CA
Catherine Avery Investment Management LLC 13F Disclosure (Q3 2026) — Portfolio & Holdings
Catherine Avery Investment Management LLCCIK: 0002103454
Diversified strategyContrarianHigh-turnover trader
Total reported value
$116.2M
Reporting period: 2026-09-30 · Number of holdings: 172
Catherine Avery Investment Management LLC disclosed 172 holdings in its latest 13F filing for the period ending 2026-09-30, with total reported value of $116.2M and a quarterly turnover rate of 80.2%.
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Personality snowflake
- Concentration
- 10.11
- Portfolio Stability
- 80.19
- Momentum
- 0
- Sector conviction
- 42.95
- Diversification
- 100
- Sizing Uniformity
- 81.65
Catherine Avery Investment Management LLC's disclosed holdings carry a Herfindahl concentration index of 0.025 — mathematically equivalent to about 40 equally-sized positions, well below its 172 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 1.84), 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.govSold out OKE
Add BIL
+793.0% $2.9M
Trim KEY
-95.1% -$5.5M
Trim TFC
-93.5% -$5.4M
New buy 30609A109
Trim BBY
-86.7% -$5.9M
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 | STX | Seagate Technology Holdings plc | Stock-Tech | 6.46% | +1.57% | -29.80% | |
| 2 | MSFT | Microsoft CORP | Stock-Tech | 4.69% | +1.31% | -48.84% | |
| 3 | C | Citigroup Inc | Stock-Financials | 3.04% | -0.30% | -50.02% | |
| 4 | CSCO | Cisco Systems Inc | Stock-Tech | 3.03% | -0.45% | -51.83% | |
| 5 | FCX | Freeport-mcmoran Inc | Stock-Materials | 2.98% | +0.11% | -52.75% | |
| 6 | AVGO | Broadcom Inc | Stock-Tech | 2.92% | -0.02% | -45.83% | |
| 7 | JPM | Jpmorgan Chase & Co | Stock-Financials | 2.91% | -0.27% | -53.99% | |
| 8 | CVX | Chevron CORP | Stock-Energy | 2.89% | +0.42% | -51.75% | |
| 9 | KO | Coca-cola Co/the | Stock-Consumer Staples | 2.80% | -0.07% | -53.24% | |
| 10 | BIL | Ss Spdr Bb 1-3m T-bill ETF | ETF-Gov Bonds | 2.78% | +2.62% | +793.03% | |
| 11 | IBM | Intl Business Machines CORP | Stock-Tech | 2.71% | -0.44% | -44.25% | |
| 12 | HPE | Hewlett Packard Enterprise | Stock-Tech | 2.68% | +0.31% | -59.52% | |
| 13 | MRK | Merck & Co. Inc. | Stock-Healthcare | 2.66% | -0.35% | -60.39% | |
| 14 | BMY | Bristol-myers Squibb Co | Stock-Healthcare | 2.53% | -0.49% | -60.79% | |
| 15 | VZ | Verizon Communications Inc | Stock-Comm Services | 2.47% | +1.33% | +1.44% | |
| 16 | TGT | Target CORP | Stock-Consumer Disc | 2.41% | -0.45% | -64.43% | |
| 17 | VLO | Valero Energy CORP | Stock-Energy | 2.37% | +1.55% | -1.26% | |
| 18 | AMGN | Amgen Inc | Stock-Healthcare | 2.32% | -0.45% | -63.44% | |
| 19 | NEE | Nextera Energy Inc | Stock-Utilities | 2.30% | -0.36% | -49.18% | |
| 20 | PSX | Phillips 66 | Stock-Energy | 2.18% | -0.11% | -68.05% | |
| 21 | UPS | United Parcel Service-cl B | Stock-Industrials | 2.17% | -0.34% | -49.43% | |
| 22 | PFE | Pfizer Inc | Stock-Healthcare | 2.16% | -0.24% | -61.32% | |
| 23 | ✓ | Stock-Other | 2.15% | +2.15% | NEW | ||
| 24 | MCD | Mcdonald's CORP | Stock-Consumer Disc | 2.07% | -0.41% | -50.50% | |
| 25 | BAC | Bank Of America CORP | Stock-Financials | 2.03% | -0.75% | -61.12% | |
| 26 | LEN | Lennar Corp-a | Stock-Consumer Disc | 2.01% | -0.42% | -53.49% | |
| 27 | OMC | Omnicom Group | Stock-Comm Services | 1.89% | -0.53% | -60.95% | |
| 28 | LHX | L3harris Technologies Inc | Stock-Industrials | 1.87% | -0.78% | -72.22% | |
| 29 | HD | Home Depot Inc | Stock-Consumer Disc | 1.82% | -0.78% | -56.09% | |
| 30 | CMCSA | Comcast Corp-class A | Stock-Comm Services | 1.82% | +1.82% | +84206.96% | |
| 31 | KMB | Kimberly-clark CORP | Stock-Consumer Staples | 1.79% | +1.79% | NEW | |
| 32 | CRM | Salesforce Inc | Stock-Tech | 1.78% | -0.59% | -74.02% | |
| 33 | WFC | Wells Fargo & Co | Stock-Financials | 1.45% | +1.45% | NEW | |
| 34 | IP | International Paper Co | Stock-Consumer Disc | 1.44% | -0.95% | +7.78% | |
| 35 | RTX | Rtx CORP | Stock-Industrials | 1.36% | +0.65% | -0.32% | |
| 36 | CL | Colgate-palmolive Co | Stock-Consumer Staples | 1.25% | +0.57% | — | |
| 37 | JNJ | Johnson & Johnson | Stock-Healthcare | 1.02% | +0.49% | -4.02% | |
| 38 | CMI | Cummins Inc | Stock-Industrials | 1.02% | +0.31% | — | |
| 39 | BBY | Best Buy Co Inc | Stock-Consumer Disc | 0.94% | -2.13% | -86.68% | |
| 40 | EVRG | Evergy Inc | Stock-Utilities | 0.93% | +0.41% | -0.49% | |
| 41 | MS | Morgan Stanley | Stock-Financials | 0.62% | +0.27% | -0.75% | |
| 42 | BKR | Baker Hughes Co | Stock-Energy | 0.48% | +0.22% | -3.86% | |
| 43 | SWK | Stanley Black & Decker Inc | Stock-Industrials | 0.40% | +0.18% | -2.25% | |
| 44 | APD | Air Products & Chemicals Inc | Stock-Materials | 0.36% | +0.16% | -3.66% | |
| 45 | SUSA | Ishares Esg Optimized Msci U | ETF-Other | 0.33% | +0.16% | — | |
| 46 | AAPL | Apple Inc | Stock-Tech | 0.31% | +0.17% | — | |
| 47 | ORCL | Oracle CORP | Stock-Tech | 0.30% | -1.52% | -91.18% | |
| 48 | TFC | Truist Financial CORP | Stock-Financials | 0.29% | -2.20% | -93.54% | |
| 49 | JNJ | Johnson & Johnson | Stock-Healthcare | 0.29% | +0.15% | — | |
| 50 | PKG | Packaging CORP Of America | Stock-Consumer Disc | 0.28% | +0.10% | -19.37% |
1–50 of 172
Portfolio Performance
Performance for Q4 2026
+1.1%
Performance Last 4 Quarters
+26.2%
- Stdev
- +12.3%
- Beta
- +0.78
- Alpha
- +8.3%
- Max Drawdown
- -4.1%
- Annualized Perf
- +24.2%
- Batting Avg vs S&P
- +55%
- Sortino
- +3.79
- Stutzer
- +0.53
- Treynor
- +0.29
- Sterling
- +1.78
- Calmar
- +5.95
- Information Ratio
- +0.55
- Tracking Error
- +7.8%
- Stdev Down
- +6%
- Winning Months %
- +70%
- Losing Months %
- +30%
- Best 12 Months
- +45.4%
- Worst 12 Months
- +26.2%
- Efficiency Ratio
- +0.62
- Sharpe
- +1.84
- Stdev Sectors
- +6.6%
- Skewness
- -0.47
- Kurtosis
- -0.9
- Upside Potential
- +5.42
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
💡
Data Source Notice: AlphaSMO is the web's most authoritative 13F / Inside Trader database. Institutional holdings and insider trades presented here are precisely computed to deliver accurate portfolio reporting.
Holding changes this quarter
Catherine Avery Investment Management LLC's most significant position changes for 2026-09-30: Sold out: Oneok Inc (OKE); Sold out: Eversource Energy (ES); New buy: ; New buy: Kimberly-clark CORP (KMB); New buy: Wells Fargo & Co (WFC).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | BIL | Ss Spdr Bb 1-3m T-bill ETF | +2.6% | +793.03% | Add |
| 2 | ✓ | +2.2% | NEW | New buy | |
| 3 | CMCSA | Comcast Corp-class A | +1.8% | +84206.96% | Add |
| 4 | KMB | Kimberly-clark CORP | +1.8% | NEW | New buy |
| 5 | STX | Seagate Technology Holdings plc | +1.6% | -29.80% | Trim |
| 6 | VLO | Valero Energy CORP | +1.6% | -1.26% | Trim |
| 7 | WFC | Wells Fargo & Co | +1.5% | NEW | New buy |
| 8 | VZ | Verizon Communications Inc | +1.3% | +1.44% | Add |
| 9 | MSFT | Microsoft CORP | +1.3% | -48.84% | Trim |
| 10 | RTX | Rtx CORP | +0.7% | -0.32% | Trim |
| 11 | CL | Colgate-palmolive Co | +0.6% | — | Unchanged |
| 12 | JNJ | Johnson & Johnson | +0.5% | -4.02% | Trim |
| 13 | CVX | Chevron CORP | +0.4% | -51.75% | Trim |
| 14 | EVRG | Evergy Inc | +0.4% | -0.49% | Trim |
| 15 | HPE | Hewlett Packard Enterprise | +0.3% | -59.52% | Trim |
| 16 | CMI | Cummins Inc | +0.3% | — | Unchanged |
| 17 | MS | Morgan Stanley | +0.3% | -0.75% | Trim |
| 18 | BKR | Baker Hughes Co | +0.2% | -3.86% | Trim |
| 19 | SWK | Stanley Black & Decker Inc | +0.2% | -2.25% | Trim |
| 20 | AAPL | Apple Inc | +0.2% | — | Unchanged |
| 21 | APD | Air Products & Chemicals Inc | +0.2% | -3.66% | Trim |
| 22 | SUSA | Ishares Esg Optimized Msci U | +0.2% | — | Unchanged |
| 23 | JNJ | Johnson & Johnson | +0.2% | — | Unchanged |
| 24 | NVDA | Nvidia CORP | +0.1% | +1.21% | Add |
| 25 | MU | Micron Technology Inc | +0.1% | — | Unchanged |
| 26 | FCX | Freeport-mcmoran Inc | +0.1% | -52.75% | Trim |
| 27 | MDT | Medtronic plc | +0.1% | — | Unchanged |
| 28 | PKG | Packaging CORP Of America | +0.1% | -19.37% | Trim |
| 29 | QCOM | Qualcomm Inc | +0.1% | -13.86% | Trim |
| 30 | SGOV | Ishares 0-3 Month Treasury B | +0.1% | NEW | New buy |
| 31 | WMB | Williams Cos Inc | +0.1% | — | Unchanged |
| 32 | PLTR | Palantir Technologies Inc-a | +0.1% | — | Unchanged |
| 33 | RDVI | Ft Vest Rising Dividend Achi | +0.1% | — | Unchanged |
| 34 | AXP | American Express Co | +0.1% | — | Unchanged |
| 35 | WM | Waste Management Inc | +0.1% | — | Unchanged |
| 36 | EMR | Emerson Electric Co | +0.1% | — | Unchanged |
| 37 | ABT | Abbott Laboratories | +0.1% | — | Unchanged |
| 38 | ET | Energy Transfer LP | +0.1% | — | Unchanged |
| 39 | GOOGL | Alphabet Inc-cl A | +0.1% | +1.50% | Add |
| 40 | BEN | Franklin Resources Inc | 0% | -6.47% | Trim |
| 41 | INTU | Intuit Inc | 0% | — | Unchanged |
| 42 | EPD | Enterprise Products Partners | 0% | — | Unchanged |
| 43 | AWK | American Water Works Co Inc | 0% | — | Unchanged |
| 44 | LMT | Lockheed Martin CORP | 0% | — | Unchanged |
| 45 | SHY | Ishares 1-3 Year Treasury Bo | 0% | +6137.50% | Add |
| 46 | CAT | Caterpillar Inc | 0% | — | Unchanged |
| 47 | IWD | Ishares Russell 1000 Value E | 0% | -13.51% | Trim |
| 48 | MO | Altria Group Inc | 0% | — | Unchanged |
| 49 | PM | Philip Morris International | 0% | +0.77% | Add |
| 50 | V | Visa Inc-class A Shares | 0% | — | Unchanged |
1–50 of 175
Filing History
FAQ
What is Catherine Avery Investment Management LLC and what type of investor is it?
Catherine Avery Investment Management 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 $116.2M, spread across 172 disclosed positions.
What are Catherine Avery Investment Management LLC's largest equity positions?
Based on the latest 13F filing, Catherine Avery Investment Management LLC's top holdings by market value are:
1. Seagate Technology Holdings plc (STX) — $7.5M (6.5%)
2. Microsoft CORP (MSFT) — $5.5M (4.7%)
3. Citigroup Inc (C) — $3.5M (3.0%)
4. Cisco Systems Inc (CSCO) — $3.5M (3.0%)
5. Freeport-mcmoran Inc (FCX) — $3.5M (3.0%)
What changes did Catherine Avery Investment Management LLC make in its most recent portfolio filing?
In the latest reported quarter, Catherine Avery Investment Management LLC made 68 notable position adjustments: 9 new positions were initiated, 14 existing holdings were added to, 42 positions were partially reduced, and 3 were completely exited. The largest of these moves: Sold out: Oneok Inc (OKE); Sold out: Eversource Energy (ES); New buy: ; New buy: Kimberly-clark CORP (KMB); New buy: Wells Fargo & Co (WFC)
What sectors does Catherine Avery Investment Management LLC focus on?
Catherine Avery Investment Management LLC is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 27.6%
• Health Care: 12.1%
• Consumer Discretionary: 11.8%
• Financials: 11.7%
• Energy: 8.8%
• Industrials: 7.7%
Investment Profile
Catherine Avery Investment Management LLC returned an annualized 24.2% over the trailing 20 months — outperforming the S&P 500 by 8.3 points — based on a reconstructed track record of its disclosed 13F positions, with a beta of 0.78 (less volatile than the market) and a 55% quarterly batting average against the index.
Its portfolio is broadly diversified and fast-trading.
Its turnover score has risen from 38 to 80 over the past 4 quarters — a shift toward more active trading.
It has added to its VLO position over the past two quarters (+$901.6K, now $2.8M), while trimming ORCL over the same stretch (-$5.9M, still holding $343.8K).
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