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Seros Financial, LLC — 13F Holdings & Portfolio

CIK 2039918 · latest 13F-HR filed 2026-08-13

Backtest portfolio

Seros Financial, LLC manages $192.0M in 13F-reported U.S. long-equity assets across 66 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are SPMO (14.97%), QQQ (9.55%), XSMO (8.52%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 12 new positions and exited 4; 40 existing positions rose in reported value and 9 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
$192.0M

Long-equity book

Holdings
66

Distinct positions

Period
2026-06-30

Filed 2026-08-13

Q/Q Activity
+12 / −4 / ↑40 / ↓9

vs 2026-03-31

Portfolio charts

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

Portfolio map

Q2 26
SPMO15.0% · -5%QQQ9.5% · +0%XSMO8.5% · +39%SCHF6.8% · +1%LVHI5.8% · +2%BUFQ5.7% · +2%XLG5.6% · +2%AVLV5.2% · newFPE5.2% · +7%BUFR5.1% · +2%SCHX2.9% · +16%BUFF2.6% · +4%SHYL2.6% · +8%BND2.2% · +6%ORN1.5% · 0%PHYL1.2% · +9%QQQM1.2% · +74%BUFB1.0% · +1%SMH1.0% · +15%SPY0.8% · -2%AAPL0.7% · -0%BIV0.6% · +6%IWY0.6% · -8%JCI0.5% · 0%AMZN0.5% · +5%SPHB0.5% · -8%CRWD0.4% · -0%NVDA0.4% · -10%BRK.B0.4% · -92%TSLA0.4% · -0%MSFT0.4% · +7%SPYI0.3% · newPFEB0.3% · -16%VRSK0.2% · +15%PFFA0.2% · -18%HYBI0.2% · newNJUL0.2% · 0%GOOGL0.2% · -2%BAC0.2% · newIVE0.2% · 0%BJUL0.2% · +2%AVGO0.2% · +1%AMD0.2% · newLRCX0.2% · newEEM0.2% · newPAPR0.2% · +2%POCT0.2% · +2%IVW0.1% · -11%ABBV0.1% · +5%COST0.1% · +6%IWM0.1% · +1%SHOP0.1% · -8%UNH0.1% · -30%PMAY0.1% · -38%KJUL0.1% · 0%INTC0.1% · newJNJ0.1% · newMSI0.1% · +3%BDEC0.1% · -11%CAT0.1% · new

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

Q1 26 → Q2 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

3 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 = 72.4%

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

Firm Profile & Key People

As of the firm’s regulatory filing dated Sep 2, 2026.

Assets Under Management
$359.2M
Discretionary
$359.2M
Employees
10
Accounts
1,049
Address
155 E RIVULON BLVD
SUITE 304
GILBERT, AZ 85297
Phone
(480) 967-1155
Website
Name Title / Status Ownership Type
SMITH FAMILY TRUST ControlMEMBER
since Feb 2013
75% or moreDomestic Entity
SMITH, JEREMY, WINDELL ControlMANAGER
since Feb 2013
75% or moreIndividual
BIGELOW, SHEROD, NORTONCHIEF COMPLIANCE OFFICER
since Feb 2013
Less than 5%Individual
SMITH, JEREMY, WINDELL Control
Indirect owner via SMITH FAMILY TRUST
TRUSTEE
since Feb 2013
General partner, trustee or managerIndividual
SMITH, SHAWNA, M Control
Indirect owner via SMITH FAMILY TRUST
TRUSTEE
since Feb 2013
General partner, trustee or managerIndividual
Ownership & leadership changes · 2 filings with changes since Feb 23, 2021

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 5, 2026 filing
  • ChangedSMITH, JEREMY, WINDELL · indirect via SMITH FAMILY TRUST: title MEMBER → TRUSTEE; ownership 50–75% → General partner, trustee or manager
  • ChangedSMITH, SHAWNA, M · indirect via SMITH FAMILY TRUST: title MEMBER → TRUSTEE; ownership 50–75% → General partner, trustee or manager
Jul 9, 2025 filing
  • AddedSMITH FAMILY TRUST · MEMBER · 75% or more · control person
  • AddedSMITH, JEREMY, WINDELL · MEMBER · 50–75% · indirect via SMITH FAMILY TRUST · control person
  • AddedSMITH, SHAWNA, M · MEMBER · 50–75% · indirect via SMITH FAMILY TRUST · control person
  • ChangedSMITH, JEREMY, WINDELL · title MANAGING MEMBER → MANAGER
Feb 23, 2021 filing (earliest on record)
  • ListedBIGELOW, SHEROD, NORTON · CHIEF COMPLIANCE OFFICER · Less than 5%
  • ListedSMITH, JEREMY, WINDELL · MANAGING MEMBER · 75% or more · 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.

Seros Financial, LLC 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 INVESCO EXCH TRADED FD TR II SPMO 46138E339 $28.7M 14.97% 177,943 SH
2 INVESCO QQQ TR QQQ 46090E103 $18.3M 9.55% 24,888 SH
3 INVESCO EXCHANGE TRADED FD T XSMO 46137V498 $16.4M 8.52% 174,671 SH
4 SCHWAB STRATEGIC TR SCHF 808524805 $13.1M 6.84% 473,896 SH
5 LEGG MASON ETF INVT LVHI 52468L505 $11.2M 5.82% 275,127 SH
6 FIRST TR EXCHNG TRADED FD VI BUFQ 33740U752 $10.9M 5.67% 277,068 SH
7 INVESCO EXCHANGE TRADED FD T XLG 46137V233 $10.8M 5.62% 176,305 SH
8 AMERICAN CENTY ETF TR AVLV 025072349 $9.9M 5.18% 109,073 SH
9 FIRST TR EXCH TRADED FD III FPE 33739E108 $9.9M 5.17% 555,256 SH
10 FIRST TR EXCHNG TRADED FD VI BUFR 33740F755 $9.7M 5.05% 265,438 SH
11 SCHWAB STRATEGIC TR SCHX 808524201 $5.5M 2.86% 186,668 SH
12 INNOVATOR ETFS TRUST BUFF 45783Y814 $5.0M 2.62% 95,381 SH
13 DBX ETF TR SHYL 233051283 $4.9M 2.56% 110,581 SH
14 VANGUARD BD INDEX FDS BND 921937835 $4.2M 2.20% 57,612 SH
15 ORION GROUP HLDGS INC ORN 68628V308 $2.8M 1.48% 168,704 SH
16 PGIM ETF TR PHYL 69344A206 $2.3M 1.22% 66,993 SH
17 INVESCO EXCH TRADED FD TR II QQQM 46138G649 $2.3M 1.21% 7,683 SH
18 INNOVATOR ETFS TRUST BUFB 45783Y756 $1.9M 1.01% 49,188 SH
19 VANECK ETF TRUST SMH 92189F676 $1.8M 0.95% 2,785 SH
20 STATE STR SPDR S&P 500 ETF T SPY 78462F103 $1.5M 0.80% 2,056 SH
21 APPLE INC AAPL 037833100 $1.3M 0.68% 4,541 SH
22 VANGUARD BD INDEX FDS BIV 921937819 $1.2M 0.65% 16,230 SH
23 ISHARES TR IWY 464289438 $1.1M 0.58% 3,826 SH
24 JOHNSON CONTROLS INTERNATION JCI G51502105 $1.0M 0.54% 7,100 SH
25 AMAZON COM INC AMZN 023135106 $990.1K 0.52% 4,154 SH
26 INVESCO EXCH TRADED FD TR II SPHB 46138E370 $934.6K 0.49% 6,007 SH
27 CROWDSTRIKE HLDGS INC CRWD 22788C105 $852.4K 0.44% 1,117 SH
28 NVIDIA CORPORATION NVDA 67066G104 $781.6K 0.41% 3,906 SH
29 BERKSHIRE HATHAWAY INC DEL BRK.B 084670702 $773.1K 0.40% 1,545 SH
30 TESLA INC TSLA 88160R101 $752.0K 0.39% 1,788 SH
31 MICROSOFT CORP MSFT 594918104 $733.3K 0.38% 1,966 SH
32 NEOS ETF TRUST SPYI 78433H303 $562.2K 0.29% 10,590 SH
33 INNOVATOR ETFS TRUST PFEB 45782C417 $486.8K 0.25% 11,305 SH
34 VERISK ANALYTICS INC VRSK 92345Y106 $458.5K 0.24% 2,554 SH
35 ETFIS SER TR I PFFA 26923G822 $436.0K 0.23% 21,196 SH
36 NEOS ETF TRUST HYBI 78433H584 $400.3K 0.21% 8,129 SH
37 INNOVATOR ETFS TRUST NJUL 45782C276 $395.6K 0.21% 5,109 SH
38 ALPHABET INC GOOGL 02079K305 $392.2K 0.20% 1,097 SH
39 BANK OF AMER CORP BAC 060505104 $384.1K 0.20% 6,741 SH
40 ISHARES TR IVE 464287408 $377.6K 0.20% 1,663 SH
41 INNOVATOR ETFS TRUST BJUL 45782C789 $343.5K 0.18% 6,325 SH
42 BROADCOM INC AVGO 11135F101 $328.6K 0.17% 870 SH
43 ADVANCED MICRO DEVICES INC AMD 007903107 $323.0K 0.17% 556 SH
44 LAM RESEARCH CORP LRCX 512807306 $312.0K 0.16% 720 SH
45 ISHARES TR EEM 464287234 $309.4K 0.16% 4,523 SH
46 INNOVATOR ETFS TRUST PAPR 45782C870 $299.6K 0.16% 7,100 SH
47 INNOVATOR ETFS TRUST POCT 45782C797 $291.6K 0.15% 6,283 SH
48 ISHARES TR IVW 464287309 $287.7K 0.15% 2,092 SH
49 ABBVIE INC ABBV 00287Y109 $286.1K 0.15% 1,137 SH
50 COSTCO WHOLESALE CORPORATION COST 22160K105 $274.5K 0.14% 293 SH
Filing History
Period Filed AUM Holdings Accession
2026-06-30 2026-08-13 $192.0M 66 0001104659-26-095632
2026-03-31 2026-05-05 $157.1M 58 0001104659-26-055527
2025-12-31 2026-02-06 $170.5M 61 0001104659-26-011337
Filer Information
Address
2141 EAST BROADWAY RD.
SUITE 220
TEMPE, AZ 85282
Phone
(480) 967-1155
Filing Manager
Seros Financial, LLC
TEMPE, AZ
Signatory
Sherod Bigelow
CCO