Goodwin Investment Advisory — 13F Holdings & Portfolio
CIK 1803294 · latest 13F-HR filed 2026-08-19
Goodwin Investment Advisory manages $49.7M in 13F-reported U.S. long-equity assets across 111 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are ESGU (5.33%), ESGU (4.77%), XLG (4.15%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 4 new positions and exited 5; 21 existing positions rose in reported value and 0 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
$49.7M
Long-equity book
Holdings
111
Distinct positions
Period
2026-06-30
Filed 2026-08-19
Q/Q Activity
+4 / −5 / ↑21 / ↓0
vs 2026-03-31
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q2 26FBND28.9% · +11%FVAL14.1% · +13%ESGU10.1% · -0%VOO7.9% · +12%XLG4.2% · 0%IVV3.9% · -8%BNY3.3% · newVUG3.2% · +495%EQWL2.8% · +18%ONEQ2.5% · 0%MIAX2.1% · newAXSM2.1% · 0%MUNI2.0% · -2%AVGO1.9% · newVBK1.8% · 0%ITM1.5% · 0%SIGI1.2% · 0%JHMM1.0% · +8%IJT0.8% · 0%IVE0.6% · 0%LLY0.6% · 0%JVAL0.6% · 0%CSCO0.6% · newTSLA0.6% · 0%USRT0.5% · -0%IWF0.5% · +300%PFM0.5% · newSCHP0.4% · -2%
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
Q1 26 → Q2 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 = 80.9%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Mar 30, 2026.
Assets Under Management
$986.6M
Discretionary
$986.6M
Employees
9
Accounts
5
Address
ONE FINANCIAL PLAZA
755 MAIN STREET
HARTFORD, CT 06103-2608
755 MAIN STREET
HARTFORD, CT 06103-2608
Phone
(860) 299-2000
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| BRADFORD, LINWOOD, EARLE Control | CHAIR OF THE BOARD since Nov 2011 | Less than 5% | Individual |
| CONNING & COMPANY Control | OWNER since Nov 2011 | 75% or more | Domestic Entity |
| DALY, MATTHEW, KENNETH Control | CEO & PRESIDENT / BOARD MEMBER since Mar 2026 | Less than 5% | Individual |
| LEE, JUNG, WON Control | CHIEF FINANCIAL OFFICER/BOARD MEMBER since Nov 2011 | Less than 5% | Individual |
| PEARCE, ROBERT, STEDMAN Control | CHIEF COMPLIANCE OFFICER since Nov 2011 | Less than 5% | Individual |
| SEGA, RICHARD, LOUIS Control | BOARD MEMBER since May 2012 | Less than 5% | Individual |
| SMALLEY, VI (VIOLA), R. Control | CHIEF LEGAL OFFICER, CORPORATE SECRETARY since Jan 2011 | Less than 5% | Individual |
| BEAULIEU, CYNTHIA, ANNE | MANAGING DIRECTOR, SR. PORTFOLIO MANAGER & CIO NORTH AMERICA since Jan 2007 | Less than 5% | Individual |
| RYAN, LYNN, MARIE | MANAGING DIRECTOR, SR. PORTFOLIO MANAGER since Jan 2007 | Less than 5% | Individual |
| ASSICURAZIONI GENERALI S.P.A Control Indirect owner via GENERALI INVESTMENTS HOLDING S.P.A | SHAREHOLDER since Apr 2024 | 75% or more | Foreign Entity |
| CONNING HOLDINGS CORP Control Indirect owner via CONNING & COMPANY | SHAREHOLDER since Oct 2009 | 75% or more | Domestic Entity |
| CONNING HOLDINGS LIMITED Control Indirect owner via CONNING U.S. HOLDINGS INC. | SHAREHOLDER since Sep 2015 | 75% or more | Foreign Entity |
| CONNING U.S. HOLDINGS, INC. Control Indirect owner via CONNING HOLDINGS CORP. | SHAREHOLDER since Sep 2015 | 75% or more | Domestic Entity |
| GENERALI INVESTMENTS HOLDING S.P.A Control Indirect owner via CONNING HOLDINGS LIMITED | SHAREHOLDER since Apr 2024 | 75% or more | Foreign Entity |
Ownership & leadership changes · 9 filings with changes since Dec 2, 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.
Mar 30, 2026 filing
- ChangedBRADFORD, LINWOOD, EARLE · title CHIEF EXECUTIVE OFFICER & CHAIR OF THE BOARD → CHAIR OF THE BOARD
- ChangedDALY, MATTHEW, KENNETH · title HEAD OF CONNING NORTH AMERICA/BOARD MEMBER → CEO & PRESIDENT / BOARD MEMBER
- ChangedSMALLEY, VI (VIOLA), R. · title CHIEF LEGAL OFFICER\CORPORATE SECRETARY → CHIEF LEGAL OFFICER, CORPORATE SECRETARY
Mar 28, 2025 filing
- Listed againSEGA, RICHARD, LOUIS · BOARD MEMBER · Less than 5% · control person
- ChangedDALY, MATTHEW, KENNETH · title HEAD OF CONNING NORTH AMERICA → HEAD OF CONNING NORTH AMERICA/BOARD MEMBER
- ChangedLEE, JUNG, WON · title CHIEF FINANCIAL OFFICER → CHIEF FINANCIAL OFFICER/BOARD MEMBER
Apr 16, 2024 filing
- No longer listedCATHAY FINANCIAL HOLDING CO., LTD. · SHAREHOLDER · 75% or more · indirect via CATHAY LIFE INSURANCE CO., LTD. · control person · listed since Sep 2015
- No longer listedCATHAY LIFE INSURANCE CO., LTD. · SHAREHOLDER · 75% or more · indirect via CONNING HOLDINGS LIMITED · control person · listed since Sep 2015
- AddedASSICURAZIONI GENERALI S.P.A · SHAREHOLDER · 75% or more · indirect via GENERALI INVESTMENTS HOLDING S.P.A · control person
- AddedGENERALI INVESTMENTS HOLDING S.P.A · SHAREHOLDER · 75% or more · indirect via CONNING HOLDINGS LIMITED · control person
Oct 2, 2023 filing
- No longer listedHAYLON, MICHAEL, EDWARD · HEAD OF CONNING NORTH AMERICA · Less than 5% · control person · listed since Jul 2018
- No longer listedSEGA, RICHARD, LOUIS · PRESIDENT AND GLOBAL CHIEF INVESTMENT STRATEGIST · Less than 5% · control person · listed since Nov 2011
- AddedDALY, MATTHEW, KENNETH · HEAD OF CONNING NORTH AMERICA · Less than 5% · control person
- ChangedBEAULIEU, CYNTHIA, ANNE · title MANAGING DIRECTOR, SR. PORTFOLIO MANAGER → MANAGING DIRECTOR, SR. PORTFOLIO MANAGER & CIO NORTH AMERICA
Mar 26, 2019 filing
- AddedHAYLON, MICHAEL, EDWARD · HEAD OF CONNING NORTH AMERICA · Less than 5% · control person
- ChangedBRADFORD, LINWOOD, EARLE · title CHIEF EXECUTIVE OFFICER → CHIEF EXECUTIVE OFFICER & CHAIR OF THE BOARD
- ChangedSEGA, RICHARD, LOUIS · title PRESIDENT & CHIEF INVESTMENT OFFICER → PRESIDENT AND GLOBAL CHIEF INVESTMENT STRATEGIST
Mar 27, 2018 filing
- No longer listedROMANO, JAMES, P · CHIEF RISK OFFICER · Less than 5% · control person · listed since Nov 2011
Mar 17, 2016 filing
- No longer listedHEISER, GLENN · CHIEF ADMINISTRATIVE OFFICER · Less than 5% · control person · listed since Nov 2011
- ChangedBRADFORD, LINWOOD, EARLE · title CHIEF OPERATIONS OFFICER → CHIEF EXECUTIVE OFFICER
- ChangedSEGA, RICHARD, LOUIS · title PRESIDENT, CIO → PRESIDENT & CHIEF INVESTMENT OFFICER
Sep 22, 2015 filing
- No longer listedAQUILINE FINANCIAL SERVICES FUND (OFFSHORE) L.P. · SHAREHOLDER · 25–50% · indirect via CONNING HOLDINGS CORP · control person · listed since Oct 2009
- No longer listedAQUILINE FINANCIAL SERVICES FUND L.P. · SHAREHOLDER · 50–75% · indirect via CONNING HOLDINGS CORP. · control person · listed since Oct 2009
- AddedCATHAY FINANCIAL HOLDING CO., LTD. · SHAREHOLDER · 75% or more · indirect via CATHAY LIFE INSURANCE CO., LTD. · control person
- AddedCATHAY LIFE INSURANCE CO., LTD. · SHAREHOLDER · 75% or more · indirect via CONNING HOLDINGS LIMITED · control person
- AddedCONNING HOLDINGS LIMITED · SHAREHOLDER · 75% or more · indirect via CONNING U.S. HOLDINGS INC. · control person
- AddedCONNING U.S. HOLDINGS, INC. · SHAREHOLDER · 75% or more · indirect via CONNING HOLDINGS CORP. · control person
- ChangedCONNING HOLDINGS CORP · indirect via CONNING & COMPANY: title MEMBER → SHAREHOLDER
Jan 10, 2012 filing
- No longer listedCORRENTI, SALVATORE · MANAGING DIRECTOR · Less than 5% · control person · listed since Nov 2011
Dec 2, 2011 filing (earliest on record)
- ListedAQUILINE FINANCIAL SERVICES FUND (OFFSHORE) L.P. · SHAREHOLDER · 25–50% · indirect via CONNING HOLDINGS CORP · control person
- ListedAQUILINE FINANCIAL SERVICES FUND L.P. · SHAREHOLDER · 50–75% · indirect via CONNING HOLDINGS CORP. · control person
- ListedBEAULIEU, CYNTHIA, ANNE · MANAGING DIRECTOR, SR. PORTFOLIO MANAGER · Less than 5%
- ListedBRADFORD, LINWOOD, EARLE · CHIEF OPERATIONS OFFICER · Less than 5% · control person
- ListedCONNING & COMPANY · OWNER · 75% or more · control person
- ListedCONNING HOLDINGS CORP · MEMBER · 75% or more · indirect via CONNING & COMPANY · control person
- ListedCORRENTI, SALVATORE · MANAGING DIRECTOR · Less than 5% · control person
- ListedHEISER, GLENN · CHIEF ADMINISTRATIVE OFFICER · Less than 5% · control person
- ListedLEE, JUNG, WON · CHIEF FINANCIAL OFFICER · Less than 5% · control person
- ListedPEARCE, ROBERT, STEDMAN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ListedROMANO, JAMES, P · CHIEF RISK OFFICER · Less than 5% · control person
- ListedRYAN, LYNN, MARIE · MANAGING DIRECTOR, SR. PORTFOLIO MANAGER · Less than 5%
- ListedSEGA, RICHARD, LOUIS · PRESIDENT, CIO · Less than 5% · control person
- ListedSMALLEY, VI (VIOLA), R. · CHIEF LEGAL OFFICER\CORPORATE SECRETARY · 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)
- FIDELITY COVINGTON TRUST$1.5M +26.6%
- FIDELITY MERRIMACK STR TR$1.3M +10.3%
- VANGUARD INDEX FDS$875.9K +28.6%
- ISHARES TR$681.7K +15.7%
- INVESCO EXCHANGE TRADED FD T$343.5K +32.6%
New Positions
- MIAMI INTL HLDGS INC$1.0M
- BROADCOM INC$929.3K
- CISCO SYS INC$289.4K
- INVESCO EXCHANGE TRADED FD T$236.0K
Exited Positions
- FIDELITY COVINGTON TRUST$41.9M
- PGIM ETF TR$664.3K
- FIDELITY COVINGTON TRUST$493.7K
- J P MORGAN EXCHANGE TRADED F$295.5K
- KROGER CO$216.9K
Goodwin Investment Advisory Holdings (2026-06-30)
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 | ESGU | 46435G425 | $2.6M | 5.33% | 16,170 | SH |
| 2 | ISHARES TR | ESGU | 46435G425 | $2.4M | 4.77% | 14,466 | SH |
| 3 | INVESCO EXCHANGE TRADED FD T | XLG | 46137V233 | $2.1M | 4.15% | 33,660 | SH |
| 4 | VANGUARD INDEX FDS | VOO | 922908363 | $2.0M | 3.96% | 2,860 | SH |
| 5 | BANK OF NY MELLON CORP | BNY | 064058100 | $1.6M | 3.30% | 11,344 | SH |
| 6 | MIAMI INTL HLDGS INC | MIAX | 59356Q108 | $1.0M | 2.10% | 28,025 | SH |
| 7 | AXSOME THERAPEUTICS INC. | AXSM | 05464T104 | $1.0M | 2.09% | 4,241 | SH |
| 8 | FIDELITY COVINGTON TRUST | FVAL | 316092782 | $930.6K | 1.87% | 11,941 | SH |
| 9 | BROADCOM INC | AVGO | 11135F101 | $929.3K | 1.87% | 2,460 | SH |
| 10 | ISHARES TR | IVV | 464287200 | $745.4K | 1.50% | 995 | SH |
| 11 | FIDELITY COVINGTON TRUST | FVAL | 316092782 | $664.9K | 1.34% | 8,531 | SH |
| 12 | VANGUARD INDEX FDS | VUG | 922908736 | $649.3K | 1.31% | 7,538 | SH |
| 13 | FIDELITY COVINGTON TRUST | FVAL | 316092782 | $640.9K | 1.29% | 8,223 | SH |
| 14 | INVESCO EXCHANGE TRADED FD T | EQWL | 46137V449 | $638.4K | 1.29% | 4,948 | SH |
| 15 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $629.5K | 1.27% | 13,839 | SH |
| 16 | SELECTIVE INS GROUP INC | SIGI | 816300107 | $582.1K | 1.17% | 6,000 | SH |
| 17 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $542.6K | 1.09% | 11,928 | SH |
| 18 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $531.9K | 1.07% | 11,693 | SH |
| 19 | PIMCO ETF TR | MUNI | 72201R866 | $520.4K | 1.05% | 9,893 | SH |
| 20 | VANGUARD INDEX FDS | VOO | 922908363 | $514.6K | 1.04% | 749 | SH |
| 21 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $506.1K | 1.02% | 11,125 | SH |
| 22 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $504.3K | 1.02% | 11,085 | SH |
| 23 | FIDELITY COVINGTON TRUST | FVAL | 316092782 | $493.4K | 0.99% | 6,330 | SH |
| 24 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $481.7K | 0.97% | 10,589 | SH |
| 25 | ISHARES TR | IVV | 464287200 | $473.7K | 0.95% | 632 | SH |
| 26 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $467.1K | 0.94% | 10,268 | SH |
| 27 | ISHARES TR | IVV | 464287200 | $455.0K | 0.92% | 607 | SH |
| 28 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $453.3K | 0.91% | 9,965 | SH |
| 29 | VANGUARD INDEX FDS | VBK | 922908595 | $445.1K | 0.90% | 1,217 | SH |
| 30 | VANGUARD INDEX FDS | VBK | 922908595 | $441.1K | 0.89% | 1,206 | SH |
| 31 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $438.8K | 0.88% | 9,647 | SH |
| 32 | VANGUARD INDEX FDS | VUG | 922908736 | $435.2K | 0.88% | 5,052 | SH |
| 33 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $422.5K | 0.85% | 9,288 | SH |
| 34 | FIDELITY COVINGTON TRUST | FVAL | 316092782 | $420.1K | 0.85% | 5,390 | SH |
| 35 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $414.1K | 0.83% | 9,102 | SH |
| 36 | VANECK ETF TRUST | ITM | 92189H201 | $401.8K | 0.81% | 8,550 | SH |
| 37 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $397.1K | 0.80% | 8,729 | SH |
| 38 | ISHARES TR | IJT | 464287887 | $391.0K | 0.79% | 2,189 | SH |
| 39 | FIDELITY COVINGTON TRUST | FVAL | 316092782 | $388.5K | 0.78% | 4,985 | SH |
| 40 | FIDELITY COVINGTON TRUST | FVAL | 316092782 | $380.4K | 0.77% | 4,881 | SH |
| 41 | VANGUARD INDEX FDS | VOO | 922908363 | $379.8K | 0.76% | 553 | SH |
| 42 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $379.5K | 0.76% | 8,754 | SH |
| 43 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $375.4K | 0.76% | 8,252 | SH |
| 44 | FIDELITY COMWLTH TR | ONEQ | 315912808 | $374.0K | 0.75% | 3,623 | SH |
| 45 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $361.9K | 0.73% | 7,955 | SH |
| 46 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $359.3K | 0.72% | 7,898 | SH |
| 47 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $356.5K | 0.72% | 7,836 | SH |
| 48 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $351.0K | 0.71% | 7,716 | SH |
| 49 | FIDELITY COMWLTH TR | ONEQ | 315912808 | $346.4K | 0.70% | 3,356 | SH |
| 50 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $339.5K | 0.68% | 7,464 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-06-30 | 2026-08-19 | $49.7M | 111 | 0001420506-26-001870 |
| 2026-03-31 | 2026-05-13 | $84.0M | 212 | 0001420506-26-000952 |
| 2025-12-31 | 2026-02-09 | $91.1M | 224 | 0001420506-26-000229 |
| 2025-09-30 | 2025-11-05 | $93.3M | 229 | 0001420506-25-002989 |
Filer Information
Address
238 RIVER PARK N. DR.WOODSTOCK, GA 30188
Phone
(678) 741-2370
Filing Manager
Goodwin Investment Advisory
WOODSTOCK, GA
Signatory
Lindsay Marie Rider
Compliance Consultant