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Name

As of 11/17/2022

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

The Tocqueville Phoenix Fund

DEFIX | Fund

$20.99

$150 M

0.00%

1.25%

Vitals

YTD Return

-15.5%

1 yr return

-23.9%

3 Yr Avg Return

1.3%

5 Yr Avg Return

-4.5%

Net Assets

$150 M

Holdings in Top 10

42.4%

52 WEEK LOW AND HIGH

$21.0
$18.08
$27.51

Expenses

OPERATING FEES

Expense Ratio 1.25%

SALES FEES

Front Load N/A

Deferred Load N/A

TRADING FEES

Turnover 21.00%

Redemption Fee N/A

Min Investment

Standard (Taxable)

$1,000

IRA

$250

Fund Classification

Fund Type

Open End Mutual Fund

Name

As of 11/17/2022

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

The Tocqueville Phoenix Fund

DEFIX | Fund

$20.99

$150 M

0.00%

1.25%

DEFIX - Profile

Distributions

  • YTD Total Return -15.5%
  • 3 Yr Annualized Total Return 1.3%
  • 5 Yr Annualized Total Return -4.5%
  • Capital Gain Distribution Frequency Annually
  • Net Income Ratio -0.60%
DIVIDENDS
  • Dividend Yield 0.0%
  • Dividend Distribution Frequency Annually

Fund Details

  • Legal Name
    The Tocqueville Phoenix Fund
  • Fund Family Name
    Tocqueville
  • Inception Date
    Nov 19, 1993
  • Shares Outstanding
    7033588
  • Share Class
    No Load
  • Currency
    USD
  • Domiciled Country
    United States
  • Manager
    James Maxwell

Fund Description

DEFIX - Performance

Return Ranking - Trailing

Period DEFIX Return Category Return Low Category Return High Rank in Category (%)
YTD -15.5% -35.3% 242.5% 92.26%
1 Yr -23.9% -68.4% 50.3% 86.04%
3 Yr 1.3%* -26.4% 89.8% 82.89%
5 Yr -4.5%* -25.9% 44.1% 84.20%
10 Yr -3.6%* -19.2% 26.7% 93.31%

* Annualized

Return Ranking - Calendar

Period DEFIX Return Category Return Low Category Return High Rank in Category (%)
2023 12.4% -62.0% 157.9% 76.28%
2022 2.4% -14.9% 115.4% 30.26%
2021 6.1% -47.8% 28.3% 48.28%
2020 -6.0% -27.9% 16.6% 36.47%
2019 -1.7% -6.5% 24.5% 91.29%

Total Return Ranking - Trailing

Period DEFIX Return Category Return Low Category Return High Rank in Category (%)
YTD -15.5% -35.3% 242.5% 91.84%
1 Yr -23.9% -68.4% 46.4% 86.13%
3 Yr 1.3%* -26.4% 89.8% 83.04%
5 Yr -4.5%* -16.7% 44.1% 89.95%
10 Yr -3.6%* -7.7% 26.7% 96.50%

* Annualized

Total Return Ranking - Calendar

Period DEFIX Return Category Return Low Category Return High Rank in Category (%)
2023 12.4% -62.0% 157.9% 76.28%
2022 2.4% -14.9% 115.4% 30.26%
2021 6.1% -47.8% 28.3% 48.51%
2020 -6.0% -25.6% 16.6% 57.88%
2019 -1.7% -6.5% 24.5% 97.76%

NAV & Total Return History

DEFIX - Holdings

Concentration Analysis

DEFIX Category Low Category High DEFIX % Rank
Net Assets 150 M 1.55 M 47.3 B 71.02%
Number of Holdings 41 10 1551 92.01%
Net Assets in Top 10 69.8 M 812 K 2.82 B 49.80%
Weighting of Top 10 42.35% 4.7% 95.7% 8.28%

Top 10 Holdings

  1. Invesco Shrt-Trm Inv Treasury Instl 5.03%
  2. Lumentum Holdings Inc 4.91%
  3. ams-OSRAM AG 4.68%
  4. ams-OSRAM AG 4.68%
  5. ams-OSRAM AG 4.68%
  6. ams-OSRAM AG 4.68%
  7. ams-OSRAM AG 4.68%
  8. ams-OSRAM AG 4.68%
  9. ams-OSRAM AG 4.68%
  10. ams-OSRAM AG 4.68%

Asset Allocation

Weighting Return Low Return High DEFIX % Rank
Stocks 		92.68% 14.38% 100.16% 95.08%
Cash 		7.32% -52.43% 47.85% 5.33%
Preferred Stocks 		0.00% 0.00% 5.91% 55.53%
Other 		0.00% -0.88% 5.25% 54.30%
Convertible Bonds 		0.00% 0.00% 2.63% 54.30%
Bonds 		0.00% 0.00% 51.67% 54.10%

Stock Sector Breakdown

Weighting Return Low Return High DEFIX % Rank
Technology 		38.82% 0.00% 38.82% 0.41%
Industrials 		21.89% 0.65% 48.61% 16.94%
Consumer Cyclical 		14.65% 0.00% 51.62% 26.45%
Healthcare 		9.83% 0.00% 25.76% 12.60%
Basic Materials 		8.71% 0.00% 67.30% 12.40%
Consumer Defense 		5.72% 0.00% 13.67% 22.11%
Communication Services 		0.38% 0.00% 24.90% 89.46%
Utilities 		0.00% 0.00% 14.62% 89.26%
Real Estate 		0.00% 0.00% 44.41% 97.11%
Financial Services 		0.00% 0.00% 44.90% 99.79%
Energy 		0.00% 0.00% 29.42% 97.73%

Stock Geographic Breakdown

Weighting Return Low Return High DEFIX % Rank
US 		78.93% 11.42% 100.16% 97.95%
Non US 		13.75% 0.00% 78.53% 2.25%

DEFIX - Expenses

Operational Fees

DEFIX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 1.25% 0.05% 2.66% 36.05%
Management Fee 0.80% 0.00% 1.50% 57.87%
12b-1 Fee 0.25% 0.00% 1.00% 48.58%
Administrative Fee 0.15% 0.01% 0.35% 71.43%

Sales Fees

DEFIX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load N/A 0.00% 5.75% N/A
Deferred Load N/A 1.00% 5.00% N/A

Trading Fees

DEFIX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Max Redemption Fee N/A 0.50% 2.00% 22.54%

Related Fees

Turnover provides investors a proxy for the trading fees incurred by mutual fund managers who frequently adjust position allocations. Higher turnover means higher trading fees.

DEFIX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover 21.00% 7.00% 252.00% 8.75%

DEFIX - Distributions

Dividend Yield Analysis

DEFIX Category Low Category High DEFIX % Rank
Dividend Yield 0.00% 0.00% 10.66% 73.28%

Dividend Distribution Analysis

DEFIX Category Low Category High Category Mod
Dividend Distribution Frequency Annually Annually Monthly Annually

Net Income Ratio Analysis

DEFIX Category Low Category High DEFIX % Rank
Net Income Ratio -0.60% -1.43% 4.13% 93.74%

Capital Gain Distribution Analysis

DEFIX Category Low Category High Capital Mode
Capital Gain Distribution Frequency Annually Annually Annually Annually

Distributions History

View More +

DEFIX - Fund Manager Analysis

Managers

James Maxwell

Start Date

Tenure

Tenure Rank

Jun 20, 2016

5.95

6.0%

James Maxwell (b. 1981), is a Portfolio Manager at Tocqueville Asset Management L.P. Mr. Maxwell joined Tocqueville in 2009 and is a co-manager. Prior to joining Tocqueville, Mr. Maxwell spent three years at Delafield Asset Management, a division of Reich & Tang Asset Management LLC. Mr. Maxwell graduated Cum Laude with a double major in Finance and Economics from Northern Arizona University. He also holds the CFA designation. The Chartered Financial Analyst (CFA) charter is a globally respected, graduate-level investment credential established in 1962 and awarded by CFA Institute — the largest global association of investment professionals. To earn the CFA charter, candidates must: 1) pass three sequential, six-hour examinations; 2) have at least four years of qualified professional investment experience; 3) join CFA Institute as members; and 4) commit to abide by, and annually reaffirm, their adherence to the CFA Institute Code of Ethics and Standards of Professional Conduct.

Michael Sellecchia

Start Date

Tenure

Tenure Rank

Feb 28, 2021

1.25

1.3%

Michael V. Sellecchia has been a co-portfolio manager of the Tocqueville Phoenix Fund since February 2021. Mr. Sellecchia joined the Advisor in 2009 and was a Research Analyst from September 2009 to January 2021. Prior to joining Tocqueville, he spent one year at Delafield Asset Management, a division of Reich & Tang Asset Management LLC. Earlier, he spent two years with a small private equity firm and one year with UBS doing equity research. Mr. Sellecchia received his B.A. in Economics from Boston College.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.08 37.45 8.1 3.58

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