CP
Cathy Pareto & Associates, Inc's 13F Portfolio ($175.4M, Q3 2026)
Cathy Pareto & Associates, IncCIK: 0002045974
Diversified strategySector-focusedMomentum follower
Total reported value
$175.4M
Reporting period: 2026-09-30 · Number of holdings: 98
CATHY PARETO & ASSOCIATES, INC disclosed 98 holdings in its latest 13F filing for the period ending 2026-09-30, with total reported value of $175.4M and a quarterly turnover rate of 10.1%.
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Personality snowflake
- Concentration
- 12.85
- Portfolio Stability
- 10.13
- Momentum
- 100
- Sector conviction
- 100
- Diversification
- 100
- Sizing Uniformity
- 85.27
Cathy Pareto & Associates, Inc's disclosed holdings carry a Herfindahl concentration index of 0.032 — mathematically equivalent to about 31 equally-sized positions, well below its 98 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 1.47), 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 16% 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 CLOI
+40.5% $1.8M
Sold out DFAS
Add AAPL
-0.2% $1.5M
Add CGIC
+103.9% $954.2K
Add MSFT
+0.8% $799.6K
Trim HEDJ
-8.0% -$558.3K
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 | SCHV | Schwab US Large-cap Value | ETF-Other | 8.09% | -0.25% | +4.32% | |
| 2 | AAPL | Apple Inc | Stock-Tech | 6.60% | +0.69% | -0.16% | |
| 3 | OPPE | Wisdomtree European Opport | ETF-Other | 5.56% | +0.23% | +4.00% | |
| 4 | SCHM | Schwab US Mid Cap ETF | ETF-Other | 5.11% | -0.19% | +7.35% | |
| 5 | VB | Vanguard Small-cap ETF | ETF-Other | 4.01% | -0.27% | +2.82% | |
| 6 | JPST | Jpmorgan Ultra-short Income | ETF-Other | 3.99% | -0.11% | +0.35% | |
| 7 | SCHX | Schwab US Large-cap ETF | ETF-Other | 3.90% | +0.18% | +5.65% | |
| 8 | CLOI | Vaneck Clo ETF | ETF-Other | 3.53% | +0.95% | +40.52% | |
| 9 | VGT | Vanguard Info Tech ETF | ETF-Tech | 3.37% | -0.02% | -2.87% | |
| 10 | COWZ | Pacer US Cash Cows 100 ETF | ETF-Other | 3.34% | -0.02% | -4.61% | |
| 11 | VOE | Vanguard Mid-cap Value ETF | ETF-Other | 3.02% | +0.18% | +10.62% | |
| 12 | VBR | Vanguard Small-cap Value ETF | ETF-Other | 2.97% | -0.08% | +5.40% | |
| 13 | FNDX | Schwab Fndmntl US Lrg Co ETF | ETF-Other | 2.92% | +0.19% | +8.57% | |
| 14 | HEDJ | Wisdomtree Europe Hedged Equ | ETF-Other | 2.71% | -0.40% | -8.04% | |
| 15 | BRK-B | Berkshire Hathaway Inc-cl B | Stock-Other | 2.17% | -0.09% | -0.46% | |
| 16 | FNDF | Schwab Fndmn Intl Lrg Co ETF | ETF-Other | 2.10% | +0.26% | +15.46% | |
| 17 | QTUM | Defiance Quantum ETF | ETF-Other | 1.80% | -0.14% | +4.16% | |
| 18 | SCHB | Schwab US Broad Market ETF | ETF-Other | 1.75% | -0.12% | -4.45% | |
| 19 | MSFT | Microsoft CORP | Stock-Tech | 1.63% | +0.42% | +0.83% | |
| 20 | AMZN | Amazon.com Inc | Stock-Consumer Disc | 1.47% | +0.04% | +0.61% | |
| 21 | IAU | Ishares Gold Trust | ETF-Commodities | 1.40% | +0.07% | +4.70% | |
| 22 | SCHF | Schwab Intl Equity ETF | ETF-Other | 1.27% | +0.22% | +25.56% | |
| 23 | VHT | Vanguard Health Care ETF | ETF-Other | 1.11% | +0.01% | -2.32% | |
| 24 | SCHD | Schwab US Dvd Equity ETF | ETF-Other | 1.09% | +0.01% | +1.38% | |
| 25 | CGIC | Cap Group Intl Core Eq | ETF-Other | 1.08% | +0.53% | +103.87% | |
| 26 | NLR | Vaneck Urani & Nuclr Etf-usd | ETF-Other | 1.04% | -0.23% | -5.42% | |
| 27 | GOOG | Alphabet Inc-cl C | Stock-Comm Services | 1.03% | -0.07% | +0.32% | |
| 28 | PAVE | Global X US Infrastructure | ETF-Other | 0.92% | -0.13% | +1.60% | |
| 29 | VTI | Vanguard Total Stock Mkt ETF | ETF-Other | 0.84% | +0.01% | +3.59% | |
| 30 | GSY | Invesco Ultra Short Duration | ETF-Other | 0.83% | -0.23% | -19.11% | |
| 31 | IJH | Ishares Core S&p Midcap ETF | ETF-Other | 0.78% | -0.05% | +3.61% | |
| 32 | SLV | Ishares Silver Trust | ETF-Commodities | 0.78% | +0.03% | +4.13% | |
| 33 | DFUS | Dimensional US Eq Mkt ETF | ETF-Other | 0.68% | +0.01% | +2.73% | |
| 34 | RWJ | Invesco S&p Smallcap 600 | ETF-Other | 0.63% | -0.06% | -0.04% | |
| 35 | SMH | Vaneck Semiconductor ETF | ETF-Other | 0.59% | +0.04% | +18.65% | |
| 36 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 0.58% | -0.02% | +3.16% | |
| 37 | DFUV | Dimensional US Marketwide Va | ETF-Other | 0.54% | -0.01% | +0.37% | |
| 38 | RSP | Invesco S&p 500 Equal Weight | ETF-Large Cap & Growth | 0.50% | -0.02% | +0.07% | |
| 39 | QQQ | Invesco Qqq Trust Series 1 | ETF-Tech | 0.48% | +0.06% | +18.78% | |
| 40 | AVGO | Broadcom Inc | Stock-Tech | 0.48% | -0.03% | +3.93% | |
| 41 | JEPI | Jpmorgan Equity Premium Inco | ETF-Other | 0.46% | -0.05% | -7.32% | |
| 42 | BRO | Brown & Brown Inc | Stock-Financials | 0.44% | -0.04% | — | |
| 43 | VV | Vanguard Large-cap ETF | ETF-Other | 0.43% | — | +0.71% | |
| 44 | BRK-A | Berkshire Hathaway Inc-cl A | Stock-Other | 0.43% | -0.01% | — | |
| 45 | META | Meta Platforms Inc-class A | Stock-Comm Services | 0.42% | +0.09% | +2.12% | |
| 46 | VTV | Vanguard Value ETF | ETF-Other | 0.42% | -0.01% | +0.24% | |
| 47 | NVDA | Nvidia CORP | Stock-Tech | 0.40% | +0.07% | +9.84% | |
| 48 | SETM | Sprott Critical Material ETF | ETF-Other | 0.40% | -0.02% | +3.75% | |
| 49 | FXH | First Trust Health Care Alph | ETF-Other | 0.39% | -0.03% | -10.40% | |
| 50 | ITA | Ishares U.s. Aerospace & Def | ETF-Other | 0.37% | -0.07% | -0.42% |
1–50 of 98
Portfolio Performance
Performance for Q4 2026
+1.3%
Performance Last 4 Quarters
+13.2%
- Stdev
- +10.3%
- Beta
- +0.73
- Alpha
- +1.3%
- Max Drawdown
- -5.1%
- Annualized Perf
- +14.6%
- Batting Avg vs S&P
- +40%
- Sortino
- +2.46
- Stutzer
- +0.4
- Treynor
- +0.19
- Sterling
- +0.97
- Calmar
- +2.89
- Information Ratio
- -0.63
- Tracking Error
- +5.4%
- Stdev Down
- +5.8%
- Winning Months %
- +75%
- Losing Months %
- +25%
- Best 12 Months
- +29%
- Worst 12 Months
- +13.2%
- Efficiency Ratio
- +0.48
- Sharpe
- +1.39
- Stdev Sectors
- +17.5%
- Skewness
- -0.49
- Kurtosis
- -0.05
- Upside Potential
- +4.01
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
Holding changes this quarter
Cathy Pareto & Associates, Inc's most significant position changes for 2026-09-30: Sold out: Dimensional US Small Cap ETF (DFAS); Sold out: Dimensional US Target Value (DFAT); New buy: ; New buy: Novartis Ag-sponsored Adr (NVS); Sold out: Ishares US Infrastructure (IFRA).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | CLOI | Vaneck Clo ETF | +1% | +40.52% | Add |
| 2 | AAPL | Apple Inc | +0.7% | -0.16% | Trim |
| 3 | CGIC | Cap Group Intl Core Eq | +0.5% | +103.87% | Add |
| 4 | MSFT | Microsoft CORP | +0.4% | +0.83% | Add |
| 5 | FNDF | Schwab Fndmn Intl Lrg Co ETF | +0.3% | +15.46% | Add |
| 6 | OPPE | Wisdomtree European Opport | +0.2% | +4.00% | Add |
| 7 | SCHF | Schwab Intl Equity ETF | +0.2% | +25.56% | Add |
| 8 | FNDX | Schwab Fndmntl US Lrg Co ETF | +0.2% | +8.57% | Add |
| 9 | SCHX | Schwab US Large-cap ETF | +0.2% | +5.65% | Add |
| 10 | VOE | Vanguard Mid-cap Value ETF | +0.2% | +10.62% | Add |
| 11 | ✓ | +0.1% | NEW | New buy | |
| 12 | NVS | Novartis Ag-sponsored Adr | +0.1% | NEW | New buy |
| 13 | CVX | Chevron CORP | +0.1% | NEW | New buy |
| 14 | AMGN | Amgen Inc | +0.1% | NEW | New buy |
| 15 | IBIT | Ishares Bitcoin Trust ETF | +0.1% | +8.41% | Add |
| 16 | META | Meta Platforms Inc-class A | +0.1% | +2.12% | Add |
| 17 | PLTR | Palantir Technologies Inc-a | +0.1% | -2.36% | Trim |
| 18 | IAU | Ishares Gold Trust | +0.1% | +4.70% | Add |
| 19 | NVDA | Nvidia CORP | +0.1% | +9.84% | Add |
| 20 | QQQ | Invesco Qqq Trust Series 1 | +0.1% | +18.78% | Add |
| 21 | AMZN | Amazon.com Inc | 0% | +0.61% | Add |
| 22 | SMH | Vaneck Semiconductor ETF | 0% | +18.65% | Add |
| 23 | GDX | Vaneck Gold Miners ETF | 0% | +4.81% | Add |
| 24 | SLV | Ishares Silver Trust | 0% | +4.13% | Add |
| 25 | GPIQ | Gs Nasdaq-100 Pr Inc Etf-usd | 0% | +17.01% | Add |
| 26 | XLE | Ss Energy Select Sector | 0% | +0.57% | Add |
| 27 | SCHD | Schwab US Dvd Equity ETF | 0% | +1.38% | Add |
| 28 | VTI | Vanguard Total Stock Mkt ETF | 0% | +3.59% | Add |
| 29 | VHT | Vanguard Health Care ETF | 0% | -2.32% | Trim |
| 30 | DFUS | Dimensional US Eq Mkt ETF | 0% | +2.73% | Add |
| 31 | MU | Micron Technology Inc | 0% | +23.03% | Add |
| 32 | VO | Vanguard Mid-cap ETF | 0% | +6.69% | Add |
| 33 | VV | Vanguard Large-cap ETF | — | +0.71% | Add |
| 34 | DXJ | Wisdomtree Japan Hedged Eq | — | +0.07% | Add |
| 35 | ABBV | Abbvie Inc | — | +0.91% | Add |
| 36 | VIG | Vanguard Dividend Apprec ETF | — | +5.38% | Add |
| 37 | HDV | Ishares Core High Dividend E | — | +0.63% | Add |
| 38 | IWD | Ishares Russell 1000 Value E | — | +0.36% | Add |
| 39 | JPM | Jpmorgan Chase & Co | — | +1.24% | Add |
| 40 | STT | State Street CORP | — | — | Unchanged |
| 41 | IYF | Ishares US Financials ETF | — | +3.35% | Add |
| 42 | TT | Trane Technologies plc | — | +10.75% | Add |
| 43 | TSM | Taiwan Semiconductor-sp Adr | — | +5.52% | Add |
| 44 | WTV | Wisdomtree U.s. Value Fund | 0% | -5.92% | Trim |
| 45 | EES | Wisdomtree US Smallcap Fund | 0% | -1.55% | Trim |
| 46 | SPY | Ss Spdr S&p 500 ETF Trust-us | 0% | +0.19% | Add |
| 47 | LLY | Eli Lilly & Co | 0% | +0.92% | Add |
| 48 | IVV | Ishares Core S&p 500 ETF | 0% | -0.42% | Trim |
| 49 | COWG | Pacer US Lrg Cap Cows Gr Ld | 0% | -0.67% | Trim |
| 50 | VTV | Vanguard Value ETF | 0% | +0.24% | Add |
1–50 of 106
* 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.
Filing History
FAQ
What is Cathy Pareto & Associates, Inc and what type of investor is it?
Cathy Pareto & Associates, Inc 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 $175.4M, spread across 98 disclosed positions.
What are Cathy Pareto & Associates, Inc's largest equity positions?
Based on the latest 13F filing, Cathy Pareto & Associates, Inc's top holdings by market value are:
1. Schwab US Large-cap Value (SCHV) — $14.2M (8.1%)
2. Apple Inc (AAPL) — $11.6M (6.6%)
3. Wisdomtree European Opport (OPPE) — $9.8M (5.6%)
4. Schwab US Mid Cap ETF (SCHM) — $9.0M (5.1%)
5. Vanguard Small-cap ETF (VB) — $7.0M (4.0%)
What changes did Cathy Pareto & Associates, Inc make in its most recent portfolio filing?
In the latest reported quarter, Cathy Pareto & Associates, Inc made 101 notable position adjustments: 4 new positions were initiated, 60 existing holdings were added to, 29 positions were partially reduced, and 8 were completely exited. The largest of these moves: Sold out: Dimensional US Small Cap ETF (DFAS); Sold out: Dimensional US Target Value (DFAT); New buy: ; New buy: Novartis Ag-sponsored Adr (NVS); Sold out: Ishares US Infrastructure (IFRA)
What sectors does Cathy Pareto & Associates, Inc focus on?
Cathy Pareto & Associates, Inc is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 59.0%
• Communication Services: 13.9%
• Consumer Discretionary: 9.7%
• Financials: 7.7%
• Health Care: 4.6%
• Consumer Staples: 2.2%
Investment Profile
Cathy Pareto & Associates, Inc returned an annualized 14.6% over the trailing 20 months — outperforming the S&P 500 by 1.3 points — based on a reconstructed track record of its disclosed 13F positions, with a beta of 0.73 (less volatile than the market) and a 40% quarterly batting average against the index.
Its portfolio is broadly diversified and long-term-holding, with 59.0% of the portfolio concentrated in Information Technology.
It has added to its CLOI position over the past two quarters (+$3.0M, now $6.2M), while trimming BPRE over the same stretch (-$3.4M, still holding $275.6K).
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