMAN SACHS ETF TR	10,653	$689,000	0.1%	NEW
186	FSTAFIDELITY COVINGTON TRUST	18,198	$686,000	0.1%	NEW
187	NVDANVIDIA CORPORATION	2,833	$667,000	0.1%	NEW
188	BANK AMERICA CORP	452	$655,000	0.1%	NEW
189	FUTYFIDELITY COVINGTON TRUST	15,466	$654,000	0.1%	NEW
190	VTVANGUARD INTL EQUITY INDEX F	8,069	$654,000	0.1%	NEW
191	TSNTYSON FOODS INC	7,092	$646,000	0.1%	NEW
192	UNHUNITEDHEALTH GROUP INC	2,182	$641,000	0.1%	NEW
193	BNYBANK NEW YORK MELLON CORP	12,355	$622,000	0.1%	NEW
194	MOALTRIA GROUP INC	12,186	$608,000	0.1%	NEW
195	FFBCFIRST FINL BANCORP OH	22,968	$584,000	0.1%	NEW
196	FLTBFIDELITY MERRIMACK STR TR	11,441	$582,000	0.1%	NEW
197	ABALLIANCEBERNSTEIN HLDG L P	18,763	$568,000	0.1%	NEW
198	UPWKUPWORK INC	53,023	$566,000	0.1%	NEW
199	SPHQINVESCO EXCHANGE TRADED FD T	15,443	$565,000	0.1%	NEW
200	PYPLPAYPAL HLDGS INC	5,121	$554,000	0.1%	NEW

showing the top 200 by weight

☆Capital One, National Association