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Financial Gravity Asset Management, Inc. — 13F Holdings & Portfolio

CIK 1741736 · latest 13F-HR filed 2026-05-08

Backtest portfolio

Financial Gravity Asset Management, Inc. manages $562.0M in 13F-reported U.S. long-equity assets across 973 reported positions as of its 2026-03-31 13F-HR filing. Its largest disclosed positions are IAGG (5.60%), HYLB (4.96%), SHYG (4.08%). Quarter over quarter (versus its 2025-12-31 filing) the fund opened 245 new positions and exited 61; 183 existing positions rose in reported value and 180 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.

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AUM
$562.0M

Long-equity book

Holdings
973

Distinct positions

Period
2026-03-31

Filed 2026-05-08

Q/Q Activity
+245 / −61 / ↑183 / ↓180

vs 2025-12-31

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q1 26
IAGG5.6% · +3%HYLB5.0% · +3%SHYG4.1% · +3%SPSM3.6% · +7%EPS3.5% · +4%STIP3.4% · +3%HYDW3.4% · +6%SPIB3.4% · +6%SPMD3.2% · +4%SPYG2.8% · +5%VWOB2.6% · +3%SPEM2.5% · +2%SPYD2.5% · +4%SPBO2.3% · +4%SPYV1.9% · +5%ICVT1.6% · +3%TSLA1.6% · -0%IEUR1.5% · +4%AMZN1.4% · +11%SCHWAB PRIME1.3% · +360%NVS1.3% · -1%AAPL1.3% · +8%MSFT1.1% · +4%TSM1.0% · -4%SPY0.9% · +312%VGSH0.9% · +0%VMBS0.9% · +1%IPAC0.9% · +12%BSV0.9% · -0%TFLO0.9% · +1%ICSH0.9% · +0%UPWK0.8% · +6%GOOG0.8% · -4%WMT0.8% · -2%ASML0.8% · -1%BRK.B0.8% · +2%ARM0.7% · +1%MRNA0.7% · -2%META0.7% · -0%SHW0.7% · 0%NFLX0.7% · +1%JNJ0.7% · 0%MAR0.6% · -0%AZN0.6% · -50%MMM0.5% · +2%KO0.5% · -0%IVV0.5% · -4%BA0.5% · +1%CL0.5% · +2%PG0.5% · +1%SYK0.4% · -4%SBUX0.4% · -0%TFIN0.4% · 0%SMG0.4% · -0%DIS0.4% · +4%SPTM0.4% · -5%CLIFFWATER CORPORATE0.4% · +3348%ADSK0.4% · +4%UL0.4% · +2%BNPQF0.4% · 0%

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 value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q4 25 → Q1 26

Estimated 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

2 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 37.9%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Dec 23, 2025.

Assets Under Management
$523.4M
Discretionary
$523.4M
Employees
5
Accounts
2,610
Address
2501 RANCH ROAD 620 S
STE. 110
AUSTIN, TX 78734
Phone
(800) 920-9722
Website
This firm reports 2 disclosure items on its registration.
Name Title / Status Ownership Type
FINANCIAL GRAVITY COMPANIES, INC. ControlSHAREHOLDER
since Jun 2017
75% or moreDomestic Entity
NELSON, WILLIAM, ROBERT ControlCIO
since Dec 2019
Less than 5%Individual
WINTERS, SCOTT, CHRISTOPHER ControlCEO/CHAIRMAN OF THE BOARD
since Jan 2020
Less than 5%Individual
Winters, Jennifer ControlCOO
since Dec 2019
Less than 5%Individual
Baucum, AshleyCHIEF ADMINISTRATIVE OFFICER
since Apr 2024
Less than 5%Individual
Winters, Kaili, ErinCHIEF COMPLIANCE OFFICER
since Apr 2024
Less than 5%Individual
Ownership & leadership changes · 10 filings with changes since Jan 24, 2017

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.

May 14, 2024 filing
  • AddedBaucum, Ashley · CHIEF ADMINISTRATIVE OFFICER · Less than 5%
  • Listed againWinters, Kaili, Erin · CHIEF COMPLIANCE OFFICER · Less than 5%
  • ChangedWINTERS, SCOTT, CHRISTOPHER · title CEO/CHAIRMAN OF THE BOARD/INTERIM CCO → CEO/CHAIRMAN OF THE BOARD
Mar 23, 2023 filing
  • ChangedWinters, Jennifer · title EXECUTIVE VICE PRESIDENT → COO
Jan 4, 2023 filing
  • No longer listedOROURKE, MARC, DAVID · PRESIDENT · Less than 5% · control person · listed since May 2020
  • No longer listedWinters, Kaili, Erin · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Apr 2020
  • ChangedWINTERS, SCOTT, CHRISTOPHER · title CEO/CHAIRMAN OF THE BOARD → CEO/CHAIRMAN OF THE BOARD/INTERIM CCO
Dec 20, 2021 filing
  • ChangedNELSON, WILLIAM, ROBERT · title CEO → CIO
  • ChangedWINTERS, SCOTT, CHRISTOPHER · title CHAIRMAN OF THE BOARD → CEO/CHAIRMAN OF THE BOARD
Jun 30, 2020 filing
  • AddedWINTERS, SCOTT, CHRISTOPHER · CHAIRMAN OF THE BOARD · Less than 5% · control person
May 29, 2020 filing
  • AddedOROURKE, MARC, DAVID · PRESIDENT · Less than 5% · control person
  • AddedWinters, Kaili, Erin · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
  • ChangedNELSON, WILLIAM, ROBERT · title PRESIDENT → CEO
  • ChangedWinters, Jennifer · title CCO → EXECUTIVE VICE PRESIDENT
Dec 17, 2019 filing
  • ChangedWinters, Jennifer · now a control person
Dec 11, 2019 filing
  • No longer listedPOLLOCK, JOHN, DAVID · PRESIDENT; CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since May 2007
  • No longer listedPOLLOCK, JOHN, DAVID · CEO · 25–50% · indirect via FINANCIAL GRAVITY COMPANIES, INC. · control person · listed since Jun 2017
  • No longer listedSANFORD, JENNIFER, NICOLE · CHIEF COMPLIANCE DESIGNEE; DIRECTOR OF WEALTH MANAGEMENT AND OPERATIONS; CO-FOUNDER · Less than 5% · listed since Nov 2015
  • AddedNELSON, WILLIAM, ROBERT · PRESIDENT · Less than 5% · control person
  • AddedWinters, Jennifer · CCO · Less than 5%
Dec 7, 2018 filing
  • No longer listedFINANCIAL GRAVITY HOLDINGS, INC. · SHAREHOLDER · 75% or more · indirect via FINANCIAL GRAVITY OPERATIONS, INC. · control person · listed since Sep 2014
  • No longer listedFINANCIAL GRAVITY OPERATIONS, INC. · SHAREHOLDER · 75% or more · control person · listed since Jun 2015
  • No longer listedPOLLOCK, JOHN, DAVID · PRINCIPAL AND OWNER · 50–75% · indirect via FINANCIAL GRAVITY HOLDINGS, INC. · control person · listed since Sep 2014
  • AddedFINANCIAL GRAVITY COMPANIES, INC. · SHAREHOLDER · 75% or more · control person
  • AddedPOLLOCK, JOHN, DAVID · CEO · 25–50% · indirect via FINANCIAL GRAVITY COMPANIES, INC. · control person
Oct 16, 2017 filing
  • ChangedPOLLOCK, JOHN, DAVID · title PRESIDENT → PRESIDENT; CHIEF COMPLIANCE OFFICER
  • ChangedSANFORD, JENNIFER, NICOLE · title CHIEF COMPLIANCE OFFICER; DIRECTOR OF WEALTH MANAGEMENT AND INVESTOR RELATIONS; CO-FOUNDER → CHIEF COMPLIANCE DESIGNEE; DIRECTOR OF WEALTH MANAGEMENT AND OPERATIONS; CO-FOUNDER
Older changes (1 more filing)
Jan 24, 2017 filing (earliest on record)
  • ListedFINANCIAL GRAVITY HOLDINGS, INC. · SHAREHOLDER · 75% or more · indirect via FINANCIAL GRAVITY OPERATIONS, INC. · control person
  • ListedFINANCIAL GRAVITY OPERATIONS, INC. · SHAREHOLDER · 75% or more · control person
  • ListedPOLLOCK, JOHN, DAVID · PRESIDENT · Less than 5% · control person
  • ListedPOLLOCK, JOHN, DAVID · PRINCIPAL AND OWNER · 50–75% · indirect via FINANCIAL GRAVITY HOLDINGS, INC. · control person
  • ListedSANFORD, JENNIFER, NICOLE · CHIEF COMPLIANCE OFFICER; DIRECTOR OF WEALTH MANAGEMENT AND INVESTOR RELATIONS; CO-FOUNDER · Less than 5%

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)

Show all 183 →

Top Trims

Show all 180 →

New Positions

Show all 245 →

Exited Positions

Show all 61 →

Financial Gravity Asset Management, Inc. Holdings (2026-03-31)

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 CORE INTERNATIONAL AGGREGATE BOND ETF IAGG 46435G672 $31.5M 5.60% 629,064 SH
2 XTRACKERS USD HIGH YIELDCORPORATE BOND ETF HYLB 233051432 $27.9M 4.96% 770,421 SH
3 ISHARES 0-5 YEAR HIGH YIELD CORPORATE BOND ETF SHYG 46434V407 $22.9M 4.08% 541,783 SH
4 STATE STREET SPDR PORTFOLIO S&P 600 SMALL CAP ETF SPSM 78468R853 $20.0M 3.56% 413,944 SH
5 WISDOMTREE U.S. LARGECAPFUND EPS 97717W588 $19.5M 3.47% 286,548 SH
6 ISHARES 0-5 YEAR TIPS BOND ETF STIP 46429B747 $19.3M 3.43% 186,235 SH
7 XTRACKERS LOW BETA HIGH YIELD BOND ETF HYDW 233051267 $19.1M 3.39% 409,131 SH
8 STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF SPIB 78464A375 $19.0M 3.39% 567,434 SH
9 STATE STREET SPDR PORTFOLIO S&P 400 MID CAP ETF SPMD 78464A847 $17.7M 3.15% 299,322 SH
10 STATE STREET SPDR PORTFOLIO S&P 500 GROWTHETF SPYG 78464A409 $16.0M 2.84% 163,078 SH
11 VANGUARD EMERGING MARKETS GOVERNMENT BOND INDEX FUND ETF SHARES VWOB 921946885 $14.7M 2.61% 223,444 SH
12 STATE STREET SPDR PORTFOLIO EMERGING MARKETS ETF SPEM 78463X509 $14.3M 2.55% 304,934 SH
13 STATE STREET SPDR PORTFOLIO S&P 500 HIGH DIVIDEND ETF SPYD 78468R788 $14.1M 2.50% 308,980 SH
14 STATE STREET SPDR PORTFOLIO CORPORATE BONDETF SPBO 78464A144 $12.8M 2.28% 442,070 SH
15 STATE STREET SPDR PORTFOLIO S&P 500 VALUE ETF SPYV 78464A508 $10.5M 1.87% 185,363 SH
16 ISHARES CONVERTIBLE BONDETF ICVT 46435G102 $9.0M 1.60% 88,465 SH
17 TESLA INC TSLA 88160R101 $8.8M 1.56% 23,592 SH
18 ISHARES CORE MSCI EUROPEETF IEUR 46434V738 $8.4M 1.50% 120,171 SH
19 AMAZON.COM INC AMZN 023135106 $7.9M 1.41% 37,979 SH
20 SCHWAB PRIME ADVANTAGE MONEY INVESTOR — 808515605 $7.5M 1.33% 7,499,604 SH
21 NOVARTIS AG FSPONSORED ADR 1 ADR REPS 1 ORD SHS NVS 66987V109 $7.3M 1.30% 47,971 SH
22 APPLE INC AAPL 037833100 $7.0M 1.25% 27,738 SH
23 MICROSOFT CORP MSFT 594918104 $6.4M 1.13% 17,171 SH
24 TAIWAN SEMICONDUCTOR M FSPONSORED ADR 1 ADR REPS 5 ORD SHS TSM 874039100 $5.5M 0.99% 16,408 SH
25 STATE STREET SPDR S&P 500 ETF TRUST SPY 78462F103 $5.0M 0.89% 7,731 SH
26 VANGUARD SHORT-TERM TREASURY INDEX FUND ETF SHARES VGSH 92206C102 $5.0M 0.89% 84,988 SH
27 VANGUARD MORTGAGE-BACKEDSECURITIES INDEX FUND ETF SHARES VMBS 92206C771 $5.0M 0.88% 105,910 SH
28 ISHARES CORE MSCI PACIFIC ETF IPAC 46434V696 $5.0M 0.88% 64,847 SH
29 VANGUARD SHORT-TERM BONDINDEX FUND ETF SHARES BSV 921937827 $4.9M 0.88% 62,860 SH
30 ISHARES TREASURY FLOATING RATE BOND ETF TFLO 46434V860 $4.9M 0.88% 97,346 SH
31 ISHARES ULTRA SHORT DURATION BOND ACTIVE ETF ICSH 46434V878 $4.9M 0.87% 96,067 SH
32 UPWORK INC UPWK 91688F104 $4.7M 0.83% 424,762 SH
33 ALPHABET INC CLASS CLASS C GOOG 02079K107 $4.5M 0.81% 15,802 SH
34 WALMART INC WMT 931142103 $4.5M 0.80% 36,294 SH
35 ASML HLDG N V FSPONSORED ADR 1 ADR REPS 1 ORD SHS ASML N07059210 $4.5M 0.80% 3,404 SH
36 BERKSHIRE HATHAWAY CLASS B BRK.B 084670702 $4.4M 0.78% 9,111 SH
37 ARM HLDGS PLC EQUITY A FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS ARM 042068205 $4.0M 0.72% 26,766 SH
38 MODERNA INC MRNA 60770K107 $3.9M 0.70% 77,066 SH
39 META PLATFORMS INC CLASS CLASS A META 30303M102 $3.9M 0.69% 6,793 SH
40 SHERWIN-WILLIAMS CO SHW 824348106 $3.9M 0.69% 12,021 SH
41 NETFLIX INC NFLX 64110L106 $3.8M 0.67% 39,150 SH
42 JOHNSON & JOHNSON JNJ 478160104 $3.7M 0.66% 15,272 SH
43 MARRIOTT INTL INC NEW CLASS CLASS A MAR 571903202 $3.5M 0.63% 10,838 SH
44 ASTRAZENECA PLC F AZN G0593M107 $3.3M 0.58% 16,601 SH
45 3M CO MMM 88579Y101 $3.0M 0.53% 20,627 SH
46 THE COCA-COLA CO KO 191216100 $2.9M 0.52% 38,367 SH
47 ISHARES CORE S&P 500 ETF IVV 464287200 $2.8M 0.51% 4,353 SH
48 BOEING CO BA 097023105 $2.8M 0.50% 14,145 SH
49 COLGATE PALMOLIVE CO CL 194162103 $2.6M 0.46% 30,487 SH
50 PROCTER & GAMBLE CO PG 742718109 $2.5M 0.45% 17,592 SH
Filing History
Period Filed AUM Holdings Accession
2026-03-31 2026-05-08 $562.0M 973 0001683168-26-003579
2025-12-31 2026-02-13 $519.5M 799 0001683168-26-001008