HOWARD BAILEY SECURITIES, LLC — 13F Holdings & Portfolio
CIK 2043986 · latest 13F-HR filed 2026-04-23
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
$243.2M
Long-equity book
Holdings
122
Distinct positions
Period
2026-03-31
Filed 2026-04-23
Q/Q Activity
+27 / −49 / ↑26 / ↓63
vs 2025-09-30
Firm Profile & Key People
| Name | Title / Status | Ownership | Type |
|---|
Top Adds (vs prior quarter)
- CAPITOL SER TR$1.8M +6.3%
- ISHARES TR$1.7M +10.4%
- SIMPLIFY EXCHANGE TRADED FUN$1.3M +88.0%
- SIMPLIFY EXCHANGE TRADED FUN$1.3M +89.3%
- SIMPLIFY EXCHANGE TRADED FUN$921.8K +28.0%
Top Trims
- WISDOMTREE TR-$14.0M -92.6%
- WISDOMTREE TR-$12.6M -91.0%
- SCHWAB STRATEGIC TR-$10.4M -92.9%
- WISDOMTREE TR-$9.6M -90.5%
- WISDOMTREE TR-$8.0M -91.9%
New Positions
- AMERICAN CENTY ETF TR$11.3M
- AIM ETF PRODUCTS TRUST$5.7M
- AIM ETF PRODUCTS TRUST$4.6M
- SIMPLIFY EXCHANGE TRADED FUN$3.0M
- STERLING CAP FDS$2.5M
Exited Positions
- AIM ETF PRODUCTS TRUST$6.7M
- AIM ETF PRODUCTS TRUST$4.7M
- SIMPLIFY EXCHANGE TRADED FUN$2.7M
- ISHARES TR$2.2M
- INNOVATOR ETFS TRUST$1.3M
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 | CAPITOL SER TR | SCEC | 14064D444 | $29.5M | 12.13% | 1,176,264 | SH |
| 2 | ISHARES TR | IWY | 464289438 | $27.8M | 11.45% | 111,862 | SH |
| 3 | ISHARES TR | IWX | 464289420 | $17.7M | 7.27% | 190,684 | SH |
| 4 | AMERICAN CENTY ETF TR | AVNM | 025072174 | $11.3M | 4.67% | 149,008 | SH |
| 5 | ISHARES TR | EFV | 464288877 | $10.1M | 4.16% | 135,999 | SH |
| 6 | ISHARES TR | IWS | 464287473 | $9.4M | 3.87% | 64,497 | SH |
| 7 | ISHARES TR | EFG | 464288885 | $8.9M | 3.66% | 80,010 | SH |
| 8 | SPDR SERIES TRUST | SPYM | 78464A854 | $8.2M | 3.36% | 106,667 | SH |
| 9 | ISHARES INC | IEMG | 46434G103 | $6.8M | 2.80% | 97,693 | SH |
| 10 | AIM ETF PRODUCTS TRUST | SIXO | 00888H877 | $5.7M | 2.35% | 169,540 | SH |
| 11 | VANGUARD SCOTTSDALE FDS | VTWO | 92206C664 | $4.9M | 2.01% | 48,681 | SH |
| 12 | AIM ETF PRODUCTS TRUST | OCTW | 00888H505 | $4.6M | 1.90% | 120,245 | SH |
| 13 | SIMPLIFY EXCHANGE TRADED FUN | CTA | 82889N699 | $4.2M | 1.73% | 139,571 | SH |
| 14 | SIMPLIFY EXCHANGE TRADED FUN | BUCK | 82889N640 | $4.1M | 1.67% | 173,204 | SH |
| 15 | AIM ETF PRODUCTS TRUST | SEPW | 00888H687 | $3.6M | 1.49% | 114,520 | SH |
| 16 | SIMPLIFY EXCHANGE TRADED FUN | TUA | 82889N657 | $3.1M | 1.29% | 148,154 | SH |
| 17 | SIMPLIFY EXCHANGE TRADED FUN | FOXY | 82889N368 | $3.0M | 1.24% | 103,529 | SH |
| 18 | AIM ETF PRODUCTS TRUST | JULW | 00888H406 | $3.0M | 1.24% | 77,440 | SH |
| 19 | SIMPLIFY EXCHANGE TRADED FUN | SBAR | 82889N335 | $2.9M | 1.18% | 116,907 | SH |
| 20 | SIMPLIFY EXCHANGE TRADED FUN | AGGH | 82889N723 | $2.8M | 1.17% | 139,538 | SH |
| 21 | ISHARES TR | IWP | 464287481 | $2.6M | 1.05% | 19,922 | SH |
| 22 | STERLING CAP FDS | SCNM | 85917K470 | $2.5M | 1.04% | 101,282 | SH |
| 23 | AIM ETF PRODUCTS TRUST | DECU | 00888H521 | $2.3M | 0.96% | 87,716 | SH |
| 24 | MICROSOFT CORP | MSFT | 594918104 | $2.3M | 0.95% | 6,257 | SH |
| 25 | INNOVATOR ETFS TRUST | ZSEP | 45784N106 | $2.0M | 0.84% | 76,100 | SH |
| 26 | APPLE INC | AAPL | 037833100 | $2.0M | 0.83% | 7,994 | SH |
| 27 | AMAZON COM INC | AMZN | 023135106 | $1.9M | 0.79% | 9,229 | SH |
| 28 | SIMPLIFY EXCHANGE TRADED FUN | SVOL | 82889N863 | $1.9M | 0.77% | 121,647 | SH |
| 29 | ELEVATION SERIES TRUST | SEPZ | 210322798 | $1.8M | 0.74% | 44,077 | SH |
| 30 | ELEVATION SERIES TRUST | ONEZ | 210322608 | $1.7M | 0.71% | 69,222 | SH |
| 31 | NVIDIA CORPORATION | NVDA | 67066G104 | $1.6M | 0.65% | 9,129 | SH |
| 32 | INNOVATOR ETFS TRUST | APOC | 45784N882 | $1.5M | 0.60% | 57,329 | SH |
| 33 | ISHARES TR | IDEV | 46435G326 | $1.4M | 0.59% | 17,053 | SH |
| 34 | AIM ETF PRODUCTS TRUST | AIOO | 00888H448 | $1.3M | 0.53% | 50,063 | SH |
| 35 | ELEVATION SERIES TRUST | PAYM | 210322574 | $1.3M | 0.51% | 57,020 | SH |
| 36 | WISDOMTREE TR | NTSX | 97717Y790 | $1.2M | 0.51% | 23,966 | SH |
| 37 | PIMCO ETF TR | BILZ | 72201R577 | $1.2M | 0.51% | 12,284 | SH |
| 38 | WISDOMTREE TR | DGRW | 97717X669 | $1.1M | 0.46% | 12,815 | SH |
| 39 | INNOVATOR ETFS TRUST | ZNOV | 45784N809 | $1.1M | 0.44% | 40,264 | SH |
| 40 | WISDOMTREE TR | AGGY | 97717X511 | $1.0M | 0.42% | 23,280 | SH |
| 41 | ISHARES TR | IVV | 464287200 | $1.0M | 0.41% | 1,534 | SH |
| 42 | SCHWAB STRATEGIC TR | SCHP | 808524870 | $988.3K | 0.41% | 37,139 | SH |
| 43 | ELEVATION SERIES TRUST | JANZ | 210322681 | $955.6K | 0.39% | 25,996 | SH |
| 44 | SIMPLIFY EXCHANGE TRADED FUN | GAEM | 82889N459 | $952.8K | 0.39% | 36,803 | SH |
| 45 | VISA INC | V | 92826C839 | $917.3K | 0.38% | 3,035 | SH |
| 46 | ELEVATION SERIES TRUST | AUGZ | 210322814 | $867.4K | 0.36% | 21,341 | SH |
| 47 | ELEVATION SERIES TRUST | DECZ | 210322764 | $857.1K | 0.35% | 22,073 | SH |
| 48 | AIM ETF PRODUCTS TRUST | FLJJ | 00888H638 | $844.6K | 0.35% | 26,913 | SH |
| 49 | STEEL DYNAMICS INC | STLD | 858119100 | $794.9K | 0.33% | 4,416 | SH |
| 50 | SCHWAB STRATEGIC TR | SCHG | 808524300 | $793.9K | 0.33% | 27,255 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-03-31 | 2026-04-23 | $243.2M | 122 | 0002043986-26-000005 |
| 2025-09-30 | 2026-02-27 | $351.3M | 144 | 0002043986-26-000004 |