Shum Financial Group, Inc. — 13F Holdings & Portfolio

CIK 2044675 · latest 13F-HR filed 2026-10-13

Shum Financial Group, Inc. manages $174.2M in 13F-reported U.S. long-equity assets across 110 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are AAPL (9.25%), EFV (7.24%), QUAL (4.23%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 8 new positions and exited 4; 34 existing positions rose in reported value and 31 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.

AUM

$174.2M

Long-equity book

Holdings

110

Distinct positions

Period

2026-09-30

Filed 2026-10-13

Q/Q Activity

+8 / −4 / ↑34 / ↓31

vs 2026-06-30

Portfolio charts

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

Portfolio map

Q3 26

AAPL9.3% · -1%EFV7.2% · +2%QUAL4.2% · +2%MSFT3.8% · +0%NVDA3.2% · +2%IQLT3.0% · +11%SPEM3.0% · +19%SPSM2.5% · -13%SPYV2.5% · +2%SDY2.4% · +5%SPYG2.1% · -1%EFG2.1% · +12%GOOGL2.1% · +2%JPM1.9% · -1%AMZN1.8% · +3%IGLB1.8% · -29%JNJ1.7% · -2%SPMD1.7% · -0%MDYV1.6% · +4%PANW1.6% · +3%IXN1.5% · -3%WMT1.4% · +2%BLK1.3% · +1%AMD1.3% · +7%UNH1.1% · +0%LLY1.0% · +1%HD0.9% · -2%V0.9% · +0%COST0.9% · -0%JMST0.8% · -17%JEPI0.8% · +137%CRWD0.8% · +315%ABBV0.8% · +1%USRT0.8% · -0%PLD0.7% · +3%XLU0.7% · +0%SRLN0.7% · +1%AVGO0.7% · +11%CSCO0.7% · +1%CALI0.7% · +182%QCOM0.7% · -1%EMB0.6% · +2%CRM0.6% · +0%PPL0.6% · -1%PM0.6% · -1%XLV0.6% · +0%SPSB0.5% · new ASML0.5% · +21%FIXT0.5% · -1%VCIT0.5% · +3%ACWI0.5% · +9%MRK0.5% · -1%SCHW0.5% · +12%PG0.5% · -8%IBM0.5% · -0%AMT0.4% · -0%TSM0.4% · +31%UPS0.4% · -0%ABT0.4% · -1%DHR0.4% · 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

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 = 41%

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

Firm Profile & Key People

As of the firm’s regulatory filing dated Feb 23, 2026.

Assets Under Management

$322.0M

Discretionary

$322.0M

Employees

Accounts

990

Address

2205 HARBOR BAY PARKWAY
ALAMEDA, CA 94502

Phone

(510) 748-7462

Website

WWW.SHUMFINANCIAL.COM

Name	Title / Status	Ownership	Type
SHUM, CLIFF, WINGYIN Control	PRESIDENT/CHIEF COMPLIANCE OFFICER since Oct 2016	75% or more	Individual
SANCHEZ, ELYSE, NICOLE	SHAREHOLDER since Jan 2025	Less than 5%	Individual

Ownership & leadership changes · 1 filing with changes since May 2, 2017

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.

Feb 12, 2025 filing

AddedSANCHEZ, ELYSE, NICOLE · SHAREHOLDER · Less than 5%

May 2, 2017 filing (earliest on record)

ListedSHUM, CLIFF, WINGYIN · PRESIDENT/CHIEF COMPLIANCE OFFICER · 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.

Top Adds (vs prior quarter)

APPLE INC$1.9M +13.4%
MICROSOFT CORP$1.8M +38.1%
J P MORGAN EXCHANGE TRADED F$815.2K +135.5%
SPDR INDEX SHS FDS$811.4K +18.5%
NVIDIA CORPORATION$785.1K +16.6%

Show all 34 →

Top Trims

ISHARES TR-$1.7M -35.4%
SPDR SERIES TRUST-$1.1M -20.4%
HOME DEPOT INC-$432.6K -20.8%
J P MORGAN EXCHANGE TRADED F-$313.1K -18.1%
UNITEDHEALTH GROUP INC-$244.2K -11.4%

Show all 31 →

New Positions

Show all 8 →

Exited Positions

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#	Issuer	Symbol	CUSIP	Value	Δ

Shum Financial Group, Inc. Holdings (2026-09-30)

#	Issuer	Symbol	CUSIP	Value	Weight	Shares	Type
1	APPLE INC	AAPL	037833100	$16.1M	9.25%	48,394	SH
2	ISHARES TR	EFV	464288877	$12.6M	7.24%	159,336	SH
3	ISHARES TR	QUAL	46432F339	$7.4M	4.23%	33,185	SH
4	MICROSOFT CORP	MSFT	594918104	$6.7M	3.83%	13,011	SH
5	NVIDIA CORPORATION	NVDA	67066G104	$5.5M	3.16%	24,101	SH
6	ISHARES TR	IQLT	46434V456	$5.2M	3.00%	105,798	SH
7	SPDR INDEX SHS FDS	SPEM	78463X509	$5.2M	2.98%	100,262	SH
8	SPDR SERIES TRUST	SPSM	78468R853	$4.3M	2.49%	82,120	SH
9	SPDR SERIES TRUST	SPYV	78464A508	$4.3M	2.45%	69,841	SH
10	SPDR SERIES TRUST	SDY	78464A763	$4.1M	2.37%	28,156	SH
11	SPDR SERIES TRUST	SPYG	78464A409	$3.7M	2.13%	30,177	SH
12	ISHARES TR	EFG	464288885	$3.7M	2.11%	30,723	SH
13	ALPHABET INC	GOOGL	02079K305	$3.7M	2.11%	10,678	SH
14	JPMORGAN CHASE & CO	JPM	46625H100	$3.4M	1.94%	10,214	SH
15	AMAZON COM INC	AMZN	023135106	$3.2M	1.83%	12,827	SH
16	ISHARES TR	IGLB	464289511	$3.2M	1.81%	69,207	SH
17	JOHNSON & JOHNSON	JNJ	478160104	$3.0M	1.73%	11,386	SH
18	SPDR SERIES TRUST	SPMD	78464A847	$3.0M	1.73%	47,797	SH
19	SPDR SERIES TRUST	MDYV	78464A839	$2.8M	1.61%	31,777	SH
20	PALO ALTO NETWORKS INC	PANW	697435105	$2.7M	1.57%	6,875	SH
21	ISHARES TR	IXN	464287291	$2.7M	1.53%	17,945	SH
22	WALMART INC	WMT	931142103	$2.4M	1.35%	22,687	SH
23	BLACKROCK INC	BLK	09290D101	$2.3M	1.34%	2,207	SH
24	ADVANCED MICRO DEVICES INC	AMD	007903107	$2.2M	1.27%	3,624	SH
25	UNITEDHEALTH GROUP INC	UNH	91324P102	$1.9M	1.09%	5,193	SH
26	ELI LILLY & CO	LLY	532457108	$1.7M	0.97%	1,465	SH
27	HOME DEPOT INC	HD	437076102	$1.6M	0.94%	5,785	SH
28	VISA INC	V	92826C839	$1.6M	0.92%	4,455	SH
29	COSTCO WHOLESALE CORPORATION	COST	22160K105	$1.6M	0.90%	1,714	SH
30	J P MORGAN EXCHANGE TRADED F	JMST	46641Q654	$1.4M	0.82%	28,089	SH
31	J P MORGAN EXCHANGE TRADED F	JEPI	46641Q332	$1.4M	0.81%	25,204	SH
32	CROWDSTRIKE HLDGS INC	CRWD	22788C105	$1.4M	0.79%	5,201	SH
33	ABBVIE INC	ABBV	00287Y109	$1.4M	0.78%	5,219	SH
34	ISHARES TR	USRT	464288521	$1.4M	0.78%	22,080	SH
35	PROLOGIS INC.	PLD	74340W103	$1.3M	0.73%	9,755	SH
36	SELECT SECTOR SPDR TR	XLU	81369Y886	$1.3M	0.72%	31,827	SH
37	SSGA ACTIVE ETF TR	SRLN	78467V608	$1.2M	0.71%	30,585	SH
38	BROADCOM INC	AVGO	11135F101	$1.2M	0.70%	3,485	SH
39	CISCO SYS INC	CSCO	17275R102	$1.2M	0.70%	11,307	SH
40	BLACKROCK ETF TRUST II	CALI	092528884	$1.2M	0.69%	24,215	SH
41	QUALCOMM INC	QCOM	747525103	$1.2M	0.67%	6,324	SH
42	ISHARES TR	EMB	464288281	$1.1M	0.62%	11,827	SH
43	SALESFORCE INC	CRM	79466L302	$1.0M	0.59%	4,446	SH
44	PPL CORP	PPL	69351T106	$992.3K	0.57%	30,170	SH
45	PHILIP MORRIS INTL INC	PM	718172109	$987.1K	0.57%	5,173	SH
46	SELECT SECTOR SPDR TR	XLV	81369Y209	$980.7K	0.56%	5,823	SH
47	SPDR SERIES TRUST	SPSB	78464A474	$910.0K	0.52%	30,755	SH
48	ASML HLDG NV	ASML	N07059210	$909.5K	0.52%	502	SH
49	TCW ETF TRUST	FIXT	87191E105	$889.1K	0.51%	24,749	SH
50	VANGUARD SCOTTSDALE FDS	VCIT	92206C870	$888.7K	0.51%	11,349	SH

Filing History

Period	Filed	AUM	Holdings	Accession
2026-09-30	2026-10-13	$174.2M	110	0002044675-26-000007
2026-06-30	2026-07-22	$165.9M	106	0002044675-26-000006
2026-03-31	2026-04-22	$141.4M	93	0002044675-26-000004
2025-12-31	2026-01-15	$138.8M	92	0002044675-26-000001

Filer Information

Address

2205 HARBOR BAY PARKWAY
ALAMEDA, CA 94502

Phone

(510) 748-7462

Filing Manager

Shum Financial Group, Inc.

ALAMEDA, CA

Signatory

Cliff Shum

President