MAI Capital Management Q1 2023 Filing

Filed May 10, 2023

Portfolio Value

$6.3B

Holdings

1,065

Report Date

Q1 2023

Filing Type

13F-HR

All Holdings (1,065 positions)

#	Stock	Shares	Value	% Portfolio	Type
1	—Imageware Systems Inc.	10,302,536	$4.0B	63.01%
2	—GS MXEA due 4-25-24 15 buff	2,120,000	$1.0B	15.75%
3	IVViShares S&P 500 Index	1,201,018	$493.0M	7.77%
4	AAPLApple Inc	1,563,368	$256.4M	4.04%	Put
5	MSFTMicrosoft Corp	793,627	$227.4M	3.58%	Put
6	SPYSPDR S&P 500 ETF TRUST	541,893	$221.0M	3.48%
7	IJHiShares S&P Mid Cap Index	521,329	$130.0M	2.05%
8	MDYSPDR S&P Mid Cap 400 ETF	205,431	$94.0M	1.48%
9	VEAVanguard FTSE Developed Mkts E	2,064,899	$93.0M	1.46%
10	IVEiShares S&P Barra Value Index	598,934	$90.0M	1.42%
11	IJRiShares S&P Small Cap Index	937,909	$90.0M	1.42%
12	IWFiShares Russell 1000 Growth In	359,682	$87.0M	1.37%
13	AMZNAmazon Com Inc	822,693	$84.0M	1.32%
14	AQLTiShares Core MSCI EAFE	1,246,970	$83.0M	1.31%
15	SDYSPDR S&P Dividend ETF	634,945	$78.0M	1.23%
16	VTGNUSDVistaGen Therapeutics Inc	584,925	$72.0M	1.13%
17	VTIVanguard Tot Stock Mrkt ETF	355,832	$72.0M	1.13%
18	QQQINVESCO QQQ TR SER 1	226,272	$72.0M	1.13%
19	VIGVanguard Dividend Appreciation	466,759	$71.0M	1.12%
20	VVisa Inc Class A Shares	310,610	$70.0M	1.10%
21	IWMiShares Russell 2000 Index	391,767	$69.0M	1.09%
22	GOOGLAlphabet Inc Class	672,593	$69.0M	1.09%
23	—Alphabet Inc Class C	623,819	$64.0M	1.01%
24	HDHome Depot Inc	204,575	$60.0M	0.95%
25	VWOVanguard FTSE Emerging Mkts ET	1,429,954	$57.0M	0.90%
26	IEMGiShares Core MSCI Emerging Mkt	1,165,068	$56.0M	0.88%
27	IJKiShares S&P Mid Cap 400 Growth	785,942	$56.0M	0.88%
28	UNHUnitedHealth Group Inc	118,539	$55.2M	0.87%	Put
29	JNJJohnson and Johnson	357,978	$55.0M	0.87%
30	ABBVAbbvie Inc	345,282	$55.0M	0.87%
31	IVWiShares S&P 500 Growth	800,627	$51.0M	0.80%
32	PEPPepsico Inc	252,627	$46.0M	0.72%
33	CSCOCisco Systems Inc	872,920	$45.0M	0.71%
34	QCOMQualcomm Incorporated	339,002	$42.5M	0.67%	Put
35	SHWSherwin Williams Company	189,144	$42.0M	0.66%
36	JPMJP Morgan Chase & Co	307,837	$40.0M	0.63%
37	NEENextera Energy Inc	498,527	$38.0M	0.60%
38	ABTAbbott Labs	376,267	$38.0M	0.60%
39	PGProcter & Gamble Co	261,188	$38.0M	0.60%
40	RTXRaytheon Technologies Corp	392,719	$38.0M	0.60%
41	METAMeta Platforms Inc	175,572	$37.0M	0.58%
42	IJJiShares S&P Mid Cap 400 Value	352,716	$36.0M	0.57%
43	BMYBristol-Myers Squibb Co	533,272	$36.0M	0.57%
44	MCDMcDonalds Corp	128,864	$36.0M	0.57%
45	NVDANvidia Corp	131,371	$36.0M	0.57%
46	COSTCostco Wholesale Corp	70,462	$35.0M	0.55%
47	IWDiShares Russell 1000 Value Ind	230,611	$35.0M	0.55%
48	FNMAFederal National Mortgage Asso	85,906	$35.0M	0.55%
49	MAMastercard	96,735	$35.0M	0.55%
50	IWNiShares Russell 2000 Value Ind	253,620	$34.0M	0.54%
51	HONHoneywell Intl Inc	177,912	$34.0M	0.54%
52	PPAInvesco Aerospace Defense ETF	414,567	$33.0M	0.52%
53	LLYLilly, Eli Co	95,123	$31.7M	0.50%	Put
54	BRK/BBerkshire Hathaway Class B	103,476	$31.0M	0.49%
55	ETNEaton Corp Plc	170,303	$29.0M	0.46%
56	ACNAccenture PLC Cl A	101,252	$28.0M	0.44%	Put
57	SBUXStarbucks Corp	260,875	$27.0M	0.43%
58	APDAir Products & Chemicals Inc	94,625	$27.0M	0.43%
59	XLKSPDR Technology Index	178,182	$26.0M	0.41%
60	TSMTaiwan Manufacturing Inc	273,543	$25.0M	0.39%
61	CBChubb Ltd	131,369	$25.0M	0.39%
62	CLFCleveland Cliffs Inc. / Jan 20	98,278	$24.2M	0.38%	Put
63	BACBank of America Corp	854,790	$23.5M	0.37%	Call
64	EWKiShares MSCI USA Min Volatilit	328,372	$23.0M	0.36%
65	AMTAmerican Tower	113,883	$23.0M	0.36%
66	ADBEAdobe Inc	59,237	$22.3M	0.35%	Put
67	KOCOCA COLA COM	363,135	$22.0M	0.35%
68	MDLZMondelez International Inc	307,697	$21.0M	0.33%
69	IWRiShares Russell Mid Cap Index	307,435	$21.0M	0.33%
70	TXNTexas Instrument Inc	116,873	$21.0M	0.33%
71	XLVSPDR Health Care Select	164,340	$21.0M	0.33%
72	IWOiShares Russell 2000 Growth In	93,025	$21.0M	0.33%
73	DISDisney, Walt Co.	218,262	$21.0M	0.33%
74	VTWGVanguard Russell 1000 ETF	111,591	$20.0M	0.32%
75	DHRDanaher Corp	77,561	$19.0M	0.30%
76	EPAMEpam Systems Inc	64,814	$19.0M	0.30%
77	PANWPalo Alto Networks Inc.	98,434	$19.0M	0.30%
78	—Eve Holding Inc Wts	49,000	$19.0M	0.30%
79	—Intercontinental Exchange, Inc	182,825	$19.0M	0.30%
80	EFAiShares MSCI EAFE Index	273,391	$19.0M	0.30%
81	UNPUnion Pacific Corp	92,429	$18.0M	0.28%
82	LMTLockheed Martin	39,888	$18.0M	0.28%
83	VGTVanguard Information Technolog	46,560	$17.0M	0.27%
84	DGDollar General Corp.	82,835	$17.0M	0.27%
85	ABNBAirbnb Inc.	141,480	$17.0M	0.27%	Put
86	BSXBoston Scientific Corp	340,402	$17.0M	0.27%
87	—401(k) Provider Balance	17,157,237	$17.0M	0.27%
88	OTISOtis Worldwide Corp	204,892	$17.0M	0.27%
89	ORealty Inc Crp Md Reit	276,733	$17.0M	0.27%
90	SYKStryker Corp	61,792	$17.0M	0.27%
91	DWDMORGAN STANLEY DEAN WITTER & C	182,789	$16.0M	0.25%
92	DYHTarget	99,473	$16.0M	0.25%
93	MRKMerck & Co	152,954	$16.0M	0.25%
94	DEODiageo Plc Spsd ADR	93,099	$16.0M	0.25%
95	AQLTiShares Select Dividend ETF	139,978	$16.0M	0.25%
96	—TD SPX 2-21-25 15 buff	15,640,000	$15.0M	0.24%
97	AXPAmerican Express	93,271	$15.0M	0.24%
98	CVXCHEVRON CORPORATION	96,587	$15.0M	0.24%
99	FWONALiberty Media Corp Delaware C	204,247	$15.0M	0.24%
100	SCHXSchwab US Large Cap ETF	330,531	$15.0M	0.24%

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