Marshall & Sterling Wealth Advisors Inc. — 13F Holdings & Portfolio
CIK 2056315 · latest 13F-HR filed 2026-07-21
Marshall & Sterling Wealth Advisors Inc. manages $168.9M in 13F-reported U.S. long-equity assets across 339 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are VCIT (7.55%), DGRW (7.25%), SPYI (6.05%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 13 new positions and exited 18; 202 existing positions rose in reported value and 58 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
$168.9M
Long-equity book
Holdings
339
Distinct positions
Period
2026-06-30
Filed 2026-07-21
Q/Q Activity
+13 / −18 / ↑202 / ↓58
vs 2026-03-31
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q2 26VCIT7.5% · +3%DGRW7.2% · +7%SPYI6.0% · +12%FDVV3.8% · +2%VGT3.4% · +536%RSP3.4% · +475%GARP3.1% · -8%VO3.1% · +339%RWK3.0% · +3%HEGD3.0% · +25%TPYP2.7% · +7%VUG2.4% · +469%IDMO2.3% · -5%IEF2.2% · +19%IWMI1.8% · +18%RSPU1.8% · -4%FEZ1.7% · +19%UTWO1.7% · +1%EFAA1.5% · +19%ITA1.5% · +10%HELO1.3% · -41%AAPL1.2% · -1%IBM1.1% · +5%TBIL1.0% · +1%SPY1.0% · +15%HGER1.0% · +34%VCSH0.9% · +4%VTIP0.8% · +824%NSC0.8% · 0%BRK.B0.8% · -0%OBIL0.8% · +0%SOXX0.7% · -8%NVDA0.7% · +76%QQQ0.7% · +19%SHY0.7% · +1%VIG0.7% · -33%SFLR0.6% · -10%XBIL0.6% · +1%MSFT0.6% · +6%NULG0.5% · -5%PG0.5% · 0%CRWD0.5% · -10%AIQ0.5% · +14%AMZN0.4% · +4%AMGN0.4% · +9%QDPL0.4% · -36%ETN0.4% · +2%HD0.4% · +23%ANET0.4% · +4%AXP0.4% · +18%AVGO0.4% · +0%GOOGL0.3% · +1%VTV0.3% · +68%CIBR0.3% · -31%COST0.3% · +11%LMT0.3% · +23%WM0.3% · +15%BCPC0.3% · 0%NNY0.3% · +5%QTUM0.3% · +8%
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
3 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 = 43.7%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated May 12, 2026.
Assets Under Management
$1.59B
Discretionary
$418.2M
Employees
15
Accounts
1,536
Address
278 MILL STREET
SUITE 301
POUGHKEEPSIE, NY 12601
SUITE 301
POUGHKEEPSIE, NY 12601
Phone
(845) 554-1046
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| KEPPEL, NICOLE, ELIZABETH Control | VICE PRESIDENT since Jan 2026 | Less than 5% | Individual |
| MARSHALL & STERLING ENTERPRISES, INC. Control | OWNER since Mar 1993 | 75% or more | Domestic Entity |
| PESCE, CRAIG, MATTHEW Control | CHIEF COMPLIANCE OFFICER AND DIRECTOR / PRESIDENT since Feb 2013 | Less than 5% | Individual |
| RYAN, MICHAEL, AMBROSE Control | VICE PRESIDENT since Jun 2016 | Less than 5% | Individual |
| SHUKLA, CHINTAN, HARIPRAKASH Control | AVP since Jan 2026 | Less than 5% | Individual |
| KEPPEL, NICOLE, ELIZABETH Control Indirect owner via MARSHALL & STERLING ENTERPRISES, INC. EMPLOYEE STOCK OWNERSHIP PLAN | TRUSTEE since Jan 2024 | General partner, trustee or manager | Individual |
| MARSHALL & STERLING ENTERPRISES, INC. EMPLOYEE STOCK OWNERSHIP PLAN Control Indirect owner via MARSHALL & STERLING ENTERPRISES, INC. | TRUST since Jan 1977 | 75% or more | Domestic Entity |
| Smith, Frank, J Indirect owner via MARSHALL & STERLING ENTERPRISES, INC. EMPLOYEE STOCK OWNERSHIP PLAN | TRUSTEE since Jan 2023 | 25–50% | Individual |
| WOODS, KRYSTAL, M. Indirect owner via MARSHALL & STERLING ENTERPRISES, INC. | TRUSTEE since Dec 2022 | General partner, trustee or manager | Individual |
Ownership & leadership changes · 7 filings with changes since Oct 7, 2013
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 31, 2026 filing
- AddedKEPPEL, NICOLE, ELIZABETH · VICE PRESIDENT · Less than 5% · control person
- AddedSHUKLA, CHINTAN, HARIPRAKASH · AVP · Less than 5% · control person
Jul 23, 2024 filing
- No longer listedMALOY, JEANNE, MARIE · TRUSTEE · General partner, trustee or manager · indirect via MARSHALL & STERLING ENTERPRISES, INC. · control person · listed since Jun 2014
- No longer listedSHANKS, CATHERINE, REECK · TRUSTEE · General partner, trustee or manager · indirect via MARSHALL & STERLING ENTERPRISES, INC. · control person · listed since Jun 2014
- AddedWOODS, KRYSTAL, M. · TRUSTEE · General partner, trustee or manager · indirect via MARSHALL & STERLING ENTERPRISES, INC.
Mar 29, 2024 filing
- AddedKEPPEL, NICOLE, ELIZABETH · TRUSTEE · General partner, trustee or manager · indirect via MARSHALL & STERLING ENTERPRISES, INC. EMPLOYEE STOCK OWNERSHIP PLAN · control person
Mar 31, 2023 filing
- No longer listedDEAN, TIMOTHY, EDWARD · SECRETARY · Less than 5% · control person · listed since Jun 2012
- No longer listedRYCHCIK, TIMOTHY · PRESIDENT AND TREASURER · Less than 5% · control person · listed since Jun 2012
- No longer listedRYCHCIK, TIMOTHY · TRUSTEE · General partner, trustee or manager · indirect via MARSHALL & STERLING ENTERPRISES, INC. · control person · listed since Jun 1994
- AddedSmith, Frank, J · TRUSTEE · 25–50% · indirect via MARSHALL & STERLING ENTERPRISES, INC. EMPLOYEE STOCK OWNERSHIP PLAN
- ChangedPESCE, CRAIG, MATTHEW · title CHIEF COMPLIANCE OFFICER AND DIRECTOR → CHIEF COMPLIANCE OFFICER AND DIRECTOR / PRESIDENT
Sep 27, 2018 filing
- No longer listedMORGAN, JOHN, SCOTT · VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Apr 2012
- AddedRYAN, MICHAEL, AMBROSE · VICE PRESIDENT · Less than 5% · control person
- ChangedPESCE, CRAIG, MATTHEW · title DIRECTOR → CHIEF COMPLIANCE OFFICER AND DIRECTOR
Mar 31, 2015 filing
- No longer listedDEAN, TIMOTHY, EDWARD · TRUSTEE · General partner, trustee or manager · indirect via MARSHALL & STERLING ENTERPRISES, INC. · control person · listed since Oct 2011
- No longer listedO'SHEA, JOHN, PATRICK · TRUSTEE · General partner, trustee or manager · indirect via MARSHALL & STERLING ENTERPRISES, INC. · control person · listed since Jun 1994
- AddedMALOY, JEANNE, MARIE · TRUSTEE · General partner, trustee or manager · indirect via MARSHALL & STERLING ENTERPRISES, INC. · control person
- AddedSHANKS, CATHERINE, REECK · TRUSTEE · General partner, trustee or manager · indirect via MARSHALL & STERLING ENTERPRISES, INC. · control person
Mar 27, 2014 filing
- ChangedDEAN, TIMOTHY, EDWARD · indirect via MARSHALL & STERLING ENTERPRISES, INC.: now a control person
- ChangedO'SHEA, JOHN, PATRICK · indirect via MARSHALL & STERLING ENTERPRISES, INC.: now a control person
- ChangedRYCHCIK, TIMOTHY · indirect via MARSHALL & STERLING ENTERPRISES, INC.: now a control person
Oct 7, 2013 filing (earliest on record)
- ListedDEAN, TIMOTHY, EDWARD · SECRETARY · Less than 5% · control person
- ListedDEAN, TIMOTHY, EDWARD · TRUSTEE · General partner, trustee or manager · indirect via MARSHALL & STERLING ENTERPRISES, INC.
- ListedMARSHALL & STERLING ENTERPRISES, INC. · OWNER · 75% or more · control person
- ListedMARSHALL & STERLING ENTERPRISES, INC. EMPLOYEE STOCK OWNERSHIP PLAN · TRUST · 75% or more · indirect via MARSHALL & STERLING ENTERPRISES, INC. · control person
- ListedMORGAN, JOHN, SCOTT · VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ListedO'SHEA, JOHN, PATRICK · TRUSTEE · General partner, trustee or manager · indirect via MARSHALL & STERLING ENTERPRISES, INC.
- ListedPESCE, CRAIG, MATTHEW · DIRECTOR · Less than 5% · control person
- ListedRYCHCIK, TIMOTHY · PRESIDENT AND TREASURER · Less than 5% · control person
- ListedRYCHCIK, TIMOTHY · TRUSTEE · General partner, trustee or manager · indirect via MARSHALL & STERLING ENTERPRISES, INC.
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)
- INVESCO S&P$4.8M +537.1%
- WISDOMTREE US$1.8M +16.7%
- NEOS S&P$1.7M +19.9%
- SWAN HEDGED$1.3M +34.9%
- VANGUARD SHORT$1.2M +829.5%
Top Trims
- VANECK MORNINGSTAR-$6.2M -92.7%
- GLOBAL X-$1.5M -84.1%
- JPMORGAN HEDGED-$1.4M -37.9%
- LEIDOS HOLDINGS-$433.3K -96.1%
- VANGUARD DIVIDEND-$397.3K -26.5%
New Positions
- STATE STREET$407.8K
- HONEYWELL INTL$156.0K
- HONEYWELL AEROSPACE$138.6K
- STATE STREET$87.9K
- STATE STREET$82.9K
Exited Positions
- HONEYWELL INTL$182.3K
- STATE STREET$28.2K
- SMUCKER JM$24.9K
- STATE STREET$3.7K
- COLGATE-PALMOLIVE$3.4K
Marshall & Sterling Wealth Advisors Inc. 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 | VANGUARD INTERMEDIATE | VCIT | 92206C870 | $12.7M | 7.55% | 154,193 | SH |
| 2 | WISDOMTREE US | DGRW | 97717X669 | $12.2M | 7.25% | 128,005 | SH |
| 3 | NEOS S&P | SPYI | 78433H303 | $10.2M | 6.05% | 192,330 | SH |
| 4 | FIDELITY HIGH | FDVV | 316092840 | $6.5M | 3.85% | 107,749 | SH |
| 5 | VANGUARD INFORMATION | VGT | 92204A702 | $5.7M | 3.39% | 47,930 | SH |
| 6 | INVESCO S&P | RSP | 46137V357 | $5.7M | 3.39% | 26,923 | SH |
| 7 | ISHARES MSCI | GARP | 46436E403 | $5.3M | 3.12% | 63,815 | SH |
| 8 | VANGUARD MID | VO | 922908629 | $5.3M | 3.12% | 65,306 | SH |
| 9 | INVESCO S&P | RWK | 46138G672 | $5.1M | 3.03% | 34,972 | SH |
| 10 | SWAN HEDGED | HEGD | 53656F599 | $5.1M | 2.99% | 189,652 | SH |
| 11 | TORTOISE NORTH | TPYP | 890930308 | $4.5M | 2.66% | 107,250 | SH |
| 12 | VANGUARD GROWTH | VUG | 922908736 | $4.1M | 2.43% | 47,651 | SH |
| 13 | INVESCO S&P | IDMO | 46138E222 | $3.8M | 2.26% | 63,204 | SH |
| 14 | ISHARES 7-10YR | IEF | 464287440 | $3.7M | 2.18% | 38,958 | SH |
| 15 | NEOS RUSSELL | IWMI | 78433H634 | $3.1M | 1.81% | 57,258 | SH |
| 16 | INVESCO S&P | RSPU | 46137V274 | $3.1M | 1.81% | 37,648 | SH |
| 17 | STATE STREET | FEZ | 78463X202 | $3.0M | 1.75% | 43,002 | SH |
| 18 | U S TREASURY | UTWO | 74933W486 | $2.9M | 1.70% | 59,825 | SH |
| 19 | INVESCO MSCI | EFAA | 46090A713 | $2.6M | 1.52% | 45,938 | SH |
| 20 | ISHARES AEROSPACE | ITA | 464288760 | $2.5M | 1.48% | 10,335 | SH |
| 21 | JPMORGAN HEDGED | HELO | 46654Q724 | $2.2M | 1.33% | 33,238 | SH |
| 22 | APPLE INC | AAPL | 037833100 | $2.0M | 1.21% | 7,045 | SH |
| 23 | INTL BUSINESS | IBM | 459200101 | $1.9M | 1.12% | 6,710 | SH |
| 24 | F/M U S | TBIL | 74933W452 | $1.8M | 1.04% | 35,320 | SH |
| 25 | STATE STREET | SPY | 78462F103 | $1.6M | 0.97% | 2,198 | SH |
| 26 | HARBOR COMMODITY | HGER | 41151J505 | $1.6M | 0.97% | 55,725 | SH |
| 27 | VANGUARD SHORT | VCSH | 92206C409 | $1.5M | 0.87% | 18,645 | SH |
| 28 | VANGUARD SHORT | VTIP | 922020805 | $1.4M | 0.82% | 27,730 | SH |
| 29 | NORFOLK SOUTHERN | NSC | 655844108 | $1.4M | 0.81% | 4,361 | SH |
| 30 | BERKSHIRE HATHAWAY | BRK.B | 084670702 | $1.4M | 0.81% | 2,736 | SH |
| 31 | U S TREASURY | OBIL | 74933W478 | $1.4M | 0.80% | 27,152 | SH |
| 32 | ISHARES SEMICONDUCTOR | SOXX | 464287523 | $1.3M | 0.74% | 1,961 | SH |
| 33 | NVIDIA CORP | NVDA | 67066G104 | $1.2M | 0.73% | 6,124 | SH |
| 34 | INVESCO QQQ | QQQ | 46090E103 | $1.2M | 0.69% | 1,583 | SH |
| 35 | ISHARES 1-3YR | SHY | 464287457 | $1.1M | 0.65% | 13,459 | SH |
| 36 | VANGUARD DIVIDEND | VIG | 921908844 | $1.1M | 0.65% | 4,654 | SH |
| 37 | INNOVATOR EQUITY | SFLR | 45783Y673 | $1.1M | 0.64% | 27,985 | SH |
| 38 | U S TREASURY | XBIL | 74933W460 | $1.1M | 0.63% | 21,432 | SH |
| 39 | MICROSOFT CORP | MSFT | 594918104 | $1.1M | 0.63% | 2,830 | SH |
| 40 | NUVEEN ESG | NULG | 67092P201 | $895.2K | 0.53% | 7,648 | SH |
| 41 | PROCTER & GAMBLE | PG | 742718109 | $884.4K | 0.52% | 6,031 | SH |
| 42 | CROWDSTRIKE HOLDINGS | CRWD | 22788C105 | $800.5K | 0.47% | 1,049 | SH |
| 43 | GLOBAL X | AIQ | 37954Y632 | $788.7K | 0.47% | 12,020 | SH |
| 44 | AMAZON COM | AMZN | 023135106 | $751.0K | 0.44% | 3,151 | SH |
| 45 | AMGEN INC | AMGN | 031162100 | $750.1K | 0.44% | 2,071 | SH |
| 46 | PACER METAURUS | QDPL | 69374H436 | $657.3K | 0.39% | 14,583 | SH |
| 47 | EATON CORP | ETN | G29183103 | $648.0K | 0.38% | 1,521 | SH |
| 48 | HOME DEPOT | HD | 437076102 | $645.2K | 0.38% | 1,829 | SH |
| 49 | ARISTA NETWORKS | ANET | 040413205 | $643.8K | 0.38% | 3,790 | SH |
| 50 | AMERICAN EXPRESS | AXP | 025816109 | $622.5K | 0.37% | 1,840 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-06-30 | 2026-07-21 | $168.9M | 339 | 0002056315-26-000003 |
| 2026-03-31 | 2026-05-07 | $152.8M | 344 | 0002056315-26-000002 |
| 2025-12-31 | 2026-02-10 | $151.5M | 338 | 0002056315-26-000001 |
Filer Information
Address
278 MILL STREETSUITE 301
POUGHKEEPSIE, NY 12601
Phone
(845) 554-1046
Filing Manager
Marshall & Sterling Wealth Advisors Inc.
POUGHKEEPSIE, NY
Signatory
Craig M. Pesce
Chief Compliance Officer