Catherine Avery Investment Management LLC
Holdings as of 2026-09-30, filed 2026-10-14 · recorded 2026-10-15 03:50:18.080 UTC
This is history, not a current position. These holdings describe 2026-09-30, and the report became public 14 days later. The portfolio has changed since.
Aggregates
computed from the positions belowPositions reported
172
Value reported by manager
$116.2M
Sum of our stored positions
$116.2M
should match the line above
Disclosure lag
14 d
quarter end to filing
Top 5 concentration
20.2%
of the positions shown
New positions
9
vs previous quarter
Exited
3
vs previous quarter
Option positions
0
puts and calls
Positions
172 largest shown| Issuer | Class | Value | Shares | Type | CUSIP |
|---|---|---|---|---|---|
| SEAGATE TECHNOLOGY HLDNGS PL | ORD SHS | $7.5M | 8,140 | — | G7997R103 |
| MICROSOFT CORP | COM | $5.5M | 10,631 | — | 594918104 |
| CITIGROUP INC | COM NEW | $3.5M | 27,299 | — | 172967424 |
| CISCO SYS INC | COM | $3.5M | 32,678 | — | 17275R102 |
| FREEPORT MCMORAN INC | CL B | $3.5M | 49,389 | — | 35671D857 |
| BROADCOM INC | COM | $3.4M | 9,661 | — | 11135F101 |
| JPMORGAN CHASE & CO | COM | $3.4M | 10,233 | — | 46625H100 |
| CHEVRON CORPORATION | COM | $3.4M | 16,443 | — | 166764100 |
| COCA COLA CO | COM | $3.3M | 37,819 | — | 191216100 |
| SPDR SERIES TRUST | ST STR BLO 1 ETF | $3.2M | 35,221 | — | 78468R663 |
| INTERNATIONAL BUSINESS MACHS | COM | $3.1M | 14,296 | — | 459200101 |
| HEWLETT PACKARD ENTERPRISE C | COM | $3.1M | 48,718 | — | 42824C109 |
| MERCK & CO INC | COM | $3.1M | 21,231 | — | 58933Y105 |
| BRISTOL-MYERS SQUIBB CO | COM | $2.9M | 47,019 | — | 110122108 |
| VERIZON COMMUNICATIONS INC | COM | $2.9M | 62,688 | — | 92343V104 |
| TARGET CORP | COM | $2.8M | 17,855 | — | 87612E106 |
| VALERO ENERGY CORP | COM | $2.8M | 7,105 | — | 91913Y100 |
| AMGEN INC | COM | $2.7M | 6,409 | — | 031162100 |
| NEXTERA ENERGY INC | COM | $2.7M | 35,307 | — | 65339F101 |
| PHILLIPS 66 | COM | $2.5M | 9,924 | — | 718546104 |
| UNITED PARCEL SVCS INC | CL B | $2.5M | 27,039 | — | 911312106 |
| PFIZER INC | COM | $2.5M | 88,181 | — | 717081103 |
| ONEOK INC NEW | COM | $2.5M | 29,290 | — | 30609A109 |
| MCDONALDS CORP | COM | $2.4M | 10,397 | — | 580135101 |
| BANK OF AMER CORP | COM | $2.4M | 43,383 | — | 060505104 |
| LENNAR CORP | CL A | $2.3M | 28,580 | — | 526057104 |
| OMNICOM GROUP INC | COM | $2.2M | 29,761 | — | 681919106 |
| L3HARRIS TECHNOLOGIES INC | COM | $2.2M | 9,194 | — | 502431109 |
| HOME DEPOT INC | COM | $2.1M | 7,420 | — | 437076102 |
| COMCAST CORP NEW | CL A | $2.1M | 96,953 | — | 20030N101 |
| KIMBERLY-CLARK CORP | COM | $2.1M | 21,314 | — | 494368103 |
| SALESFORCE INC | COM | $2.1M | 8,988 | — | 79466L302 |
| WELLS FARGO & CO | COM | $1.7M | 21,020 | — | 949746101 |
| INTERNATIONAL PAPER CO | COM | $1.7M | 50,367 | — | 460146103 |
| RTX CORPORATION | COM | $1.6M | 8,540 | — | 75513E101 |
| COLGATE PALMOLIVE CO | COM | $1.5M | 17,012 | — | 194162103 |
| JOHNSON CONTROLS INTERNATION | SHS | $1.2M | 8,008 | — | G51502105 |
| CUMMINS INC | COM | $1.2M | 2,287 | — | 231021106 |
| BEST BUY INC | COM | $1.1M | 12,355 | — | 086516101 |
| EVERGY INC | COM | $1.1M | 13,766 | — | 30034W106 |
| MORGAN STANLEY | COM NEW | $724.3K | 3,851 | — | 617446448 |
| BAKER HUGHES COMPANY | CL A | $557.9K | 10,163 | — | 05722G100 |
| STANLEY BLACK & DECKER INC | COM | $468.8K | 5,292 | — | 854502101 |
| AIR PRODUCTS AND CHEMICALS I | COM | $417.9K | 1,502 | — | 009158106 |
| ISHARES TR | ESG OPTIMIZED | $388.1K | 2,493 | — | 464288802 |
| APPLE INC | COM | $360.3K | 1,082 | — | 037833100 |
| ORACLE CORP | COM | $343.8K | 2,504 | — | 68389X105 |
| TRUIST FINL CORP | COM | $341.6K | 7,378 | — | 89832Q109 |
| JOHNSON & JOHNSON | COM | $332.8K | 1,257 | — | 478160104 |
| PACKAGING CORP AMER | COM | $324.4K | 1,415 | — | 695156109 |
| QUALCOMM INC | COM | $306.6K | 1,666 | — | 747525103 |
| MICRON TECHNOLOGY INC | COM | $300.3K | 282 | — | 595112103 |
| NVIDIA CORPORATION | COM | $285.5K | 1,250 | — | 67066G104 |
| KEYCORP | COM | $244.6K | 12,188 | — | 493267108 |
| MEDTRONIC PLC | SHS | $235.5K | 2,729 | — | G5960L103 |
| WILLIAMS COS INC | COM | $231.1K | 3,400 | — | 969457100 |
| FIRST TR EXCHANGE-TRADED FD | FT VEST RIS | $179.6K | 6,443 | — | 33738D879 |
| AMERICAN EXPRESS CO | COM | $152.1K | 500 | — | 025816109 |
| PALANTIR TECHNOLOGIES INC | CL A | $144K | 770 | — | 69608A108 |
| WASTE MGMT INC DEL | COM | $142.7K | 700 | — | 94106L109 |
| ALPHABET INC | CAP STK CL A | $116.6K | 339 | — | 02079K305 |
| EMERSON ELEC CO | COM | $116.3K | 750 | — | 291011104 |
| FRANKLIN TEMPLETON INC | COM | $108.6K | 3,380 | — | 354613101 |
| ENTERPRISE PRODS PARTNERS L | COM | $106.8K | 3,000 | — | 293792107 |
| ISHARES TR | 0-3 MTH TREASURY | $100.2K | 995 | — | 46436E718 |
| ENERGY TRANSFER L P | COM UT LTD PTN | $98.9K | 5,000 | — | 29273V100 |
| ABBOTT LABORATORIES | COM | $98.8K | 1,000 | — | 002824100 |
| AMERICAN WTR WKS CO INC NEW | COM | $87.4K | 675 | — | 030420103 |
| INTUIT | COM | $82.7K | 300 | — | 461202103 |
| ISHARES TR | RUS 1000 VAL ETF | $79.3K | 320 | — | 464287598 |
| LOCKHEED MARTIN CORP | COM | $79K | 155 | — | 539830109 |
| CATERPILLAR INC | COM | $77.8K | 96 | — | 149123101 |
| PHILIP MORRIS INTL INC | COM | $74.7K | 391 | — | 718172109 |
| VISA INC | COM CL A | $70.8K | 197 | — | 92826C839 |
| ALTRIA GROUP INC | COM | $67.3K | 1,000 | — | 02209S103 |
| CINCINNATI FINL CORP | COM | $63K | 395 | — | 172062101 |
| ALAMOS GOLD INC | COM CL A | $61.6K | 1,902 | — | 011532108 |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | $58.7K | 1,806 | — | 808524797 |
| ISHARES TR | U.S. MED DVC ETF | $56.9K | 1,112 | — | 464288810 |
| VANGUARD SCOTTSDALE FDS | VNG RUS1000GRW | $56.1K | 435 | — | 92206C680 |
| VANGUARD INDEX FDS | MRNGSTR MD CP VA | $49.7K | 254 | — | 922908512 |
| VANGUARD INDEX FDS | MRNGSTR MD CP GR | $48.2K | 165 | — | 922908538 |
| ISHARES TR | 1 3 YR TREAS BD | $40.5K | 499 | — | 464287457 |
| STATE STR SPDR S&P 500 ETF T | TR UNIT | $35.1K | 46 | — | 78462F103 |
| XYLEM INC | COM | $33.2K | 328 | — | 98419M100 |
| FORD MTR CO | COM | $32.5K | 2,691 | — | 345370860 |
| NEWMONT CORP | COM | $31.8K | 275 | — | 651639106 |
| ABBVIE INC | COM | $30.8K | 118 | — | 00287Y109 |
| META PLATFORMS INC | CL A | $30.5K | 42 | — | 30303M102 |
| DIMENSIONAL ETF TRUST | INTERNATNAL VAL | $24.4K | 436 | — | 25434V807 |
| ISHARES TR | SELECT DIVID ETF | $22.7K | 149 | — | 464287168 |
| INTEL CORP | COM | $21.8K | 181 | — | 458140100 |
| LOWES COS INC | COM | $20.6K | 112 | — | 548661107 |
| ISHARES U S ETF TR | SHOR DURA BD ETF | $20.4K | 410 | — | 46431W507 |
| GLOBAL X FDS | X EMERGING MKT | $19.6K | 868 | — | 37954Y350 |
| INVESCO EXCH TRADED FD TR II | S&P 500 MOMNTM | $19.1K | 126 | — | 46138E339 |
| COSTCO WHOLESALE CORPORATION | COM | $18.2K | 20 | — | 22160K105 |
| JANUS DETROIT STR TR | HENDRSON AAA CL | $17.9K | 355 | — | 47103U845 |
| EA SERIES TRUST | FREEDOM 100 EM | $17.6K | 251 | — | 02072L607 |
| THE ALGER ETF TRUST | MID CAP 40 ETF | $17.1K | 721 | — | 015564107 |
| FIRST TR EXCHANGE-TRADED ALP | SML CP GRW ALP | $17.1K | 148 | — | 33737M300 |
| AMERICAN CENTY ETF TR | US LARGE CAP VLU | $16.3K | 180 | — | 025072349 |
| PROCTER & GAMBLE CO | COM | $15.8K | 109 | — | 742718109 |
| ISHARES TR | NORTH AMERN NAT | $15.7K | 254 | — | 464287374 |
| GENERAL MTRS CO | COM | $15.4K | 200 | — | 37045V100 |
| DIMENSIONAL ETF TRUST | US SMALL CAP ETF | $15.3K | 198 | — | 25434V500 |
| INVESCO EXCHANGE TRADED FD T | S&P MDCP VLU MNT | $15.1K | 217 | — | 46137V456 |
| AMERICAN CENTY ETF TR | EMERGING MKT VAL | $15.1K | 232 | — | 025072372 |
| AMAZON COM INC | COM | $14.9K | 60 | — | 023135106 |
| ISHARES TR | CRE U S REIT ETF | $14.7K | 239 | — | 464288521 |
| SELECT SECTOR SPDR TR | ST STR REAL ETF | $14K | 342 | — | 81369Y860 |
| HP INC | COM | $14K | 447 | — | 40434L105 |
| GLOBAL X FDS | U S ELECT ETF | $13.9K | 458 | — | 37960A370 |
| NETFLIX INC. | COM | $13.9K | 200 | — | 64110L106 |
| SPDR SERIES TRUST | ST STR SP METAL | $13.5K | 130 | — | 78464A755 |
| VANGUARD INDEX FDS | MRNGSTR TTL STK | $13.1K | 35 | — | 922908769 |
| ABRDN PRECIOUS METALS BASKET | PHYSCL PRECS MET | $12.5K | 67 | — | 003263100 |
| RELIANCE INC | COM | $11.5K | 30 | — | 759509102 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | $11K | 22 | — | 084670702 |
| ISHARES U S ETF TR | GSCI CMDTY STGY | $10.7K | 291 | — | 46431W853 |
| STAR GROUP LP | UNIT LTD PARTNR | $10.4K | 808 | — | 85512C105 |
| NASDAQ INC | COM | $10.3K | 112 | — | 631103108 |
| MONDELEZ INTL INC | CL A | $10K | 173 | — | 609207105 |
| GE VERNOVA INC | COM | $9.5K | 10 | — | 36828A101 |
| PRUDENTIAL FINL INC | COM | $9.1K | 80 | — | 744320102 |
| WALMART INC | COM | $8.5K | 82 | — | 931142103 |
| DOVER CORP | COM | $8.4K | 45 | — | 260003108 |
| THERMO FISHER SCIENTIFIC INC | COM | $8.1K | 12 | — | 883556102 |
| ISHARES TR | MSCI EMG MKT ETF | $8K | 120 | — | 464287234 |
| DISNEY WALT CO | COM | $7.6K | 73 | — | 254687106 |
| INVESCO QQQ TR | UNIT SER 1 | $7.4K | 10 | — | 46090E103 |
| KINROSS GOLD CORP | COM | $7.2K | 300 | — | 496902404 |
| CAL MAINE FOODS INC | COM NEW | $6.9K | 101 | — | 128030202 |
| SHARPLINK INC | COM NEW | $6.3K | 675 | — | 820014405 |
| PACER FDS TR | DATA AND INFRAST | $6.3K | 221 | — | 69374H741 |
| THE CIGNA GROUP | COM | $6K | 22 | — | 125523100 |
| NORTHROP GRUMMAN CORP | COM | $5.8K | 12 | — | 666807102 |
| BITMINE IMMERSION TECHS INC | COM NEW | $5.4K | 205 | — | 09175A206 |
| WELLS FARGO & CO | PERP PFD CNV A | $5.4K | 5 | — | 949746804 |
| WISDOMTREE TR | US QTLY DIV GRT | $5.3K | 55 | — | 97717X669 |
| INTERCONTINENTAL EXCHANGE IN | COM | $5.3K | 35 | — | 45866F104 |
| ELEVANCE HEALTH INC FORMERLY | COM | $5.1K | 13 | — | 036752103 |
| UNITEDHEALTH GROUP INC | COM | $4.8K | 13 | — | 91324P102 |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | $4.2K | 18 | — | 921908844 |
| MARA HOLDINGS INC | COM | $4K | 350 | — | 565788106 |
| SOUNDHOUND AI INC | CLASS A COM | $3.8K | 629 | — | 836100107 |
| UNIVERSAL HLTH SVCS INC | CL B | $3.7K | 21 | — | 913903100 |
| WISDOMTREE TR | US HIGH DIVIDEND | $3.6K | 32 | — | 97717W208 |
| HONEYWELL INTL INC | COM | $3K | 14 | — | 438516205 |
| PAYPAL HLDGS INC | COM | $2.9K | 55 | — | 70450Y103 |
| TESLA INC | COM | $2.8K | 8 | — | 88160R101 |
| AMYLYX PHARMACEUTICALS INC | COM | $2.5K | 87 | — | 03237H101 |
| HONEYWELL AEROSPACE INC | COM | $2.2K | 14 | — | 43849R105 |
| VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | $2.1K | 13 | — | 922042742 |
| ISHARES TR | IBOXX INV CP ETF | $1.7K | 17 | — | 464287242 |
| THE TRADE DESK INC | COM CL A | $1.7K | 136 | — | 88339J105 |
| STATE STR SPDR DOW JONES IND | UT SER 1 | $1.5K | 3 | — | 78467X109 |
| COINBASE GLOBAL INC | COM CL A | $1.3K | 7 | — | 19260Q107 |
| RECURSION PHARMACEUTICALS IN | CL A | $1K | 250 | — | 75629V104 |
| ISHARES TR | 20 YR TR BD ETF | $933 | 12 | — | 464287432 |
| SPACE EXPLORATION TECHN CORP | CLASS A COM STK | $754 | 5 | — | 84615Q103 |
| CARRIER GLOBAL CORPORATION | COM | $713 | 13 | — | 14448C104 |
| STRAN & COMPANY INC | COMMON STOCK | $705 | 500 | — | 86260J102 |
| OUSTER INC | COM NEW | $645 | 16 | — | 68989M202 |
| UPEXI INC | COM NEW | $570 | 500 | — | 39959A205 |
| TEMA ETF TRUST | SPACE INNOV ETF | $479 | 20 | — | 87975E776 |
| 3D SYS CORP DEL | COM NEW | $360 | 100 | — | 88554D205 |
| NIKE INC | CL B | $354 | 10 | — | 654106103 |
| VUZIX CORP | COM NEW | $321 | 115 | — | 92921W300 |
| DXC TECHNOLOGY CO | COM | $173 | 16 | — | 23355L106 |
| BIOHAVEN LTD | COM | $160 | 12 | — | G1110E107 |
| AURORA CANNABIS INC | COM | $12 | 3 | — | 05156X850 |
Values are shown exactly as filed. Before 2023 managers reported in thousands of dollars and afterwards in whole dollars; the reporting unit is not always determinable from the document, so nothing is converted automatically.
Source: U.S. Securities and Exchange Commission, Form 13F · as of 2026-10-14