Catherine Avery Investment Management LLC — 13F Holdings & Portfolio

CIK 2103454 · latest 13F-HR filed 2026-10-14

Catherine Avery Investment Management LLC manages $116.2M in 13F-reported U.S. long-equity assets across 172 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are STX (6.46%), MSFT (4.69%), C (3.04%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 9 new positions and exited 3; 36 existing positions rose in reported value and 78 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.

AUM

$116.2M

Long-equity book

Holdings

172

Distinct positions

Period

2026-09-30

Filed 2026-10-14

Q/Q Activity

+9 / −3 / ↑36 / ↓78

vs 2026-06-30

Portfolio charts

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

Portfolio map

Q3 26

STX6.5% · -30%MSFT4.7% · -49%C3.0% · -50%CSCO3.0% · -52%FCX3.0% · -53%AVGO2.9% · -46%JPM2.9% · -54%CVX2.9% · -52%KO2.8% · -53%BIL2.8% · +793%IBM2.7% · -44%HPE2.7% · -60%MRK2.7% · -60%BMY2.5% · -61%VZ2.5% · +1%TGT2.4% · -64%VLO2.4% · -1%AMGN2.3% · -63%NEE2.3% · -49%PSX2.2% · -68%UPS2.2% · -49%PFE2.2% · -61%OKE2.1% · -58%MCD2.1% · -50%BAC2.0% · -61%LEN2.0% · -54%OMC1.9% · -61%LHX1.9% · -72%HD1.8% · -56%CMCSA1.8% · +84207%KMB1.8% · new CRM1.8% · -74%WFC1.4% · new IP1.4% · +8%RTX1.4% · -0%CL1.2% · 0%JCI1.0% · -4%CMI1.0% · 0%BBY0.9% · -87%EVRG0.9% · -0%MS0.6% · -1%BKR0.5% · -4%SWK0.4% · -2%APD0.4% · -4%SUSA0.3% · 0%AAPL0.3% · 0%ORCL0.3% · -91%TFC0.3% · -94%JNJ0.3% · 0%PKG0.3% · -19%QCOM0.3% · -14%MU0.3% · 0%NVDA0.2% · +1%KEY0.2% · -95%MDT0.2% · 0%WMB0.2% · 0%RDVI0.2% · 0%AXP0.1% · 0%PLTR0.1% · 0%WM0.1% · 0%

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

5 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 = 34.5%

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

Firm Profile & Key People

As of the firm’s regulatory filing dated Apr 24, 2026.

Assets Under Management

$318.0M

Discretionary

$310.6M

Employees

Accounts

754

Address

595 BAY ISLES ROAD
SUITE 210
LONGBOAT KEY, FL 34228

Phone

(941) 388-7249

Website

twitter.com/caim2712
WWW.LINKEDIN.COM/IN/CATHERINEAVERY
WWW.CAIMLLC.COM

Name	Title / Status	Ownership	Type
CAIM HOLDINGS LLC Control	CATHERINE AVERY INVESTMENT MANAGEMENT HOLDINGS LLC since Jul 2025	75% or more	Domestic Entity
MANISCALCO AVERY, CATHERINE, ANGELA Control	CHIEF COMPLIANCE OFFICER since Aug 2007	Less than 5%	Individual
MANISCALCO AVERY, CATHERINE, ANGELA Control Indirect owner via CAIM HOLDINGS LLC	PRESIDENT & CEO since Jul 2025	75% or more	Individual
CONCURRENT PARTNERS II LLC Indirect owner via CAIM HOLDINGS LLC	OWNER since Jul 2025	General partner, trustee or manager	Domestic Entity

Ownership & leadership changes · 1 filing with changes since Feb 28, 2017

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.

Aug 18, 2025 filing

AddedCAIM HOLDINGS LLC · CATHERINE AVERY INVESTMENT MANAGEMENT HOLDINGS LLC · 75% or more · control person
AddedCONCURRENT PARTNERS II LLC · OWNER · General partner, trustee or manager · indirect via CAIM HOLDINGS LLC
AddedMANISCALCO AVERY, CATHERINE, ANGELA · PRESIDENT & CEO · 75% or more · indirect via CAIM HOLDINGS LLC · control person
ChangedMANISCALCO AVERY, CATHERINE, ANGELA · title MANAGING MEMBER/CHIEF COMPLIANCE OFFICER → CHIEF COMPLIANCE OFFICER; ownership 75% or more → Less than 5%

Feb 28, 2017 filing (earliest on record)

ListedMANISCALCO AVERY, CATHERINE, ANGELA · 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)

SPDR SERIES TRUST$2.9M +793.0%
COMCAST CORP NEW$2.1M +74632.4%
VALERO ENERGY CORP$879.8K +46.9%
VERIZON COMMUNICATIONS INC$258.9K +9.9%
PALANTIR TECHNOLOGIES INC$54.2K +60.3%

Show all 36 →

Top Trims

BEST BUY INC-$5.9M -84.5%
KEYCORP-$5.5M -95.7%
TRUIST FINL CORP-$5.4M -94.0%
CISCO SYS INC-$4.5M -55.9%
CITIGROUP INC-$4.1M -53.8%

Show all 78 →

New Positions

Show all 9 →

Exited Positions

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#	Issuer	Symbol	CUSIP	Value	Δ

Catherine Avery Investment Management LLC Holdings (2026-09-30)

#	Issuer	Symbol	CUSIP	Value	Weight	Shares	Type
1	SEAGATE TECHNOLOGY HLDNGS PL	STX	G7997R103	$7.5M	6.46%	8,140	SH
2	MICROSOFT CORP	MSFT	594918104	$5.5M	4.69%	10,631	SH
3	CITIGROUP INC	C	172967424	$3.5M	3.04%	27,299	SH
4	CISCO SYS INC	CSCO	17275R102	$3.5M	3.03%	32,678	SH
5	FREEPORT MCMORAN INC	FCX	35671D857	$3.5M	2.98%	49,389	SH
6	BROADCOM INC	AVGO	11135F101	$3.4M	2.92%	9,661	SH
7	JPMORGAN CHASE & CO	JPM	46625H100	$3.4M	2.91%	10,233	SH
8	CHEVRON CORPORATION	CVX	166764100	$3.4M	2.89%	16,443	SH
9	COCA COLA CO	KO	191216100	$3.3M	2.80%	37,819	SH
10	SPDR SERIES TRUST	BIL	78468R663	$3.2M	2.78%	35,221	SH
11	INTERNATIONAL BUSINESS MACHS	IBM	459200101	$3.1M	2.71%	14,296	SH
12	HEWLETT PACKARD ENTERPRISE C	HPE	42824C109	$3.1M	2.68%	48,718	SH
13	MERCK & CO INC	MRK	58933Y105	$3.1M	2.66%	21,231	SH
14	BRISTOL-MYERS SQUIBB CO	BMY	110122108	$2.9M	2.53%	47,019	SH
15	VERIZON COMMUNICATIONS INC	VZ	92343V104	$2.9M	2.47%	62,688	SH
16	TARGET CORP	TGT	87612E106	$2.8M	2.41%	17,855	SH
17	VALERO ENERGY CORP	VLO	91913Y100	$2.8M	2.37%	7,105	SH
18	AMGEN INC	AMGN	031162100	$2.7M	2.32%	6,409	SH
19	NEXTERA ENERGY INC	NEE	65339F101	$2.7M	2.30%	35,307	SH
20	PHILLIPS 66	PSX	718546104	$2.5M	2.18%	9,924	SH
21	UNITED PARCEL SVCS INC	UPS	911312106	$2.5M	2.17%	27,039	SH
22	PFIZER INC	PFE	717081103	$2.5M	2.16%	88,181	SH
23	ONEOK INC NEW	OKE	30609A109	$2.5M	2.15%	29,290	SH
24	MCDONALDS CORP	MCD	580135101	$2.4M	2.07%	10,397	SH
25	BANK OF AMER CORP	BAC	060505104	$2.4M	2.03%	43,383	SH
26	LENNAR CORP	LEN	526057104	$2.3M	2.01%	28,580	SH
27	OMNICOM GROUP INC	OMC	681919106	$2.2M	1.89%	29,761	SH
28	L3HARRIS TECHNOLOGIES INC	LHX	502431109	$2.2M	1.87%	9,194	SH
29	HOME DEPOT INC	HD	437076102	$2.1M	1.82%	7,420	SH
30	COMCAST CORP NEW	CMCSA	20030N101	$2.1M	1.82%	96,953	SH
31	KIMBERLY-CLARK CORP	KMB	494368103	$2.1M	1.79%	21,314	SH
32	SALESFORCE INC	CRM	79466L302	$2.1M	1.78%	8,988	SH
33	WELLS FARGO & CO	WFC	949746101	$1.7M	1.45%	21,020	SH
34	INTERNATIONAL PAPER CO	IP	460146103	$1.7M	1.44%	50,367	SH
35	RTX CORPORATION	RTX	75513E101	$1.6M	1.36%	8,540	SH
36	COLGATE PALMOLIVE CO	CL	194162103	$1.5M	1.25%	17,012	SH
37	JOHNSON CONTROLS INTERNATION	JCI	G51502105	$1.2M	1.02%	8,008	SH
38	CUMMINS INC	CMI	231021106	$1.2M	1.02%	2,287	SH
39	BEST BUY INC	BBY	086516101	$1.1M	0.94%	12,355	SH
40	EVERGY INC	EVRG	30034W106	$1.1M	0.93%	13,766	SH
41	MORGAN STANLEY	MS	617446448	$724.3K	0.62%	3,851	SH
42	BAKER HUGHES COMPANY	BKR	05722G100	$557.9K	0.48%	10,163	SH
43	STANLEY BLACK & DECKER INC	SWK	854502101	$468.8K	0.40%	5,292	SH
44	AIR PRODUCTS AND CHEMICALS I	APD	009158106	$417.9K	0.36%	1,502	SH
45	ISHARES TR	SUSA	464288802	$388.1K	0.33%	2,493	SH
46	APPLE INC	AAPL	037833100	$360.3K	0.31%	1,082	SH
47	ORACLE CORP	ORCL	68389X105	$343.8K	0.30%	2,504	SH
48	TRUIST FINL CORP	TFC	89832Q109	$341.6K	0.29%	7,378	SH
49	JOHNSON & JOHNSON	JNJ	478160104	$332.8K	0.29%	1,257	SH
50	PACKAGING CORP AMER	PKG	695156109	$324.4K	0.28%	1,415	SH

Filing History

Period	Filed	AUM	Holdings	Accession
2026-09-30	2026-10-14	$116.2M	172	0001420506-26-002311
2026-06-30	2026-07-27	$229.0M	168	0001420506-26-001305
2026-03-31	2026-05-15	$223.4M	110	0001420506-26-001105
2025-12-31	2026-01-05	$167.0M	159	0001420506-26-000019
2024-12-31	2026-01-05	$113.3M	176	0001420506-26-000021

Filer Information

Address

595 BAY ISLES ROAD
SUITE 210
LONGBOAT KEY, FL 34228

Phone

(941) 388-7249

Filing Manager

Catherine Avery Investment Management LLC

LONGBOAT KEY, FL

Signatory

Catherine Avery

Managing Member