Top Institutional Investors

James T. Borello RIA — 13F Holdings & Portfolio

CIK 2157919 · latest 13F-HR filed 2026-10-16

Backtest portfolio

James T. Borello RIA manages $481.8M in 13F-reported U.S. long-equity assets across 1,430 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are CGUS (9.14%), SPYG (7.30%), CGDV (6.94%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 140 new positions and exited 67; 395 existing positions rose in reported value and 470 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
$481.8M

Long-equity book

Holdings
1,430

Distinct positions

Period
2026-09-30

Filed 2026-10-16

Q/Q Activity
+140 / −67 / ↑395 / ↓470

vs 2026-06-30

Portfolio charts

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

Portfolio map

Q3 26
CGUS9.1% · +3%SPYG7.3% · +6%CGDV6.9% · +2%SPDW6.3% · +12%SPTM5.3% · -1%CGXU5.1% · +6%BRK.A5.1% · 0%SPMD3.7% · +9%SPY3.4% · +0%TDVG3.4% · +2%CGGR2.9% · +13%DFAS2.8% · +8%TCAF2.6% · -0%TCHP2.3% · +3%RDVY2.2% · +24%JNJ1.3% · +1%QQQ1.3% · +0%RDVI1.2% · +38%SPSM1.2% · -0%SPEM1.2% · +6%CGGO1.2% · +2%AIRR0.9% · +0%MDY0.9% · +0%SPYV0.7% · +33%COWZ0.7% · +15%TGRW0.6% · -0%POCT0.6% · -7%AAPL0.6% · +5%TEQI0.6% · -3%AZO0.5% · +0%TMSL0.5% · +48%BRK.B0.5% · +1%AVUV0.5% · +8%PJUL0.5% · +8%PMAY0.4% · 0%NVDA0.4% · +4%MSFT0.4% · +11%GRID0.4% · 0%GOOG0.4% · +24%FTNT0.4% · -0%CNH0.3% · -0%ALV0.3% · +1%MISL0.3% · 0%PJAN0.3% · 0%SPYD0.3% · 0%PDEC0.3% · -3%PNOV0.2% · -3%BOXX0.2% · -14%CGBL0.2% · +8%GOOGL0.2% · +1%BNY0.2% · +0%PMAR0.2% · 0%SGOV0.2% · +104%CSCO0.2% · +1%PJUN0.2% · +4%AMZN0.2% · +1%PSEP0.2% · -19%PFEB0.2% · 0%ADP0.1% · -0%DFAI0.1% · +43%

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

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 = 55.7%

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

Firm Profile & Key People

As of the firm’s regulatory filing dated Oct 21, 2025.

Assets Under Management
$514.1M
Discretionary
$514.1M
Employees
4
Accounts
700
Address
151 DUNDEE AVENUE
EAST DUNDEE, IL 60118
Phone
(847) 426-0200
Website
Name Title / Status Ownership Type
BORELLO, DANIEL JAMES ControlPRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINOP & DIRECTOR
since Oct 2018
75% or moreIndividual
BORELLO, JAMES THOMAS ControlPRESIDENT, CHIEF COMPLIANCE OFFICER
since Jan 1990
Less than 5%Individual
Ownership & leadership changes · 2 filings with changes since Oct 2, 2018

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.

Jan 4, 2021 filing
  • ChangedBORELLO, DANIEL JAMES · ownership Less than 5% → 75% or more
  • ChangedBORELLO, JAMES THOMAS · ownership 75% or more → Less than 5%
Oct 12, 2020 filing
  • ChangedBORELLO, DANIEL JAMES · title PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER → PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINOP & DIRECTOR; now a control person
Oct 2, 2018 filing (earliest on record)
  • ListedBORELLO, DANIEL JAMES · PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER · Less than 5%
  • ListedBORELLO, JAMES THOMAS · 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.

James T. Borello RIA 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 CAPITAL GROUP CORE EQUITY ET CGUS 14020V108 $44.0M 9.14% 989,778 SH
2 SPDR SERIES TRUST SPYG 78464A409 $35.2M 7.30% 285,674 SH
3 CAPITAL GROUP DIVIDEND VALUE CGDV 14020W106 $33.4M 6.94% 684,141 SH
4 SPDR INDEX SHS FDS SPDW 78463X889 $30.1M 6.25% 599,947 SH
5 SPDR SERIES TRUST SPTM 78464A805 $25.5M 5.30% 277,223 SH
6 CAPITAL GROUP INTL FOCUS EQT CGXU 14019W109 $24.7M 5.13% 721,014 SH
7 BERKSHIRE HATHAWAY INC DEL BRK.A 084670108 $24.7M 5.12% 33 SH
8 SPDR SERIES TRUST SPMD 78464A847 $18.0M 3.73% 285,264 SH
9 STATE STR SPDR S&P 500 ETF T SPY 78462F103 $16.5M 3.42% 21,590 SH
10 T ROWE PRICE EXCHANGE-TRADED TDVG 87283Q404 $16.4M 3.40% 339,643 SH
11 CAPITAL GROUP GROWTH ETF CGGR 14020G101 $14.0M 2.90% 294,628 SH
12 DIMENSIONAL ETF TRUST DFAS 25434V500 $13.6M 2.83% 175,804 SH
13 T ROWE PRICE EXCHANGE-TRADED TCAF 87283Q867 $12.7M 2.64% 301,315 SH
14 T ROWE PRICE EXCHANGE-TRADED TCHP 87283Q107 $10.9M 2.27% 212,492 SH
15 FIRST TR EXCHANGE TRADED FD RDVY 33738R506 $10.8M 2.25% 138,256 SH
16 INVESCO QQQ TR QQQ 46090E103 $6.4M 1.33% 8,668 SH
17 JOHNSON & JOHNSON JNJ 478160104 $6.3M 1.30% 23,611 SH
18 FIRST TR EXCHANGE-TRADED FD RDVI 33738D879 $6.0M 1.25% 215,807 SH
19 SPDR SERIES TRUST SPSM 78468R853 $6.0M 1.24% 113,137 SH
20 SPDR INDEX SHS FDS SPEM 78463X509 $5.9M 1.23% 114,394 SH
21 CAPITAL GROUP GBL GROWTH EQT CGGO 14020X104 $5.9M 1.22% 147,156 SH
22 FIRST TR EXCHANGE TRADED FD AIRR 33738R704 $4.6M 0.95% 44,194 SH
23 STATE STR SPDR S&P MIDCAP 40 MDY 78467Y107 $4.5M 0.93% 6,832 SH
24 SPDR SERIES TRUST SPYV 78464A508 $3.3M 0.69% 54,709 SH
25 PACER FDS TR COWZ 69374H881 $3.2M 0.67% 48,381 SH
26 T ROWE PRICE EXCHANGE-TRADED TGRW 87283Q305 $2.9M 0.59% 58,948 SH
27 INNOVATOR ETFS TRUST POCT 45782C797 $2.8M 0.58% 57,933 SH
28 T ROWE PRICE EXCHANGE-TRADED TEQI 87283Q206 $2.7M 0.55% 52,615 SH
29 T ROWE PRICE EXCHANGE-TRADED TMSL 87283Q826 $2.6M 0.55% 64,808 SH
30 AUTOZONE INC AZO 053332102 $2.6M 0.55% 930 SH
31 AMERICAN CENTY ETF TR AVUV 025072877 $2.3M 0.47% 19,319 SH
32 INNOVATOR ETFS TRUST PJUL 45782C813 $2.2M 0.46% 44,330 SH
33 BERKSHIRE HATHAWAY INC DEL BRK.B 084670702 $2.1M 0.44% 4,300 SH
34 INNOVATOR ETFS TRUST PMAY 45782C318 $2.0M 0.42% 48,015 SH
35 FIRST TR EXCHANGE-TRADED FD GRID 33737A108 $2.0M 0.41% 11,039 SH
36 FORTINET INC FTNT 34959E109 $1.8M 0.37% 10,030 SH
37 NVIDIA CORPORATION NVDA 67066G104 $1.7M 0.35% 7,470 SH
38 CNH INDL N V CNH N20944109 $1.7M 0.35% 129,762 SH
39 AUTOLIV INC ALV 052800109 $1.5M 0.32% 13,746 SH
40 APPLE INC AAPL 037833100 $1.5M 0.31% 4,551 SH
41 FIRST TR EXCHANGE-TRADED FD MISL 33733E831 $1.3M 0.28% 31,871 SH
42 INNOVATOR ETFS TRUST PJAN 45782C508 $1.3M 0.27% 25,968 SH
43 SPDR SERIES TRUST SPYD 78468R788 $1.2M 0.26% 27,148 SH
44 INNOVATOR ETFS TRUST PDEC 45782C540 $1.2M 0.25% 25,634 SH
45 INNOVATOR ETFS TRUST PNOV 45782C573 $1.2M 0.25% 26,454 SH
46 EA SERIES TRUST BOXX 02072L565 $1.2M 0.24% 9,944 SH
47 MICROSOFT CORP MSFT 594918104 $1.2M 0.24% 2,282 SH
48 APPLE INC AAPL 037833100 $1.1M 0.24% 3,453 SH
49 ALPHABET INC GOOG 02079K107 $1.1M 0.23% 3,296 SH
50 CAPITAL GROUP CORE BALANCED CGBL 14021D107 $1.1M 0.23% 30,119 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-10-16 $481.8M 1,430 0002157919-26-000001
2026-06-30 2026-10-16 $463.1M 1,319 0002157919-26-000015
Filer Information
Address
151 DUNDEE AVENUE
EAST DUNDEE, IL 60118
Phone
+1 (847) 426-0200
Filing Manager
James T. Borello RIA
EAST DUNDEE, IL
Signatory
Daniel James Borello
VP