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Defined Financial Planning LLC — 13F Holdings & Portfolio

CIK 2056559 · latest 13F-HR filed 2025-10-15

Backtest portfolio

Defined Financial Planning LLC manages $120.6M in 13F-reported U.S. long-equity assets across 65 reported positions as of its 2025-09-30 13F-HR filing. Its largest disclosed positions are SCHG (11.77%), DGRW (7.82%), JVAL (6.20%). Quarter over quarter (versus its 2025-06-30 filing) the fund opened 8 new positions and exited 11; 36 existing positions rose in reported value and 11 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
$120.6M

Long-equity book

Holdings
65

Distinct positions

Period
2025-09-30

Filed 2025-10-15

Q/Q Activity
+8 / −11 / ↑36 / ↓11

vs 2025-06-30

Portfolio charts

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

Portfolio map

Q3 25
SCHG11.8% · +11%DGRW7.8% · -15%JVAL6.2% · -4%DDWM5.8% · +3146%AGGY5.6% · +10%SECT5.4% · -12%SPDW5.0% · -2%XSOE4.4% · -5%DON3.5% · +25%USMF3.5% · -24%JBND3.3% · +18%MTGP3.1% · +23%NVDA2.9% · -2%AAPL2.7% · +0%MSFT2.6% · -4%EES2.4% · +33%BIV2.4% · +25%BUYW1.7% · +4%EPI1.6% · +9%QHY1.4% · +11%AMZN1.1% · -6%MARM0.9% · +36%AVGO0.9% · -6%GOOGL0.9% · +4%DECM0.8% · +36%GLD0.7% · +35%THIR0.7% · newSPY0.7% · newMETA0.5% · +6%GOOG0.5% · -21%BUFD0.5% · +34%SSO0.5% · newMCD0.4% · +20%LLY0.4% · +57%JPM0.4% · +7%TSLA0.4% · +6%IBM0.4% · -3%ETN0.3% · +0%OCTM0.3% · +42%SEPM0.3% · +36%JUNM0.3% · +37%JNJ0.3% · +3%PG0.3% · -3%NFLX0.3% · +17%XOM0.2% · -8%V0.2% · -7%EXC0.2% · +1%BRK.B0.2% · +6%WMT0.2% · -22%IBIT0.2% · -59%KO0.2% · -3%CSCO0.2% · +2%AXP0.2% · -14%ORCL0.2% · -2%AJG0.2% · 0%ABBV0.2% · newLRCX0.2% · -24%MA0.2% · +0%ADP0.2% · +0%TJX0.2% · 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 25 → Q3 25

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

2 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 = 58.9%

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

Firm Profile & Key People

As of the firm’s regulatory filing dated Jun 10, 2025.

Assets Under Management
$137.3M
Discretionary
$135.6M
Employees
5
Accounts
333
Address
899 NORTHGATE DR
SUITE 300
SAN RAFAEL, CA 94903
Phone
(510) 200-8655
Website
Name Title / Status Ownership Type
Gaeta, Samuel, Vasquez ControlCHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, MEMBER
since Oct 2020
75% or moreIndividual
HASBROOK, BRIANNA, NICOLEDIRECTOR OF OPERATIONS, MEMBER
since Jul 2024
10–25%Individual
Ownership & leadership changes · 4 filings with changes since Jul 11, 2022

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.

Nov 13, 2024 filing
  • AddedHASBROOK, BRIANNA, NICOLE · DIRECTOR OF OPERATIONS, MEMBER · 10–25%
May 23, 2024 filing
  • No longer listedCOOPER, MARTEL, JED · DIRECTOR OF INVESTMENTS · Less than 5% · control person · listed since Jul 2022
  • No longer listedSMITH, MICHAEL, GREGORY · DIRECTOR OF TAX PLANNING · Less than 5% · control person · listed since Jul 2022
  • No longer listedVasquez, Richard, Anthony · PARTNER · 25–50% · listed since Jul 2022
  • ChangedGaeta, Samuel, Vasquez · title CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER → CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, MEMBER
Aug 24, 2022 filing
  • AddedVasquez, Richard, Anthony · PARTNER · 25–50%
Aug 9, 2022 filing
  • AddedCOOPER, MARTEL, JED · DIRECTOR OF INVESTMENTS · Less than 5% · control person
  • AddedSMITH, MICHAEL, GREGORY · DIRECTOR OF TAX PLANNING · Less than 5% · control person
Jul 11, 2022 filing (earliest on record)
  • ListedGaeta, Samuel, Vasquez · CHIEF EXECUTIVE OFFICER, 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)

Show all 36 →

Top Trims

Show all 11 →

New Positions

Show all 8 →

Exited Positions

Show all 11 →

Defined Financial Planning LLC Holdings (2025-09-30)

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 SCHWAB STRATEGIC TR SCHG 808524300 $14.2M 11.77% 436,270 SH
2 WISDOMTREE TR DGRW 97717X669 $9.4M 7.82% 105,749 SH
3 J P MORGAN EXCHANGE TRADED F JVAL 46641Q753 $7.5M 6.20% 155,620 SH
4 WISDOMTREE TR DDWM 97717X263 $6.9M 5.76% 164,875 SH
5 WISDOMTREE TR AGGY 97717X511 $6.7M 5.58% 152,014 SH
6 NORTHERN LTS FD TR IV SECT 66538H591 $6.5M 5.43% 102,705 SH
7 SPDR INDEX SHS FDS SPDW 78463X889 $6.0M 5.01% 138,870 SH
8 WISDOMTREE TR XSOE 97717X578 $5.3M 4.37% 136,181 SH
9 WISDOMTREE TR DON 97717W505 $4.2M 3.52% 81,593 SH
10 WISDOMTREE TR USMF 97717Y857 $4.2M 3.46% 80,252 SH
11 J P MORGAN EXCHANGE TRADED F JBND 46654Q716 $4.0M 3.34% 74,543 SH
12 WISDOMTREE TR MTGP 97717Y725 $3.8M 3.15% 84,968 SH
13 NVIDIA CORPORATION NVDA 67066G104 $3.5M 2.90% 18,502 SH
14 APPLE INC AAPL 037833100 $3.2M 2.69% 12,552 SH
15 MICROSOFT CORP MSFT 594918104 $3.1M 2.57% 5,912 SH
16 WISDOMTREE TR EES 97717W562 $2.8M 2.36% 51,262 SH
17 VANGUARD BD INDEX FDS BIV 921937819 $2.8M 2.35% 36,330 SH
18 NORTHERN LTS FD TR IV BUYW 66538H179 $2.1M 1.74% 147,399 SH
19 WISDOMTREE TR EPI 97717W422 $2.0M 1.65% 44,468 SH
20 WISDOMTREE TR QHY 97717X172 $1.6M 1.36% 35,259 SH
21 AMAZON COM INC AMZN 023135106 $1.3M 1.05% 5,636 SH
22 FIRST TR EXCHNG TRADED FD VI MARM 33740U612 $1.1M 0.95% 35,053 SH
23 BROADCOM INC AVGO 11135F101 $1.1M 0.93% 3,261 SH
24 ALPHABET INC GOOGL 02079K305 $1.1M 0.90% 4,419 SH
25 FIRST TR EXCHNG TRADED FD VI DECM 33740U497 $956.7K 0.79% 29,595 SH
26 SPDR GOLD TR GLD 78463V107 $890.9K 0.74% 2,393 SH
27 THOR FINL TECHNOLOGIES TR THIR 885155200 $870.4K 0.72% 27,389 SH
28 SPDR S&P 500 ETF TR SPY 78462F103 $835.3K 0.69% 1,241 SH
29 META PLATFORMS INC META 30303M102 $586.5K 0.49% 817 SH
30 ALPHABET INC GOOG 02079K107 $585.7K 0.49% 2,386 SH
31 FIRST TR EXCHNG TRADED FD VI BUFD 33740U703 $578.3K 0.48% 20,872 SH
32 PROSHARES TR SSO 74347R107 $558.2K 0.46% 4,882 SH
33 MCDONALDS CORP MCD 580135101 $507.0K 0.42% 1,722 SH
34 ELI LILLY & CO LLY 532457108 $482.1K 0.40% 570 SH
35 JPMORGAN CHASE & CO. JPM 46625H100 $461.5K 0.38% 1,518 SH
36 TESLA INC TSLA 88160R101 $441.8K 0.37% 1,007 SH
37 INTERNATIONAL BUSINESS MACHS IBM 459200101 $437.4K 0.36% 1,511 SH
38 EATON CORP PLC ETN G29183103 $382.7K 0.32% 1,016 SH
39 FIRST TR EXCHNG TRADED FD VI OCTM 33740F136 $382.2K 0.32% 11,858 SH
40 FIRST TR EXCHNG TRADED FD VI SEPM 33740U554 $381.8K 0.32% 12,116 SH
41 FIRST TR EXCHNG TRADED FD VI JUNM 33740U588 $381.3K 0.32% 11,253 SH
42 JOHNSON & JOHNSON JNJ 478160104 $365.3K 0.30% 1,926 SH
43 PROCTER AND GAMBLE CO PG 742718109 $364.1K 0.30% 2,416 SH
44 NETFLIX INC NFLX 64110L106 $340.0K 0.28% 280 SH
45 EXXON MOBIL CORP XOM 30231G102 $297.0K 0.25% 2,605 SH
46 VISA INC V 92826C839 $294.8K 0.24% 839 SH
47 EXELON CORP EXC 30161N101 $290.6K 0.24% 6,234 SH
48 BERKSHIRE HATHAWAY INC DEL BRK.B 084670702 $282.9K 0.23% 566 SH
49 WALMART INC WMT 931142103 $282.5K 0.23% 2,745 SH
50 ISHARES BITCOIN TRUST ETF IBIT 46438F101 $280.6K 0.23% 4,005 SH
Filing History
Period Filed AUM Holdings Accession
2025-09-30 2025-10-15 $120.6M 65 0001754960-25-000660
2025-06-30 2025-07-23 $112.6M 68 0001754960-25-000466