Catherine Avery Investment Management LLC

CIK 2103454 · View on SEC EDGAR ↗

Portfolio value QoQ: -49.3% 13F does not disclose cash

Top 10 holdings weight34.50%

Top 25 holdings weight69.72%

Positions above 1%38

Effective number of positions39.6

Based on 13F long-equity holdings only (cash, bonds, shorts not disclosed)

Turnover Q3 2026: 6.7% Est. buys $11,572,007 · sells $131,933,934

Median holding: 5.0 quarters Tracked Q1 2025–Q3 2026 · 72.0% still held

New positions9

Increased14

Decreased42

Closed3

Portfolio value $116.2M #8,190 of 9,339 by 13F value · top 87.7%

Positions 172

As of Sept. 30, 2026

Performance vs S&P 500

Tracked Q1 2025–Q3 2026 +50.4%

S&P 500 total return (same window) +39.9%

Excess return +10.5%

Annualized: +31.3% · S&P 500: +25.1%

Approximates a buy-and-hold portfolio built from quarterly SEC 13F snapshots. Excludes cash, short positions, options/derivatives, and non-13(f) securities — reflects the disclosed long-equity book only, not total fund AUM. SEC filing lag is up to 45 days; this is not a real-time-copyable timing.

Priceable coverage: 99.7% · Options excluded: 0.0%

Sector breakdown

Technology 22.8%

Financials 10.9%

Healthcare 10.3%

Communication Services 9.4%

Energy 8.3%

Industrials 8.3%

Retail 5.2%

Materials 5.1%

Consumer products 5.1%

Utilities 3.3%

Consumer Staples 2.9%

Consumer Discretionary 2.1%

Other/Unmapped 6.2%

Full portfolio 172 positions

Search positions by ticker or company name

					Streak
STX Seagate Technology Holdings PLC - Ordinary Shares (Ireland)	$7,507,848	6.46%	8,140	$-3,681,327	Down ×5
MSFT Microsoft Corporation - Common Stock	$5,452,493	4.69%	10,631	$-2,299,035	Down ×1
C Citigroup, Inc. Common Stock	$3,534,626	3.04%	27,299	$-4,109,989	Down ×2
CSCO Cisco Systems, Inc. - Common Stock	$3,517,079	3.03%	32,678	$-4,450,730	Down ×2
FCX Freeport-McMoRan, Inc. Common Stock	$3,457,209	2.98%	49,389	$-3,116,180	Down ×2
AVGO Broadcom Inc. - Common Stock	$3,392,720	2.92%	9,661	$-3,344,609	Down ×2
JPM JP Morgan Chase & Co. Common Stock	$3,385,298	2.91%	10,233	$-3,894,891	Down ×2
CVX Chevron Corporation Common Stock	$3,357,913	2.89%	16,443	$-2,291,091	Down ×2
KO Coca-Cola Company (The) Common Stock	$3,255,489	2.80%	37,819	$-3,316,885	Down ×2
BIL SPDR SERIES TRUST	$3,227,652	2.78%	35,221	$2,866,224	Up ×1
IBM International Business Machines Corporation Common Stock	$3,144,225	2.71%	14,296	$-4,067,120	Down ×2
HPE Hewlett Packard Enterprise Company Common Stock	$3,112,615	2.68%	48,718	$-2,316,103	Down ×2
MRK Merck & Company, Inc. Common Stock (new)	$3,085,012	2.66%	21,231	$-3,802,097	Down ×2
BMY Bristol-Myers Squibb Company Common Stock	$2,933,966	2.53%	47,019	$-3,975,075	Down ×1
VZ Verizon Communications Inc. Common Stock	$2,875,518	2.47%	62,688	$258,864	Up ×1
TGT Target Corporation Common Stock	$2,797,740	2.41%	17,855	$-3,758,112	Down ×2
VLO Valero Energy Corporation Common Stock	$2,753,969	2.37%	7,105	$879,843	Down ×6
AMGN Amgen Inc. - Common Stock	$2,701,268	2.32%	6,409	$-3,646,602	Down ×1
NEE NextEra Energy, Inc. Common Stock	$2,674,125	2.30%	35,307	$-3,423,332	Down ×2
PSX Phillips 66 Common Stock	$2,533,665	2.18%	9,924	$-2,717,140	Down ×1
UPS United Parcel Service, Inc. Common Stock	$2,526,500	2.17%	27,039	$-3,221,393	Down ×2
PFE Pfizer, Inc. Common Stock	$2,514,916	2.16%	88,181	$-2,974,140	Down ×1
Unknown issuer (CUSIP: 30609A109)	$2,497,529	2.15%	29,290		Up ×1
MCD McDonald's Corporation Common Stock	$2,401,132	2.07%	10,397	$-3,277,028	Down ×1
BAC Bank of America Corporation Common Stock	$2,361,359	2.03%	43,383	$-3,996,070	Down ×2
LEN Lennar Corporation Class A Common Stock	$2,331,821	2.01%	28,580	$-3,229,061	Down ×1
OMC Omnicom Group Inc. Common Stock	$2,191,276	1.89%	29,761	$-3,358,953	Down ×2
LHX L3Harris Technologies, Inc. Common Stock	$2,177,044	1.87%	9,194	$-3,892,398	Down ×1
HD Home Depot, Inc. (The) Common Stock	$2,110,895	1.82%	7,420	$-3,848,301	Down ×1
CMCSA Comcast Corporation - Class A Common Stock	$2,109,697	1.82%	96,953	$2,106,874	Up ×1
KMB Kimberly-Clark Corporation - Common Stock	$2,076,575	1.79%	21,314
CRM Salesforce, Inc. Common Stock	$2,063,375	1.78%	8,988	$-3,355,964	Down ×1
WFC Wells Fargo & Company Common Stock	$1,682,651	1.45%	21,020		Up ×1
IP International Paper Company Common Stock	$1,670,673	1.44%	50,367	$-3,801,363	Up ×1
RTX RTX Corporation Common Stock	$1,585,537	1.36%	8,540	$-39,960	Down ×5
CL Colgate-Palmolive Company Common Stock	$1,451,464	1.25%	17,012	$-108,196
JCI Johnson Controls International plc Ordinary Share	$1,190,389	1.02%	8,008	$-28,607	Down ×6
CMI Cummins Inc. Common Stock	$1,181,396	1.02%	2,287	$-449,715
BBY Best Buy Co., Inc. Common Stock	$1,090,205	0.94%	12,355	$-5,948,044	Down ×2
EVRG Evergy, Inc. - Common Stock	$1,079,805	0.93%	13,766	$-115,868	Down ×6
MS Morgan Stanley Common Stock	$724,296	0.62%	3,851	$-86,779	Down ×1
BKR Baker Hughes Company - Common Stock	$557,949	0.48%	10,163	$-28,742	Down ×3
SWK Stanley Black & Decker, Inc. Common Stock	$468,818	0.40%	5,292	$-40,748	Down ×2
APD Air Products and Chemicals, Inc. Common Stock	$417,924	0.36%	1,502	$-39,165	Down ×2
SUSA iShares Trust	$388,110	0.33%	2,493	$3,440
AAPL Apple Inc. - Common Stock	$360,328	0.31%	1,082	$47,240
ORCL Oracle Corporation Common Stock	$343,799	0.30%	2,504	$-3,814,997	Down ×2
TFC Truist Financial Corporation Common Stock	$341,601	0.29%	7,378	$-5,352,286	Down ×2
JNJ Johnson & Johnson Common Stock	$332,778	0.29%	1,257	$13,538
PKG Packaging Corporation of America Common Stock	$324,403	0.28%	1,415	$-93,778	Down ×2
QCOM QUALCOMM Incorporated - Common Stock	$306,611	0.26%	1,666	$-50,773	Down ×2
MU Micron Technology, Inc. - Common Stock	$300,294	0.26%	282	$-25,091
NVDA NVIDIA Corporation - Common Stock	$285,475	0.25%	1,250	$38,364	Up ×1
KEY KeyCorp Common Stock	$244,613	0.21%	12,188	$-5,501,891	Down ×2
MDT Medtronic plc. Ordinary Shares	$235,485	0.20%	2,729	$21,995
WMB Williams Companies, Inc. (The) Common Stock	$231,098	0.20%	3,400	$-21,658
RDVI First Trust Exchange-Traded Fund IV	$179,631	0.15%	6,443	$-9,793
AXP American Express Company Common Stock	$152,050	0.13%	500	$-17,075
PLTR Palantir Technologies Inc. - Class A Common Stock	$144,029	0.12%	770	$54,193
WM Waste Management, Inc. Common Stock	$142,744	0.12%	700	$-13,272
GOOGL Alphabet Inc. - Class A Common Stock	$116,643	0.10%	339	$-2,719	Up ×1
EMR Emerson Electric Company Common Stock	$116,325	0.10%	750	$8,962
BEN Franklin Resources, Inc. Common Stock	$108,566	0.09%	3,380	$-11,672	Down ×5
EPD Enterprise Products Partners L.P. Common Stock	$106,830	0.09%	3,000	$-3,450
SGOV iShares Trust	$100,194	0.09%	995		Up ×1
ET Energy Transfer LP Common Units	$98,850	0.09%	5,000	$3,250
ABT Abbott Laboratories Common Stock	$98,830	0.09%	1,000	$8,090
AWK American Water Works Company, Inc. Common Stock	$87,392	0.08%	675	$-1,425
INTU Intuit Inc. - Common Stock	$82,713	0.07%	300	$4,413
IWD iShares Trust	$79,338	0.07%	320	$-10,361	Down ×1
LMT Lockheed Martin Corporation Common Stock	$78,973	0.07%	155	$-18
CAT Caterpillar, Inc. Common Stock	$77,836	0.07%	96	$-24,394
PM Philip Morris International Inc Common Stock	$74,663	0.06%	391	$4,390	Up ×6
V Visa Inc.	$70,788	0.06%	197	$3,199
MO Altria Group, Inc.	$67,340	0.06%	1,000	$-4,610
CINF Cincinnati Financial Corporation - Common Stock	$62,951	0.05%	395	$-10,179
AGI Alamos Gold Inc. Class A Common Shares	$61,606	0.05%	1,902	$3,899
SCHD SCHWAB STRATEGIC TRUST	$58,749	0.05%	1,806	$1,481
IHI iShares Trust	$56,879	0.05%	1,112	$1,935
VONG Vanguard Russell 1000 Growth ETF	$56,085	0.05%	435	$488
VOE Vanguard Morningstar Mid-Cap Value ETF	$49,665	0.04%	254	$-525
VOT Vanguard Morningstar Mid-Cap Growth ETF	$48,197	0.04%	165	$-2,343
SHY iShares 1-3 Year Treasury Bond ETF	$40,519	0.03%	499	$39,862	Up ×1
SPY SPY	$35,081	0.03%	46	$730
XYL Xylem Inc. Common Stock New	$33,217	0.03%	328	$19,505	Up ×1
F Ford Motor Company Common Stock	$32,453	0.03%	2,691	$-4,952
NEM Newmont Corporation	$31,762	0.03%	275	$6,099
ABBV AbbVie Inc. Common Stock	$30,783	0.03%	118	$1,349	Up ×2
META Meta Platforms, Inc. - Class A Common Stock	$30,458	0.03%	42	$6,800
DFIV Dimensional ETF Trust	$24,355	0.02%	436	$802
DVY iShares Select Dividend ETF	$22,658	0.02%	149	$-631
INTC Intel Corporation - Common Stock	$21,762	0.02%	181	$-3,511
LOW Lowe's Companies, Inc. Common Stock	$20,640	0.02%	112	$-4,055
NEAR iShares U.S. ETF Trust	$20,443	0.02%	410	$-328
EMBD Global X Funds	$19,591	0.02%	868	$-1,198
SPMO Invesco Exchange-Traded Fund Trust II	$19,099	0.02%	126	$-1,255
COST Costco Wholesale Corporation - Common Stock	$18,207	0.02%	20	$-502
JAAA Janus Detroit Street Trust	$17,917	0.02%	355	$-7
FRDM Freedom 100 Emerging Markets ETF	$17,560	0.02%	251	$-738
FRTY Alger ETF Trust	$17,085	0.01%	721	$-808
No matches

Conviction holdings

Positions increased for 3+ consecutive quarters.

Share counts are as reported in 13F filings (not split-adjusted)

Security	Value	% of portfolio	Streak
PM	$74,663	0.06%	up ×6
MDLZ	$10,016	0.01%	up ×6

Biggest new bets

New positions opened this quarter, largest first.

Security	Value	Shares	% of portfolio
Unknown issuer (CUSIP: 30609A109)	$2,497,529	29,290	2.15%
KMB	$2,076,575	21,314	1.79%
WFC	$1,682,651	21,020	1.45%
SGOV	$100,194	995	0.09%
Unknown issuer (CUSIP: 438516205)	$2,953	14	0.00%
TSLA	$2,838	8	0.00%
VT	$2,052	13	0.00%
Unknown issuer (CUSIP: 84615Q103)	$754	5	0.00%
Unknown issuer (CUSIP: 87975E776)	$479	20	0.00%

Top movers (QoQ)

Security	Action	Shares Δ	Value Δ
CSCO	Trimmed	-35K	-$4.5M
C	Trimmed	-27K	-$4.1M
IBM	Trimmed	-11K	-$4.1M
BAC	Trimmed	-68K	-$4.0M
BMY	Trimmed	-73K	-$4.0M
JPM	Trimmed	-12K	-$3.9M
LHX	Trimmed	-24K	-$3.9M
HD	Trimmed	-9K	-$3.8M
MRK	Trimmed	-32K	-$3.8M
IP	Bought more	+4K	-$3.8M

4 positions hidden — reported move looks larger than the position itself (data completeness check)

Exited positions

Includes corporate events (mergers, delistings) — not all exits are sells

Closed positions reflect 13F reporting changes; for index managers these are often mechanical (delisting, M&A, index rebalancing), not active decisions.

Security	Quarter	Shares before	Value before	Price since exit
OKE	Sept. 30, 2026	70,408	$6,121,272	13.0%
ES	Sept. 30, 2026	51,329	$3,709,547	5.3%
XOM	Sept. 30, 2026	5,204	$711,491	12.6%
RDVI	March 31, 2026	9,324	$244,662
BIL	March 31, 2026	1,759	$160,737
TXN	June 30, 2025	408	$73,318	37.1%
ITW	Dec. 31, 2025	261	$68,058	12.1%
SCHD	March 31, 2026	1,806	$49,539	8.2%
SDVD	March 31, 2026	2,163	$46,418
LYB	March 31, 2026	654	$28,318	-16.4%
STZ	Dec. 31, 2025	200	$26,934	0.5%
BLK	June 30, 2026	25	$24,043	17.7%
DIVO	Sept. 30, 2025	564	$23,998
JEPQ	March 31, 2026	405	$23,539
QQQI	Sept. 30, 2025	441	$22,936
BRK-B (filed as BRKB)	March 31, 2026	31	$15,582	No longer tracked
MRP	March 31, 2026	516	$15,413	-14.6%
DVN	June 30, 2025	408	$15,259	62.3%
JSI	Sept. 30, 2025	289	$15,207
PCMM	Sept. 30, 2025	295	$14,862
CAG	March 31, 2026	783	$13,554	-8.5%
USFR	March 31, 2026	259	$13,013	0.3%
CALM	March 31, 2026	157	$12,492	-22.8%
LLY	Sept. 30, 2025	15	$11,693	67.6%
IJH	March 31, 2026	155	$10,230	8.1%
ADP	June 30, 2026	50	$10,159	31.3%
RS	March 31, 2026	30	$8,666	38.8%
ETN	March 31, 2026	25	$7,963	4.0%
ETR	March 31, 2026	84	$7,764	-4.3%
WULF	June 30, 2025	2,793	$7,625	158.4%
PYPL	March 31, 2026	129	$7,531	21.6%
AMP	Sept. 30, 2025	14	$7,472	0.1%
KVUE	March 31, 2026	398	$6,866	13.1%
HON	June 30, 2026	29	$6,555	-2.1%
SOUN	March 31, 2026	629	$6,271	-35.5%
TTD	March 31, 2026	136	$5,163	-42.7%
NCIQ	Sept. 30, 2025	186	$5,102
DGRW	March 31, 2026	55	$4,919
UHS	March 31, 2026	21	$4,578	4.4%
ELV	March 31, 2026	13	$4,557	47.3%
HPQ	March 31, 2026	191	$4,255	77.5%
SBET	March 31, 2026	450	$4,023	11.3%
BP	March 31, 2026	113	$3,932	5.6%
NIO	June 30, 2025	1,000	$3,810	-5.0%
VIG	March 31, 2026	17	$3,736
DHS	March 31, 2026	32	$3,258
CVS	March 31, 2026	41	$3,254	28.5%
APLD	June 30, 2025	569	$3,198	92.7%
MA	March 31, 2026	5	$2,854	22.8%
RCL	March 31, 2026	10	$2,789	2.0%
FORA	June 30, 2025	1,319	$2,638	No longer tracked
T	June 30, 2026	86	$2,501	1.1%
BMNR	March 31, 2026	80	$2,172	6.7%
ASRT	June 30, 2025	3,130	$2,112	No longer tracked
AFL	March 31, 2026	17	$1,875	10.8%
LQD	March 31, 2026	17	$1,873
VTRS	June 30, 2025	213	$1,855	101.6%
NOW	March 31, 2026	10	$1,532	51.3%
CF	June 30, 2026	10	$1,298	11.0%
NOK	March 31, 2026	200	$1,294	7.5%
QQQ	March 31, 2026	2	$1,229	29.0%
GOOG	Dec. 31, 2025	5	$1,218	0.1%
PAYO	Sept. 30, 2025	175	$1,199	18.2%
KMB	June 30, 2026	12	$1,158	-0.1%
GIS	June 30, 2026	31	$1,154	-3.2%
BABA	Sept. 30, 2025	10	$1,134	-44.2%
COF	Sept. 30, 2025	5	$1,064	-4.7%
LUNR	Dec. 31, 2025	100	$1,052	-35.4%
AMLX	March 31, 2026	87	$1,051	97.7%
TLT	March 31, 2026	12	$1,046
AVGE	Sept. 30, 2025	13	$1,007
VRN	June 30, 2025	150	$993	No longer tracked
BNS	Dec. 31, 2025	15	$970	26.8%
TDC	Sept. 30, 2025	40	$892	62.2%
WPP	Dec. 31, 2025	35	$877	18.2%
STLA	March 31, 2026	80	$871	-42.7%
SWAG	March 31, 2026	500	$830	-21.8%
UBER	March 31, 2026	10	$817	-7.3%
LULU	Dec. 31, 2025	4	$712	-50.5%
SHY	March 31, 2026	8	$663
CHRD	March 31, 2026	7	$649	7.9%
ACMR	Sept. 30, 2025	25	$648	32.8%
BIDU	Sept. 30, 2025	7	$600	-41.1%
TARS	Dec. 31, 2025	10	$594	-16.7%
MARA	March 31, 2026	65	$584	-16.2%
UPXI	March 31, 2026	250	$420	-22.4%
WU	Dec. 31, 2025	50	$400	-31.9%
SOLS	March 31, 2026	7	$340	-20.7%
JD	Sept. 30, 2025	10	$326	-27.8%
OII	Sept. 30, 2025	15	$311	62.4%
UBS	June 30, 2025	10	$306	37.1%
MRNA	March 31, 2026	6	$177	291.4%
BHVN	March 31, 2026	12	$135	72.8%
VFC	March 31, 2026	2	$41	1.6%
ACB	March 31, 2026	3	$13	23.2%