13F HOLDINGS REPORT

Triumph Capital Management

Quarter ended Q4 2023 · Filed October 31, 2023 · Accession 0001730765-23-000004

Total Value

$220.3M

Positions

220

Other Managers

Confidential Omitted

View on SEC.gov

Holdings (220)

#	Issuer	Ticker / CUSIP	Shares	Value	% of Filing
1	FIRST TRUST ENHANCED SHORT MATURITY ETF	33739Q408	292,537	$17.4M	7.89%
2	JPMORGAN ULTRA-SHORT INCOME ETF	46641Q837	255,895	$12.8M	5.83%
3	SPDR S&P 500 ETF TRUST	SPY	18,653	$8.0M	3.62%
4	FIRST TRUST PREFERRED SECURITIES & INCOME ETF	33739E108	471,716	$7.5M	3.42%
5	SPDR BLOOMBERG 1-3 MONTH T-BILL ETF	78468R663	71,239	$6.5M	2.97%
6	FIRST TRUST TCW OPPORTUNISTIC FIXED INCOME ETF	33740F805	139,965	$5.9M	2.67%
7	FIRST TRUST LARGE CAP CORE ALPHADEX FUND	33734K109	68,457	$5.6M	2.52%
8	VANGUARD TOTAL BOND MARKET ETF	921937835	66,292	$4.6M	2.10%
9	ISHARES RUSSELL MIDCAP ETF	464287499	59,947	$4.2M	1.89%
10	ISHARES RUSSELL 2000 ETF	464287655	22,681	$4.0M	1.83%
11	FIRST TRUST CAPITAL STRENGTH ETF	33733E104	51,607	$3.8M	1.72%
12	FIRST TRUST LOW DURATION OPPORTUNITIES ETF	33739Q200	76,004	$3.6M	1.63%
13	FIRST TRUST RISING DIVIDEND ACHIEVERS ETF	33738R506	71,429	$3.3M	1.49%
14	MICROSOFT CORP COM	MSFT	10,030	$3.2M	1.44%
15	JPMORGAN EQUITY PREMIUM INCOME ETF	46641Q332	58,016	$3.1M	1.41%
16	FIRST TRUST NASDAQ CYBERSECURITY ETF	33734X846	58,879	$2.7M	1.21%
17	INNOVATOR U.S. EQUITY ULTRA BUFFER ETF - AUGUST	INHD	88,067	$2.5M	1.15%
18	BERKSHIRE HATHAWAY INC DEL CL B	BRK-A	7,173	$2.5M	1.14%
19	GOLDMAN SACHS ACCESS TREASURY 0-1 YEAR ETF	NVGLF	22,281	$2.2M	1.01%
20	INVESCO QQQ TRUST SERIES I	IVZ	5,731	$2.1M	0.93%
21	NVIDIA CORPORATION COM	NVDA	4,684	$2.0M	0.92%
22	APPLE INC COM	AAPL	11,655	$2.0M	0.91%
23	VANECK MORNINGSTAR WIDE MOAT ETF	92189F643	26,097	$2.0M	0.90%
24	SPDR DOW JONES INDUSTRIAL AVERAGE ETF TRUST	78467X109	5,873	$2.0M	0.89%
25	AON PLC SHS CL A	AON	5,950	$1.9M	0.88%
26	FIRST TRUST VALUE LINE DIVIDEND INDEX FUND	33734H106	51,323	$1.9M	0.87%
27	GLOBAL X NASDAQ 100 COVERED CALL ETF	37954Y483	111,379	$1.9M	0.85%
28	VERIZON COMMUNICATIONS INC COM	VZ	55,533	$1.8M	0.82%
29	INVESCO S&P 500 EQUAL WEIGHT ETF	IVZ	11,441	$1.6M	0.74%
30	TESLA INC COM	TSLA	6,442	$1.6M	0.73%
31	ADVANCED MICRO DEVICES INC COM	AMD	14,984	$1.5M	0.70%
32	GLOBAL X SUPERDIVIDEND US ETF	37950E291	92,753	$1.5M	0.68%
33	ISHARES FLOATING RATE BOND ETF	46429B655	28,206	$1.4M	0.65%
34	ISHARES MSCI USA QUALITY FACTOR ETF	46432F339	10,652	$1.4M	0.64%
35	SOFI TECHNOLOGIES INC COM	SOFI	176,290	$1.4M	0.64%
36	PACER US CASH COWS 100 ETF	69374H881	27,933	$1.4M	0.63%
37	ISHARES RUSSELL 2000 GROWTH ETF	464287648	6,136	$1.4M	0.63%
38	AT&T INC COM	T-PC	90,143	$1.4M	0.61%
39	SPDR PORTFOLIO S&P 1500 COMPOSITE STOCK MARKET ETF	78464A805	24,217	$1.3M	0.58%
40	INNOVATOR DEEPWATER FRONTIER TECH ETF	INHD	34,215	$1.2M	0.55%
41	PROSHARES S&P 500 DIVIDEND ARISTOCRATS ETF	74348A467	13,507	$1.2M	0.54%
42	TYSON FOODS INC CL A	TSN	23,231	$1.2M	0.53%
43	ISHARES SHORT TREASURY BOND ETF	464288679	10,464	$1.2M	0.52%
44	3M CO COM	MMM	12,172	$1.1M	0.52%
45	FIRST TRUST HEALTH CARE ALPHADEX FUND	33734X143	11,520	$1.1M	0.51%
46	FIRST TRUST UTILITIES ALPHADEX FUND	33734X184	38,659	$1.1M	0.50%
47	SPDR PORTFOLIO S&P 600 SMALL CAP ETF	78468R853	29,710	$1.1M	0.50%
48	INNOVATOR DEFINED WEALTH SHIELD ETF	INHD	39,341	$1.1M	0.50%
49	ORACLE CORP COM	ORCL-PD	10,266	$1.1M	0.49%
50	VANGUARD S&P 500 ETF	922908363	2,706	$1.1M	0.48%
51	FIRST TRUST ENERGY ALPHADEX FUND	33734X127	61,159	$1.1M	0.48%
52	AGF U.S. MARKET NEUTRAL ANTI-BETA FUND	00110G408	53,591	$1.1M	0.48%
53	PALO ALTO NETWORKS INC COM	PANW	4,516	$1.1M	0.48%
54	KENVUE INC COM	KVUE	52,717	$1.1M	0.48%
55	META PLATFORMS INC CL A	META	3,441	$1.0M	0.47%
56	FIRST TRUST INDXX AEROSPACE & DEFENSE ETF	33733E831	44,620	$972,140	0.44%
57	FRANKLIN BSP LENDING CORP COM	12325J101	132,423	$961,394	0.44%
58	ADOBE INC COM	ADBE	1,771	$903,004	0.41%
59	JOHNSON & JOHNSON COM	JNJ	5,701	$887,948	0.40%
60	PROCTER AND GAMBLE CO COM	742718109	6,085	$887,510	0.40%
61	PEAKSTONE REALTY TRUST COMMON SHARES	PKST	52,055	$877,893	0.40%
62	PALANTIR TECHNOLOGIES INC CL A	PLTR	52,815	$845,041	0.38%
63	ISHARES U.S. TREASURY BOND ETF	46429B267	37,998	$837,476	0.38%
64	ALPHABET INC CAP STK CL A	GOOG	6,234	$815,796	0.37%
65	WELLS FARGO CO NEW COM	949746101	19,925	$814,153	0.37%
66	BLUE OWL CAPITAL CORPORATION COM	OWL	56,605	$802,658	0.36%
67	FIRST TRUST DOW JONES GLOBAL SELECT DIVIDEND INDEX FUND	33734X200	37,870	$780,503	0.35%
68	DOUBLELINE INCOME SOLUTIONS FD COM	DSL	65,687	$769,851	0.35%
69	SNOWFLAKE INC CL A	SNOW	4,926	$752,545	0.34%
70	ISHARES CORE S&P 500 ETF	464287200	1,668	$719,779	0.33%
71	BLACKSTONE INC COM	BX	6,706	$718,531	0.33%
72	INLAND REAL ESTATE INCOME TR I COM	INRE	36,117	$717,283	0.33%
73	GLOBAL X ALTERNATIVE INCOME ETF	37954Y806	66,273	$713,100	0.32%
74	SPDR S&P MIDCAP 400 ETF TRUST	MDY	1,552	$708,797	0.32%
75	ISHARES PREFERRED & INCOME SECURITIES ETF	464288687	22,937	$691,556	0.31%
76	SPDR PORTFOLIO DEVELOPED WORLD EX-US ETF	78463X889	22,027	$683,057	0.31%
77	ICAHN ENTERPRISES LP DEPOSITARY UNIT	IEP	34,446	$681,342	0.31%
78	AMPLIFY HIGH INCOME ETF	032108847	60,474	$671,866	0.30%
79	FINANCIAL SELECT SECTOR SPDR FUND	81369Y605	19,816	$657,297	0.30%
80	BLACKSTONE SECD LENDING FD COMMON STOCK	BX	24,008	$656,859	0.30%
81	ISHARES MSCI INTL QUALITY FACTOR ETF	46434V456	19,455	$653,883	0.30%
82	ISHARES BROAD USD HIGH YIELD CORPORATE BOND ETF	46435U853	18,611	$645,992	0.29%
83	INNOVATOR EQUITY MANAGED FLOOR ETF	INHD	24,283	$623,092	0.28%
84	SOCIEDAD QUIMICA Y MINERA DE SPON ADR SER B	833635105	10,294	$614,272	0.28%
85	CONFLUENT INC CLASS A COM	20717M103	20,500	$607,005	0.28%
86	CITIGROUP INC COM NEW	C-PR	14,673	$603,490	0.27%
87	SPDR BLOOMBERG INVESTMENT GRADE FLOATING RATE ETF	78468R200	19,305	$593,050	0.27%
88	CROWDSTRIKE HLDGS INC CL A	CRWD	3,500	$585,795	0.27%
89	JPMORGAN CHASE & CO COM	VYLD	4,008	$581,199	0.26%
90	DISNEY WALT CO COM	254687106	7,114	$576,550	0.26%
91	ISHARES U.S. AEROSPACE & DEFENSE ETF	464288760	5,400	$573,438	0.26%
92	SPDR PORTFOLIO EMERGING MARKETS ETF	78463X509	16,734	$561,756	0.25%
93	APOLLO COML REAL EST FIN INC COM	03762U105	52,316	$548,273	0.25%
94	ISHARES U.S. ETF TRUST ISHARES GSCI COMMODITY DYNAMIC ROLL STRATEGY ETF	46431W853	18,686	$544,693	0.25%
95	MARVELL TECHNOLOGY INC COM	MRVL	10,027	$542,777	0.25%
96	THERMO FISHER SCIENTIFIC INC COM	TMO	1,067	$540,258	0.25%
97	SAFETY INS GROUP INC COM	78648T100	7,889	$537,940	0.24%
98	ISHARES LATIN AMERICA 40 ETF	464287390	20,948	$535,442	0.24%
99	AIR TRANSPORT SERVICES GRP INC COM	AIIR	24,800	$517,576	0.23%
100	FT CBOE VEST US EQUITY MODERATE BUFFER ETF - JULY	33740U661	17,062	$510,836	0.23%
101	PFIZER INC COM	PFE	15,076	$500,064	0.23%
102	ISHARES BIOTECHNOLOGY ETF	464287556	4,083	$499,357	0.23%
103	WP CAREY INC COM	92936U109	9,044	$498,776	0.23%
104	DOLLAR GEN CORP NEW COM	256677105	4,631	$489,960	0.22%
105	GSK PLC SPONSORED ADR	GLAXF	13,126	$480,334	0.22%
106	PROSPECT CAP CORP COM	PSEC-PA	77,291	$472,240	0.21%
107	ISHARES TR 20 PLUS YEAR TR BD	46436E338	16,303	$470,994	0.21%
108	ISHARES CYBERSECURITY & TECH ETF	46435U135	12,170	$468,667	0.21%
109	EQUINOR ASA SPONSORED ADR	STOHF	14,194	$465,430	0.21%
110	ELI LILLY & CO COM	LLY	848	$455,255	0.21%
111	DAY HAGAN/NED DAVIS RESEARCH SMART SECTOR ETF	STRD	13,168	$449,307	0.20%
112	GLOBAL X SUPERDIVIDEND ETF	37960A669	20,343	$445,713	0.20%
113	VANGUARD GROWTH ETF	922908736	1,633	$444,616	0.20%
114	APOLLO GLOBAL MGMT INC COM	03769M106	4,828	$433,344	0.20%
115	UBER TECHNOLOGIES INC COM	UBER	9,222	$424,113	0.19%
116	KKR REAL ESTATE FIN TR INC COM	KKRT	33,730	$414,877	0.19%
117	VANGUARD HIGH DIVIDEND YIELD INDEX ETF	921946406	3,963	$409,457	0.19%
118	EXTRA SPACE STORAGE INC COM	EXR	3,348	$407,072	0.18%
119	PIMCO INVESTMENT GRADE CORPORATE BOND INDEX ETF	72201R817	4,366	$397,830	0.18%
120	EATON VANCE TAX-MANAGED BUY- W COM	ETN	32,728	$391,754	0.18%
121	SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF	78467V848	10,117	$391,019	0.18%
122	CION INVT CORP COM	17259U204	36,638	$389,096	0.18%
123	ALLY FINL INC COM	02005N100	14,409	$384,441	0.17%
124	OKTA INC CL A	OKTA	4,693	$382,497	0.17%
125	VANGUARD MID-CAP ETF	922908629	1,804	$375,599	0.17%
126	EDISON INTL COM	281020107	5,930	$375,288	0.17%
127	ISHARES CORE U.S. AGGREGATE BOND ETF	464287226	3,954	$371,875	0.17%
128	ISHARES INVESTMENT GRADE CORPORATE BOND BUYWRITE STRATEGY ETF	46436E288	11,720	$369,414	0.17%
129	PAYPAL HLDGS INC COM	PYPL	6,298	$368,195	0.17%
130	GLOBAL X U.S. PREFERRED ETF	37954Y657	19,557	$367,860	0.17%
131	ISHARES MSCI BRAZIL ETF	464286400	11,864	$363,869	0.17%
132	PROGYNY INC COM	PGNY	10,625	$361,463	0.16%
133	ISHARES 0-5 YEAR TIPS BOND ETF	46429B747	3,713	$359,847	0.16%
134	SPDR S&P METALS & MINING ETF	78464A755	6,832	$358,654	0.16%
135	FIDELITY DIVIDEND ETF FOR RISING RATES	316092832	8,985	$357,342	0.16%
136	ISHARES 20 PLUS YEAR TREASURY BOND ETF	464287432	4,006	$355,287	0.16%
137	PENN ENTERTAINMENT INC COM	PENN	15,013	$344,549	0.16%
138	ISHARES U.S. REGIONAL BANKS ETF	464288778	10,081	$343,750	0.16%
139	OCCIDENTAL PETE CORP COM	674599105	5,266	$342,632	0.16%
140	DOW INC COM	DOW	6,448	$332,436	0.15%
141	WALGREENS BOOTS ALLIANCE INC COM	931427108	14,593	$324,544	0.15%
142	UNITEDHEALTH GROUP INC COM	UNH	639	$322,219	0.15%
143	AMAZON COM INC COM	AMZN	2,524	$320,826	0.15%
144	VANGUARD SMALL-CAP GROWTH ETF	922908595	1,495	$320,264	0.15%
145	SCHWAB CHARLES CORP COM	SCHW-PJ	5,827	$319,905	0.15%
146	TELADOC HEALTH INC COM	TDOC	17,198	$319,719	0.15%
147	VANGUARD TOTAL INTERNATIONAL BOND ETF	92203J407	6,645	$317,826	0.14%
148	ALTRIA GROUP INC COM	MO	7,201	$309,900	0.14%
149	JANUS HENDERSON GROUP PLC ORD SHS	JHG	11,920	$307,774	0.14%
150	SENTINELONE INC CL A	S	18,210	$307,021	0.14%
151	BOEING CO COM	BA-PA	1,590	$304,739	0.14%
152	LUMEN TECHNOLOGIES INC COM	LUMN	212,543	$301,811	0.14%
153	BRISTOL-MYERS SQUIBB CO COM	CELG-RI	5,182	$300,762	0.14%
154	EXXON MOBIL CORP COM	XOM	2,519	$296,208	0.13%
155	LOCKHEED MARTIN CORP COM	LMT	723	$295,873	0.13%
156	GLOBAL X U.S. INFRASTRUCTURE DEVELOPMENT ETF	37954Y673	9,644	$292,985	0.13%
157	ANNALY CAPITAL MANAGEMENT INC COM	NLY-PJ	15,404	$289,749	0.13%
158	TWILIO INC CL A	TWLO	4,947	$289,575	0.13%
159	JPMORGAN U.S. QUALITY FACTOR ETF	46641Q761	6,684	$289,217	0.13%
160	ISHARES 1-3 YEAR TREASURY BOND ETF	464287457	3,501	$283,514	0.13%
161	INTEL CORP COM	INTC	7,957	$282,859	0.13%
162	FRANKLIN BSP RLTY TR INC COMMON STOCK	35243J101	20,768	$282,341	0.13%
163	SCHWAB SHORT-TERM US TREASURY ETF	808524862	5,848	$280,051	0.13%
164	PHILLIPS EDISON & CO INC COMMON STOCK	PECO	8,289	$278,821	0.13%
165	ARES COML REAL ESTATE CORP COM	04013V108	28,218	$277,938	0.13%
166	TWO HBRS INVT CORP COM	90187B804	20,899	$276,697	0.13%
167	L3HARRIS TECHNOLOGIES INC COM	LHX	1,585	$276,043	0.13%
168	HERSHEY CO COM	HSY	1,350	$270,193	0.12%
169	UTILITIES SELECT SECTOR SPDR FUND	81369Y886	4,516	$266,128	0.12%
170	GLOBAL X ROBOTICS & ARTIFICIAL INTELLIGENCE ETF	37954Y715	10,751	$265,765	0.12%
171	BANK AMERICA CORP COM	060505104	9,508	$262,601	0.12%
172	MICRON TECHNOLOGY INC COM	MU	3,826	$260,254	0.12%
173	ABRDN ASIA PACIFIC INCOME FUND COM	ABAKF	106,203	$260,197	0.12%
174	FIRST TRUST DOW JONES INTERNET INDEX FUND	33733E302	1,622	$258,887	0.12%
175	TOAST INC CL A	TOST	13,675	$256,133	0.12%
176	CONAGRA BRANDS INC COM	CAG	9,331	$255,855	0.12%
177	QUALCOMM INC COM	QCOM	2,304	$255,831	0.12%
178	FIRST TRUST GLOBAL TACTICAL COMMODITY STRATEGY FUND	33739H101	10,609	$254,611	0.12%
179	ISHARES 0-3 MONTH TREASURY BOND ETF	46436E718	2,484	$250,064	0.11%
180	VANGUARD ULTRA-SHORT BOND ETF	92203C303	5,052	$248,508	0.11%
181	ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF	464288513	3,341	$246,322	0.11%
182	STONECO LTD COM CL A	STNE	23,057	$246,021	0.11%
183	BARINGS BDC INC COM	BBDC	27,429	$244,392	0.11%
184	XCEL ENERGY INC COM	XELLL	4,214	$243,328	0.11%
185	ZOOMINFO TECHNOLOGIES INC COMMON STOCK	GTM	14,258	$233,831	0.11%
186	MERCADOLIBRE INC COM	MELI	183	$231,640	0.11%
187	ISHARES MSCI MEXICO ETF	464286822	3,900	$227,097	0.10%
188	ISHARES MSCI EUROPE FINANCIALS ETF	464289180	11,680	$220,869	0.10%
189	REAL ESTATE SELECT SECTOR SPDR FUND	81369Y860	6,459	$220,054	0.10%
190	NUVEEN S&P 500 BUY-WRITE INCOM COM	NU	17,032	$219,653	0.10%
191	SPDR BLACKSTONE SENIOR LOAN ETF	78467V608	5,237	$219,585	0.10%
192	LEMONADE INC COM	LMND	18,610	$216,248	0.10%
193	ASTRAZENECA PLC SPONSORED ADR	AZN	3,183	$215,579	0.10%
194	ISHARES RUSSELL 1000 GROWTH ETF	464287614	808	$215,335	0.10%
195	GLOBAL X RUSSELL 2000 COVERED CALL ETF	37954Y459	12,562	$214,308	0.10%
196	NEWELL BRANDS INC COM	NWL	23,720	$214,189	0.10%
197	VODAFONE GROUP PLC NEW SPONSORED ADR	92857W308	22,520	$213,490	0.10%
198	GLOBAL X LITHIUM & BATTERY TECH ETF	37954Y855	3,837	$211,687	0.10%
199	COMMUNICATION SERVICES SELECT SECTOR SPDR FUND	81369Y852	3,211	$210,557	0.10%
200	CANADIAN IMPERIAL BK COMM TORO COM	CNDIF	5,403	$208,610	0.09%
201	FT CBOE VEST U.S. EQUITY BUFFER ETF - JUNE	33740F722	5,145	$208,578	0.09%
202	AMCOR PLC ORD	AMCCF	22,484	$205,951	0.09%
203	FLEXSHARES HIGH YIELD VALUE-SCORED US BOND INDEX FUND	FLEX	5,166	$205,400	0.09%
204	GLOBAL X NASDAQ 100 RISK MANAGED INCOME ETF	37960A503	12,012	$204,745	0.09%
205	ISHARES 3-7 YEAR TREASURY BOND ETF	464288661	1,792	$202,774	0.09%
206	FIRST TRUST SENIOR LOAN FUND	33738D309	4,432	$202,738	0.09%
207	SPDR SSGA U.S. SECTOR ROTATION ETF	78470P408	4,894	$201,975	0.09%
208	INDEPENDENCE RLTY TR INC COM	45378A106	13,574	$193,158	0.09%
209	MEDICAL PPTYS TRUST INC COM	58463J304	26,974	$151,060	0.07%
210	BLACKROCK CAP INVT CORP COM	BLK	37,501	$142,877	0.06%
211	OUTFRONT MEDIA INC COM	OUT	12,666	$131,740	0.06%
212	FORD MTR CO DEL COM	345370860	10,027	$124,539	0.06%
213	ALGONQUIN PWR UTILS CORP COM	015857105	18,931	$114,123	0.05%
214	NU HLDGS LTD ORD SHS CL A	NU	13,822	$100,210	0.05%
215	CIA ENERGETICA DE MINAS GERAIS SP ADR N-V PFD	204409601	16,521	$39,981	0.02%
216	THE BEACHBODY COMPANY INC COM CL A	073463101	43,063	$12,704	0.01%
217	LUFAX HOLDING LTD ADS REP SHS CL A	LU	10,864	$11,516	0.01%
218	KOIOS BEVERAGE CORP COM NEW	500271200	11,000	$283	0.00%
219	HUMANIGEN INC COM NEW	444863203	17,000	$219	0.00%
220	ZNERGY INC COM	98978P106	32,000	$6	0.00%