AH
Abner Herrman & Brock LLC — 13F Portfolio Report & Top Holdings (Q3 2026)
Abner Herrman & Brock LLCCIK: 0001038661
Diversified strategyMomentum followerQuality / disciplined sizing
Total reported value
$1.0B
Reporting period: 2026-09-30 · Number of holdings: 121
ABNER HERRMAN & BROCK LLC disclosed 121 holdings in its latest 13F filing for the period ending 2026-09-30, with total reported value of $1.0B and a quarterly turnover rate of 19.6%.
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Personality snowflake
- Concentration
- 14.04
- Portfolio Stability
- 19.58
- Momentum
- 100
- Sector conviction
- 63.64
- Diversification
- 100
- Sizing Uniformity
- 81.9
Abner Herrman & Brock LLC's disclosed holdings carry a Herfindahl concentration index of 0.035 — mathematically equivalent to about 28 equally-sized positions, well below its 121 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 1.81), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govTrim NFLX
-97.5% -$16.7M
New buy GD
Sold out ORCL
Trim MCD
-97.5% -$14.4M
New buy NOC
Add MSFT
+1.6% $11.5M
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | NVDA | Nvidia CORP | Stock-Tech | 8.40% | +1.02% | -1.26% | |
| 2 | DELL | Dell Technologies -c | Stock-Tech | 7.16% | +0.92% | -8.79% | |
| 3 | AMD | Advanced Micro Devices | Stock-Tech | 7.09% | +0.21% | -3.09% | |
| 4 | AAPL | Apple Inc | Stock-Tech | 4.42% | +0.63% | +0.47% | |
| 5 | GOOG | Alphabet Inc-cl C | Stock-Comm Services | 4.26% | -0.20% | -1.96% | |
| 6 | MSFT | Microsoft CORP | Stock-Tech | 3.88% | +1.13% | +1.58% | |
| 7 | AMZN | Amazon.com Inc | Stock-Consumer Disc | 3.48% | +0.14% | -1.26% | |
| 8 | JPM | Jpmorgan Chase & Co | Stock-Financials | 3.36% | +0.04% | -0.91% | |
| 9 | IBM | Intl Business Machines CORP | Stock-Tech | 3.01% | -0.83% | -0.84% | |
| 10 | LLY | Eli Lilly & Co | Stock-Healthcare | 2.96% | -0.13% | -1.58% | |
| 11 | MRK | Merck & Co. Inc. | Stock-Healthcare | 2.82% | +0.35% | +0.10% | |
| 12 | META | Meta Platforms Inc-class A | Stock-Comm Services | 2.77% | +0.62% | -0.96% | |
| 13 | MS | Morgan Stanley | Stock-Financials | 2.56% | -0.32% | -2.20% | |
| 14 | BA | Boeing Co/the | Stock-Industrials | 2.29% | -0.38% | -1.33% | |
| 15 | MA | Mastercard Inc - A | Stock-Financials | 2.03% | +0.12% | -2.11% | |
| 16 | JNJ | Johnson & Johnson | Stock-Healthcare | 2.00% | +0.08% | -1.02% | |
| 17 | AXP | American Express Co | Stock-Financials | 1.98% | -0.24% | -1.76% | |
| 18 | ✓ | Stock-Other | 1.95% | +0.31% | -1.53% | ||
| 19 | MAR | Marriott International -cl A | Stock-Consumer Disc | 1.94% | -0.09% | -1.42% | |
| 20 | CB | Chubb Limited | Stock-Financials | 1.93% | -0.12% | -2.31% | |
| 21 | WMT | Walmart Inc | Stock-Consumer Staples | 1.93% | -0.21% | -2.84% | |
| 22 | TSLA | Tesla Inc | Stock-Consumer Disc | 1.86% | -0.43% | -4.78% | |
| 23 | CVX | Chevron CORP | Stock-Energy | 1.78% | +0.33% | -1.54% | |
| 24 | RTX | Rtx CORP | Stock-Industrials | 1.70% | +0.11% | +8.15% | |
| 25 | GD | General Dynamics CORP | Stock-Industrials | 1.50% | +1.50% | NEW | |
| 26 | WFC | Wells Fargo & Co | Stock-Financials | 1.40% | -0.02% | +0.79% | |
| 27 | VZ | Verizon Communications Inc | Stock-Comm Services | 1.37% | +0.11% | -0.44% | |
| 28 | AON | Aon plc | Stock-Financials | 1.30% | -0.31% | -4.11% | |
| 29 | NOC | Northrop Grumman CORP | Stock-Industrials | 1.26% | +1.26% | NEW | |
| 30 | PWR | Quanta Services Inc | Stock-Industrials | 1.24% | -0.16% | -1.87% | |
| 31 | EMR | Emerson Electric Co | Stock-Industrials | 1.21% | +0.10% | +0.42% | |
| 32 | TSM | Taiwan Semiconductor-sp Adr | Stock-Tech | 1.16% | -0.01% | +2.87% | |
| 33 | AIG | American International Group | Stock-Financials | 1.16% | -0.01% | -2.06% | |
| 34 | C | Citigroup Inc | Stock-Financials | 1.13% | -0.08% | +0.13% | |
| 35 | HD | Home Depot Inc | Stock-Consumer Disc | 1.05% | -0.25% | -0.99% | |
| 36 | SYK | Stryker CORP | Stock-Healthcare | 0.92% | -0.10% | +1.31% | |
| 37 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 0.84% | — | -3.02% | |
| 38 | BNY | Bank Of New York Mellon CORP | Stock-Financials | 0.76% | +0.02% | +1.33% | |
| 39 | RCL | Royal Caribbean Cruises Ltd. | Stock-Consumer Disc | 0.67% | -0.13% | -0.08% | |
| 40 | HLT | Hilton Worldwide Holdings In | Stock-Consumer Disc | 0.51% | -0.01% | +0.12% | |
| 41 | GE | General Electric | Stock-Industrials | 0.42% | -0.06% | +2.95% | |
| 42 | LMT | Lockheed Martin CORP | Stock-Industrials | 0.38% | +0.06% | +17.84% | |
| 43 | AMGN | Amgen Inc | Stock-Healthcare | 0.32% | +0.03% | -5.54% | |
| 44 | DE | Deere & Co | Stock-Industrials | 0.20% | +0.01% | -1.30% | |
| 45 | AVGO | Broadcom Inc | Stock-Tech | 0.17% | +0.04% | +42.54% | |
| 46 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 0.17% | +0.04% | +37.38% | |
| 47 | ALL | Allstate CORP | Stock-Financials | 0.15% | — | +3.39% | |
| 48 | PEP | Pepsico Inc | Stock-Consumer Staples | 0.13% | — | -0.14% | |
| 49 | PG | Procter & Gamble Co/the | Stock-Consumer Staples | 0.12% | +0.01% | +4.47% | |
| 50 | ETN | Eaton Corporation plc | Stock-Industrials | 0.11% | +0.03% | +28.15% |
1–50 of 121
Portfolio Performance
Performance for Q4 2026
+3.5%
Performance Last 4 Quarters
+11.3%
- Stdev
- +13%
- Beta
- +0.99
- Alpha
- -2.1%
- Max Drawdown
- -9.3%
- Annualized Perf
- +20.9%
- Batting Avg vs S&P
- +44.4%
- Sortino
- +3.23
- Stutzer
- +0.45
- Treynor
- +0.2
- Sterling
- +1.23
- Calmar
- +2.25
- Information Ratio
- -0.49
- Tracking Error
- +4.8%
- Stdev Down
- +6.2%
- Winning Months %
- +66.7%
- Losing Months %
- +33.3%
- Best 12 Months
- +29.8%
- Worst 12 Months
- +4.8%
- Efficiency Ratio
- +0.65
- Sharpe
- +1.53
- Stdev Sectors
- +10.5%
- Skewness
- -0.02
- Kurtosis
- -0.42
- Upside Potential
- +4.79
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
| Period | Holdings | Total value | Stability | Top holdings | |
|---|---|---|---|---|---|
| 2026 Q3 | 121 | $1.0B | 20 | ||
| 2026 Q2 | 111 | $1.1B | 31 | ||
| 2026 Q1 | 108 | $904.9M | 19 | ||
| 2025 Q4 | 115 | $979.2M | 20 | ||
| 2025 Q3 | 114 | $970.5M | 39 | ||
| 2025 Q2 | 55 | $895.9M | 0 | ||
| 2025 Q1 | 53 | $783.2M | 100 | ||
| 2024 Q4 | 52 | $804.9M | 0 | ||
| 2024 Q3 | 93 | $828.6M | 0 | ||
| 2024 Q2 | 89 | $789.2M | 0 | ||
| 2024 Q1 | 90 | $800.8M | 0 | ||
| 2023 Q4 | 96 | $712.0M | 0 | ||
| 2023 Q3 | 91 | $652.5M | 0 | ||
| 2023 Q2 | 101 | $681.7M | 0 | ||
| 2023 Q1 | 99 | $662.4M | 0 | ||
| 2022 Q4 | 97 | $651.0M | 0 | ||
| 2022 Q3 | 91 | $545.6M | 0 | ||
| 2022 Q2 | 96 | $579.3M | 0 | ||
| 2022 Q1 | 96 | $712.2M | 0 | ||
| 2021 Q4 | 104 | $767.9M | 0 | ||
| 2021 Q3 | 102 | $710.3M | 0 | ||
| 2021 Q2 | 95 | $716.2M | 100 | ||
| 2021 Q1 | 98 | $661.6M | 18 | ||
| 2020 Q4 | 116 | $642.0M | 19 | ||
| 2020 Q3 | 118 | $593.4M | 26 | ||
| 2020 Q2 | 115 | $556.9M | 36 | ||
| 2020 Q1 | 108 | $441.6M | 48 | ||
| 2019 Q4 | 131 | $671.9M | 17 | ||
| 2019 Q3 | 130 | $677.2M | 16 | ||
| 2019 Q2 | 132 | $697.4M | 16 | ||
| 2019 Q1 | 130 | $648.4M | 63 | ||
| 2018 Q4 | 126 | $547.7M | 32 | ||
| 2018 Q3 | 133 | $699.7M | 18 | ||
| 2018 Q2 | 136 | $641.5M | 14 | ||
| 2018 Q1 | 139 | $631.1M | 14 | ||
| 2017 Q4 | 132 | $594.3M | 22 | ||
| 2017 Q3 | 130 | $564.7M | 27 | ||
| 2017 Q2 | 137 | $529.0M | 19 | ||
| 2017 Q1 | 127 | $502.5M | 12 | ||
| 2016 Q4 | 126 | $475.5M | 48 | ||
| 2016 Q3 | 124 | $440.3M | 11 | ||
| 2016 Q2 | 121 | $429.7M | 15 | ||
| 2016 Q1 | 116 | $397.6M | 70 | ||
| 2015 Q4 | 80 | $193.9M | 11 | ||
| 2015 Q3 | 83 | $187.4M | 17 | ||
| 2015 Q2 | 86 | $199.3M | 19 | ||
| 2015 Q1 | 87 | $196.5M | 24 | ||
| 2014 Q4 | 83 | $197.2M | 64 | ||
| 2014 Q3 | 116 | $340.3M | 19 | ||
| 2014 Q2 | 116 | $331.2M | 15 | ||
| 2014 Q1 | 115 | $312.0M | 25 | ||
| 2013 Q4 | 97 | $282.1M | 70 | ||
| 2013 Q3 | 93 | $150.7M | 48 | ||
| 2013 Q2 | 91 | $236.1M | — |
* This report is exclusively curated by the AlphaSMO team. AlphaSMO is the web's most authoritative 13F / Inside Trader database, delivering precise insider trading and institutional holdings insights.
Holding changes this quarter
Abner Herrman & Brock LLC's most significant position changes for 2026-09-30: New buy: General Dynamics CORP (GD); Sold out: Oracle CORP (ORCL); New buy: Northrop Grumman CORP (NOC); Sold out: Intuitive Surgical Inc (ISRG); Sold out: Palantir Technologies Inc-a (PLTR).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | GD | General Dynamics CORP | +1.5% | NEW | New buy |
| 2 | NOC | Northrop Grumman CORP | +1.3% | NEW | New buy |
| 3 | MSFT | Microsoft CORP | +1.1% | +1.58% | Add |
| 4 | NVDA | Nvidia CORP | +1% | -1.26% | Trim |
| 5 | DELL | Dell Technologies -c | +0.9% | -8.79% | Trim |
| 6 | AAPL | Apple Inc | +0.6% | +0.47% | Add |
| 7 | META | Meta Platforms Inc-class A | +0.6% | -0.96% | Trim |
| 8 | MRK | Merck & Co. Inc. | +0.4% | +0.10% | Add |
| 9 | CVX | Chevron CORP | +0.3% | -1.54% | Trim |
| 10 | ✓ | +0.3% | -1.53% | Trim | |
| 11 | AMD | Advanced Micro Devices | +0.2% | -3.09% | Trim |
| 12 | AMZN | Amazon.com Inc | +0.1% | -1.26% | Trim |
| 13 | MA | Mastercard Inc - A | +0.1% | -2.11% | Trim |
| 14 | VZ | Verizon Communications Inc | +0.1% | -0.44% | Trim |
| 15 | RTX | Rtx CORP | +0.1% | +8.15% | Add |
| 16 | EMR | Emerson Electric Co | +0.1% | +0.42% | Add |
| 17 | JNJ | Johnson & Johnson | +0.1% | -1.02% | Trim |
| 18 | IUSB | Ishr Cr Unvrse Usd Bd Etf-ui | +0.1% | NEW | New buy |
| 19 | LMT | Lockheed Martin CORP | +0.1% | +17.84% | Add |
| 20 | AVGO | Broadcom Inc | 0% | +42.54% | Add |
| 21 | IVV | Ishares Core S&p 500 ETF | 0% | +93.30% | Add |
| 22 | GOOGL | Alphabet Inc-cl A | 0% | +37.38% | Add |
| 23 | GSIE | Goldman Sachs Activebeta Int | 0% | NEW | New buy |
| 24 | GOVT | Ishares US Treasury Bond ETF | 0% | NEW | New buy |
| 25 | PSX | Phillips 66 | 0% | — | Unchanged |
| 26 | JPM | Jpmorgan Chase & Co | 0% | -0.91% | Trim |
| 27 | JVAL | Jpmorgan US Value Factor ETF | 0% | NEW | New buy |
| 28 | AMGN | Amgen Inc | 0% | -5.54% | Trim |
| 29 | JHMD | John Hancock Mf Dev Intl ETF | 0% | NEW | New buy |
| 30 | GSLC | Goldman Activebeta US Lc ETF | 0% | NEW | New buy |
| 31 | XT | Ishar Fture Exp Tech Etf-usd | 0% | NEW | New buy |
| 32 | CAT | Caterpillar Inc | 0% | +112.44% | Add |
| 33 | ETN | Eaton Corporation plc | 0% | +28.15% | Add |
| 34 | LPG | Dorian LPG Ltd. | 0% | — | Unchanged |
| 35 | FNDE | Schwab Fndmntl Em Mrk Eq ETF | 0% | NEW | New buy |
| 36 | AMAT | Applied Materials Inc | 0% | NEW | New buy |
| 37 | ITOT | Ishares Core S&p Total U.s. | 0% | NEW | New buy |
| 38 | GEV | GE Vernova Inc | 0% | NEW | New buy |
| 39 | MCK | Mckesson CORP | 0% | NEW | New buy |
| 40 | MGK | Vanguard Mega Cap Growth ETF | 0% | NEW | New buy |
| 41 | ABBV | Abbvie Inc | 0% | +28.59% | Add |
| 42 | BNY | Bank Of New York Mellon CORP | 0% | +1.33% | Add |
| 43 | PEG | Public Service Enterprise Gp | 0% | +102.23% | Add |
| 44 | DE | Deere & Co | 0% | -1.30% | Trim |
| 45 | COP | Conocophillips | 0% | — | Unchanged |
| 46 | TRV | Travelers Cos Inc/the | 0% | — | Unchanged |
| 47 | V | Visa Inc-class A Shares | 0% | +32.73% | Add |
| 48 | REGN | Regeneron Pharmaceuticals | 0% | — | Unchanged |
| 49 | PFE | Pfizer Inc | 0% | — | Unchanged |
| 50 | NEE | Nextera Energy Inc | 0% | +46.62% | Add |
1–50 of 128
Filing History
FAQ
What is Abner Herrman & Brock LLC and what type of investor is it?
Abner Herrman & Brock LLC is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2026-09-30), the firm manages a tracked equity portfolio valued at approximately $1.0B, spread across 121 disclosed positions.
What are Abner Herrman & Brock LLC's largest equity positions?
Based on the latest 13F filing, Abner Herrman & Brock LLC's top holdings by market value are:
1. Nvidia CORP (NVDA) — $87.7M (8.4%)
2. Dell Technologies -c (DELL) — $74.7M (7.2%)
3. Advanced Micro Devices (AMD) — $73.9M (7.1%)
4. Apple Inc (AAPL) — $46.1M (4.4%)
5. Alphabet Inc-cl C (GOOG) — $44.5M (4.3%)
What changes did Abner Herrman & Brock LLC make in its most recent portfolio filing?
In the latest reported quarter, Abner Herrman & Brock LLC made 100 notable position adjustments: 17 new positions were initiated, 34 existing holdings were added to, 42 positions were partially reduced, and 7 were completely exited. The largest of these moves: New buy: General Dynamics CORP (GD); Sold out: Oracle CORP (ORCL); New buy: Northrop Grumman CORP (NOC); Sold out: Intuitive Surgical Inc (ISRG); Sold out: Palantir Technologies Inc-a (PLTR)
What sectors does Abner Herrman & Brock LLC focus on?
Abner Herrman & Brock LLC is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 36.8%
• Financials: 19.0%
• Industrials: 10.9%
• Consumer Discretionary: 9.9%
• Health Care: 9.7%
• Communication Services: 8.9%
Investment Profile
Abner Herrman & Brock LLC returned an annualized 20.9% over the trailing 36 months — underperforming the S&P 500 by 2.1 points — based on a reconstructed track record of its disclosed 13F positions, with a beta of 0.99 (roughly in line with the market) and a 44% quarterly batting average against the index.
Its portfolio is broadly diversified and long-term-holding, with 36.8% of the portfolio concentrated in Information Technology.
Its turnover score has fallen from 39 to 20 over the past 4 quarters — a shift toward longer holding periods.
It has added to its DELL position over the past two quarters (+$48.7M, now $74.7M), while trimming NFLX over the same stretch (-$30.6M, still holding $417.0K).
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Developer Access
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