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Garton & Associates Financial Advisors LLC — 13F Holdings & Portfolio

CIK 2109857 · latest 13F-HR filed 2026-10-30

Backtest portfolio

Garton & Associates Financial Advisors LLC manages $41.0M in 13F-reported U.S. long-equity assets across 25 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are AAPL (15.36%), AVGO (12.13%), QQQM (9.97%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 7 new positions and exited 6; 8 existing positions rose in reported value and 5 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
$41.0M

Long-equity book

Holdings
25

Distinct positions

Period
2026-09-30

Filed 2026-10-30

Q/Q Activity
+7 / −6 / ↑8 / ↓5

vs 2026-06-30

Portfolio charts

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

Portfolio map

Q3 26
AAPL15.4% · -1%AVGO12.1% · -2%QQQM10.0% · +7%AMZN9.7% · +3%TCAF5.4% · +3%HAS4.9% · +82%RELX4.5% · newVYMI4.4% · +2%POR4.1% · newKO3.5% · 0%EWBC3.4% · newRBCAA3.4% · -2%PEP3.3% · -26%OTIS2.6% · newAMCR2.5% · -50%EXC1.7% · -42%GSK1.3% · newT1.2% · +3%PFE1.2% · +0%AMT1.2% · newEPD1.0% · +6%SCHD1.0% · -0%SPHY0.9% · -0%FDVV0.8% · newCMCSA0.6% · -52%

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 = 74%

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

Firm Profile & Key People

As of the firm’s regulatory filing dated Aug 12, 2026.

Assets Under Management
$215.4M
Discretionary
$167.9M
Employees
10
Accounts
369
Address
2319 LIME KILN LANE
SUITE A
LOUISVILLE, KY 40222
Phone
(502) 212-3000
Website
Name Title / Status Ownership Type
GARTON, DONALD, LEE ControlMANAGING PARTNER, CHIEF COMPLIANCE OFFICER
since Dec 2004
75% or moreIndividual
Garton, Michael, JosephPART OWNER
since Jan 2020
Less than 5%Individual
MOUNCE, KATHLEENPARTNER
since Nov 2005
5–10%Individual
Ownership & leadership changes · 1 filing with changes since Apr 1, 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.

Aug 27, 2024 filing
  • ChangedGARTON, DONALD, LEE · title MANAGING PARTNER → MANAGING PARTNER, CHIEF COMPLIANCE OFFICER
  • ChangedGarton, Michael, Joseph · title CHIEF COMPLIANCE OFFICER → PART OWNER
Apr 1, 2022 filing (earliest on record)
  • ListedGARTON, DONALD, LEE · MANAGING PARTNER · 75% or more · control person
  • ListedGarton, Michael, Joseph · CHIEF COMPLIANCE OFFICER · Less than 5%
  • ListedMOUNCE, KATHLEEN · PARTNER · 5–10%

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Garton & Associates Financial Advisors LLC Holdings (2026-09-30)

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 APPLE INC AAPL 037833100 $6.3M 15.36% 18,915 SH
2 BROADCOM INC AVGO 11135F101 $5.0M 12.13% 14,168 SH
3 INVESCO NASDAQ 100 ETF QQQM 46138G649 $4.1M 9.97% 13,425 SH
4 AMAZON.COM INC AMZN 023135106 $4.0M 9.74% 16,026 SH
5 T. ROWE PRICE CAPITAL APPRECIATION EQUITY ETF TCAF 87283Q867 $2.2M 5.42% 52,575 SH
6 HASBRO INC HAS 418056107 $2.0M 4.86% 22,752 SH
7 RELX PLC FSPONSORED ADR 1 ADR REPS 1 ORD SHS RELX 759530108 $1.8M 4.47% 55,208 SH
8 VANGUARD INTERNATIONAL HIGH DIVIDEND YIELD INDEX FUND ETF SHARES VYMI 921946794 $1.8M 4.42% 17,937 SH
9 PORTLAND GEN ELEC CO POR 736508847 $1.7M 4.12% 37,825 SH
10 THE COCA-COLA CO KO 191216100 $1.4M 3.50% 16,690 SH
11 EAST WEST BANCORP EWBC 27579R104 $1.4M 3.44% 11,371 SH
12 REPUBLIC BANCORP INC KY CLASS A RBCAA 760281204 $1.4M 3.40% 15,203 SH
13 PEPSICO INC PEP 713448108 $1.3M 3.29% 9,113 SH
14 OTIS WORLDWIDE CORP OTIS 68902V107 $1.1M 2.57% 16,417 SH
15 AMCOR PLC F AMCR G0250X149 $1.0M 2.50% 24,495 SH
16 EXELON CORP EXC 30161N101 $677.5K 1.65% 16,771 SH
17 GSK PLC ADR F GSK 37733W204 $529.8K 1.29% 10,998 SH
18 AT&T INC T 00206R102 $512.2K 1.25% 20,993 SH
19 PFIZER INC PFE 717081103 $506.3K 1.23% 17,752 SH
20 AMERICAN TOWER CORP NEW REIT AMT 03027X100 $477.6K 1.16% 2,918 SH
21 ENTERPRISE PRODS PART LP EPD 293792107 $423.8K 1.03% 11,900 SH
22 SCHWAB U.S. DIVIDEND EQUITY ETF SCHD 808524797 $404.1K 0.99% 12,422 SH
23 STATE STREET SPDR PORTFOLIO HIGH YIELD BOND ETF SPHY 78468R606 $363.7K 0.89% 16,099 SH
24 FIDELITY HIGH DIVIDEND ETF FDVV 316092840 $308.6K 0.75% 5,082 SH
25 COMCAST CORP NEW CLASS CLASS A CMCSA 20030N101 $228.0K 0.56% 10,476 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-10-30 $41.0M 25 0002109857-26-000004
2026-06-30 2026-08-11 $44.2M 24 0002109857-26-000003
2026-03-31 2026-05-11 $122.2M 149 0002109857-26-000002
2025-12-31 2026-02-18 $178.6M 1,507 0002109857-26-000001
Filer Information
Address
2319 LIME KILN LANE, SUITE A
LOUISVILLE, KY 40222
Phone
(502) 212-3000
Filing Manager
Garton & Associates Financial Advisors LLC
LOUISVILLE, KY
Signatory
Donald Garton
Managing Partner