SOFOS INVESTMENTS, INC.

https://financialgravity.com/ ALLEN, TX Investment Advisor How do I update this listing?

Sofos Investments is based out of Allen. Sofos Investments is a large advisory firm with 772 clients and discretionary assets under management (AUM) of $160,937,014 (Form ADV from 2019-12-17). Their last reported 13F filing for Q4 2019 included $144,166,000 in managed 13F securities and a top 10 holdings concentration of 28.27%. Sofos Investments's largest holding is SPDR SSGA US Large Cap Low Volatility In with shares held of 56,776. Whalewisdom has at least 7 13F filings

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12/31/2019

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $145.167 Million
  • Prior Market Value $116.17 Million
  • New Purchases229 stocks
  • Additional Purchases265 stocks
  • Sold out of484 stocks
  • Reduced holdings in688 stocks
  • Top 10 Holdings % 28.08 %
  • Turnover % [1]:51.37%
  • Turnover Alt % [2]: 31.85 %
  • Time Held Top20:0.75 quarters
  • Time Held Top10:1.00 quarters
  • Time Held All:4.99 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: 4.5%
Performance Last 4 Quarters: 12.02%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

SOFOS INVESTMENTS, INC.
800 NORTH WATTERS ROAD SUITE 150
ALLEN TX    75013
Country: United States

Business Phone: 1-800-920-9722
Fax: 469-342-9100
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: TX
Number of employees: 17
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 772
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.D (3),11.H (2)
Data above was derived from SEC filings.

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SOFOS INVESTMENTS, INC.

ownership team - last updated 2019-12-17
Name Title Start Date Direct/Indirect % Ownership
FINANCIAL GRAVITY COMPANIES, INC. SHAREHOLDER 06/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. SHAREHOLDER direct 2017-06-01
WINTERS, JENNIFER, CHRISTINE CCO 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
EQIS CAPITAL MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2007-02-01
EQIS CAPITAL MANAGEMENT INC. CHIEF COMPLIANCE OFFICER / AMLCO direct 2007-02-01
EQIS CAPITAL MANAGEMENT INC. EVP direct 2007-02-01
EQIS CAPITAL MANAGEMENT INC. CCO direct 2007-02-01
EQIS CAPITAL MANAGEMENT INC. EVP, ADVISOR AND EMPLOYEE EXPERIENCE direct 2007-02-01
NELSON, WILLIAM, ROBERT PRESIDENT 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
EQIS CAPITAL MANAGEMENT INC. PRINCIPAL direct 2006-05-01
EQIS CAPITAL MANAGEMENT INC. PRINCIPAL direct 2008-06-01
EQIS CAPITAL MANAGEMENT INC. SHAREHOLDER indirect 2008-06-01
EQIS CAPITAL MANAGEMENT INC. PRINCIPAL / CHIEF INVESTMENT OFFICER direct 2008-06-01

FINANCIAL GRAVITY WEALTH, INC.

ownership team - last updated 2019-08-15
Name Title Start Date Direct/Indirect % Ownership
POLLOCK, JOHN, DAVID PRESIDENT; CHIEF COMPLIANCE OFFICER 05/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. PRESIDENT direct 2007-05-01
FINANCIAL GRAVITY WEALTH, INC. PRINCIPAL AND OWNER indirect 2014-09-01
SANFORD, JENNIFER, NICOLE CHIEF COMPLIANCE DESIGNEE; DIRECTOR OF WEALTH MANAGEMENT AND OPERATIONS; CO-FOUNDER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. CHIEF COMPLIANCE OFFICER; DIRECTOR OF WEALTH MANAGEMENT AND INVESTOR RELATIONS; CO-FOUNDER direct 2015-11-01
FINANCIAL GRAVITY COMPANIES, INC. SHAREHOLDER 06/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. SHAREHOLDER direct 2017-06-01
POLLOCK, JOHN, DAVID CEO FINANCIAL GRAVITY COMPANIES, INC. 06/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. PRESIDENT direct 2007-05-01
FINANCIAL GRAVITY WEALTH, INC. PRINCIPAL AND OWNER indirect 2014-09-01

FINANCIAL GRAVITY WEALTH, INC.

ownership team - last updated 2019-03-20
Name Title Start Date Direct/Indirect % Ownership
FINANCIAL GRAVITY COMPANIES, INC. SHAREHOLDER 06/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. SHAREHOLDER direct 2017-06-01
POLLOCK, JOHN, DAVID PRESIDENT; CHIEF COMPLIANCE OFFICER 05/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. PRESIDENT direct 2007-05-01
FINANCIAL GRAVITY WEALTH, INC. PRINCIPAL AND OWNER indirect 2014-09-01
SANFORD, JENNIFER, NICOLE CHIEF COMPLIANCE DESIGNEE; DIRECTOR OF WEALTH MANAGEMENT AND OPERATIONS; CO-FOUNDER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. CHIEF COMPLIANCE OFFICER; DIRECTOR OF WEALTH MANAGEMENT AND INVESTOR RELATIONS; CO-FOUNDER direct 2015-11-01
POLLOCK, JOHN, DAVID CEO FINANCIAL GRAVITY COMPANIES, INC. 06/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. PRESIDENT direct 2007-05-01
FINANCIAL GRAVITY WEALTH, INC. PRINCIPAL AND OWNER indirect 2014-09-01

FINANCIAL GRAVITY WEALTH, INC.

ownership team - last updated 2018-12-07
Name Title Start Date Direct/Indirect % Ownership
POLLOCK, JOHN, DAVID PRESIDENT; CHIEF COMPLIANCE OFFICER 05/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. PRESIDENT direct 2007-05-01
FINANCIAL GRAVITY WEALTH, INC. PRINCIPAL AND OWNER indirect 2014-09-01
SANFORD, JENNIFER, NICOLE CHIEF COMPLIANCE DESIGNEE; DIRECTOR OF WEALTH MANAGEMENT AND OPERATIONS; CO-FOUNDER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. CHIEF COMPLIANCE OFFICER; DIRECTOR OF WEALTH MANAGEMENT AND INVESTOR RELATIONS; CO-FOUNDER direct 2015-11-01
FINANCIAL GRAVITY COMPANIES, INC. SHAREHOLDER 06/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. SHAREHOLDER direct 2017-06-01
POLLOCK, JOHN, DAVID CEO FINANCIAL GRAVITY COMPANIES, INC. 06/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. PRESIDENT direct 2007-05-01
FINANCIAL GRAVITY WEALTH, INC. PRINCIPAL AND OWNER indirect 2014-09-01

FINANCIAL GRAVITY WEALTH, INC.

ownership team - last updated 2018-05-04
Name Title Start Date Direct/Indirect % Ownership
POLLOCK, JOHN, DAVID PRESIDENT; CHIEF COMPLIANCE OFFICER 05/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. PRESIDENT direct 2007-05-01
FINANCIAL GRAVITY WEALTH, INC. PRINCIPAL AND OWNER indirect 2014-09-01
FINANCIAL GRAVITY OPERATIONS, INC. SHAREHOLDER 06/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. SHAREHOLDER direct 2015-06-01
SANFORD, JENNIFER, NICOLE CHIEF COMPLIANCE DESIGNEE; DIRECTOR OF WEALTH MANAGEMENT AND OPERATIONS; CO-FOUNDER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. CHIEF COMPLIANCE OFFICER; DIRECTOR OF WEALTH MANAGEMENT AND INVESTOR RELATIONS; CO-FOUNDER direct 2015-11-01
POLLOCK, JOHN, DAVID PRINCIPAL AND OWNER FINANCIAL GRAVITY HOLDINGS, INC. 09/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. PRESIDENT direct 2007-05-01
FINANCIAL GRAVITY WEALTH, INC. PRINCIPAL AND OWNER indirect 2014-09-01
FINANCIAL GRAVITY HOLDINGS, INC. SHAREHOLDER FINANCIAL GRAVITY OPERATIONS, INC. 09/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL GRAVITY WEALTH, INC. SHAREHOLDER indirect 2014-09-01

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