CIK: 0001280577
Total reported value
$85.7M
Reporting period: 2020-12-31 · Number of holdings: 46
LUCAS CAPITAL MANAGEMENT disclosed 46 holdings in its latest 13F filing for the period ending 2020-12-31, with total reported value of $85.7M and a quarterly turnover rate of 15.9%.
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Lucas Capital Management's disclosed holdings carry a Herfindahl concentration index of 0.047 — mathematically equivalent to about 21 equally-sized positions, well below its 46 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes are fairly uniform across the portfolio (a coefficient of variation of 1.09), suggesting a disciplined, rules-based approach to how much capital goes into each idea.
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 33% 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.
Add JPM
+47.1% $1.0M
Trim IHI
-4.9% $192.0K
Trim XLY
-13.8% -$127.0K
Trim GLD
-5.7% -$101.0K
Trim JNJ
+1.5% $335.0K
Trim UL
-1.4% -$65.0K
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | AAPL | Apple INC | Stock-Tech | 12.66% | -0.25% | -1.82% | |
| 2 | VGT | Vanguard Info Tech ETF | ETF-Tech | 6.98% | -0.21% | -2.03% | |
| 3 | QQQ | Invesco Qqq Trust Series 1 | ETF-Tech | 6.58% | +0.07% | +2.73% | |
| 4 | IHI | Ishares U.s. Medical Devices | ETF-Other | 6.03% | -0.63% | -4.93% | |
| 5 | JNJ | Johnson & Johnson | Stock-Healthcare | 5.75% | -0.40% | +1.50% | |
| 6 | IBB | Ishares Biotechnology ETF | ETF-Tech | 4.85% | -0.34% | -4.06% | |
| 7 | VEA | Vanguard Ftse Developed ETF | ETF-Other | 3.98% | +0.07% | +1.06% | |
| 8 | XLI | Ss Industrial Select Sector | ETF-Other | 3.91% | -0.13% | -3.27% | |
| 9 | XLF | Ss Financial Select Sector | ETF-Other | 2.85% | -0.04% | -7.42% | |
| 10 | BIP | Brookfield Infrastructure Partners L.P. | Stock-Utilities | 2.82% | -0.33% | -0.78% | |
| 11 | PG | Procter & Gamble Co/the | Stock-Consumer Staples | 2.66% | -0.27% | +4.35% | |
| 12 | VB | Vanguard Small-cap ETF | ETF-Other | 2.55% | +0.26% | +0.81% | |
| 13 | JPM | Jpmorgan Chase & Co | Stock-Financials | 2.52% | +1.03% | +47.11% | |
| 14 | XLY | Ss Consumer Disc Select Sect | ETF-Other | 2.45% | -0.53% | -13.79% | |
| 15 | XLV | Ss Health Care Select Sector | ETF-Other | 2.41% | -0.22% | -2.37% | |
| 16 | GLD | Spdr Gold Shares | ETF-Commodities | 2.24% | -0.47% | -5.70% | |
| 17 | UL | Unilever PLC | Stock-Consumer Staples | 2.05% | -0.39% | -1.45% | |
| 18 | BMY | Bristol-myers Squibb Co | Stock-Healthcare | 1.95% | -0.30% | -3.04% | |
| 19 | XLP | Ss Consumer Staples Sel Sect | ETF-Other | 1.94% | -0.15% | +0.97% | |
| 20 | XLK | Ss Technology Select Sector | ETF-Tech | 1.87% | -0.32% | -12.31% | |
| 21 | WEP | Magellan Midstream Partners | Stock-Other | 1.83% | +0.02% | -6.23% | |
| 22 | VOX | Vanguard Communication Servi | ETF-Other | 1.82% | -0.11% | -8.53% | |
| 23 | DOW | Dow INC | Stock-Materials | 1.70% | +0.09% | +2.24% | |
| 24 | T | At&t INC | Stock-Comm Services | 1.58% | -0.35% | -6.39% | |
| 25 | VZ | Verizon Communications INC | Stock-Comm Services | 1.51% | +0.31% | +46.95% | |
| 26 | CVX | Chevron CORP | Stock-Energy | 1.30% | +0.03% | +0.19% | |
| 27 | LBAIUSD | Lakeland Bancorp INC | Stock-Other | 1.07% | +0.12% | +1.87% | |
| 28 | MRK | Merck & Co. INC. | Stock-Healthcare | 0.99% | +0.99% | NEW | |
| 29 | XLU | St Sr Utl Sl Se Spdr Etf-usd | ETF-Other | 0.99% | -0.21% | -10.03% | |
| 30 | PFE | Pfizer INC | Stock-Healthcare | 0.96% | +0.96% | NEW | |
| 31 | SBR | Sabine Royalty Trust | Stock-Other | 0.95% | -0.38% | -15.93% | |
| 32 | EPD | Enterprise Products Partners | Stock-Energy | 0.82% | +0.06% | -0.12% | |
| 33 | BAC | Bank Of America CORP | Stock-Financials | 0.72% | +0.72% | NEW | |
| 34 | XOM | Exxon Mobil CORP | Stock-Energy | 0.53% | +0.04% | +2.78% | |
| 35 | HOV | Hovnanian Enterprises-a | Stock-Other | 0.47% | -0.06% | — | |
| 36 | MPLX | Mplx LP | Stock-Energy | 0.44% | +0.02% | -12.32% | |
| 37 | WES | Western Midstream Partners L | Stock-Energy | 0.41% | +0.01% | -31.75% | |
| 38 | SII | Sprott INC | Stock-Other | 0.38% | +0.38% | NEW | |
| 39 | HESM | Hess Midstream LP - Class A | Stock-Other | 0.35% | +0.06% | +7.37% | |
| 40 | SLV | Ishares Silver Trust | ETF-Commodities | 0.34% | +0.05% | +18.81% | |
| 41 | DMLP | Dorchester Minerals LP | Stock-Other | 0.33% | -0.07% | -9.69% | |
| 42 | VTN | Invesco Tr For Invest Grd Ny | Stock-Other | 0.33% | -0.03% | — | |
| 43 | CLPT | Clearpoint Neuro INC | Stock-Other | 0.31% | +0.31% | NEW | |
| 44 | AA | Alcoa CORP | Stock-Materials | 0.31% | +0.31% | NEW | |
| 45 | PTY | Pimco Corporate & Income Opp | Stock-Other | 0.26% | +0.26% | NEW | |
| 46 | SHLXUSD | Shell Midstream Partners LP | Stock-Other | 0.25% | +0.25% | NEW |
Not enough priced holdings yet to compute performance
| Period | Holdings | Total value | Stability | Top holdings |
|---|---|---|---|---|
| 2020-12-31 | 46 | $85.7M | 16 | |
| 2020-09-30 | 39 | $74.7M | 21 | |
| 2020-06-30 | 43 | $73.0M | 20 | |
| 2020-03-31 | 42 | $66.2M | 39 | |
| 2019-12-31 | 45 | $84.4M | 13 | |
| 2019-09-30 | 46 | $78.5M | 17 | |
| 2019-06-30 | 52 | $84.4M | 11 | |
| 2019-03-31 | 53 | $84.7M | 20 | |
| 2018-12-31 | 53 | $76.0M | 28 | |
| 2018-09-30 | 49 | $82.7M | 36 | |
| 2018-06-30 | 94 | $105.8M | 17 | |
| 2018-03-31 | 96 | $103.3M | 20 | |
| 2017-12-31 | 110 | $115.4M | 18 | |
| 2017-09-30 | 107 | $111.6M | 39 | |
| 2017-06-30 | 124 | $138.1M | 25 | |
| 2017-03-31 | 115 | $135.0M | 18 | |
| 2016-12-31 | 109 | $138.6M | 19 | |
| 2016-09-30 | 101 | $130.6M | 15 | |
| 2016-06-30 | 109 | $141.3M | 19 | |
| 2016-03-31 | 117 | $137.0M | 23 | |
| 2015-12-31 | 123 | $155.7M | 27 | |
| 2015-09-30 | 129 | $172.5M | 34 | |
| 2015-06-30 | 134 | $225.0M | 22 | |
| 2015-03-31 | 132 | $247.9M | 23 | |
| 2014-12-31 | 137 | $269.2M | 40 | |
| 2014-09-30 | 146 | $325.7M | 24 | |
| 2014-06-30 | 153 | $315.3M | 38 | |
| 2014-03-31 | 141 | $313.3M | 37 | |
| 2013-12-31 | 146 | $299.7M | 38 | |
| 2013-09-30 | 144 | $293.1M | 44 | |
| 2013-06-30 | 141 | $348.9M | 60 |
Lucas Capital Management's most significant position changes for 2020-12-31: New buy: Merck & Co. INC. (MRK); New buy: Pfizer INC (PFE); New buy: Bank Of America CORP (BAC); New buy: Sprott INC (SII); New buy: Clearpoint Neuro INC (CLPT).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | JPM | Jpmorgan Chase & Co | +1% | +47.11% | Add |
| 2 | VZ | Verizon Communications INC | +0.3% | +46.95% | Add |
| 3 | VB | Vanguard Small-cap ETF | +0.3% | +0.81% | Add |
| 4 | LBAIUSD | Lakeland Bancorp INC | +0.1% | +1.87% | Add |
| 5 | DOW | Dow INC | +0.1% | +2.24% | Add |
| 6 | QQQ | Invesco Qqq Trust Series 1 | +0.1% | +2.73% | Add |
| 7 | VEA | Vanguard Ftse Developed ETF | +0.1% | +1.06% | Add |
| 8 | EPD | Enterprise Products Partners | +0.1% | -0.12% | Trim |
| 9 | HESM | Hess Midstream LP - Class A | +0.1% | +7.37% | Add |
| 10 | SLV | Ishares Silver Trust | +0.1% | +18.81% | Add |
| 11 | XOM | Exxon Mobil CORP | 0% | +2.78% | Add |
| 12 | CVX | Chevron CORP | 0% | +0.19% | Add |
| 13 | WEP | Magellan Midstream Partners | 0% | -6.23% | Trim |
| 14 | MPLX | Mplx LP | 0% | -12.32% | Trim |
| 15 | WES | Western Midstream Partners L | 0% | -31.75% | Trim |
| 16 | VTN | Invesco Tr For Invest Grd Ny | 0% | — | Unchanged |
| 17 | XLF | Ss Financial Select Sector | 0% | -7.42% | Trim |
| 18 | HOV | Hovnanian Enterprises-a | -0.1% | — | Unchanged |
| 19 | DMLP | Dorchester Minerals LP | -0.1% | -9.69% | Trim |
| 20 | VOX | Vanguard Communication Servi | -0.1% | -8.53% | Trim |
| 21 | XLI | Ss Industrial Select Sector | -0.1% | -3.27% | Trim |
| 22 | XLP | Ss Consumer Staples Sel Sect | -0.2% | +0.97% | Add |
| 23 | VGT | Vanguard Info Tech ETF | -0.2% | -2.03% | Trim |
| 24 | XLU | St Sr Utl Sl Se Spdr Etf-usd | -0.2% | -10.03% | Trim |
| 25 | XLV | Ss Health Care Select Sector | -0.2% | -2.37% | Trim |
| 26 | AAPL | Apple INC | -0.3% | -1.82% | Trim |
| 27 | PG | Procter & Gamble Co/the | -0.3% | +4.35% | Add |
| 28 | BMY | Bristol-myers Squibb Co | -0.3% | -3.04% | Trim |
| 29 | XLK | Ss Technology Select Sector | -0.3% | -12.31% | Trim |
| 30 | BIP | Brookfield Infrastructure Partners L.P. | -0.3% | -0.78% | Trim |
| 31 | IBB | Ishares Biotechnology ETF | -0.3% | -4.06% | Trim |
| 32 | T | At&t INC | -0.4% | -6.39% | Trim |
| 33 | SBR | Sabine Royalty Trust | -0.4% | -15.93% | Trim |
| 34 | UL | Unilever PLC | -0.4% | -1.45% | Trim |
| 35 | JNJ | Johnson & Johnson | -0.4% | +1.50% | Add |
| 36 | GLD | Spdr Gold Shares | -0.5% | -5.70% | Trim |
| 37 | XLY | Ss Consumer Disc Select Sect | -0.5% | -13.79% | Trim |
| 38 | IHI | Ishares U.s. Medical Devices | -0.6% | -4.93% | Trim |
| 39 | MRK | Merck & Co. INC. | — | NEW | New buy |
| 40 | PFE | Pfizer INC | — | NEW | New buy |
| 41 | BAC | Bank Of America CORP | — | NEW | New buy |
| 42 | SII | Sprott INC | — | NEW | New buy |
| 43 | CLPT | Clearpoint Neuro INC | — | NEW | New buy |
| 44 | AA | Alcoa CORP | — | NEW | New buy |
| 45 | PTY | Pimco Corporate & Income Opp | — | NEW | New buy |
| 46 | SHLXUSD | Shell Midstream Partners LP | — | NEW | New buy |
| 47 | USAC | USA Compression Partners LP | — | EXIT | Sold out |
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2020-12-31 | 2021-01-27 | 13F-HR | View on EDGAR |
| 2020-09-30 | 2020-10-28 | 13F-HR | View on EDGAR |
| 2020-06-30 | 2020-08-17 | 13F-HR | View on EDGAR |
| 2020-03-31 | 2020-04-20 | 13F-HR | View on EDGAR |
| 2019-12-31 | 2020-01-28 | 13F-HR | View on EDGAR |
| 2019-09-30 | 2019-10-23 | 13F-HR | View on EDGAR |
| 2019-06-30 | 2019-07-29 | 13F-HR | View on EDGAR |
| 2019-03-31 | 2019-04-30 | 13F-HR | View on EDGAR |
| 2018-12-31 | 2019-01-31 | 13F-HR | View on EDGAR |
| 2018-09-30 | 2018-10-26 | 13F-HR | View on EDGAR |
| 2018-06-30 | 2018-07-11 | 13F-HR | View on EDGAR |
| 2018-03-31 | 2018-04-10 | 13F-HR | View on EDGAR |
| 2017-12-31 | 2018-01-30 | 13F-HR | View on EDGAR |
| 2017-09-30 | 2017-11-06 | 13F-HR | View on EDGAR |
| 2017-06-30 | 2017-07-31 | 13F-HR | View on EDGAR |
| 2017-03-31 | 2017-05-03 | 13F-HR | View on EDGAR |
| 2016-12-31 | 2017-01-31 | 13F-HR | View on EDGAR |
| 2016-09-30 | 2016-11-07 | 13F-HR | View on EDGAR |
| 2016-06-30 | 2016-07-28 | 13F-HR | View on EDGAR |
| 2016-03-31 | 2016-04-19 | 13F-HR | View on EDGAR |
| 2015-12-31 | 2016-01-25 | 13F-HR | View on EDGAR |
| 2015-09-30 | 2015-11-05 | 13F-HR | View on EDGAR |
| 2015-06-30 | 2015-07-20 | 13F-HR | View on EDGAR |
| 2015-03-31 | 2015-04-14 | 13F-HR | View on EDGAR |
| 2014-12-31 | 2015-01-29 | 13F-HR | View on EDGAR |
| 2014-09-30 | 2014-11-05 | 13F-HR | View on EDGAR |
| 2014-06-30 | 2014-07-30 | 13F-HR | View on EDGAR |
| 2014-03-31 | 2014-05-06 | 13F-HR | View on EDGAR |
| 2013-12-31 | 2014-01-23 | Amendment | View on EDGAR |
| 2013-12-31 | 2014-01-21 | 13F-HR | View on EDGAR |
| 2013-09-30 | 2013-11-05 | 13F-HR | View on EDGAR |
| 2013-06-30 | 2013-07-26 | 13F-HR | View on EDGAR |
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