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Financial & Tax Architects, LLC — 13F Holdings & Portfolio

CIK 1758543 · latest 13F-HR filed 2026-10-15

Backtest portfolio

Financial & Tax Architects, LLC manages $486.4M in 13F-reported U.S. long-equity assets across 109 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are BCI (5.16%), EFA (4.85%), SPY (4.68%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 21 new positions and exited 22; 35 existing positions rose in reported value and 25 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
$486.4M

Long-equity book

Holdings
109

Distinct positions

Period
2026-09-30

Filed 2026-10-15

Q/Q Activity
+21 / −22 / ↑35 / ↓25

vs 2026-06-30

Portfolio charts

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

Portfolio map

Q3 26
BCI5.2% · +6%EFA4.8% · +5%SPY4.7% · +7%USRT4.5% · +6%BIL4.5% · +8%FBND4.3% · -9%GBIL3.9% · +32%VTIP2.5% · +16%VTWO2.5% · +35%CWB2.4% · +10%ABBV1.8% · -2%CVX1.8% · +2%JNJ1.8% · -2%EMR1.8% · +2%AGG1.7% · +0%XOM1.7% · +2%KO1.7% · -3%WMT1.6% · +9%MDT1.6% · -0%ABT1.6% · -3%ADP1.5% · -12%CAT1.5% · +1%NVDA1.5% · -5%IBM1.5% · +14%SHW1.5% · +2%NOBL1.5% · +9%PG1.5% · +4%GD1.5% · +0%SPGI1.4% · +6%NEE1.4% · +5%PEP1.4% · +7%LOW1.3% · +10%MCD1.3% · +12%VO1.2% · newIEFA1.2% · newIVE1.2% · newJNK1.1% · +12%VNQ1.0% · +0%AAPL1.0% · -13%SHV0.9% · newUSHY0.9% · +1%BND0.8% · +3%MSFT0.8% · -12%HYS0.8% · +2%HYG0.8% · +2%SPAB0.8% · +216%TIP0.7% · +2%AMD0.5% · +272%META0.5% · -10%AMZN0.5% · -12%ASML0.5% · -20%GSY0.5% · newGOOG0.5% · -12%MU0.4% · newVGIT0.4% · newAVGO0.4% · -9%QQQM0.4% · -10%XLK0.3% · +6%XLV0.3% · +11%XLE0.3% · +4%

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

Q2 26 → Q3 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

4 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 = 39.3%

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

Firm Profile & Key People

As of the firm’s regulatory filing dated Jun 18, 2026.

Assets Under Management
$506.2M
Discretionary
$506.2M
Employees
71
Accounts
3,736
Address
12412 POWERSCOURT DRIVE
SUITE 25
ST. LOUIS, MO 63131
Phone
(314) 858-1122
Website
Name Title / Status Ownership Type
BROOKS, DAVID, SCOTT ControlCHIEF EXECUTIVE OFFICER
since Jul 1999
Less than 5%Individual
FTA HOLDINGS GROUP, LLC ControlMEMBER
since May 2022
75% or moreDomestic Entity
HAAVE, GORDON, CHRISTOPHER ControlPRESIDENT AND CHIEF INVESTMENT OFFICER
since Nov 2016
Less than 5%Individual
FELSCH, PAUL, WERNERCHIEF COMPLIANCE OFFICER & LEGAL COUNSEL
since Mar 2025
Less than 5%Individual
BROOKS, DAVID, SCOTT Control
Indirect owner via VICTORIAE, INC.
SHAREHOLDER
since May 2022
75% or moreIndividual
VICTORIAE, INC. Control
Indirect owner via FTA HOLDINGS GROUP, LLC
MEMBER
since May 2022
75% or moreDomestic Entity
Ownership & leadership changes · 8 filings with changes since Jan 9, 2019

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.

Jun 18, 2026 filing
  • ChangedFELSCH, PAUL, WERNER · no longer a control person
Mar 20, 2025 filing
  • AddedFELSCH, PAUL, WERNER · CHIEF COMPLIANCE OFFICER & LEGAL COUNSEL · Less than 5% · control person
  • ChangedHAAVE, GORDON, CHRISTOPHER · title CHIEF COMPLIANCE OFFICER / PRESIDENT AND CHIEF INVESTMENT OFFICER → PRESIDENT AND CHIEF INVESTMENT OFFICER
Oct 24, 2024 filing
  • No longer listedWRISBERG, CATHLEEN, ANNE · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Jul 2024
  • ChangedBROOKS, DAVID, SCOTT · title PRESIDENT → CHIEF EXECUTIVE OFFICER
  • ChangedHAAVE, GORDON, CHRISTOPHER · title CHIEF INVESTMENT OFFICER → CHIEF COMPLIANCE OFFICER / PRESIDENT AND CHIEF INVESTMENT OFFICER
Jul 30, 2024 filing
  • No longer listedPOMBRA, MANOJ, KUMAR · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since May 2023
  • AddedWRISBERG, CATHLEEN, ANNE · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
May 2, 2023 filing
  • No longer listedCASELLA, GISELLE · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Nov 2022
  • AddedPOMBRA, MANOJ, KUMAR · CHIEF COMPLIANCE OFFICER · Less than 5%
Mar 20, 2023 filing
  • No longer listedROGERS, JAMES, RAY · CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Oct 2021
Nov 17, 2022 filing
  • No longer listedCLAUS, ANDREW, VINCENT · CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Jan 2018
  • No longer listedFRONTCZAK, STEVEN, ROBERT · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since May 2017
  • AddedBROOKS, DAVID, SCOTT · SHAREHOLDER · 75% or more · indirect via VICTORIAE, INC. · control person
  • AddedCASELLA, GISELLE · CHIEF COMPLIANCE OFFICER · Less than 5%
  • AddedFTA HOLDINGS GROUP, LLC · MEMBER · 75% or more · control person
  • AddedROGERS, JAMES, RAY · CHIEF OPERATING OFFICER · Less than 5% · control person
  • AddedVICTORIAE, INC. · MEMBER · 75% or more · indirect via FTA HOLDINGS GROUP, LLC · control person
  • ChangedBROOKS, DAVID, SCOTT · ownership 75% or more → Less than 5%
Mar 19, 2020 filing
  • ChangedCLAUS, ANDREW, VINCENT · now a control person
  • ChangedFRONTCZAK, STEVEN, ROBERT · title CHIEF LEGAL OFFICER → CHIEF COMPLIANCE OFFICER
  • ChangedHAAVE, GORDON, CHRISTOPHER · title CHIEF COMPLIANCE OFFICER → CHIEF INVESTMENT OFFICER
Jan 9, 2019 filing (earliest on record)
  • ListedBROOKS, DAVID, SCOTT · PRESIDENT · 75% or more · control person
  • ListedCLAUS, ANDREW, VINCENT · CHIEF OPERATING OFFICER · Less than 5%
  • ListedFRONTCZAK, STEVEN, ROBERT · CHIEF LEGAL OFFICER · Less than 5%
  • ListedHAAVE, GORDON, CHRISTOPHER · CHIEF COMPLIANCE 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.

Financial & Tax Architects, 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 ABRDN BLOOMBERG ALL COMMODITY STRATEGY K-1 FREE ETF BCI 003261104 $25.1M 5.16% 970,231 SH
2 ISHARES MSCI EAFE ETF EFA 464287465 $23.6M 4.85% 226,875 SH
3 STATE STREET SPDR S&P 500 ETF SPY 78462F103 $22.8M 4.68% 29,835 SH
4 ISHARES CORE U.S. REIT ETF USRT 464288521 $22.1M 4.53% 358,113 SH
5 STATE STREET SPDR BLOOMBERG 1-3 MONTH T-BILL ETF BIL 78468R663 $21.9M 4.50% 238,988 SH
6 FIDELITY TOTAL BOND ETF FBND 316188309 $20.8M 4.27% 479,844 SH
7 ACCESS TREASURY 0-1 YEAR ETF GBIL 381430529 $19.0M 3.90% 189,309 SH
8 VANGUARD SHORT-TERM INFLATION-PROTECTED SECURITIES ETF VTIP 922020805 $12.1M 2.48% 245,080 SH
9 VANGUARD RUSSELL 2000 ETF VTWO 92206C664 $12.0M 2.46% 106,656 SH
10 STATE STREET SPDR BLOOMBERG CONVERTIBLE SECURITIES ETF CWB 78464A359 $11.9M 2.44% 117,407 SH
11 ABBVIE INC COM ABBV 00287Y109 $8.9M 1.82% 33,935 SH
12 CHEVRON CORPORATION COM CVX 166764100 $8.7M 1.79% 42,676 SH
13 JOHNSON & JOHNSON COM JNJ 478160104 $8.7M 1.78% 32,684 SH
14 EMERSON ELEC CO COM EMR 291011104 $8.6M 1.77% 55,398 SH
15 ISHARES CORE U.S. AGGREGATE BOND ETF AGG 464287226 $8.5M 1.74% 89,591 SH
16 EXXONMOBIL HOLDINGS CORP COM SHS XOM 30233Q108 $8.4M 1.74% 51,874 SH
17 COCA COLA CO COM KO 191216100 $8.3M 1.70% 96,078 SH
18 WALMART INC COM WMT 931142103 $8.0M 1.64% 76,784 SH
19 MEDTRONIC PLC SHS MDT G5960L103 $7.9M 1.62% 91,345 SH
20 ABBOTT LABORATORIES COM ABT 002824100 $7.7M 1.58% 77,651 SH
21 AUTOMATIC DATA PROCESSING INC COM ADP 053015103 $7.5M 1.55% 29,163 SH
22 CATERPILLAR INC COM CAT 149123101 $7.4M 1.53% 9,153 SH
23 NVIDIA CORPORATION COM NVDA 67066G104 $7.4M 1.52% 32,411 SH
24 INTERNATIONAL BUSINESS MACHS COM IBM 459200101 $7.4M 1.52% 33,549 SH
25 SHERWIN WILLIAMS CO COM SHW 824348106 $7.3M 1.51% 22,697 SH
26 PROSHARES S&P 500 DIVIDEND ARISTOCRATS ETF NOBL 74348A467 $7.3M 1.51% 135,354 SH
27 PROCTER & GAMBLE CO COM PG 742718109 $7.3M 1.50% 50,341 SH
28 GENERAL DYNAMICS CORP COM GD 369550108 $7.2M 1.47% 21,598 SH
29 S&P GLOBAL INC COM SPGI 78409V104 $7.0M 1.44% 17,714 SH
30 NEXTERA ENERGY INC COM NEE 65339F101 $6.8M 1.40% 89,685 SH
31 PEPSICO INC COM PEP 713448108 $6.6M 1.36% 52,098 SH
32 LOWES COS INC COM LOW 548661107 $6.5M 1.34% 35,394 SH
33 MCDONALDS CORP COM MCD 580135101 $6.4M 1.31% 27,697 SH
34 VANGUARD MORNINGSTAR MID-CAP ETF VO 922908629 $5.8M 1.19% 73,988 SH
35 ISHARES CORE MSCI EAFE ETF IEFA 46432F842 $5.7M 1.18% 59,079 SH
36 ISHARES S&P 500 VALUE ETF IVE 464287408 $5.6M 1.15% 24,596 SH
37 STATE STREET SPDR BLOOMBERG HIGH YIELD BOND ETF JNK 78468R622 $5.5M 1.12% 58,838 SH
38 VANGUARD REAL ESTATE ETF VNQ 922908553 $4.7M 0.96% 51,921 SH
39 APPLE INC COM AAPL 037833100 $4.6M 0.95% 13,890 SH
40 ISHARES TRUST ISHARES 0-1 YEAR TREASURY BOND ETF SHV 464288679 $4.2M 0.86% 38,129 SH
41 ISHARES BROAD USD HIGH YIELD CORPORATE BOND ETF USHY 46435U853 $4.2M 0.86% 117,070 SH
42 VANGUARD TOTAL BOND MARKET ETF BND 921937835 $4.1M 0.84% 58,121 SH
43 MICROSOFT CORP COM MSFT 594918104 $4.1M 0.84% 7,928 SH
44 PIMCO 0-5 YEAR HIGH YIELD CORPORATE BOND INDEX EXCHANGE-TRADED FUND HYS 72201R783 $4.0M 0.83% 44,599 SH
45 ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF HYG 464288513 $4.0M 0.83% 51,976 SH
46 STATE STREET SPDR PORTFOLIO AGGREGATE BOND ETF SPAB 78464A649 $4.0M 0.82% 163,135 SH
47 ISHARES TIPS BOND ETF TIP 464287176 $3.5M 0.72% 33,761 SH
48 ADVANCED MICRO DEVICES INC COM AMD 007903107 $2.6M 0.53% 4,209 SH
49 META PLATFORMS INC CL A META 30303M102 $2.5M 0.52% 3,503 SH
50 AMAZON COM INC COM AMZN 023135106 $2.4M 0.49% 9,626 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-10-15 $486.4M 109 0001758543-26-000006
2026-06-30 2026-07-23 $474.3M 110 0001758543-26-000004
2026-03-31 2026-04-23 $448.4M 108 0001758543-26-000003
2025-12-31 2026-01-21 $445.0M 103 0001758543-26-000001
Filer Information
Address
12412 POWERSCOURT DRIVE, SUITE 25
ST LOUIS, MO 63131
Phone
(314) 858-1122
Filing Manager
Financial & Tax Architects, LLC
ST LOUIS, MO
Signatory
Paul Felsch
Chief Compliance Officer