Willow Financial LLC — 13F Holdings & Portfolio
CIK 2077046 · latest 13F-HR filed 2026-04-21
Willow Financial LLC manages $98.7M in 13F-reported U.S. long-equity assets across 37 reported positions as of its 2026-03-31 13F-HR filing. Its largest disclosed positions are FDV (9.06%), GRNY (8.28%), IVES (7.27%). Quarter over quarter (versus its 2025-12-31 filing) the fund opened 7 new positions and exited 10; 10 existing positions rose in reported value and 13 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.
Long-equity book
Distinct positions
Filed 2026-04-21
vs 2025-12-31
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q1 26Box 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
Q4 25 → Q1 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
2 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 = 65.2%Cumulative share of the portfolio held in the largest N positions.
As of the firm’s regulatory filing dated Jun 15, 2026.
21ST FLOOR
NEW YORK, NY 10016
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| CAPLAN, MITCHELL, HARRIS Control | CHIEF EXECUTIVE OFFICER since May 2025 | Less than 5% | Individual |
| VAZIRANI, KARAN, ANIL Control | CHIEF FINANCIAL OFFICER since Jul 2024 | Less than 5% | Individual |
| WILLIAMS, THOMAS, NEIL Control | CHIEF INVESTMENT OFFICER since Jun 2026 | Less than 5% | Individual |
| WILLOW WEALTH INC. Control | SOLE MEMBER since Mar 2015 | 75% or more | Domestic Entity |
| MOSKATEL, JEFFREY | CHIEF COMPLIANCE OFFICER since Sep 2025 | Less than 5% | Individual |
Ownership & leadership changes · 14 filings with changes since Mar 28, 2016
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.
- No longer listedYARBROUGH, TED, KIRK · CHIEF INVESTMENT OFFICER · Less than 5% · control person · listed since May 2023
- AddedWILLIAMS, THOMAS, NEIL · CHIEF INVESTMENT OFFICER · Less than 5% · control person
- No longer listedYIELDSTREET INC. · SOLE MEMBER · 75% or more · control person · listed since Mar 2015
- AddedWILLOW WEALTH INC. · SOLE MEMBER · 75% or more · control person
- AddedYARBROUGH, TED, KIRK · CHIEF INVESTMENT OFFICER · Less than 5% · control person
- No longer listedMIELE, DOMENIC, (NMN) · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Jul 2024
- AddedMOSKATEL, JEFFREY · CHIEF COMPLIANCE OFFICER · Less than 5%
- ChangedVAZIRANI, KARAN, ANIL · now a control person
- No longer listedWEISZ, MICHAEL, JAY · CHIEF EXECUTIVE OFFICER · Less than 5% · control person · listed since Jul 2023
- AddedCAPLAN, MITCHELL, HARRIS · CHIEF EXECUTIVE OFFICER · Less than 5% · control person
- AddedVAZIRANI, KARAN, ANIL · CHIEF FINANCIAL OFFICER · Less than 5%
- No longer listedTYRE, DOUGLAS, NELSON · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Apr 2024
- AddedMIELE, DOMENIC, (NMN) · CHIEF COMPLIANCE OFFICER · Less than 5%
- No longer listedPYTLIK, YVONNE, I · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Aug 2023
- AddedTYRE, DOUGLAS, NELSON · CHIEF COMPLIANCE OFFICER · Less than 5%
- No longer listedRABIAS, FRANCES · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Aug 2022
- AddedPYTLIK, YVONNE, I · CHIEF COMPLIANCE OFFICER · Less than 5%
- No longer listedMEHERE, MILIND, (NMN) · CHIEF EXECUTIVE OFFICER · Less than 5% · control person · listed since May 2015
- ChangedWEISZ, MICHAEL, JAY · title PRESIDENT → CHIEF EXECUTIVE OFFICER
- No longer listedMORRIS, ERIK, W. · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Mar 2022
- AddedRABIAS, FRANCES · CHIEF COMPLIANCE OFFICER · Less than 5%
Older changes (5 more filings)
- No longer listedEWASKO, JASON, MICHAEL · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Mar 2017
- AddedMORRIS, ERIK, W. · CHIEF COMPLIANCE OFFICER · Less than 5%
- No longer listedMEHERE, MILIND, (NMN) · SHAREHOLDER - COMMON STOCK; DIRECTOR · 25–50% · indirect via YIELDSTREET INC. · control person · listed since Aug 2014
- No longer listedSHIELDS, DENNIS, ALEXANDER · SHAREHOLDER - COMMON STOCK; DIRECTOR · 25–50% · indirect via YIELDSTREET INC. · listed since Aug 2014
- No longer listedWEISZ, MICHAEL, JAY · SHAREHOLDER - COMMON STOCK; DIRECTOR · 25–50% · indirect via YIELDSTREET INC. · control person · listed since Aug 2014
- No longer listedEXPANSION YS HOLDINGS LLC · SHAREHOLDER - SERIES SEED PREFERRED STOCK · 75% or more · indirect via YIELDSTREET INC. · listed since Dec 2014
- AddedEWASKO, JASON, MICHAEL · CHIEF COMPLIANCE OFFICER · Less than 5%
- ChangedWEISZ, MICHAEL, JAY · title PRESIDENT AND CHIEF COMPLIANCE OFFICER → PRESIDENT
- ListedEXPANSION YS HOLDINGS LLC · SHAREHOLDER - SERIES SEED PREFERRED STOCK · 75% or more · indirect via YIELDSTREET INC.
- ListedMEHERE, MILIND, (NMN) · SHAREHOLDER - COMMON STOCK; DIRECTOR · 25–50% · indirect via YIELDSTREET INC. · control person
- ListedMEHERE, MILIND, (NMN) · CHIEF EXECUTIVE OFFICER · Less than 5% · control person
- ListedSHIELDS, DENNIS, ALEXANDER · SHAREHOLDER - COMMON STOCK; DIRECTOR · 25–50% · indirect via YIELDSTREET INC.
- ListedWEISZ, MICHAEL, JAY · PRESIDENT AND CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ListedWEISZ, MICHAEL, JAY · SHAREHOLDER - COMMON STOCK; DIRECTOR · 25–50% · indirect via YIELDSTREET INC. · control person
- ListedYIELDSTREET INC. · SOLE 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.
Top Adds (vs prior quarter)
- WEDBUSH SER TR$4.1M +135.7%
- TEMA ETF TRUST$2.7M +110.0%
- TIDAL TRUST I$2.0M +31.7%
- BONDBLOXX ETF TRUST$1.6M +37.8%
- TEMA ETF TRUST$1.6M +65.8%
Top Trims
- J P MORGAN EXCHANGE TRADED F-$3.6M -89.0%
- INVESCO EXCHANGE TRADED FD T-$3.4M -40.2%
- ALPS ETF TR-$2.4M -45.5%
- FEDERATED HERMES ETF TRUST-$2.0M -18.3%
- GLOBAL X FDS-$1.9M -90.0%
New Positions
- DAVIS FUNDAMENTAL ETF TR$5.3M
- SPROTT FDS TR$1.8M
- NVIDIA CORPORATION$441.8K
- ALPHABET INC$421.9K
- NETFLIX INC.$408.8K
Exited Positions
- TEMA ETF TRUST$2.4M
- ALPS ETF TR$2.1M
- RTX CORPORATION$453.0K
- AMPHENOL CORP$409.9K
- VISA INC$408.9K
Willow Financial LLC Holdings (2026-03-31)
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 | FEDERATED HERMES ETF TRUST | FDV | 31423L305 | $8.9M | 9.06% | 290,221 | SH |
| 2 | TIDAL TRUST I | GRNY | 886364231 | $8.2M | 8.28% | 342,365 | SH |
| 3 | WEDBUSH SER TR | IVES | 947913109 | $7.2M | 7.27% | 252,923 | SH |
| 4 | THORNBURG ETF TR | TPLS | 88521L108 | $6.3M | 6.34% | 248,384 | SH |
| 5 | TOUCHSTONE ETF TRUST | SIO | 89157W202 | $6.1M | 6.21% | 239,261 | SH |
| 6 | WISDOMTREE TR | WTBN | 97717Y451 | $6.0M | 6.13% | 239,124 | SH |
| 7 | BONDBLOXX ETF TRUST | BBBS | 09789C754 | $6.0M | 6.07% | 117,064 | SH |
| 8 | JOHN HANCOCK EXCHANGE TRADED | JDVI | 47804J727 | $5.3M | 5.34% | 145,826 | SH |
| 9 | DAVIS FUNDAMENTAL ETF TR | DFNL | 23908L108 | $5.3M | 5.33% | 117,411 | SH |
| 10 | TEMA ETF TRUST | CANC | 87975E701 | $5.1M | 5.19% | 139,662 | SH |
| 11 | INVESCO EXCHANGE TRADED FD T | XMHQ | 46137V472 | $5.1M | 5.14% | 49,076 | SH |
| 12 | DIMENSIONAL ETF TRUST | DFIS | 25434V773 | $4.5M | 4.59% | 134,670 | SH |
| 13 | TEMA ETF TRUST | VOLT | 87975E834 | $4.0M | 4.08% | 117,477 | SH |
| 14 | WALMART INC | WMT | 931142103 | $4.0M | 4.01% | 31,825 | SH |
| 15 | ALPS ETF TR | OUSM | 00162Q395 | $2.8M | 2.85% | 64,290 | SH |
| 16 | TEMA ETF TRUST | WELD | 87975E602 | $2.2M | 2.27% | 45,068 | SH |
| 17 | SPROTT FDS TR | SETM | 85208P402 | $1.8M | 1.80% | 53,761 | SH |
| 18 | EXXON MOBIL CORP | XOM | 30231G102 | $1.3M | 1.31% | 7,606 | SH |
| 19 | VANGUARD INDEX FDS | VOO | 922908363 | $1.1M | 1.14% | 1,877 | SH |
| 20 | J P MORGAN EXCHANGE TRADED F | JPEF | 46654Q781 | $815.3K | 0.83% | 11,354 | SH |
| 21 | VANGUARD INDEX FDS | VO | 922908629 | $773.1K | 0.78% | 2,692 | SH |
| 22 | EA SERIES TRUST | FRDM | 02072L607 | $497.4K | 0.50% | 9,102 | SH |
| 23 | APPLE INC | AAPL | 037833100 | $488.8K | 0.50% | 1,926 | SH |
| 24 | ISHARES TR | IVV | 464287200 | $476.8K | 0.48% | 730 | SH |
| 25 | MICROSOFT CORP | MSFT | 594918104 | $452.7K | 0.46% | 1,223 | SH |
| 26 | NVIDIA CORPORATION | NVDA | 67066G104 | $441.8K | 0.45% | 2,533 | SH |
| 27 | J P MORGAN EXCHANGE TRADED F | JPST | 46641Q837 | $440.9K | 0.45% | 8,712 | SH |
| 28 | ALPHABET INC | GOOGL | 02079K305 | $421.9K | 0.43% | 1,467 | SH |
| 29 | NETFLIX INC. | NFLX | 64110L106 | $408.8K | 0.41% | 4,252 | SH |
| 30 | AMAZON COM INC | AMZN | 023135106 | $391.8K | 0.40% | 1,881 | SH |
| 31 | VANECK ETF TRUST | MOAT | 92189F643 | $385.4K | 0.39% | 3,985 | SH |
| 32 | AMERICAN EXPRESS CO | AXP | 025816109 | $337.9K | 0.34% | 1,117 | SH |
| 33 | EDWARDS LIFESCIENCES CORP | EW | 28176E108 | $317.0K | 0.32% | 3,959 | SH |
| 34 | GLOBAL X FDS | SHLD | 37960A529 | $215.6K | 0.22% | 3,043 | SH |
| 35 | ISHARES SILVER TR | SLV | 46428Q109 | $213.7K | 0.22% | 3,136 | SH |
| 36 | VANGUARD INDEX FDS | VB | 922908751 | $210.1K | 0.21% | 802 | SH |
| 37 | SPDR GOLD TR | GLD | 78463V107 | $204.8K | 0.21% | 476 | SH |
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-03-31 | 2026-04-21 | $98.7M | 37 | 0001951757-26-000653 |
| 2025-12-31 | 2026-04-21 | $98.4M | 40 | 0001951757-26-000666 |
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