MML INVESTORS SERVICES, LLCMML INVESTORS SERVICES, LLC

Institutional investor · Portfolio as of Q4 2020

SEC EDGAR SourceSEC Filings

Top Holdings1,659 positions

Activity:
Stock
Shares
Value
Weight
Avg Buy
Est. P&L
Held
Conviction
IVVIVV
ETF

iShares Trust CORE S&P500 ETF

908,127$340.9M3.6%$254.71+36.47%
9 qtrssince 2018-Q4
Increased
64
QQQQQQ
Unit

Invesco QQQ Trust, Series 1 UNIT SER 1

679,716$213.3M2.3%$166.33+82.60%
9 qtrssince 2018-Q4
Decreased
0

APPLE INC

1.4M$192.1M2.1%$93.39+39.25%
9 qtrssince 2018-Q4
Increased
54
ESGUESGU
ETF

ISHARES TR

2M$174.4M1.9%$66.20+21.14%
9 qtrssince 2018-Q4
Increased
64
SPYSPY
Unit

State Street Spdr S&p 500 Etf Trust TR UNIT

456,903$170.8M1.8%$230.14+50.88%
9 qtrssince 2018-Q4
Decreased
0

MICROSOFT CORP

641,048$142.6M1.5%$122.66+73.41%
9 qtrssince 2018-Q4
Increased
52

AMAZON COM INC

43,290$141M1.5%$93.00+76.65%
9 qtrssince 2018-Q4
Increased
51
VUGVUG
ETF

Vanguard Index Funds GROWTH ETF

554,351$140.4M1.5%$141.76+73.47%
9 qtrssince 2018-Q4
Increased
50
USMVUSMV
ETF

ISHARES TR

1.7M$118.8M1.3%$50.78+22.17%
9 qtrssince 2018-Q4
Decreased
0
VOOVOO
ETF

VANGUARD INDEX FDS

294,077$101.1M1.1%$210.06+51.48%
9 qtrssince 2018-Q4
Increased
47
DGRODGRO
ETF

ISHARES TR

2.2M$99M1.1%$29.99+32.06%
9 qtrssince 2018-Q4
Decreased
0
LQDLQD
ETF

ISHARES TR

697,210$96.3M1.0%$106.83+7.12%
9 qtrssince 2018-Q4
Decreased
0
IWFIWF
ETF

iShares Trust RUS 1000 GRW ETF

391,706$94.5M1.0%$127.22+83.44%
9 qtrssince 2018-Q4
Decreased
0
VTVVTV
ETF

VANGUARD INDEX FDS

777,324$92.5M1.0%$84.81+23.32%
9 qtrssince 2018-Q4
Increased
45
GOVTGOVT
ETF

ISHARES TR

3.4M$91.6M1.0%$22.70+6.57%
9 qtrssince 2018-Q4
Increased
48
EFGEFG
ETF

ISHARES TR

812,085$81.9M0.9%$77.43+20.37%
9 qtrssince 2018-Q4
Increased
45
VIGVIG
ETF

VANGUARD SPECIALIZED FUNDS

540,489$76.3M0.8%$88.20+44.94%
9 qtrssince 2018-Q4
Increased
43
ESGEESGE
ETF

ISHARES INC

1.8M$74.1M0.8%$29.48+25.35%
8 qtrssince 2019-Q1
Increased
57
IJRIJR
ETF

ISHARES TR

791,511$72.7M0.8%$61.61+37.52%
9 qtrssince 2018-Q4
Decreased
0
IEFAIEFA
ETF

ISHARES TR

1M$72.2M0.8%$46.45+27.67%
9 qtrssince 2018-Q4
Increased
43
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$9.4B
AUM
1,659
Positions
Q4 2020
Filing
Rating · 4.5
Quarterly Portfolio Change
-11%Q3'19$6.2B+13%Q4'19$7B-17%Q1'20$5.8B+29%Q2'20$7.5B+7%Q3'20$8B+17%Q4'20$9.4B
Activity profile
$ moved · Q4'20
New6%Increased72%Decreased21%Exited2%
Composition
Equity vs derivatives
Equity100%Puts0%Calls0%
Holding period
Avg 1.6 years
<1Q6%1-4Q11%1-2Y14%2Y+69%

MML INVESTORS SERVICES, LLC manages $9.4B across 1659 positions as of Q4 2020. Top holdings: IVV (3.6%), QQQ (2.3%), AAPL (2.1%). Fund DNA: Balanced Allocator. HoldingsIntel Rating: 4.5/5.0.

Q4 2020 Summary

Active quarter - 166 new positions, 77 exits, 890 increased. Top move: IVV (INCREASED, conviction 64). Portfolio: $9.4B across 1659 positions.

Top holdings by portfolio weight

Total AUM$9B
IVV3.64%
QQQ2.28%
AAPL2.05%
ESGU1.86%
SPY1.82%
MSFT1.52%
AMZN1.51%
VUG1.50%
USMV1.27%
VOO1.08%
Other1.06%

Portfolio allocation by GICS sector

Sectors11
Unknown66.13%
Technology8.26%
Healthcare4.64%
Consumer Cyclical4.59%
Financial Services4.43%
Communication Services3.79%
Industrials2.68%
Consumer Defensive2.49%
Utilities0.83%
Real Estate0.78%
Other1.37%

Behavioral investing profile

Balanced Allocator93%- primarily Unknown
Compare DNA across all funds
7-dimension quality assessment
Elite(4.5 / 5.0)
Track Record64
Conviction39
Concentration0
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Position Outcomes

Best and worst performing positions by estimated return

Cost basis estimates based on full filing history using quarter-end prices. Actual transaction prices are not disclosed in 13F filings.

Accumulation Streaks

Positions with 2+ consecutive quarters of increases - persistent directional conviction.

Security
7Q
14020Y508CAPITAL GRP FIXED INCM ETF T
Q3 2024 Q1 2026+1.2M shares+$60M
7Q
AEEAMEREN CORP
Q3 2024 Q1 2026+26,292 shares+$5.4M
7Q
AVDVAMERICAN CENTY ETF TR
Q3 2024 Q1 2026+97,131 shares+$17.6M

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Data sourced from SEC EDGAR 13F filings. Not financial advice. Full disclaimer

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