CA
Capstone Asset Management Co Historical SEC 13F Holdings & Archive (Q2 2017)
Capstone Asset Management CoCIK: 0000825204
Diversified strategyQuality / disciplined sizingLong-term holder
Total reported value
$3.6B
Reporting period: 2017-06-30 · Number of holdings: 1595
CAPSTONE ASSET MANAGEMENT CO disclosed 1595 holdings in its latest 13F filing for the period ending 2017-06-30, with total reported value of $3.6B and a quarterly turnover rate of 12.2%.
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Personality snowflake
- Concentration
- 1.39
- Portfolio Stability
- 12.16
- Momentum
- 69.76
- Sector conviction
- 46.2
- Diversification
- 100
- Sizing Uniformity
- 78.69
Capstone Asset Management Co's disclosed holdings carry a Herfindahl concentration index of 0.003 — mathematically equivalent to about 288 equally-sized positions, well below its 1595 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 2.13), 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.
Sector classification currently covers about 38% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govAdd 881609101
+192.5% $18.0M
Add MPC
+286.0% $9.0M
Add KO
+24.5% $8.1M
Add NOK
+203.7% $6.5M
Trim KR
-62.4% -$6.0M
Trim UNH
-28.6% -$5.6M
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
Showing top 200 holdings (of 1595 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | AAPL | Apple Inc | Stock-Tech | 2.07% | -0.07% | -3.09% | |
| 2 | MSFT | Microsoft CORP | Stock-Tech | 1.87% | — | -3.88% | |
| 3 | KO | Coca-cola Co/the | Stock-Consumer Staples | 0.94% | +0.23% | +24.54% | |
| 4 | TSM | Taiwan Semiconductor-sp Adr | Stock-Tech | 0.88% | +0.05% | -0.72% | |
| 5 | XOM | Exxon Mobil CORP | Stock-Energy | 0.81% | -0.06% | -4.66% | |
| 6 | PEP | Pepsico Inc | Stock-Consumer Staples | 0.81% | — | -1.53% | |
| 7 | META | Meta Platforms Inc-class A | Stock-Comm Services | 0.79% | — | -1.27% | |
| 8 | MMM | 3m Co | Stock-Industrials | 0.79% | — | -5.57% | |
| 9 | CSCO | Cisco Systems Inc | Stock-Tech | 0.79% | -0.07% | -1.00% | |
| 10 | JPM | Jpmorgan Chase & Co | Stock-Financials | 0.77% | — | -3.43% | |
| 11 | ✓ | Tesoro CORP | Stock-Other | 0.71% | +0.50% | +192.51% | |
| 12 | INTC | Intel CORP | Stock-Tech | 0.71% | -0.06% | -0.87% | |
| 13 | BRK-B | Berkshire Hathaway Inc-cl B | Stock-Other | 0.69% | — | -1.21% | |
| 14 | AMZN | Amazon.com Inc | Stock-Consumer Disc | 0.69% | +0.04% | -2.54% | |
| 15 | GOOG | Alphabet Inc-cl C | Stock-Comm Services | 0.67% | +0.04% | -2.64% | |
| 16 | UNH | Unitedhealth Group Inc | Stock-Healthcare | 0.65% | -0.16% | -28.60% | |
| 17 | MCD | Mcdonald's CORP | Stock-Consumer Disc | 0.65% | +0.11% | +1.05% | |
| 18 | PG | Procter & Gamble Co/the | Stock-Consumer Staples | 0.63% | — | -2.83% | |
| 19 | VZ | Verizon Communications Inc | Stock-Comm Services | 0.63% | -0.07% | -1.50% | |
| 20 | FLOT | Ishares Floating Rate Bond E | ETF-Other | 0.63% | — | — | |
| 21 | C | Citigroup Inc | Stock-Financials | 0.60% | — | -5.44% | |
| 22 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 0.60% | — | -2.29% | |
| 23 | AMGN | Amgen Inc | Stock-Healthcare | 0.60% | — | -4.76% | |
| 24 | HD | Home Depot Inc | Stock-Consumer Disc | 0.57% | — | -3.97% | |
| 25 | V | Visa Inc-class A Shares | Stock-Financials | 0.57% | — | -6.07% | |
| 26 | UNUSD | Unilever N V -ny Shares | Stock-Other | 0.55% | +0.04% | -2.19% | |
| 27 | IBM | Intl Business Machines CORP | Stock-Tech | 0.55% | -0.09% | -2.36% | |
| 28 | TM | Toyota Motor CORP -spon Adr | Stock-Consumer Disc | 0.55% | — | -1.23% | |
| 29 | ORCL | Oracle CORP | Stock-Tech | 0.54% | — | -5.24% | |
| 30 | WMT | Walmart Inc | Stock-Consumer Staples | 0.53% | — | -9.51% | |
| 31 | CMCSA | Comcast Corp-class A | Stock-Comm Services | 0.53% | -0.07% | -14.70% | |
| 32 | ABT | Abbott Laboratories | Stock-Healthcare | 0.51% | — | -8.04% | |
| 33 | MDT | Medtronic plc | Stock-Healthcare | 0.51% | — | -3.91% | |
| 34 | DOW | Dow Inc. | Stock-Materials | 0.51% | — | -1.10% | |
| 35 | BAC | Bank Of America CORP | Stock-Financials | 0.50% | — | -3.19% | |
| 36 | UBS | UBS Group AG | Stock-Financials | 0.47% | — | -0.19% | |
| 37 | WFC | Wells Fargo & Co | Stock-Financials | 0.47% | -0.05% | -8.61% | |
| 38 | NKE | Nike Inc -cl B | Stock-Consumer Disc | 0.47% | — | -5.78% | |
| 39 | EMR | Emerson Electric Co | Stock-Industrials | 0.47% | — | -0.33% | |
| 40 | RY | Royal Bank Of Canada | Stock-Financials | 0.46% | — | -1.53% | |
| 41 | T | At&t Inc | Stock-Comm Services | 0.46% | -0.06% | -2.47% | |
| 42 | DIS | Walt Disney Co/the | Stock-Comm Services | 0.46% | -0.06% | -5.34% | |
| 43 | GILD | Gilead Sciences Inc | Stock-Healthcare | 0.44% | — | +4.02% | |
| 44 | HSBC | Hsbc Holdings Plc-spons Adr | Stock-Financials | 0.44% | — | -3.93% | |
| 45 | ABBV | Abbvie Inc | Stock-Healthcare | 0.43% | — | -1.55% | |
| 46 | SBUX | Starbucks CORP | Stock-Consumer Disc | 0.43% | — | -2.54% | |
| 47 | HON | Honeywell International Inc | Stock-Industrials | 0.42% | — | -2.19% | |
| 48 | ADP | Automatic Data Processing | Stock-Tech | 0.42% | — | -3.08% | |
| 49 | PUK | Prudential Plc-adr | Stock-Other | 0.42% | — | +0.10% | |
| 50 | SCHW | Schwab (charles) CORP | Stock-Financials | 0.38% | — | -1.37% |
1–50 of 200
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
| Period | Holdings | Total value | Stability | Top holdings | |
|---|---|---|---|---|---|
| 2017 Q2 | 1595 | $3.6B | 12 | ||
| 2017 Q1 | 1607 | $3.6B | 15 | ||
| 2016 Q4 | 1611 | $3.5B | 17 | ||
| 2016 Q3 | 1602 | $3.5B | 16 | ||
| 2016 Q2 | 1604 | $3.3B | 21 | ||
| 2016 Q1 | 1585 | $3.5B | 21 | ||
| 2015 Q4 | 1600 | $3.5B | 23 | ||
| 2015 Q3 | 1598 | $3.2B | 23 | ||
| 2015 Q2 | 1614 | $3.5B | 19 | ||
| 2015 Q1 | 1652 | $3.5B | 15 | ||
| 2014 Q4 | 1643 | $3.4B | 26 | ||
| 2014 Q3 | 1646 | $2.9B | 18 | ||
| 2014 Q2 | 1659 | $3.1B | 19 | ||
| 2014 Q1 | 1752 | $3.3B | 21 | ||
| 2013 Q4 | 1872 | $3.4B | 32 | ||
| 2013 Q3 | 2006 | $4.1B | 15 | ||
| 2013 Q2 | 1966 | $3.8B | 0 |
Holding changes this quarter
Capstone Asset Management Co's most significant position changes for 2017-06-30: Sold out: National Grid plc (NGG); Sold out: Syngenta Ag-adr (SYTUSD); New buy: National Grid Plc-sp Adr (NGG); New buy: Intercontinental Hotels; Sold out: Intercontin-adr.
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | ✓ | Tesoro CORP | +0.5% | +192.51% | Add |
| 2 | MPC | Marathon Petroleum CORP | +0.3% | +286.02% | Add |
| 3 | KO | Coca-cola Co/the | +0.2% | +24.54% | Add |
| 4 | NOK | Nokia Corp-spon Adr | +0.2% | +203.74% | Add |
| 5 | KEP | Korea Elec Power Corp-sp Adr | +0.2% | +355.13% | Add |
| 6 | PFE | Pfizer Inc | +0.1% | +79.44% | Add |
| 7 | MCD | Mcdonald's CORP | +0.1% | +1.05% | Add |
| 8 | PYPL | Paypal Holdings Inc | +0.1% | -0.71% | Trim |
| 9 | EBAY 6 02-01-56Bond | Ebay Inc | +0.1% | +125.18% | Add |
| 10 | CRL | Charles River Laboratories | +0.1% | +400.39% | Add |
| 11 | NVDA | Nvidia CORP | +0.1% | -0.22% | Trim |
| 12 | BABA | Alibaba Group Holding-sp Adr | +0.1% | -3.43% | Trim |
| 13 | TSM | Taiwan Semiconductor-sp Adr | +0.1% | -0.72% | Trim |
| 14 | LBEUR | L Brands Inc | +0.1% | -0.32% | Trim |
| 15 | RJF | Raymond James Financial Inc | +0.1% | +294.74% | Add |
| 16 | MCHP | Microchip Technology Inc | 0% | +12.29% | Add |
| 17 | DGX | Quest Diagnostics Inc | 0% | +0.63% | Add |
| 18 | UNUSD | Unilever N V -ny Shares | 0% | -2.19% | Trim |
| 19 | GOOG | Alphabet Inc-cl C | 0% | -2.64% | Trim |
| 20 | AMZN | Amazon.com Inc | 0% | -2.54% | Trim |
| 21 | ✓ | Whole Foods Mkt Inc | -0.1% | -65.65% | Trim |
| 22 | SLB | Slb LTD | -0.1% | -2.26% | Trim |
| 23 | WFC | Wells Fargo & Co | -0.1% | -8.61% | Trim |
| 24 | AEP | American Electric Power Company, Inc. | -0.1% | -2.09% | Trim |
| 25 | R6C2 | Royal Dutch Shell-spon Adr-b | -0.1% | -20.43% | Trim |
| 26 | LOW | Lowe's Cos Inc | -0.1% | -5.69% | Trim |
| 27 | RDS-A | Shell Plc-spon Adr-a | -0.1% | -18.76% | Trim |
| 28 | T | At&t Inc | -0.1% | -2.47% | Trim |
| 29 | TJX | Tjx Companies Inc | -0.1% | -22.64% | Trim |
| 30 | DIS | Walt Disney Co/the | -0.1% | -5.34% | Trim |
| 31 | INTC | Intel CORP | -0.1% | -0.87% | Trim |
| 32 | XOM | Exxon Mobil CORP | -0.1% | -4.66% | Trim |
| 33 | CSCO | Cisco Systems Inc | -0.1% | -1.00% | Trim |
| 34 | CMCSA | Comcast Corp-class A | -0.1% | -14.70% | Trim |
| 35 | VZ | Verizon Communications Inc | -0.1% | -1.50% | Trim |
| 36 | AAPL | Apple Inc | -0.1% | -3.09% | Trim |
| 37 | IBM | Intl Business Machines CORP | -0.1% | -2.36% | Trim |
| 38 | GIS | General Mills Inc | -0.1% | -17.40% | Trim |
| 39 | PSX | Phillips 66 | -0.1% | -30.86% | Trim |
| 40 | UNH | Unitedhealth Group Inc | -0.2% | -28.60% | Trim |
| 41 | KR | Kroger Co | -0.2% | -62.43% | Trim |
| 42 | NGG | National Grid plc | — | EXIT | Sold out |
| 43 | SYTUSD | Syngenta Ag-adr | — | EXIT | Sold out |
| 44 | NGG | National Grid Plc-sp Adr | — | NEW | New buy |
| 45 | ✓ | Intercontinental Hotels | — | NEW | New buy |
| 46 | ✓ | Intercontin-adr | — | EXIT | Sold out |
| 47 | USB V0 PERP GBond | US Bancorp | — | EXIT | Sold out |
| 48 | NTTYY | Ntt Inc - Adr | — | EXIT | Sold out |
| 49 | ✓ | Yahoo Inc | — | EXIT | Sold out |
| 50 | DXC | Dxc Technology Co | — | NEW | New buy |
Filing History
FAQ
What is Capstone Asset Management Co and what type of investor is it?
Capstone Asset Management Co 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 (2017-06-30), the firm manages a tracked equity portfolio valued at approximately $3.6B, spread across 1595 disclosed positions.
What are Capstone Asset Management Co's largest equity positions?
Based on the latest 13F filing, Capstone Asset Management Co's top holdings by market value are:
1. Apple Inc (AAPL) — $74.7M (2.1%)
2. Microsoft CORP (MSFT) — $67.2M (1.9%)
3. Coca-cola Co/the (KO) — $33.7M (0.9%)
4. Taiwan Semiconductor-sp Adr (TSM) — $31.6M (0.9%)
5. Exxon Mobil CORP (XOM) — $29.2M (0.8%)
What changes did Capstone Asset Management Co make in its most recent portfolio filing?
In the latest reported quarter, Capstone Asset Management Co made 50 notable position adjustments: 3 new positions were initiated, 12 existing holdings were added to, 29 positions were partially reduced, and 6 were completely exited. The largest of these moves: Sold out: National Grid plc (NGG); Sold out: Syngenta Ag-adr (SYTUSD); New buy: National Grid Plc-sp Adr (NGG); New buy: Intercontinental Hotels; Sold out: Intercontin-adr
What sectors does Capstone Asset Management Co focus on?
Capstone Asset Management Co is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 25.8%
• Financials: 15.6%
• Health Care: 14.3%
• Communication Services: 12.8%
• Consumer Discretionary: 10.8%
• Consumer Staples: 9.6%
Investment Profile
Capstone Asset Management Co's portfolio is broadly diversified and long-term-holding.
It has added to its TESORO CORP position over the past two quarters (+$18.2M, now $25.6M), while trimming QCOM over the same stretch (-$12.4M, still holding $9.5M).
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