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Analyzing Risk Paradigm Group's Holdings: 13F Filings Q3-Q4 2018

Ava Hoppe | 19 April, 2023


The third and fourth quarter of the year 2018 have been eventful, with the rise and fall of the stock market creating ripples in the investment world. Risk Paradigm Group, LLC is a reputable investment advisory firm that provides incisive insights into investment strategies for clients. In this article, we will analyze and summarize the changes in holdings of their 13F Q3 and Q4 2018 filings.

Changes in Holdings:

Risk Paradigm Group, LLC made some significant changes to their holdings in the 13F filings of Q3 and Q4 2018. A total of 68 companies were held in Q3, with an aggregate fund value of over $64 million, while in Q4, there were 65 companies held, with a total value of $59 million.

The top three holdings in Q3 were SRLN, TIP, and IWO, with values of $3,461,000, $3,197,000, and $3,448,000 respectively. However, in Q4, the top three holdings shifted to SRLN, TIP, and AAXJ, with values of $3,949,000, $3,207,000, and $2,357,000 respectively.

From the comparison, it is clear that SRLN and TIP held steady as top holdings, while IWO slipped to fifth place in Q4. This demonstrates an emphasis in holding fixed-income securities and a decrease in investment in growth equity funds.

The largest percentage decrease in holdings from Q3 to Q4 was IWN, with a decrease of 36.3%. The second and third largest percentage decreases were seen in XME and VRP, with 27.2% and 14.7% decreases respectively. On the other hand, EWZS saw a significant increase in holdings of 44.9%.

Focusing on Technology and Healthcare:

Risk Paradigm Group, LLC holds significant positions in the technology and healthcare industries. In the Q3 filing, IYW, XLV and FXL were held, with values of $607,000, $554,000 and $591,000 respectively. In Q4, the holdings solidified with the addition of MSFT and AAPL, with values of $116,000 and $42,000 respectively.

This indicates an increase in investment in the technology industry in Q4, with the total value of holdings increasing from $1.75 million in Q3 to $1.89 million in Q4.

The holdings in the healthcare industry also increased in the Q4 filings, with the inclusion of IHI, a medical device company. The total value of holdings in the healthcare industry increased from $1.46 million in Q3 to $1.56 million in Q4.

Decrease in Investment in Energy and Mining:

Risk Paradigm Group, LLC decreased their holdings in the energy and mining industry from Q3 to Q4, with XLE and XME seeing decreases of 14.5% and 27.2% respectively. This decrease could be attributed to the lackluster performance of the energy and mining industry in Q3 and Q4, as a result of the decrease in crude oil prices.


It is evident from the 13F filings that Risk Paradigm Group, LLC made some significant changes to their holdings from Q3 to Q4 2018. The increase in holdings of the healthcare and technology industries indicates the potential value that the advisory firm sees in these industries. The decrease of 36.3% in IWN holdings could be viewed as a reduction in confidence in the small-cap value funds.

As the stock market continues to fluctuate, it is essential for investors to stay up to date on how advisory firms are adjusting their holdings in response to market changes. By analyzing 13F filings like Risk Paradigm Group, LLC’s, investors can gain valuable insights into the investment strategies of top advisory firms.

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