MARK SHEPTOFF FINANCIAL PLANNING, LLC
SEC Form 13F institutional filer · CIK 0001607355
13F-HR · 209 reported holdings · 2026-03-31
Reported long-US-equity value
$0.15B
Top-10 concentration
59.9%
MARK SHEPTOFF FINANCIAL PLANNING, LLC — $148M AUM allocation strategy
MARK SHEPTOFF FINANCIAL PLANNING, LLC files SEC Form 13F and reports $148M of long US equity value across 209 reported holdings for 2026-03-31.
Its largest sector bet is Information Technology 27.0%, followed by Health Care 14.9% and Utilities 11.5%.
The top 10 holdings account for 60% of reported value — a conviction-weighted book concentrated in its best ideas. The sector and industry splits below are of the same reported value. Track quarter-over-quarter adds, trims, new positions and exits below — sourced from SEC 13F filings, public domain.
MARK SHEPTOFF FINANCIAL PLANNING, LLC — latest SEC 13F insights
Reported long-US-equity value (13F AUM)
$148M
total across 209 reported holdings · 2026-03-31 · excludes shorts, cash, non-US
Top-10 concentration
60% of value
higher = narrower conviction; lower = spread / hedging
Biggest adds (shares)
+$IVZ +2.4K sh · +$553K+$AMZN +1.58K sh · +$666K+$IVV +884 sh · −$41.7K
Biggest trims (shares)
−$ABT −24.9K sh · −$3.81M−$AAPL −15.5K sh · −$3.84M−$NEE −8.26K sh · +$2.17M
Exited to nil (held last quarter, gone now)
$SPY ($893K last qtr)$JPM ($266K last qtr)$URI ($202K last qtr)$EOG ($147K last qtr)$EMR ($103K last qtr)
Sector allocation (share of reported value)
each slice is a share of the reported long-US-equity value — smaller sectors and the rest of the book roll into “Other holdings”
Qtr shift = share-point change vs the prior quarter's filing — first period tracked for this filer; the column fills in with the next quarterly refresh.
Industry allocation (share of reported value)
- Systems Software12.8%—
- Multi-Utilities11.5%—
- Aerospace & Defense7.2%—
- Application Software6.8%—
- Technology Hardware, Storage & Peripherals6.0%—
- Biotechnology5.7%—
- Soft Drinks & Non-alcoholic Beverages5.3%—
- Pharmaceuticals5.0%—
- Other holdings39.8%—
the finer GICS cut of the same book — same denominator — smaller industries roll into “Other holdings”
Qtr shift = share-point change vs the prior quarter's filing — first period tracked for this filer; the column fills in with the next quarterly refresh.
Top S&P 500 holdings
10 of 10 rows · sorted by Value ↓
| Ticker | Holding | Shares | Value | Δ QoQ | Weight |
|---|---|---|---|---|---|
| $MSFT | Microsoft Corporation | 45.9K | $18.9M | -2.44K | 12.8% |
| $NEE | NextEra Energy Inc | 176K | $16.9M | -8.26K | 11.4% |
| $PLTR | Palantir Technologies Inc | 73.3K | $9.96M | +460 | 6.7% |
| $AAPL | Apple Inc | 31.1K | $8.85M | -15.5K | 6.0% |
| $RTX | RTX Corporation | 44.7K | $7.73M | +451 | 5.2% |
| $JNJ | Johnson & Johnson | 32.8K | $7.41M | -2.76K | 5.0% |
| $PEP | PepsiCo Inc | 36.7K | $5.7M | -4.05K | 3.9% |
| $VEEV | Veeva Systems Inc | 27.2K | $4.66M | -1.14K | 3.2% |
| $ABBV | AbbVie Inc | 21.2K | $4.37M | -4.22K | 3.0% |
| $VRTX | Vertex Pharmaceuticals Incorporated | 9.55K | $4.05M | -700 | 2.7% |
…and 199 more holdings in the full 13F filing (top positions only shown).
SEC Form 13F data sets · public domain · 45-day filing lag · >$100M AUM managers · as reported
← All 13F filers·← QuantOrb.pro
How to read Δ QoQ — the five insight categories, and the caveats
The categories. Analysts, quants and retail traders look past total portfolio value to isolate actionable signals. Five categories matter.
Conviction & concentration shifts
New positions vs complete exits — a brand-new stock signals high conviction; a full liquidation suggests a broken thesis or tax-loss harvesting. Aggressive sizing — look at share count, not dollars: a 20% share increase during a drawdown is strong dip-buying. Concentration — a narrowing top-5/10 means conviction; spreading capital across more names means hedging.
Sector & macro allocation rotations
Aggregating Δ QoQ moves across sectors shows where smart money is leaning in or sneaking out — rotating out of growth into defensives or energy, for example. The fund's total long equity exposure quarter-over-quarter is a proxy for overall institutional risk appetite.
Crowding & smart-money consensus
When several managers initiate or expand the same stock in the same quarter, that is institutional consensus. Contrarian reads: top pickers buying hard into a beaten-down name the market is selling.
Derivative & option overlays
Reported call/put changes indicate whether managers are adding downside hedges or leveraging upside exposure. Note: a long increase may be half of a market-neutral pair trade.
Who reads this
| Retail "cloners" | High-conviction ideas to replicate ~45 days after quarter-end. |
| Corporate IR | Which funds bought or dumped the stock, before the next call. |
| Quant / algo traders | Cross-sectional factor inputs: flow, momentum, ownership. |
Four caveats before you trade on it
- 45-day lag — holdings are quarter-end; positions may already be closed.
- Long-only — 13Fs miss shorts, pair trades and cash.
- No non-US / fixed income — the picture is US equities plus options.
- Corporate actions — splits and spinoffs distort raw share deltas.
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