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Capital Advantage, Inc. — 13F Holdings & Portfolio

CIK 1628896 · latest 13F-HR filed 2026-10-14

Backtest portfolio

Capital Advantage, Inc. manages $834.1M in 13F-reported U.S. long-equity assets across 158 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are NEAR (12.58%), FNDF (7.03%), VYMI (5.01%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 16 new positions and exited 8; 40 existing positions rose in reported value and 34 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$834.1M

Long-equity book

Holdings
158

Distinct positions

Period
2026-09-30

Filed 2026-10-14

Q/Q Activity
+16 / −8 / ↑40 / ↓34

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26
NEAR12.6% · newFNDF7.0% · -1%VYMI5.0% · -0%VIGI4.9% · -0%ICSH4.4% · -1%MGV3.7% · -2%SCHD3.4% · +0%VHT3.3% · -1%VIG3.3% · -0%STIP3.2% · +5%CGDV3.2% · +0%SPYM2.7% · -0%XLF2.5% · -0%VUSB2.5% · +0%AAPL2.2% · +6%VIS2.0% · +2%MGC2.0% · -2%TFLO1.8% · +7%SCHF1.6% · +3%VBR1.5% · +0%VB1.3% · +2%AMD1.1% · -17%QUAL1.1% · +4%EFA1.1% · -4%EFV1.1% · -0%VOE1.0% · -1%MSFT0.9% · +0%VO0.9% · +6%FNDX0.9% · +6%PAVE0.8% · +5%IJR0.7% · -1%FNDA0.6% · +3%EEM0.6% · -0%IVW0.6% · +6%EXTR0.6% · 0%EMXC0.5% · +15%IVV0.5% · +5%IEFA0.5% · -1%SDVY0.4% · +3%XLP0.4% · -4%CVX0.4% · -17%NVDA0.4% · -2%SCHX0.4% · +11%VOO0.4% · +2%RWL0.4% · newVYM0.4% · +7%AMZN0.3% · -1%NOC0.3% · 0%SGOV0.3% · -3%WDAY0.3% · -9%XOM0.3% · newMETA0.2% · +7%CAT0.2% · +6%SCHM0.2% · -7%SPY0.2% · -5%V0.2% · +26%JNJ0.2% · +9%BRK.A0.2% · 0%IWD0.2% · -3%RTX0.2% · +40%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 51%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Sep 22, 2026.

Assets Under Management
$8.26B
Discretionary
$8.08B
Employees
30
Accounts
72
Address
1180 AVENUE OF THE AMERICAS
21ST FLOOR
NEW YORK, NY 10036
Phone
(332) 245-3563
Website
Name Title / Status Ownership Type
ADVANTAGE CAPITAL HOLDINGS LLC ControlMEMBER
since Mar 2014
75% or moreDomestic Entity
KING, KENNETH, NMN ControlPRESIDENT
since Mar 2014
Less than 5%Individual
SALIBA, MICHAEL, ROBERTCHIEF COMPLIANCE OFFICER
since May 2018
Less than 5%Individual
ADVANTAGE CAPITAL PARTNERS LLC Control
Indirect owner via ADVANTAGE CAPITAL HOLDINGS LLC
OWNER
since Jul 2012
75% or moreDomestic Entity
KING, KENNETH, NMN Control
Indirect owner via ADVANTAGE CAPITAL HOLDINGS LLC
MEMBER
since Jul 2012
75% or moreIndividual
Ownership & leadership changes · 5 filings with changes since Apr 29, 2014

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Apr 12, 2023 filing
  • AddedADVANTAGE CAPITAL PARTNERS LLC · OWNER · 75% or more · indirect via ADVANTAGE CAPITAL HOLDINGS LLC · control person
May 14, 2018 filing
  • AddedSALIBA, MICHAEL, ROBERT · CHIEF COMPLIANCE OFFICER · Less than 5%
  • ChangedKING, KENNETH, NMN · title PRESIDENT AND CHIEF COMPLIANCE OFFICER → PRESIDENT
Jun 9, 2017 filing
  • No longer listedAURORA STRUCTURING ADVISORS LLC · MEMBER · 10–25% · listed since Mar 2014
  • No longer listedMINNICH, MICHAEL, WAYNE · PORTFOLIO MANAGER · Less than 5% · control person · listed since Mar 2014
  • No longer listedRENDEZVOUS CAPITAL LLC · MEMBER · 10–25% · listed since Mar 2014
  • No longer listedVECCHIOLLA, RICHARD, RONALD · PORTFOLIO MANAGER · Less than 5% · control person · listed since Mar 2014
  • ChangedADVANTAGE CAPITAL HOLDINGS LLC · ownership 50–75% → 75% or more
Mar 30, 2017 filing
  • ChangedKING, KENNETH, NMN · title PRESIDENT → PRESIDENT AND CHIEF COMPLIANCE OFFICER
  • ChangedVECCHIOLLA, RICHARD, RONALD · title CHIEF COMPLIANCE OFFICER/PORTFOLIO MANAGER → PORTFOLIO MANAGER
Mar 17, 2015 filing
  • No longer listedMOLLOY, HEATHER, QUINN · PORTFOLIO MANAGER · Less than 5% · control person · listed since Mar 2014
  • No longer listedULU CAPITAL & CONSULTING LLC · MEMBER · 10–25% · listed since Mar 2014
Apr 29, 2014 filing (earliest on record)
  • ListedADVANTAGE CAPITAL HOLDINGS LLC · MEMBER · 50–75% · control person
  • ListedAURORA STRUCTURING ADVISORS LLC · MEMBER · 10–25%
  • ListedKING, KENNETH, NMN · PRESIDENT · Less than 5% · control person
  • ListedKING, KENNETH, NMN · MEMBER · 75% or more · indirect via ADVANTAGE CAPITAL HOLDINGS LLC · control person
  • ListedMINNICH, MICHAEL, WAYNE · PORTFOLIO MANAGER · Less than 5% · control person
  • ListedMOLLOY, HEATHER, QUINN · PORTFOLIO MANAGER · Less than 5% · control person
  • ListedRENDEZVOUS CAPITAL LLC · MEMBER · 10–25%
  • ListedULU CAPITAL & CONSULTING LLC · MEMBER · 10–25%
  • ListedVECCHIOLLA, RICHARD, RONALD · CHIEF COMPLIANCE OFFICER/PORTFOLIO MANAGER · Less than 5% · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Capital Advantage, Inc. Holdings (2026-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 ISHARES U S ETF TR NEAR 46431W507 $104.9M 12.58% 2,104,332 SH
2 SCHWAB STRATEGIC TR FNDF 808524755 $58.6M 7.03% 1,090,489 SH
3 VANGUARD WHITEHALL FDS VYMI 921946794 $41.8M 5.01% 413,464 SH
4 VANGUARD WHITEHALL FDS VIGI 921946810 $40.6M 4.87% 429,793 SH
5 ISHARES TR ICSH 46434V878 $37.1M 4.45% 736,198 SH
6 VANGUARD WORLD FD MGV 921910840 $31.1M 3.73% 193,114 SH
7 SCHWAB STRATEGIC TR SCHD 808524797 $28.5M 3.42% 877,114 SH
8 VANGUARD WORLD FD VHT 92204A504 $27.9M 3.34% 88,141 SH
9 VANGUARD SPECIALIZED FUNDS VIG 921908844 $27.4M 3.28% 117,419 SH
10 ISHARES TR STIP 46429B747 $27.1M 3.25% 271,642 SH
11 CAPITAL GROUP DIVIDEND VALUE CGDV 14020W106 $26.5M 3.17% 541,817 SH
12 SPDR SERIES TRUST SPYM 78464A854 $22.2M 2.66% 246,961 SH
13 SELECT SECTOR SPDR TR XLF 81369Y605 $21.1M 2.53% 395,554 SH
14 VANGUARD BD INDEX FDS VUSB 92203C303 $20.5M 2.46% 414,206 SH
15 APPLE INC AAPL 037833100 $18.3M 2.19% 54,887 SH
16 VANGUARD WORLD FD VIS 92204A603 $16.7M 2.00% 51,963 SH
17 VANGUARD WORLD FD MGC 921910873 $16.3M 1.96% 57,826 SH
18 ISHARES TR TFLO 46434V860 $14.7M 1.76% 290,241 SH
19 SCHWAB STRATEGIC TR SCHF 808524805 $13.4M 1.61% 488,196 SH
20 VANGUARD INDEX FDS VBR 922908611 $12.8M 1.53% 55,403 SH
21 VANGUARD INDEX FDS VB 922908751 $10.5M 1.26% 37,078 SH
22 ADVANCED MICRO DEVICES INC AMD 007903107 $9.5M 1.14% 15,558 SH
23 ISHARES TR QUAL 46432F339 $9.1M 1.09% 40,806 SH
24 ISHARES TR EFA 464287465 $9.0M 1.08% 86,721 SH
25 ISHARES TR EFV 464288877 $8.8M 1.06% 111,747 SH
26 VANGUARD INDEX FDS VOE 922908512 $8.6M 1.03% 43,902 SH
27 MICROSOFT CORP MSFT 594918104 $7.6M 0.91% 14,871 SH
28 VANGUARD INDEX FDS VO 922908629 $7.3M 0.88% 93,570 SH
29 SCHWAB STRATEGIC TR FNDX 808524771 $7.1M 0.86% 227,037 SH
30 GLOBAL X FDS PAVE 37954Y673 $7.1M 0.85% 134,396 SH
31 ISHARES TR IJR 464287804 $5.8M 0.69% 42,314 SH
32 SCHWAB STRATEGIC TR FNDA 808524763 $5.0M 0.60% 142,026 SH
33 ISHARES TR EEM 464287234 $5.0M 0.59% 74,123 SH
34 ISHARES TR IVW 464287309 $4.9M 0.58% 34,288 SH
35 EXTREME NETWORKS INC EXTR 30226D106 $4.7M 0.56% 219,308 SH
36 ISHARES INC EMXC 46434G764 $4.5M 0.54% 45,749 SH
37 ISHARES TR IVV 464287200 $4.0M 0.47% 5,162 SH
38 ISHARES TR IEFA 46432F842 $3.8M 0.45% 38,951 SH
39 FIRST TR EXCHANGE TRADED FD SDVY 33741X102 $3.6M 0.44% 89,480 SH
40 SELECT SECTOR SPDR TR XLP 81369Y308 $3.4M 0.41% 42,646 SH
41 CHEVRON CORPORATION CVX 166764100 $3.2M 0.39% 15,836 SH
42 NVIDIA CORPORATION NVDA 67066G104 $3.2M 0.39% 14,097 SH
43 SCHWAB STRATEGIC TR SCHX 808524201 $3.0M 0.36% 99,972 SH
44 VANGUARD INDEX FDS VOO 922908363 $3.0M 0.36% 4,239 SH
45 INVESCO EXCH TRADED FD TR II RWL 46138G698 $3.0M 0.35% 22,949 SH
46 VANGUARD WHITEHALL FDS VYM 921946406 $3.0M 0.35% 19,017 SH
47 AMAZON COM INC AMZN 023135106 $2.8M 0.34% 11,380 SH
48 NORTHROP GRUMMAN CORP NOC 666807102 $2.5M 0.30% 5,201 SH
49 ISHARES TR SGOV 46436E718 $2.5M 0.30% 24,785 SH
50 WORKDAY INC WDAY 98138H101 $2.5M 0.30% 12,941 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-10-14 $834.1M 158 0002085853-26-001179
2026-06-30 2026-07-13 $819.6M 150 0002085853-26-000699
2026-03-31 2026-04-13 $765.0M 145 0002085853-26-000344
2025-12-31 2026-01-07 $741.3M 149 0002085853-26-000016
Filer Information
Address
1855 OLYMPIC BLVD
STE 300
WALNUT CREEK, CA 94596
Phone
(925) 299-1500
Filing Manager
Capital Advantage, Inc.
Walnut Creek, CA
Signatory
Dawnalizabeth Henke
Chief Compliance Officer & Chief Operating Officer