LAUREL WEALTH ADVISORS, INC.

HTTP://WWW.CSGCONSULTANTS.COM LA JOLLA, CA Investment Advisor How do I update this listing?

Laurel Wealth Advisors is based out of La Jolla. Laurel Wealth Advisors is a large advisory firm with 1819 clients and discretionary assets under management (AUM) of $1,318,662,512 (Form ADV from 2020-04-30). Their last reported 13F filing for Q1 2020 included $435,292,000 in managed 13F securities and a top 10 holdings concentration of 23.38%. Laurel Wealth Advisors's largest holding is Apple Inc with shares held of 94,890. Laurel Wealth Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 18 13F filings

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03/31/2020

13F Sector Allocation Over Time

03/31/2020

13F Activity

  • Market Value $435.292 Million
  • Prior Market Value $596.519 Million
  • New Purchases25 stocks
  • Additional Purchases110 stocks
  • Sold out of111 stocks
  • Reduced holdings in193 stocks
  • Top 10 Holdings % 23.38 %
  • Turnover % [1]:38.42%
  • Turnover Alt % [2]: 29.65 %
  • Time Held Top20:6.75 quarters
  • Time Held Top10:4.70 quarters
  • Time Held All:10.44 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 2020-05-15

Performance for Q1 2020: -8.29%
Performance Last 4 Quarters: 1.47%
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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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

LAUREL WEALTH ADVISORS, INC.
8008 GIRARD AVENUE SUITE 330
LA JOLLA CA    92037
Country: United States

Business Phone: 858.459.1101
Fax: 858.456.0020
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: CA
Number of employees: 42
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 1819
Amount of client funds and securities by related persons: 1,159,900,000
Total Number of clients from related persons: 3694
Disclosures: 11.C (1),11.C (2),11.C (4),11.C (5),11.E (1),11.E (2)
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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LAUREL WEALTH ADVISORS, INC.

ownership team - last updated 2020-03-31
Name Title Start Date Direct/Indirect % Ownership

LAUREL WEALTH ADVISORS, INC.

ownership team - last updated 2019-10-01
Name Title Start Date Direct/Indirect % Ownership
WELSH, MARK, DANIEL PRINCIPAL & MANAGING DIRECTOR 05/01/2011 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2011-05-01
Cooper, Donna, Lynne CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2018-01-01
TRIPODI, LEE, ALFRED PRINCIPAL & PRESIDENT 05/01/2011 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2011-03-01
LAVOIE, BRIAN, MATTHEW DIRECTOR OF OPERATIONS, SALES-FORCE & CLIENT SERVICES SUPERVISOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. DIRECTOR OF OPERATIONS, SALES-FORCE & CLIENT SERVICES SUPERVISOR direct 2019-04-01

LAUREL WEALTH ADVISORS, INC.

ownership team - last updated 2019-09-24
Name Title Start Date Direct/Indirect % Ownership
WELSH, MARK, DANIEL PRINCIPAL & MANAGING DIRECTOR 05/01/2011 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2011-05-01
Cooper, Donna, Lynne CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2018-01-01
TRIPODI, LEE, ALFRED PRINCIPAL & PRESIDENT 05/01/2011 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2011-03-01
LAVOIE, BRIAN, MATTHEW DIRECTOR OF OPERATIONS, SALES-FORCE & CLIENT SERVICES SUPERVISOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. DIRECTOR OF OPERATIONS, SALES-FORCE & CLIENT SERVICES SUPERVISOR direct 2019-04-01

LAUREL WEALTH ADVISORS, INC.

ownership team - last updated 2019-06-17
Name Title Start Date Direct/Indirect % Ownership
LAVOIE, BRIAN, MATTHEW DIRECTOR OF OPERATIONS, SALES-FORCE & CLIENT SERVICES SUPERVISOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. DIRECTOR OF OPERATIONS, SALES-FORCE & CLIENT SERVICES SUPERVISOR direct 2019-04-01
WELSH, MARK, DANIEL PRINCIPAL & MANAGING DIRECTOR 05/01/2011 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2011-05-01
Cooper, Donna, Lynne CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2018-01-01
TRIPODI, LEE, ALFRED PRINCIPAL & PRESIDENT 05/01/2011 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2011-03-01

LAUREL WEALTH ADVISORS, INC.

ownership team - last updated 2019-02-21
Name Title Start Date Direct/Indirect % Ownership
WELSH, MARK, DANIEL PRINCIPAL & MANAGING DIRECTOR 05/01/2011 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2011-05-01
CAVE, ELIZABETH COMPLIANCE MANAGEMENT OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. COMPLIANCE MANAGEMENT OFFICER direct 2018-01-01
Cooper, Donna, Lynne CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2018-01-01
TRIPODI, LEE, ALFRED PRINCIPAL & PRESIDENT 05/01/2011 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2011-03-01

LAUREL WEALTH ADVISORS, INC.

ownership team - last updated 2018-05-23
Name Title Start Date Direct/Indirect % Ownership
WELSH, MARK, DANIEL PRINCIPAL & MANAGING DIRECTOR 05/01/2011 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2011-05-01
CAVE, ELIZABETH COMPLIANCE MANAGEMENT OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. COMPLIANCE MANAGEMENT OFFICER direct 2018-01-01
Cooper, Donna, Lynne CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2018-01-01
TRIPODI, LEE, ALFRED PRINCIPAL & PRESIDENT 05/01/2011 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
LAUREL WEALTH ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2011-03-01

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