Top Institutional Investors

Kozak & Associates, Inc. — 13F Holdings & Portfolio

CIK 1764970 · latest 13F-HR filed 2026-04-14

Backtest portfolio

Kozak & Associates, Inc. manages $512.8M in 13F-reported U.S. long-equity assets across 452 reported positions as of its 2026-03-31 13F-HR filing. Its largest disclosed positions are RWL (13.64%), IETC (12.07%), SPY (8.81%). Quarter over quarter (versus its 2025-12-31 filing) the fund opened 34 new positions, exited 14, added to 160, and trimmed 148.

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

$512.8M

Long-equity book

Holdings

452

Distinct positions

Period

2026-03-31

Filed 2026-04-14

Q/Q Activity

+34 / −14 / ↑160 / ↓148

vs 2025-12-31

Firm Profile & Key People
Name Title / Status Ownership Type

Top Adds (vs prior quarter)

  • VANECK SEMICONDUCTOR ETF$3.2M +12.3%
  • ORACLE CORP COM$860.6K +252.6%
  • STATE STREET SPDR DOW JONES INDUSTRIAL AVERAGE ETF TRUST$835.5K +11.3%
  • CATERPILLAR INC COM$324.1K +29.1%
  • GE VERNOVA INC COM$247.9K +51.1%
Show all 160 →

Top Trims

  • MICROSOFT CORP COM-$4.5M -18.9%
  • ISHARES U.S. TECH INDEPENDENCE FOCUSED ETF-$4.0M -6.0%
  • ISHARES US FINANCIAL SERVICES ETF-$2.2M -5.6%
  • SCHWAB CHARLES CORP COM-$275.5K -9.3%
  • SERVICENOW INC COM-$237.2K -37.2%
Show all 148 →

New Positions

  • ISHARES BITCOIN TRUST ETF$121.4K
  • ISHARES ETHEREUM TRUST ETF$88.7K
  • ASTRAZENECA PLC ORD$51.2K
  • EASTMAN KODAK CO COM NEW$49.7K
  • CANARY XRP ETF$25.2K
Show all 34 →

Exited Positions

  • ASTRAZENECA PLC SPONSORED ADR$47.3K
  • FLUTTER ENTMT PLC SHS$43.1K
  • JOHNSON CTLS INTL PLC SHS$11.1K
  • VANGUARD RUSSELL 1000 VALUE ETF$9.5K
  • VANGUARD RUSSELL 2000 ETF$6.8K
Show all 14 →
All Holdings

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 INVESCO S&P 500 REVENUE ETF RWL 46138G698 $70.0M 13.64% 586,597 SH
2 ISHARES U.S. TECH INDEPENDENCE FOCUSED ETF IETC 46431W648 $61.9M 12.07% 653,967 SH
3 STATE STREET SPDR S&P 500 ETF SPY 78462F103 $45.2M 8.81% 65,851 SH
4 INVESCO QQQ TRUST SERIES I QQQ 46090E103 $42.9M 8.37% 69,535 SH
5 ISHARES US FINANCIAL SERVICES ETF IYG 464287770 $37.4M 7.30% 430,383 SH
6 ISHARES U.S. INDUSTRIALS ETF IYJ 464287754 $34.4M 6.72% 219,197 SH
7 STATE STREET SPDR PORTFOLIO S&P 500 GROWTH ETF SPYG 78464A409 $32.4M 6.31% 305,913 SH
8 VANECK SEMICONDUCTOR ETF SMH 92189F676 $28.9M 5.63% 65,171 SH
9 NVIDIA CORPORATION COM NVDA 67066G104 $24.7M 4.81% 130,308 SH
10 APPLE INC COM AAPL 037833100 $22.3M 4.36% 86,225 SH
11 MICROSOFT CORP COM MSFT 594918104 $19.2M 3.75% 50,024 SH
12 AMAZON COM INC COM AMZN 023135106 $19.0M 3.71% 79,358 SH
13 COSTCO WHOLESALE CORPORATION COM COST 22160K105 $14.4M 2.81% 14,708 SH
14 STATE STREET SPDR DOW JONES INDUSTRIAL AVERAGE ETF TRUST DIA 78467X109 $8.2M 1.60% 17,002 SH
15 SCHWAB CHARLES CORP COM SCHW 808513105 $2.7M 0.52% 27,695 SH
16 BROADCOM INC COM AVGO 11135F101 $2.6M 0.51% 6,877 SH
17 JPMORGAN CHASE & CO COM JPM 46625H100 $2.3M 0.45% 7,419 SH
18 ALPHABET INC CAP STK CL C GOOG 02079K107 $2.0M 0.40% 6,362 SH
19 LOCKHEED MARTIN CORP COM LMT 539830109 $1.6M 0.31% 2,556 SH
20 ISHARES S&P MID-CAP 400 GROWTH ETF IJK 464287606 $1.5M 0.30% 14,179 SH
21 VISA INC COM CL A V 92826C839 $1.4M 0.28% 4,671 SH
22 CATERPILLAR INC COM CAT 149123101 $1.4M 0.28% 1,814 SH
23 NETFLIX INC. COM NFLX 64110L106 $1.4M 0.26% 13,173 SH
24 ORACLE CORP COM ORCL 68389X105 $1.2M 0.23% 7,720 SH
25 ALPHABET INC CAP STK CL A GOOGL 02079K305 $1.1M 0.22% 3,548 SH
26 ABBVIE INC COM ABBV 00287Y109 $981.7K 0.19% 4,755 SH
27 WASTE MGMT INC DEL COM WM 94106L109 $936.0K 0.18% 4,052 SH
28 INVESCO S&P SMALLCAP MOMENTUM ETF XSMO 46137V498 $924.9K 0.18% 11,187 SH
29 CHEVRON CORPORATION COM CVX 166764100 $862.8K 0.17% 4,499 SH
30 DEERE & CO COM DE 244199105 $831.1K 0.16% 1,378 SH
31 PROSHARES S&P 500 DIVIDEND ARISTOCRATS ETF NOBL 74348A467 $755.6K 0.15% 7,025 SH
32 GE VERNOVA INC COM GEV 36828A101 $733.5K 0.14% 740 SH
33 AMERICAN EXPRESS CO COM AXP 025816109 $722.3K 0.14% 2,230 SH
34 EXXON MOBIL CORP COM XOM 30231G102 $722.2K 0.14% 4,732 SH
35 BLACKSTONE INC COM BX 09260D107 $684.7K 0.13% 5,621 SH
36 CSX CORP COM CSX 126408103 $683.3K 0.13% 16,134 SH
37 MARRIOTT INTL INC NEW CL A MAR 571903202 $681.2K 0.13% 1,895 SH
38 MCDONALDS CORP COM MCD 580135101 $614.4K 0.12% 2,018 SH
39 META PLATFORMS INC CL A META 30303M102 $572.8K 0.11% 903 SH
40 GE AEROSPACE COM NEW GE 369604301 $560.4K 0.11% 1,797 SH
41 FIRST SOLAR INC COM FSLR 336433107 $530.9K 0.10% 2,650 SH
42 NEXTERA ENERGY INC COM NEE 65339F101 $498.0K 0.10% 5,396 SH
43 DARDEN RESTAURANTS INC COM DRI 237194105 $495.9K 0.10% 2,584 SH
44 HOME DEPOT INC COM HD 437076102 $447.0K 0.09% 1,310 SH
45 GOLDMAN SACHS GROUP INC COM GS 38141G104 $418.4K 0.08% 470 SH
46 PROCTER & GAMBLE CO COM PG 742718109 $417.9K 0.08% 2,910 SH
47 GILEAD SCIENCES INC COM GILD 375558103 $417.1K 0.08% 3,000 SH
48 ISHARES CORE S&P 500 ETF IVV 464287200 $407.0K 0.08% 590 SH
49 VALERO ENERGY CORP COM VLO 91913Y100 $406.2K 0.08% 1,678 SH
50 SERVICENOW INC COM NOW 81762P102 $400.6K 0.08% 4,498 SH
Filing History
Period Filed AUM Holdings Accession
2026-03-31 2026-04-14 $512.8M 452 0001764970-26-000002
2025-12-31 2026-01-12 $517.6M 432 0001764970-26-000001