PARK AVENUE SECURITIES LLC — 13F Holdings & Portfolio
CIK 1071640 · latest 13F-HR filed 2026-10-26
PARK AVENUE SECURITIES LLC manages $16.36B in 13F-reported U.S. long-equity assets across 1,772 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are IVV (8.73%), IUSB (4.23%), IVW (3.37%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 103 new positions and exited 107; 578 existing positions rose in reported value and 652 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
Loading holdings…
AUM
$16.36B
Long-equity book
Holdings
1,772
Distinct positions
Period
2026-09-30
Filed 2026-10-26
Q/Q Activity
+103 / −107 / ↑578 / ↓652
vs 2026-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 26IVV8.7% · +1%IUSB4.2% · +22%IVW3.4% · +0%DYNF3.2% · -2%IVE2.5% · +0%CORO1.9% · +98%EFV1.7% · -1%ACWX1.6% · +507%NVDA1.6% · +1%BLCR1.5% · +38%IEMG1.4% · -35%EFG1.4% · -12%BAI1.3% · -13%AAPL1.3% · +2%DFAC1.2% · +5%MSFT1.0% · +3%THRO0.9% · +3%MUB0.9% · +35%GOVT0.9% · +2%SPY0.9% · -2%SCHG0.8% · +8%TLH0.8% · +2%AVUS0.8% · +10%VBR0.8% · +2%IDEF0.8% · -17%IALT0.7% · +4%DFIC0.7% · +5%DUHP0.7% · +5%AMZN0.7% · +4%BDYN0.7% · +3%GOOGL0.7% · +1%GGOV0.6% · +15%VB0.6% · +5%VIG0.5% · -0%SPDW0.5% · +1%SPYM0.5% · -15%BFLX0.5% · +185%VTI0.5% · +2%META0.5% · -1%AGG0.5% · +15%AVGO0.4% · -0%DFIS0.4% · +4%AVLV0.4% · -0%XLK0.4% · -2%BDVL0.4% · +0%VEA0.4% · +1%AVDV0.4% · +5%AVEM0.4% · +1%IEFA0.3% · +61%JPM0.3% · +1%MU0.3% · +7%IAU0.3% · +6%QUAL0.3% · +0%DIHP0.3% · +6%AVLC0.3% · +12%VOO0.3% · +5%GOOG0.3% · +3%SMH0.3% · +10%TSLA0.3% · +3%LMUB0.3% · -16%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 26 → Q3 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
4 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 30.3%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Oct 30, 2026.
Assets Under Management
$19.58B
Discretionary
$17.64B
Employees
2,073
Accounts
82,118
Address
10 HUDSON YARDS
NEW YORK, NY 10001
NEW YORK, NY 10001
Phone
(888) 600-4667
This firm reports 11 disclosure items on its registration.
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| BOGGS, ALLEN WARREN Control | HEAD OF PRODUCT & SUPERVISION since Sep 2014 | Less than 5% | Individual |
| CASWELL, MARIANNE GRACE Control | PRESIDENT AND ELECTED MEMBER since Jan 2021 | Less than 5% | Individual |
| GALLO, JOSEPH MICHAEL Control | CHIEF COMPLIANCE OFFICER since Jan 2025 | Less than 5% | Individual |
| MAHER, CARLY PRITCHARD Control | ELECTED MEMBER & HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS since Sep 2020 | Less than 5% | Individual |
| RYNIKER, MICHAEL JOHN Control | PRINCIPAL OPERATIONS OFFICER since Apr 2023 | Less than 5% | Individual |
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA Control | OWNER since Dec 2019 | 75% or more | Domestic Entity |
| VECCHI, MEG R Control | ELECTED MEMBER since Jun 2026 | Less than 5% | Individual |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. since Jul 2024 | Less than 5% | Individual |
| DESROCHERS, CARL | ELECTED MEMBER since Aug 2023 | Less than 5% | Individual |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL since Oct 2019 | Less than 5% | Individual |
Ownership & leadership changes · 48 filings with changes since Nov 15, 2011
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Sep 8, 2026 filing
- No longer listedPERRY, MICHAEL ANDREW · ELECTED MEMBER · Less than 5% · control person · listed since Aug 2025
Sep 2, 2026 filing
- AddedVECCHI, MEG R · ELECTED MEMBER · Less than 5% · control person
- ChangedMAHER, CARLY PRITCHARD · title HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS → ELECTED MEMBER & HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS
Jun 5, 2026 filing
- No longer listedLESINA, LEYLA ADA · ELECTED MEMBER · Less than 5% · control person · listed since May 2019
Oct 8, 2025 filing
- No longer listedFERIK, MICHAEL NICHOLAS · ELECTED MEMBER · Less than 5% · listed since Feb 2014
- AddedPERRY, MICHAEL ANDREW · ELECTED MEMBER · Less than 5% · control person
Jan 6, 2025 filing
- No longer listedBUTSCHER, JEFFREY JOSEPH · INTERIM CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Mar 2024
- AddedGALLO, JOSEPH MICHAEL · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Jul 3, 2024 filing
- No longer listedWALTER, JOHN HAROLD · FINOP/PRINCIPAL FINANCIAL OFFICER · Less than 5% · listed since Sep 2022
- AddedDAVARASHVILI, KATE · FINOP/PRINCIPAL FINANCIAL OFFICER. · Less than 5%
Mar 23, 2024 filing
- No longer listedDROGAN, THOMAS JOHN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Oct 2019
- Listed againBUTSCHER, JEFFREY JOSEPH · INTERIM CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Sep 13, 2023 filing
- No longer listedMOLLOY, KEVIN · ELECTED MEMBER · Less than 5% · listed since Feb 2020
- AddedDESROCHERS, CARL · ELECTED MEMBER · Less than 5%
Apr 29, 2023 filing
- Listed againRYNIKER, MICHAEL JOHN · PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person
- ChangedWALTER, JOHN HAROLD · title FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER → FINOP/PRINCIPAL FINANCIAL OFFICER
Mar 15, 2023 filing
- ChangedBOGGS, ALLEN WARREN · title REGISTERED OPTIONS PRINCIPAL → HEAD OF PRODUCT & SUPERVISION; now a control person
- ChangedHERGAN, JOSHUA NEIL · title PAS GENERAL COUNSEL → GENERAL COUNSEL; no longer a control person
- ChangedMAHER, CARLY PRITCHARD · title PAS OPERATING OFFICER → HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS
Older changes (39 more filings)
Sep 22, 2022 filing
- No longer listedLAIETTA, MARIA J · FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER · Less than 5% · listed since Dec 2021
- Listed againWALTER, JOHN HAROLD · FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER · Less than 5%
Dec 13, 2021 filing
- No longer listedROSANEL, JOSEPH PINHAS · FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER · Less than 5% · listed since Jan 2017
- AddedLAIETTA, MARIA J · FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER · Less than 5%
Jan 6, 2021 filing
- No longer listedMORRISSEY, WILLIAM PAUL · PRESIDENT AND ELECTED MEMBER · Less than 5% · control person · listed since Jan 2019
- AddedCASWELL, MARIANNE GRACE · PRESIDENT AND ELECTED MEMBER · Less than 5% · control person
Oct 29, 2020 filing
- AddedMAHER, CARLY PRITCHARD · PAS OPERATING OFFICER · Less than 5% · control person
Mar 16, 2020 filing
- AddedMOLLOY, KEVIN · ELECTED MEMBER · Less than 5%
Feb 3, 2020 filing
- No longer listedDROGAN, THOMAS JOHN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Oct 2019
- No longer listedMCMAHON, ANDREW JOHN MR. · ELECTED MEMBER · Less than 5% · listed since Apr 2019
- AddedDROGAN, THOMAS JOHN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- AddedMORRISSEY, WILLIAM PAUL · PRESIDENT AND ELECTED MEMBER · Less than 5% · control person
- ChangedLESINA, LEYLA ADA · title ELECTED MEMBER AND INTERIM PRESIDENT → ELECTED MEMBER
Jan 24, 2020 filing
- No longer listedBUTSCHER, JEFFREY JOSEPH · SECOND VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, WHOLESALE DIVISION · Less than 5% · control person · listed since Oct 2016
- No longer listedETHIRVEERASINGAM, NAHULAN N · SECOND VICE PRESIDENT, WHOLESALE DIVISION · Less than 5% · listed since Apr 2015
- No longer listedFUENTEZ, BARBARA JEAN · VICE PRESIDENT, OPERATIONS AND SERVICE · Less than 5% · control person · listed since Dec 2014
- No longer listedLAKE, JAMES PATRICK JR · FIELD VICE PRESIDENT, NATIONAL SALES MANAGER, WHOLESALE DIVISION · Less than 5% · listed since Apr 2015
- No longer listedTHE GUARDIAN INSURANCE & ANNUITY CO., INC. · OWNER · 75% or more · control person · listed since Aug 1998
- No longer listedTHE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA · OWNER · 75% or more · indirect via THE GUARDIAN INSURANCE & ANNUITY COMPANY, INC. · control person · listed since Nov 1992
- No longer listedWALTER, JOHN HAROLD · VICE PRESIDENT, FINANCIAL OFFICER, WHOLESALE DIVISION · Less than 5% · control person · listed since Apr 2015
- AddedTHE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA · OWNER · 75% or more · control person
Nov 4, 2019 filing
- No longer listedPALAZZETTI, JOHN · PRESIDENT AND ELECTED MEMBER · Less than 5% · control person · listed since May 2014
- ChangedLESINA, LEYLA ADA · title ELECTED MEMBER → ELECTED MEMBER AND INTERIM PRESIDENT
Oct 16, 2019 filing
- AddedDROGAN, THOMAS JOHN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ChangedHERGAN, JOSHUA NEIL · title CHIEF COMPLIANCE OFFICER → PAS GENERAL COUNSEL
Aug 19, 2019 filing
- No longer listedINGRAHAM, FRANK TODD · SECOND VICE PRESIDENT, SUPERVISION AND BUSINESS RISK · Less than 5% · control person · listed since Jul 2019
Jul 15, 2019 filing
- No longer listedRYNIKER, MICHAEL JOHN · CHIEF OPERATIONS OFFICER · Less than 5% · control person · listed since Mar 2012
- AddedINGRAHAM, FRANK TODD · SECOND VICE PRESIDENT, SUPERVISION AND BUSINESS RISK · Less than 5% · control person
- ChangedFUENTEZ, BARBARA JEAN · title VICE PRESIDENT, BUSINESS ADMINISTRATION & CONTROLS → VICE PRESIDENT, OPERATIONS AND SERVICE
Jun 3, 2019 filing
- AddedLESINA, LEYLA ADA · ELECTED MEMBER · Less than 5% · control person
May 14, 2019 filing
- No longer listedDYRHAUG, CHRISTOPHER SIVERT · ELECTED MEMBER · Less than 5% · control person · listed since Oct 2016
- AddedMCMAHON, ANDREW JOHN MR. · ELECTED MEMBER · Less than 5%
Apr 25, 2019 filing
- No longer listedCAHILL JR, THOMAS LAWRENCE · SECOND VICE PRESIDENT, INDIVIDUAL MARKETS CONTROLLER · Less than 5% · control person · listed since Dec 2016
- ChangedFERIK, MICHAEL NICHOLAS · no longer a control person
Nov 1, 2018 filing
- ChangedROSANEL, JOSEPH PINHAS · title FINANCIAL AND OPERATIONS PRINCIPAL → FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER
Oct 15, 2018 filing
- ChangedDYRHAUG, CHRISTOPHER SIVERT · title MANAGING MEMBER → ELECTED MEMBER
- ChangedFERIK, MICHAEL NICHOLAS · title MANAGING MEMBER → ELECTED MEMBER
- ChangedPALAZZETTI, JOHN · title PRESIDENT AND MANAGING MEMBER → PRESIDENT AND ELECTED MEMBER
Jun 11, 2018 filing
- No longer listedSHAINBERG, ANDREW MEAD · INTERIM CHIEF COMPLIANCE OFFICER - BROKER/DEALER · Less than 5% · control person · listed since Jan 2018
- ChangedHERGAN, JOSHUA NEIL · title CHIEF COMPLIANCE OFFICER - RIA → CHIEF COMPLIANCE OFFICER
Apr 16, 2018 filing
- AddedHERGAN, JOSHUA NEIL · CHIEF COMPLIANCE OFFICER - RIA · Less than 5% · control person
- ChangedSHAINBERG, ANDREW MEAD · title INTERIM CHIEF COMPLIANCE OFFICER → INTERIM CHIEF COMPLIANCE OFFICER - BROKER/DEALER
Feb 2, 2018 filing
- No longer listedGOODALL, KENNETH RAY · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since May 2014
- AddedSHAINBERG, ANDREW MEAD · INTERIM CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Nov 29, 2017 filing
- No longer listedCHAMERDA, ROBERT STEPHEN · SECOND VICE PRESIDENT, WHOLESALE DIVISION · Less than 5% · listed since Apr 2015
- No longer listedDUBITSKY, DOUGLAS BRUCE · VICE PRESIDENT, WHOLESALE DIVISION · Less than 5% · listed since Apr 2015
- ChangedRYNIKER, MICHAEL JOHN · title CHIEF OPERATING OFFICER → CHIEF OPERATIONS OFFICER
Jul 5, 2017 filing
- No longer listedCOSTANTINI, MARC · MANAGING MEMBER · Less than 5% · control person · listed since Feb 2014
- AddedCAHILL JR, THOMAS LAWRENCE · SECOND VICE PRESIDENT, INDIVIDUAL MARKETS CONTROLLER · Less than 5% · control person
- AddedFUENTEZ, BARBARA JEAN · VICE PRESIDENT, BUSINESS ADMINISTRATION & CONTROLS · Less than 5% · control person
- ChangedDYRHAUG, CHRISTOPHER SIVERT · title MANAGING MEMBER & HEAD OF INDIVIDUAL MARKETS ADMINISTRATION/WEALTH MANAGEMENT → MANAGING MEMBER
Apr 7, 2017 filing
- ChangedCOSTANTINI, MARC · title LLC MANAGER → MANAGING MEMBER
- ChangedDYRHAUG, CHRISTOPHER SIVERT · title SVP, HEAD OF INDIVIDUAL MARKETS ADMINISTRATION AND WEALTH MANAGEMENT → MANAGING MEMBER & HEAD OF INDIVIDUAL MARKETS ADMINISTRATION/WEALTH MANAGEMENT
- ChangedFERIK, MICHAEL NICHOLAS · title LLC MANAGER → MANAGING MEMBER
- ChangedPALAZZETTI, JOHN · title PRESIDENT → PRESIDENT AND MANAGING MEMBER
Mar 23, 2017 filing
- No longer listedCOREJ, CARRIE ANN · INTERIM CONTROLLER · Less than 5% · control person · listed since Nov 2016
- AddedROSANEL, JOSEPH PINHAS · FINANCIAL AND OPERATIONS PRINCIPAL · Less than 5%
Nov 23, 2016 filing
- No longer listedCEFOLE, MICHAEL B · CHAIRMAN OF THE BOARD OF MANAGERS OF PARK AVENUE SECURITIES LLC · Less than 5% · control person · listed since Mar 2013
- No longer listedCONWAY, JAMES ROBERT · CONTROLLER · Less than 5% · control person · listed since Jun 2014
- No longer listedDOLFI, D. SCOTT · LLC MANAGER · Less than 5% · control person · listed since Feb 2014
- No longer listedSENKER, LINDA ELLEN · SECOND VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, WHOLESALE DIVISION · Less than 5% · control person · listed since Apr 2015
- No longer listedSULLIVAN, DONALD PAUL JR · SENIOR VICE PRESIDENT, AGENCY DISTRIBUTION AND PAS / LLC MANAGER · Less than 5% · control person · listed since May 2008
- AddedBUTSCHER, JEFFREY JOSEPH · SECOND VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, WHOLESALE DIVISION · Less than 5% · control person
- AddedCOREJ, CARRIE ANN · INTERIM CONTROLLER · Less than 5% · control person
- AddedDYRHAUG, CHRISTOPHER SIVERT · SVP, HEAD OF INDIVIDUAL MARKETS ADMINISTRATION AND WEALTH MANAGEMENT · Less than 5% · control person
Oct 21, 2015 filing
- AddedBOGGS, ALLEN WARREN · REGISTERED OPTIONS PRINCIPAL · Less than 5%
Jun 30, 2015 filing
- No longer listedNURGE-ALWS, THERESA E · SENIOR VICE PRESIDENT & CHIEF INFORMATION OFFICER · Less than 5% · control person · listed since Oct 2007
May 15, 2015 filing
- AddedCHAMERDA, ROBERT STEPHEN · SECOND VICE PRESIDENT, WHOLESALE DIVISION · Less than 5%
- AddedDUBITSKY, DOUGLAS BRUCE · VICE PRESIDENT, WHOLESALE DIVISION · Less than 5%
- AddedETHIRVEERASINGAM, NAHULAN N · SECOND VICE PRESIDENT, WHOLESALE DIVISION · Less than 5%
- AddedLAKE, JAMES PATRICK JR · FIELD VICE PRESIDENT, NATIONAL SALES MANAGER, WHOLESALE DIVISION · Less than 5%
- AddedSENKER, LINDA ELLEN · SECOND VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, WHOLESALE DIVISION · Less than 5% · control person
- Listed againWALTER, JOHN HAROLD · VICE PRESIDENT, FINANCIAL OFFICER, WHOLESALE DIVISION · Less than 5% · control person
Aug 18, 2014 filing
- No longer listedRILEY, THOMAS WILLIAM · MUNICIPAL SECURITIES REGISTERED PRINCIPAL / REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL (ROFSP) · Less than 5% · listed since Sep 2008
- AddedCONWAY, JAMES ROBERT · CONTROLLER · Less than 5% · control person
Jul 3, 2014 filing
- No longer listedCOOLEY, JILL DIANE · PRESIDENT · Less than 5% · listed since Jul 2011
- No longer listedGILLETT, LARA · INTERIM CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Dec 2013
- No longer listedWALTER, JOHN HAROLD · INTERIM CHIEF FINANCIAL OFFICER · Less than 5% · control person · listed since May 2013
- AddedCOSTANTINI, MARC · LLC MANAGER · Less than 5% · control person
- AddedGOODALL, KENNETH RAY · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- AddedPALAZZETTI, JOHN · PRESIDENT · Less than 5% · control person
- ChangedFERIK, MICHAEL NICHOLAS · title LLC MEMBER → LLC MANAGER
Apr 10, 2014 filing
- No longer listedBROATCH, ROBERT ERNEST · LLC MANAGER · Less than 5% · control person · listed since Mar 2003
- AddedDOLFI, D. SCOTT · LLC MANAGER · Less than 5% · control person
- AddedFERIK, MICHAEL NICHOLAS · LLC MEMBER · Less than 5% · control person
- ChangedCOOLEY, JILL DIANE · title PRESIDENT / LLC MANAGER → PRESIDENT
- ChangedSULLIVAN, DONALD PAUL JR · title SENIOR VICE PRESIDENT, AGENCY DISTRIBUTION AND PAS/CORPORATE SECRETARY/LLC MANAGER → SENIOR VICE PRESIDENT, AGENCY DISTRIBUTION AND PAS / LLC MANAGER
Jan 2, 2014 filing
- No longer listedNEARY, JOSEPH DANIEL JR · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Apr 2013
- AddedGILLETT, LARA · INTERIM CHIEF COMPLIANCE OFFICER · Less than 5%
Dec 20, 2013 filing
- No longer listedBELFER, BARRY IVAN · VP TREASURER · Less than 5% · control person · listed since Oct 2003
May 31, 2013 filing
- No longer listedTROIA, SALVATORE C · SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER · Less than 5% · control person · listed since Aug 2007
- AddedWALTER, JOHN HAROLD · INTERIM CHIEF FINANCIAL OFFICER · Less than 5% · control person
May 9, 2013 filing
- No longer listedBUELL, STEPHEN JAMES · INTERIM CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Aug 2012
- No longer listedDOLFI, D. SCOTT · LLC MANAGER · Less than 5% · control person · listed since Jan 2009
- AddedCEFOLE, MICHAEL B · CHAIRMAN OF THE BOARD OF MANAGERS OF PARK AVENUE SECURITIES LLC · Less than 5% · control person
- AddedNEARY, JOSEPH DANIEL JR · CHIEF COMPLIANCE OFFICER · Less than 5%
- AddedRYNIKER, MICHAEL JOHN · CHIEF OPERATING OFFICER · Less than 5% · control person
- ChangedCOOLEY, JILL DIANE · title PRESIDENT /CHIEF OPERATING OFFICER PAS/LLC MANAGER → PRESIDENT / LLC MANAGER
- ChangedSULLIVAN, DONALD PAUL JR · title SENIOR VICE PRESIDENT, AGENCY DISTRIBUTION AND PAS/CORPORATE SECRETARY → SENIOR VICE PRESIDENT, AGENCY DISTRIBUTION AND PAS/CORPORATE SECRETARY/LLC MANAGER
- ChangedTROIA, SALVATORE C · title VICE PRESIDENT & CHIEF FINANCIAL OFFICER → SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER
Sep 24, 2012 filing
- No longer listedNOAH, SCOTT IVES · SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER BD/RIA · Less than 5% · listed since Oct 2011
- AddedBUELL, STEPHEN JAMES · INTERIM CHIEF COMPLIANCE OFFICER · Less than 5%
Jul 13, 2012 filing
- No longer listedBONO, BRIAN DAVID · FIELD VICE PRESIDENT, PROGRAM MANAGER AND RIA HEAD · Less than 5% · control person · listed since Aug 2011
Mar 30, 2012 filing
- No longer listedSKINNER, MARGARET W · LLC MANAGER · Less than 5% · control person · listed since Jan 2009
- ChangedCOOLEY, JILL DIANE · title PRESIDENT /CHIEF OPERATING OFFICER PAS/ → PRESIDENT /CHIEF OPERATING OFFICER PAS/LLC MANAGER
- ChangedSULLIVAN, DONALD PAUL JR · title SENIOR VICE PRESIDENT, AGENCY DISTRIBUTION AND PAS/CORPORATE SECRETAR → SENIOR VICE PRESIDENT, AGENCY DISTRIBUTION AND PAS/CORPORATE SECRETARY
Dec 5, 2011 filing
- No longer listedPOTTER, RICHARD THOMAS JR · VICE PRESIDENT/COUNSEL · Less than 5% · listed since Aug 1998
- No longer listedRICH, TRACY L · EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CORPORATE SECRETARY · Less than 5% · control person · listed since Jan 2010
- ChangedNOAH, SCOTT IVES · title CHIEF COMPLIANCE OFFICER → SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER BD/RIA
Nov 15, 2011 filing (earliest on record)
- ListedBELFER, BARRY IVAN · VP TREASURER · Less than 5% · control person
- ListedBONO, BRIAN DAVID · FIELD VICE PRESIDENT, PROGRAM MANAGER AND RIA HEAD · Less than 5% · control person
- ListedBROATCH, ROBERT ERNEST · LLC MANAGER · Less than 5% · control person
- ListedCOOLEY, JILL DIANE · PRESIDENT /CHIEF OPERATING OFFICER PAS/ · Less than 5%
- ListedDOLFI, D. SCOTT · LLC MANAGER · Less than 5% · control person
- ListedNOAH, SCOTT IVES · CHIEF COMPLIANCE OFFICER · Less than 5%
- ListedNURGE-ALWS, THERESA E · SENIOR VICE PRESIDENT & CHIEF INFORMATION OFFICER · Less than 5% · control person
- ListedPOTTER, RICHARD THOMAS JR · VICE PRESIDENT/COUNSEL · Less than 5%
- ListedRICH, TRACY L · EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CORPORATE SECRETARY · Less than 5% · control person
- ListedRILEY, THOMAS WILLIAM · MUNICIPAL SECURITIES REGISTERED PRINCIPAL / REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL (ROFSP) · Less than 5%
- ListedSKINNER, MARGARET W · LLC MANAGER · Less than 5% · control person
- ListedSULLIVAN, DONALD PAUL JR · SENIOR VICE PRESIDENT, AGENCY DISTRIBUTION AND PAS/CORPORATE SECRETAR · Less than 5% · control person
- ListedTHE GUARDIAN INSURANCE & ANNUITY CO., INC. · OWNER · 75% or more · control person
- ListedTHE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA · OWNER · 75% or more · indirect via THE GUARDIAN INSURANCE & ANNUITY COMPANY, INC. · control person
- ListedTROIA, SALVATORE C · VICE PRESIDENT & CHIEF FINANCIAL OFFICER · Less than 5% · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- ISHARES TR$223.9M +503.2%
- BLACKROCK ETF TRUST$152.0M +96.6%
- ISHARES TR$96.1M +16.1%
- BLACKROCK ETF TRUST$63.5M +34.2%
- BLACKROCK ETF TRUST$55.5M +186.1%
Top Trims
- ISHARES TR-$206.3M -94.0%
- ISHARES TR-$130.5M -94.2%
- ISHARES INC-$126.0M -36.0%
- BLACKROCK ETF TRUST-$61.9M -22.1%
- ISHARES TR-$41.0M -15.5%
New Positions
- DFA INVT DIMENSIONS GROUP IN$116.6M
- EXXONMOBIL HOLDINGS CORP$33.9M
- DFA INVT DIMENSIONS GROUP IN$27.8M
- DFA INVT DIMENSIONS GROUP IN$13.1M
- AMERICAN CENTY ETF TR$9.7M
Exited Positions
- DIMENSIONAL ETF TRUST$110.5M
- DIMENSIONAL ETF TRUST$27.7M
- EXXON MOBIL CORP$23.8M
- DIMENSIONAL ETF TRUST$11.9M
- J P MORGAN EXCHANGE TRADED F$5.3M
PARK AVENUE SECURITIES LLC Holdings (2026-09-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | ISHARES TR | IVV | 464287200 | $1.43B | 8.73% | 1,864,298 | SH |
| 2 | ISHARES TR | IUSB | 46434V613 | $692.1M | 4.23% | 15,696,885 | SH |
| 3 | ISHARES TR | IVW | 464287309 | $550.9M | 3.37% | 3,872,744 | SH |
| 4 | BLACKROCK ETF TRUST | DYNF | 09290C103 | $522.0M | 3.19% | 7,537,527 | SH |
| 5 | ISHARES TR | IVE | 464287408 | $414.6M | 2.53% | 1,816,354 | SH |
| 6 | BLACKROCK ETF TRUST | CORO | 09290C764 | $309.4M | 1.89% | 8,511,671 | SH |
| 7 | ISHARES TR | EFV | 464288877 | $270.3M | 1.65% | 3,415,148 | SH |
| 8 | ISHARES TR | ACWX | 464288240 | $268.4M | 1.64% | 3,548,977 | SH |
| 9 | NVIDIA CORPORATION | NVDA | 67066G104 | $257.2M | 1.57% | 1,126,270 | SH |
| 10 | BLACKROCK ETF TRUST | BLCR | 09290C855 | $249.1M | 1.52% | 5,087,674 | SH |
| 11 | ISHARES INC | IEMG | 46434G103 | $223.5M | 1.37% | 2,754,001 | SH |
| 12 | ISHARES TR | EFG | 464288885 | $223.5M | 1.37% | 1,865,143 | SH |
| 13 | BLACKROCK ETF TRUST | BAI | 09290C780 | $218.6M | 1.34% | 4,631,534 | SH |
| 14 | APPLE INC | AAPL | 037833100 | $208.7M | 1.28% | 626,806 | SH |
| 15 | DIMENSIONAL ETF TRUST | DFAC | 25434V708 | $196.0M | 1.20% | 4,409,998 | SH |
| 16 | MICROSOFT CORP | MSFT | 594918104 | $157.0M | 0.96% | 306,008 | SH |
| 17 | BLACKROCK ETF TRUST | THRO | 09290C806 | $154.0M | 0.94% | 3,500,585 | SH |
| 18 | ISHARES TR | MUB | 464288414 | $153.4M | 0.94% | 1,517,444 | SH |
| 19 | ISHARES TR | GOVT | 46429B267 | $146.6M | 0.90% | 6,704,152 | SH |
| 20 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $143.2M | 0.88% | 187,787 | SH |
| 21 | SCHWAB STRATEGIC TR | SCHG | 808524300 | $135.7M | 0.83% | 3,777,527 | SH |
| 22 | ISHARES TR | TLH | 464288653 | $128.6M | 0.79% | 1,395,639 | SH |
| 23 | AMERICAN CENTY ETF TR | AVUS | 025072885 | $128.6M | 0.79% | 1,003,702 | SH |
| 24 | VANGUARD INDEX FDS | VBR | 922908611 | $127.5M | 0.78% | 551,837 | SH |
| 25 | BLACKROCK ETF TRUST | IDEF | 09290C699 | $124.4M | 0.76% | 3,984,812 | SH |
| 26 | BLACKROCK ETF TRUST | IALT | 09290C665 | $120.9M | 0.74% | 4,047,440 | SH |
| 27 | DIMENSIONAL ETF TRUST | DFIC | 25434V799 | $117.2M | 0.72% | 3,115,639 | SH |
| 28 | DFA INVT DIMENSIONS GROUP IN | DUHP | 25239Y196 | $116.6M | 0.71% | 2,781,409 | SH |
| 29 | AMAZON COM INC | AMZN | 023135106 | $115.2M | 0.70% | 462,295 | SH |
| 30 | BLACKROCK ETF TRUST | BDYN | 09290C723 | $114.5M | 0.70% | 4,112,327 | SH |
| 31 | ALPHABET INC | GOOGL | 02079K305 | $109.4M | 0.67% | 317,806 | SH |
| 32 | BLACKROCK ETF TRUST II | GGOV | 092528835 | $98.3M | 0.60% | 1,962,701 | SH |
| 33 | VANGUARD INDEX FDS | VB | 922908751 | $90.3M | 0.55% | 317,348 | SH |
| 34 | VANGUARD SPECIALIZED FUNDS | VIG | 921908844 | $88.2M | 0.54% | 377,934 | SH |
| 35 | SPDR INDEX SHS FDS | SPDW | 78463X889 | $87.7M | 0.54% | 1,746,672 | SH |
| 36 | SPDR SERIES TRUST | SPYM | 78464A854 | $86.9M | 0.53% | 968,392 | SH |
| 37 | BLACKROCK ETF TRUST | BFLX | 09290C590 | $85.3M | 0.52% | 3,323,309 | SH |
| 38 | VANGUARD INDEX FDS | VTI | 922908769 | $81.9M | 0.50% | 218,843 | SH |
| 39 | META PLATFORMS INC | META | 30303M102 | $76.1M | 0.47% | 104,946 | SH |
| 40 | ISHARES TR | AGG | 464287226 | $75.4M | 0.46% | 797,797 | SH |
| 41 | BROADCOM INC | AVGO | 11135F101 | $70.6M | 0.43% | 200,949 | SH |
| 42 | DIMENSIONAL ETF TRUST | DFIS | 25434V773 | $70.1M | 0.43% | 1,935,208 | SH |
| 43 | AMERICAN CENTY ETF TR | AVLV | 025072349 | $63.8M | 0.39% | 705,798 | SH |
| 44 | SELECT SECTOR SPDR TR | XLK | 81369Y803 | $62.6M | 0.38% | 319,744 | SH |
| 45 | BLACKROCK ETF TRUST | BDVL | 09290C715 | $60.6M | 0.37% | 2,318,961 | SH |
| 46 | VANGUARD TAX-MANAGED FDS | VEA | 921943858 | $59.8M | 0.37% | 847,119 | SH |
| 47 | AMERICAN CENTY ETF TR | AVDV | 025072802 | $58.5M | 0.36% | 534,995 | SH |
| 48 | AMERICAN CENTY ETF TR | AVEM | 025072604 | $58.3M | 0.36% | 619,859 | SH |
| 49 | ISHARES TR | IEFA | 46432F842 | $56.4M | 0.35% | 582,627 | SH |
| 50 | JPMORGAN CHASE & CO | JPM | 46625H100 | $55.1M | 0.34% | 166,504 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-09-30 | 2026-10-26 | $16.36B | 1,772 | 0001071640-26-000020 |
| 2026-06-30 | 2026-07-20 | $16.01B | 1,776 | 0001071640-26-000012 |
| 2026-03-31 | 2026-04-07 | $12.80B | 1,517 | 0001071640-26-000007 |
| 2025-12-31 | 2026-01-05 | $11.80B | 1,493 | 0001071640-26-000001 |
Filer Information
Address
10 HUDSON YARDSNEW YORK, NY 10001
Phone
(267) 461-9800
Filing Manager
PARK AVENUE SECURITIES LLC
NEW YORK, NY
Signatory
Hubert Cheng
Compliance Lead