SIMS INVESTMENT MANAGEMENT, LLC — 13F Holdings & Portfolio
CIK 2053807 · latest 13F-HR filed 2026-10-13
SIMS INVESTMENT MANAGEMENT, LLC manages $320.3M in 13F-reported U.S. long-equity assets across 39 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are SCHX (31.64%), SCHA (17.68%), QYLD (6.87%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 0 new positions and exited 145; 8 existing positions rose in reported value and 12 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.
Long-equity book
Distinct positions
Filed 2026-10-13
vs 2026-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 26Box 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 valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 26 → Q3 26Estimated 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 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 86.8%Cumulative share of the portfolio held in the largest N positions.
As of the firm’s regulatory filing dated Aug 13, 2026.
SUITE 200
CINCINNATI, OH 45208
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| Jones, Patrick, Neil Control | CHIEF OPERATING OFFICER since Aug 2025 | Less than 5% | Individual |
| SIMS, CORY, KENNETH Control | MANAGING MEMBER since Oct 2013 | 75% or more | Individual |
| REICHERT, DAVID, JAMES | CHIEF COMPLIANCE OFFICER since Jul 2025 | Less than 5% | Individual |
Ownership & leadership changes · 3 filings with changes since Dec 13, 2021
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.
- AddedJones, Patrick, Neil · CHIEF OPERATING OFFICER · Less than 5% · control person
- No longer listedManteau, Elizabeth · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Oct 2024
- AddedREICHERT, DAVID, JAMES · CHIEF COMPLIANCE OFFICER · Less than 5%
- AddedManteau, Elizabeth · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ChangedSIMS, CORY, KENNETH · title MANAGING MEMBER, CHIEF COMPLIANCE OFFICER → MANAGING MEMBER
- ListedSIMS, CORY, KENNETH · MANAGING MEMBER, CHIEF COMPLIANCE OFFICER · 75% or more · 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.
Top Adds (vs prior quarter)
- GLOBAL X FDS$1.9M +9.3%
- GLOBAL X FDS$1.3M +7.0%
- VANGUARD INDEX FDS$741.7K +10.7%
- SPACE EXPLORATION TECHN CORP$294.4K +13253.9%
- META PLATFORMS INC$264.9K +28.7%
Top Trims
- SCHWAB STRATEGIC TR-$6.0M -9.6%
- VANECK ETF TRUST-$536.9K -7.5%
- TESLA INC-$390.3K -16.4%
- PURSUIT ATTRACTIONS AND HOSP-$249.0K -12.0%
- SIX FLAGS ENTERTAINMENT CORP-$242.4K -34.5%
Exited Positions
- ISHARES TR$205.1K
- INVESCO EXCHANGE TRADED FD T$202.5K
- GENERAL MTRS CO$192.7K
- PROCTER & GAMBLE CO$191.5K
- ISHARES TR$183.5K
SIMS INVESTMENT MANAGEMENT, LLC 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 | SCHWAB STRATEGIC TR | SCHX | 808524201 | $101.4M | 31.64% | 3,378,656 | SH |
| 2 | SCHWAB STRATEGIC TR | SCHA | 808524607 | $56.6M | 17.68% | 1,735,410 | SH |
| 3 | GLOBAL X FDS | QYLD | 37954Y483 | $22.0M | 6.87% | 1,186,480 | SH |
| 4 | GLOBAL X FDS | XYLD | 37954Y475 | $19.1M | 5.98% | 461,183 | SH |
| 5 | SCHWAB STRATEGIC TR | SCHD | 808524797 | $18.9M | 5.91% | 582,002 | SH |
| 6 | JOHN HANCOCK EXCHANGE TRADED | JHSC | 47804J842 | $17.7M | 5.53% | 390,021 | SH |
| 7 | INVESCO EXCH TRADED FD TR II | QQQM | 46138G649 | $15.5M | 4.83% | 50,807 | SH |
| 8 | SCHWAB STRATEGIC TR | SCHO | 808524862 | $11.3M | 3.51% | 471,683 | SH |
| 9 | INVESCO QQQ TR | QQQ | 46090E103 | $7.8M | 2.45% | 10,603 | SH |
| 10 | VANGUARD INDEX FDS | VTV | 922908744 | $7.7M | 2.39% | 35,469 | SH |
| 11 | VANECK ETF TRUST | SMH | 92189F676 | $6.6M | 2.07% | 10,903 | SH |
| 12 | EATON VANCE TAX-MANAGED BUY- | ETV | 27828Y108 | $5.8M | 1.80% | 385,399 | SH |
| 13 | ISHARES TR | TLT | 464287432 | $4.2M | 1.30% | 53,739 | SH |
| 14 | UBER TECHNOLOGIES INC | UBER | 90353T100 | $3.5M | 1.10% | 51,480 | SH |
| 15 | VANGUARD SCOTTSDALE FDS | VCSH | 92206C409 | $3.4M | 1.05% | 43,399 | SH |
| 16 | VANGUARD INDEX FDS | VOO | 922908363 | $2.5M | 0.78% | 3,582 | SH |
| 17 | TESLA INC | TSLA | 88160R101 | $2.0M | 0.62% | 5,619 | SH |
| 18 | PURSUIT ATTRACTIONS AND HOSP | PRSU | 92552R406 | $1.8M | 0.57% | 36,758 | SH |
| 19 | EATON VANCE TAX MNGED BUY WR | ETB | 27828X100 | $1.5M | 0.48% | 100,475 | SH |
| 20 | CARNIVAL CORP LTD | CCL | G2004J103 | $1.4M | 0.44% | 56,785 | SH |
| 21 | META PLATFORMS INC | META | 30303M102 | $1.2M | 0.37% | 1,636 | SH |
| 22 | UNITEDHEALTH GROUP INC | UNH | 91324P102 | $940.9K | 0.29% | 2,563 | SH |
| 23 | NUVEEN S&P 500 DYNAMIC OVERW | SPXX | 6706EW100 | $933.0K | 0.29% | 50,462 | SH |
| 24 | SCHWAB STRATEGIC TR | SCHM | 808524508 | $822.6K | 0.26% | 24,180 | SH |
| 25 | VANGUARD BD INDEX FDS | BND | 921937835 | $634.8K | 0.20% | 9,049 | SH |
| 26 | VANGUARD WORLD FD | VGT | 92204A702 | $628.4K | 0.20% | 5,000 | SH |
| 27 | BERKSHIRE HATHAWAY INC DEL | BRK.B | 084670702 | $587.1K | 0.18% | 1,179 | SH |
| 28 | AMERICAN FINANCIAL GROUP INC | AFG | 025932104 | $499.7K | 0.16% | 3,654 | SH |
| 29 | APPLE INC | AAPL | 037833100 | $492.1K | 0.15% | 1,541 | SH |
| 30 | SIX FLAGS ENTERTAINMENT CORP | FUN | 83001C108 | $460.5K | 0.14% | 43,000 | SH |
| 31 | VANGUARD INDEX FDS | VTI | 922908769 | $346.6K | 0.11% | 926 | SH |
| 32 | SPACE EXPLORATION TECHN CORP | SPCX | 84615Q103 | $296.6K | 0.09% | 1,966 | SH |
| 33 | MICROSOFT CORP | MSFT | 594918104 | $291.8K | 0.09% | 569 | SH |
| 34 | VANGUARD INDEX FDS | VB | 922908751 | $282.5K | 0.09% | 993 | SH |
| 35 | ROYAL CARIBBEAN GROUP | RCL | V7780T103 | $265.9K | 0.08% | 1,000 | SH |
| 36 | ISHARES TR | IJS | 464287879 | $242.0K | 0.08% | 1,893 | SH |
| 37 | SCHWAB STRATEGIC TR | SCHB | 808524102 | $231.3K | 0.07% | 7,892 | SH |
| 38 | AMAZON COM INC | AMZN | 023135106 | $211.5K | 0.07% | 859 | SH |
| 39 | INVESCO EXCHANGE TRADED FD T | PWV | 46137V738 | $202.6K | 0.06% | 2,655 | SH |
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-09-30 | 2026-10-13 | $320.3M | 39 | 0002053807-26-000007 |
| 2026-06-30 | 2026-07-21 | $323.4M | 184 | 0002053807-26-000005 |
| 2026-03-31 | 2026-04-21 | $272.1M | 35 | 0002053807-26-000004 |
| 2025-09-30 | 2026-01-16 | $276.4M | 42 | 0002053807-26-000002 |
CINCINNATI, OH 45208