SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
Company: CAPITAL ONE FINANCIAL CORP
Filing Type: Form 13F Information Table
Reporting Period: Quarter ended December 31, 2020
Context: This filing discloses the equity securities held by Capital One Financial Corp as a registered investment manager. The table lists individual holdings, share counts, and market values as of the period end.
Key Financial Metrics and Portfolio Composition
The filing provides a detailed inventory of long-only equity positions. It does not report the company's own operating revenue, profit, or cash flow, but rather the value of its investment portfolio.
- Portfolio Structure: The portfolio is heavily weighted toward Exchange-Traded Funds (ETFs) and index funds, with significant allocations to broad market indices (S&P 500, Total Stock Market) and bond ETFs (Treasury, Corporate, Municipal).
- Top Equity Holdings (by Value):
- Apple Inc.: $6,273,000
- Amazon.com Inc.: $2,674,000
- Microsoft Corp.: $4,688,000
- Alphabet Inc. (Class A & C): ~$792,000 combined
- Home Depot Inc.: $1,785,000
- Top ETF Holdings (by Value):
- Goldman Sachs ETF Tr ActiveBeta Int: $57,246,000
- Goldman Sachs ETF Tr ActiveBeta Eme: $25,178,000
- Vanguard Charlotte Fds Intl Bd Idx Etf: $43,395,000
- Ishares Tr Msci Usa Min Vol: $36,445,000
- Ishares Tr Msci Usa Qlt Fct: $41,322,000
- Voting Authority: All listed positions are reported with "Sole" voting authority.
Material Changes and Comparisons
The filing text provided contains only the snapshot of holdings for the period ended December 31, 2020. It does not include data for the prior comparable period (September 30, 2020). Therefore, material changes in position size, new acquisitions, or divestitures cannot be determined from this document alone.
Guidance, Outlook, and Risks
Management Commentary: Not applicable. Form 13F is a regulatory disclosure of holdings and does not contain management commentary, forward-looking guidance, or strategic outlook.
Risks and Contingencies: The filing includes a standard SEC disclaimer stating that the Commission has not reviewed the information for accuracy. No specific risk factors or contingencies regarding the portfolio are disclosed in this table.
Key Facts for Investor Verification
- Investment Strategy: Capital One Financial Corp maintains a diversified portfolio heavily reliant on passive index strategies (ETFs) rather than concentrated active stock picking, though significant positions in mega-cap tech (Apple, Microsoft, Amazon) are present.
- Fixed Income Exposure: A substantial portion of the reported value is held in bond ETFs (Treasury, Corporate, Municipal, and International), indicating a significant fixed-income allocation within this specific reporting entity.
- Valuation Basis: All values are reported in thousands (x$1,000). Investors should verify the total aggregate value of the portfolio by summing the "Value" column, as the filing does not provide a total portfolio summary line.
- Limitations: This filing does not reflect the company's core banking operations, loan book performance, or liquidity position. It strictly reflects the investment portfolio managed by the entity.