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Catherine Avery Investment Management LLC

CIK 2103454 · latest 13F filed 14 October 2026 · Read the filing on EDGAR

Catherine Avery Investment Management LLC reported 172 US-listed holdings worth $116.2 million in its 13F for the quarter ended 30 September 2026, filed 14 October 2026. Its largest: Seagate Technology Holdings plc (6.5%), Microsoft Corp. (4.7%) and Citigroup Inc. (3.0%). Against the quarter before, it opened 9 positions, added to 14, trimmed 42 and sold out of 3.

Reported holdings$116.2M-49.3% on Q2 2026
Positions172+6 on Q2 2026
The largest ten34.5%of its reported holdings
Latest 13FQ3 2026filed 14 October 2026
Where the money is
Added toTrimmed
STX6.5%MSFT4.7%C3.0%CSCO3.0%FCX3.0%AVGO2.9%JPM2.9%CVX2.9%KO2.8%BIL2.8%IBM2.7%HPE2.7%MRK2.7%BMY2.5%158 more54.9%

The 14 largest of its 172 positions, each sized by its share of the reported holdings, coloured by the change in shares against Q2 2026.

Reported holdings, quarter by quarter
Q4 2024: $113.3 million in 176 positions$113MQ4 24Q1 2025: $111.6 million in 161 positions$112MQ1 25Q2 2025: $131.6 million in 166 positions$132MQ2 25Q3 2025: $155.2 million in 162 positions$155MQ3 25Q4 2025: $167.0 million in 158 positions$167MQ4 25Q1 2026: $223.4 million in 109 positions$223MQ1 26Q2 2026: $229.0 million in 166 positions$229MQ2 26Q3 2026: $116.2 million in 172 positions$116MQ3 26

What the fund reported holding at each quarter's end; hover a bar for the number of positions

What its reported holdings returned

Held through each quarter, the holdings it reported returned +40.5% over the 7 quarters to 30 September 2026, against +30.1% for the S&P 500.

Its reported holdingsThe S&P 500
105120135Q4 24Q1 25Q2 25Q3 25Q4 25Q1 26Q2 26Q3 26Its holdings +40.5%S&P 500 +30.1%

Not the fund's own return: each 13F's holdings are kept unchanged until the next one, so trades inside a quarter, dividends, cash and fees are left out. A rough guide to how its picks have done over time.

What it did on the quarter

Opened 9Added 14Held 107Trimmed 42Sold out 3
Opened: 9Added: 14Held: 107Trimmed: 42Sold out: 3

Its positions against its 13F for the quarter to 30 June 2026; a change under 0.1% of a position counts as held

Opened 9

  1. ONEOK Inc. OKE$2.5 million
  2. Kimberly Clark Corp. KMB$2.1 million
  3. Wells Fargo & Company WFC$1.7 million
  4. iShares Trust SGOV$100,194
  5. Honeywell International Inc. HON$2,953
  6. Tesla, Inc. TSLA$2,838
  7. Vanguard Intl Equity Index F VT$2,052
  8. Space Exploration Technologies Corp. SPCX$754

and 1 more in the table below

Added to 14

  1. SPDR Ser Trust BIL+31,277 shares · +793%
  2. Comcast Corp. CMCSA+96,838 shares · +84207%
  3. International Paper Co. IP+3,636 shares · +8%
  4. Verizon Communications Inc. VZ+887 shares · +1%
  5. iShares Trust SHY+491 shares · +6138%
  6. Xylem Inc. XYL+212 shares · +183%
  7. iShares U.s. ETF Trust iShares Gsci Commodity Dynamic Roll Strategy ETF COMT+101 shares · +53%
  8. NVIDIA Corp. NVDA+15 shares · +1%

and 6 more in the table below

Trimmed 42

  1. Best Buy Co., Inc. BBY-80,400 shares · -87%
  2. Salesforce, Inc. CRM-25,605 shares · -74%
  3. L3Harris Technologies, Inc. LHX-23,904 shares · -72%
  4. Phillips 66 PSX-21,137 shares · -68%
  5. Microsoft Corp. MSFT-10,149 shares · -49%
  6. Target Corp. TGT-32,339 shares · -64%
  7. Truist Financial Corp. TFC-106,911 shares · -94%
  8. Keycorp KEY-237,118 shares · -95%

and 34 more in the table below

Sold out of 3

  1. ONEOK Inc. OKE$6.1 million last quarter
  2. Eversource Energy ES$3.7 million last quarter
  3. ExxonMobil Holdings Corp. XOM$711,491 last quarter

What it holds

CompanySharesValueOf its bookChange in shares
Seagate Technology Holdings plc STX8.1K$7.5 million6.46%-3.5K
Microsoft Corp. MSFT10.6K$5.5 million4.69%-10.1K
Citigroup Inc. C27.3K$3.5 million3.04%-27.3K
Cisco Systems, Inc. CSCO32.7K$3.5 million3.03%-35.2K
Freeport-McMoRan Inc. FCX49.4K$3.5 million2.98%-55.1K
Broadcom Inc. AVGO9.7K$3.4 million2.92%-8.2K
JPMorgan Chase & Co. JPM10.2K$3.4 million2.91%-12.0K
Chevron Corp. CVX16.4K$3.4 million2.89%-17.6K
Coca-Cola Co. KO37.8K$3.3 million2.80%-43.1K
SPDR Ser Trust BIL35.2K$3.2 million2.78%+31.3K
International Business Machines Corp. IBM14.3K$3.1 million2.71%-11.3K
Hewlett Packard Enterprise Co. HPE48.7K$3.1 million2.68%-71.6K
Merck & Co., Inc. MRK21.2K$3.1 million2.66%-32.4K
Bristol-Myers Squibb Co. BMY47.0K$2.9 million2.53%-72.9K
Verizon Communications Inc. VZ62.7K$2.9 million2.47%+887
Target Corp. TGT17.9K$2.8 million2.41%-32.3K
Valero Energy Corp. VLO7.1K$2.8 million2.37%-91
Amgen Inc. AMGN6.4K$2.7 million2.32%-11.1K
NextEra Energy Inc. NEE35.3K$2.7 million2.30%-34.2K
Phillips 66 PSX9.9K$2.5 million2.18%-21.1K
United Parcel Service Inc. UPS27.0K$2.5 million2.17%-26.4K
Pfizer Inc. PFE88.2K$2.5 million2.16%-139.8K
ONEOK Inc. OKE29.3K$2.5 million2.15%new
McDonald's Corp. MCD10.4K$2.4 million2.07%-10.6K
Bank of America Corp. BAC43.4K$2.4 million2.03%-68.2K
Lennar Corp. LEN28.6K$2.3 million2.01%-32.9K
Omnicom Group Inc. OMC29.8K$2.2 million1.89%-46.4K
L3Harris Technologies, Inc. LHX9.2K$2.2 million1.87%-23.9K
Home Depot, Inc. HD7.4K$2.1 million1.82%-9.5K
Comcast Corp. CMCSA97.0K$2.1 million1.82%+96.8K
Kimberly Clark Corp. KMB21.3K$2.1 million1.79%new
Salesforce, Inc. CRM9.0K$2.1 million1.78%-25.6K
Wells Fargo & Company WFC21.0K$1.7 million1.45%new
International Paper Co. IP50.4K$1.7 million1.44%+3.6K
RTX Corp. RTX8.5K$1.6 million1.36%-27
Colgate-Palmolive Co. CL17.0K$1.5 million1.25%no change
Johnson Controls International plc JCI8.0K$1.2 million1.02%-335
Cummins Inc. CMI2.3K$1.2 million1.02%no change
Best Buy Co., Inc. BBY12.4K$1.1 million0.94%-80.4K
Evergy, Inc. EVRG13.8K$1.1 million0.93%-68
Morgan Stanley MS3.9K$724,2960.62%-29
Baker Hughes Co. BKR10.2K$557,9490.48%-408
Stanley Black & Decker, Inc. SWK5.3K$468,8180.40%-122
Air Products & Chemicals, Inc. APD1.5K$417,9240.36%-57
iShares Trust SUSA2.5K$388,1100.33%no change
Apple Inc. AAPL1.1K$360,3280.31%no change
Oracle Corp. ORCL2.5K$343,7990.30%-25.9K
Truist Financial Corp. TFC7.4K$341,6010.29%-106.9K
Johnson & Johnson JNJ1.3K$332,7780.29%no change
Packaging Corp. of America PKG1.4K$324,4030.28%-340
Qualcomm Inc. QCOM1.7K$306,6110.26%-268
Micron Technology Inc. MU282$300,2940.26%no change
NVIDIA Corp. NVDA1.2K$285,4750.25%+15
Keycorp KEY12.2K$244,6130.21%-237.1K
Medtronic plc MDT2.7K$235,4850.20%no change
Williams Companies, Inc. WMB3.4K$231,0980.20%no change
First Trust ETFs RDVI6.4K$179,6310.15%no change
American Express Co. AXP500$152,0500.13%no change
Palantir Technologies Inc. PLTR770$144,0290.12%no change
Waste Management Inc. WM700$142,7440.12%no change
Alphabet Inc. GOOGL339$116,6430.10%+5
Emerson Electric Co. EMR750$116,3250.10%no change
Franklin Templeton Inc. BEN3.4K$108,5660.09%-234
Enterprise Products Partners L.P. EPD3.0K$106,8300.09%no change
iShares Trust SGOV995$100,1940.09%new
Energy Transfer LP ET5.0K$98,8500.09%no change
Abbott Laboratories ABT1.0K$98,8300.09%no change
American Water Works Company, Inc. AWK675$87,3920.08%no change
Intuit Inc. INTU300$82,7130.07%no change
iShares Russell 1000 Value Inde IWD320$79,3380.07%-50
Lockheed Martin Corp. LMT155$78,9730.07%no change
Caterpillar Inc. CAT96$77,8360.07%no change
Philip Morris International Inc. PM391$74,6630.06%+3
Visa Inc. V197$70,7880.06%no change
Altria Group, Inc. MO1.0K$67,3400.06%no change
Cincinnati Financial Corp. CINF395$62,9510.05%no change
Alamos Gold Inc. New AGI1.9K$61,6060.05%no change
Schwab Strategic Trust SCHD1.8K$58,7490.05%no change
iShares Trust IHI1.1K$56,8790.05%no change
Vanguard Scottsdale FDS VONG435$56,0850.05%no change
Vanguard Mid Cap Value ETF VOE254$49,6650.04%no change
Vanguard Index FDS VOT165$48,1970.04%no change
iShares Trust SHY499$40,5190.03%+491
SPDR S&P 500 SPY46$35,0810.03%no change
Xylem Inc. XYL328$33,2170.03%+212
Ford Motor Co. F2.7K$32,4530.03%no change
Newmont Corp. NEM275$31,7620.03%no change
AbbVie Inc. ABBV118$30,7830.03%+1
Meta Platforms, Inc. META42$30,4580.03%no change
Dimensional ETF Trust DFIV436$24,3550.02%no change
iShares Select Dividend ETF DVY149$22,6580.02%no change
Intel Corp. INTC181$21,7620.02%no change
Lowe's Companies Inc. LOW112$20,6400.02%no change
iShares U S ETF Trust NEAR410$20,4430.02%no change
Global X FDS EMBD868$19,5910.02%no change
Invesco Exch Traded FD Trust II SPMO126$19,0990.02%no change
Costco Wholesale Corp. COST20$18,2070.02%no change
Janus Detroit STR Trust JAAA355$17,9170.02%no change
Ea Series Trust FRDM251$17,5600.02%no change
the Alger ETF Trust FRTY721$17,0850.01%no change
First Trust Exchange-Traded Alp FYC148$17,0670.01%no change
American Centy ETF Trust AVLV180$16,2790.01%no change
Procter & Gamble Co. PG109$15,8360.01%no change
iShares North American Natural Resources ETF IGE254$15,6540.01%no change
General Motors Co. GM200$15,4000.01%no change
Dimensional ETF Trust DFAS198$15,3290.01%no change
Invesco Exchange Traded FD T XMVM217$15,1360.01%no change
American Centy ETF Trust AVES232$15,1100.01%no change
Amazon.com Inc. AMZN60$14,9490.01%no change
iShares Trust USRT239$14,7180.01%no change
Select Sector SPDR Trust XLRE342$13,9910.01%no change
HP Inc. HPQ447$13,9820.01%no change
Global X FDS ZAP458$13,9460.01%no change
Netflix Inc. NFLX200$13,9160.01%no change
SPDR Ser Trust XME130$13,4630.01%no change
VG Totl STK Vprs VTI35$13,0980.01%no change
Abrdn Precious Metals Basket GLTR67$12,4820.01%no change
Reliance, Inc. RS30$11,5430.01%no change
Berkshire Hathaway Inc. Class B BRKB22$10,9550.01%no change
iShares U.s. ETF Trust iShares Gsci Commodity Dynamic Roll Strategy ETF COMT291$10,7260.01%+101
Star Group, L.P. SGU808$10,3750.01%no change
Nasdaq, Inc. NDAQ112$10,3050.01%no change
Mondelez International, Inc. MDLZ173$10,0160.01%+1
GE Vernova Inc. GEV10$9,5280.01%no change
Prudential Financial Inc. PRU80$9,0860.01%no change
Walmart Inc. WMT82$8,5210.01%no change
Dover Corp. DOV45$8,4170.01%no change
Thermo Fisher Scientific Inc. TMO12$8,1010.01%no change
iShares Trust EEM120$8,0150.01%+1
Walt Disney Co. DIS73$7,6110.01%+1
Invesco QQQ Trust QQQ10$7,3980.01%no change
Kinross Gold Corp. KGC300$7,2240.01%no change
Cal-Maine Foods Inc. CALM101$6,8740.01%no change
Sharplink, Inc. SBET675$6,2640.01%no change
Pacer FDS Trust SRVR221$6,2610.01%no change
Cigna Group CI22$5,9800.01%no change
Northrop Grumman Corp. NOC12$5,8020.00%no change
Bitmine Immersion Tecnologie BMNR205$5,4180.00%no change
Wells Fargo Co. New5$5,3950.00%no change
Wisdomtree Trust DGRW55$5,3480.00%no change
Intercontinental Exchange, Inc. ICE35$5,3210.00%no change
Elevance Health, Inc. ELV13$5,0550.00%no change
UnitedHealth Group Inc. UNH13$4,7720.00%no change
Vanguard Specialized Funds VIG18$4,2000.00%no change
Mara Holdings, Inc. MARA350$3,9660.00%no change
Soundhound AI, Inc. SOUN629$3,7870.00%no change
Universal Health Services Inc. UHS21$3,6590.00%no change
Wisdomtree Trust DHS32$3,5830.00%no change
Honeywell International Inc. HON14$2,9530.00%new
PayPal Holdings, Inc. PYPL55$2,8890.00%no change
Tesla, Inc. TSLA8$2,8380.00%new
Amylyx Pharmaceuticals Inc. AMLX87$2,5320.00%no change
Honeywell Aerospace Inc. HONA14$2,1700.00%no change
Vanguard Intl Equity Index F VT13$2,0520.00%new
iShares Trust LQD17$1,7370.00%no change
Trade Desk, Inc. TTD136$1,6550.00%no change
SPDR Dow Jones Indl Average DIA3$1,5260.00%no change
Coinbase Global, Inc. COIN7$1,3050.00%no change
Recursion Pharmaceuticals, Inc. RXRX250$1,0330.00%no change
iShares Trust TLT12$9330.00%no change
Space Exploration Technologies Corp. SPCX5$7540.00%new
Carrier Global Corp. CARR13$7130.00%no change
Stran & Co Inc SWAG500$7050.00%no change
Ouster, Inc. OUST16$6450.00%no change
Upexi Inc. UPXI500$5700.00%no change
Tema ETF Trust NASA20$4790.00%new
3D Systems Corp. DDD100$3600.00%no change
Nike, Inc. NKE10$3540.00%no change
Vuzix Corp. VUZI115$3210.00%no change
DXC Technology Co. DXC16$1730.00%no change
Biohaven Ltd BHVN12$1600.00%no change
Aurora Cannabis Inc. ACB3$120.00%no change
Every US-listed position in the fund's 13F for the quarter ended 30 September 2026, by the value it reported.
Read moreChange is shares against its 13F for the quarter before; the 3 it sold out of are in the box above.