Catherine Avery Investment Management LLC

In its 13F for Q3 2025 (holdings as of September 30, 2025, filed January 5, 2026), Catherine Avery Investment Management LLC reported 161 stock positions worth $155.2 million. Its top holding was Seagate Technology (STX) at 3.8% of the portfolio, followed by Intl Business Machines (IBM, 3.6%) and JPMorgan Chase (JPM, 3.4%). Compared with Q2 2025, it opened 12 new positions, sold out of 16, added to 37 and reduced 35. The biggest buy was Oneok (OKE, shares +21655%) and the biggest sale Medtronic (MDT, shares −92%).

Most Recent 13F
Q2 2026
Location
LONGBOAT KEY, FL
CIK
0002103454
Portfolio Value
$155.2M (Q3 2025)
SEC Filing
0001420506-26-000017 ↗ filed Jan 5, 2026

Holdings Value

0$50.0M$100.0M$150.0M$200.0M$250.0M Q4 2024: $113.3M Q4 2024 Q1 2025: $111.6M Q1 2025 Q2 2025: $131.6M Q2 2025 Q3 2025: $155.2M $155.2M Q3 2025 Q4 2025: $167.0M Q4 2025 Q1 2026: $223.4M Q1 2026 Q2 2026: $229.0M Q2 2026

Holdings 161 stocks · $155.2M
STX Seagate Technology Holdings 3.81% 25,036 $5.9M Reduce -24.2%
IBM Intl Business Machines Corp. filed as INTERNATIONAL BUSINESS MACHS 3.55% 19,552 $5.5M Add +21.3%
JPM JPMorgan Chase & Co. 3.37% 16,608 $5.2M Add +12.0%
AVGO Broadcom Inc. 3.33% 15,667 $5.2M Reduce -5.7%
ORCL Oracle Corp. 3.30% 18,239 $5.1M Reduce -6.8%
RTX RTX Corp. 3.26% 30,269 $5.1M Reduce -3.4%
C Citigroup Inc. 3.20% 48,955 $5.0M Reduce -6.1%
LHX L3HARRIS Technologies Inc. 3.13% 15,931 $4.9M Add +8.0%
CVX Chevron Corp. 3.00% 30,014 $4.7M Add +20.5%
CSCO Cisco Systems Inc. 3.00% 68,115 $4.7M Add +11.4%
BKR Baker Hughes Co. 2.87% 91,561 $4.5M Reduce -2.0%
KO The Coca-Cola Co. 2.86% 66,842 $4.4M Add +26.3%
NEE Nextera Energy Inc. 2.83% 58,179 $4.4M Add +12.9%
VZ Verizon Communications Inc. 2.81% 99,234 $4.4M Add +28.8%
BAC Bank of America Corp. filed as BANK AMERICA CORP 2.81% 84,480 $4.4M Add +21.8%
MCD McDonald's Corp. 2.77% 14,164 $4.3M Add +27.7%
OKE Oneok Inc. 2.75% 58,521 $4.3M Add +21655.0%
QCOM Qualcomm Inc. 2.73% 25,440 $4.2M Add +21.2%
HPE Hewlett Packard Enterprise 2.71% 171,108 $4.2M Add +12.0%
BMY Bristol-Myers Squibb Co. 2.69% 92,656 $4.2M Add +23.6%
MRK Merck & Co. Inc. 2.68% 49,562 $4.2M Add +17.5%
TGT Target Corp. 2.64% 45,628 $4.1M Add +45.3%
BBY Best Buy Co. Inc. 2.61% 53,572 $4.1M Add +29.6%
AMGN Amgen Inc. 2.47% 13,600 $3.8M Add +35.3%
PFE Pfizer Inc. 2.42% 147,234 $3.8M Add +25.0%
MSFT Microsoft Corp. 2.38% 7,147 $3.7M Reduce -0.8%
TFC Truist Financial Corp. 2.30% 77,943 $3.6M Add +17.6%
UPS United Parcel Service Class B 2.28% 42,371 $3.5M Add +69.1%
LEN Lennar Corp. Class A 2.26% 27,843 $3.5M New
FCX Freeport-McMoran Inc. 2.23% 88,088 $3.5M Reduce -1.4%
SWK Stanley Black & Decker Inc. 2.21% 46,212 $3.4M New
PKG Packaging Corp. of America 2.19% 15,577 $3.4M New
PSX Phillips 66 2.00% 22,863 $3.1M Add +3.1%
CL Colgate-Palmolive Co. 0.88% 17,012 $1.4M No change
VLO Valero Energy Corp. 0.86% 7,847 $1.3M Reduce -0.5%
EVRG Evergy Inc. 0.80% 16,258 $1.2M Reduce -67.8%
JCI Johnson Controls Internation 0.79% 11,095 $1.2M Reduce -0.7%
CMI Cummins Inc. 0.69% 2,540 $1.1M Reduce -9.0%
MS Morgan Stanley 0.43% 4,232 $673K No change
XOM Exxon Mobil Corp. 0.41% 5,633 $635K Reduce -3.1%
APD Air Products & Chemicals Inc. 0.39% 2,193 $598K Reduce -1.4%
SUSA iShares ESG Optimized MSCI U 0.22% 2,493 $338K No change
AAPL Apple Inc. 0.21% 1,278 $325K No change
MDT Medtronic PLC 0.19% 3,069 $292K Reduce -92.4%
JNJ Johnson & Johnson 0.18% 1,547 $287K Reduce -12.6%
NVDA Nvidia Corp. 0.17% 1,412 $263K Reduce -46.5%
RDVI FT Vest Rising Dividend Achi 0.16% 9,324 $241K No change
WMB Williams Cos Inc. 0.14% 3,400 $215K No change
INTU Intuit Inc. 0.13% 300 $205K No change
BEN Franklin Templeton Inc. 0.13% 8,695 $201K Reduce -92.9%
AXP American Express Co. 0.12% 550 $183K Reduce -21.4%
WM Waste Management Inc. 0.10% 700 $155K Reduce -6.7%
PLTR Palantir Technologies Inc. Class A 0.10% 824 $150K No change
ABT Abbott Laboratories 0.10% 1,120 $150K No change
CAT Caterpillar Inc. 0.09% 283 $135K Reduce -1.7%
IWD iShares Russell 1000 Value E 0.08% 592 $121K No change
EMR Emerson Electric Co. 0.07% 769 $101K Add +4.1%
AWK American Water Works Co. Inc. 0.06% 660 $92K No change
GOOGL Alphabet Inc. Class A 0.06% 371 $90K No change
CINF Cincinnati Financial Corp. 0.05% 500 $79K No change
LMT Lockheed Martin Corp. 0.05% 157 $78K No change
V Visa Inc. Class A 0.04% 204 $70K No change
ITW Illinois Tool Works 0.04% 261 $68K No change
IHI iShares U.S. Medical Devices 0.04% 1,112 $67K No change
AGI Alamos Gold Inc. Class A 0.04% 1,902 $66K No change
PM Philip Morris International 0.04% 379 $61K Add +0.8%
ABBV Abbvie Inc. 0.04% 262 $61K Add +0.4%
SCHD Schwab US DVD Equity ETF 0.03% 1,806 $49K No change
BIL SS SPDR BB 1-3M T-Bill ETF 0.03% 518 $48K Add +153.9%
MU Micron Technology Inc. 0.03% 282 $47K Add +0.4%
SDVD FT Vest Smid Rising Dividend 0.03% 2,163 $47K No change
F Ford Motor Co. filed as FORD MTR CO 0.03% 3,393 $41K No change
HD Home Depot Inc. 0.02% 90 $36K No change
LYB Lyondellbasell Indu Class A 0.02% 706 $35K Reduce -98.7%
OMC Omnicom Group 0.02% 403 $33K No change
KMB Kimberly-Clark Corp. 0.02% 260 $32K Add +4.0%
META Meta Platforms Inc. Class A 0.02% 42 $31K No change
DIS The Walt Disney Co. filed as DISNEY WALT CO 0.02% 262 $30K Reduce -36.4%
BLK BlackRock Inc. 0.02% 25 $29K No change
LOW Lowe's Cos Inc. 0.02% 112 $28K No change
NFLX Netflix Inc. 0.02% 23 $28K No change
STZ Constellation Brands Inc. Class A 0.02% 200 $27K No change
ICE Intercontinental Exchange Inc. 0.02% 152 $26K No change
JEPQ JPM Nasdaq Equity Premium filed as J P MORGAN EXCHANGE TRADED F 0.01% 405 $23K No change
NEM Newmont Corp. 0.01% 273 $23K Add +0.4%
COST Costco Wholesale Corp. 0.01% 23 $21K Reduce -17.9%
DVY iShares Select Dividend ETF 0.01% 149 $21K No change
AMZN Amazon.com Inc. 0.01% 89 $20K No change
CAG Conagra Brands Inc. 0.01% 949 $17K Reduce -99.4%
PG The Procter & Gamble Co. 0.01% 109 $17K No change
GM General Motors Co. 0.01% 250 $15K Reduce -16.7%
BRK.B Berkshire Hathaway Inc. Class B 0.01% 30 $15K Add +36.4%
ADP Automatic Data Processing 0.01% 50 $15K No change
ETR Entergy Corp. 0.01% 154 $14K No change
USFR Wisdomtree Floating Rate Tre 0.01% 256 $13K Add +1.2%
MO Altria Group Inc. 0.01% 170 $11K Reduce -10.5%
MDLZ Mondelez International Inc. Class A 0.01% 167 $10K Add +0.6%
IJH iShares Core S&P Midcap ETF 0.01% 155 $10K No change
SOUN Soundhound AI Inc. Class A 0.01% 629 $10K No change
NDAQ Nasdaq Inc. 0.01% 112 $10K No change
ETN Eaton Corp. PLC 0.01% 25 $9K No change
WMT Walmart Inc. 0.01% 82 $8K No change
RS Reliance Inc. 0.01% 30 $8K No change
PRU Prudential Financial Inc. 0.01% 80 $8K No change
DOV Dover Corp. 0.00% 45 $8K No change
KGC Kinross Gold Corp. 0.00% 300 $7K No change
SPY SS SPDR S&P 500 ETF Trust-US 0.00% 11 $7K No change
NOC Northrop Grumman Corp. 0.00% 12 $7K No change
TTD Trade Desk Inc./the Class A filed as THE TRADE DESK INC 0.00% 136 $7K New
KVUE Kenvue Inc. 0.00% 398 $6K No change
CI The Cigna Group 0.00% 22 $6K No change
GEV GE Vernova Inc. 0.00% 10 $6K No change
HON Honeywell International Inc. 0.00% 29 $6K No change
INTC Intel Corp. 0.00% 181 $6K Reduce -24.9%
TMO Thermo Fisher Scientific Inc. 0.00% 12 $6K No change
SBET Sharplink Inc. 0.00% 333 $6K New
CF CF Industries Holdings Inc. filed as CF INDS HLDGS INC 0.00% 61 $5K Reduce -7.6%
HPQ HP Inc. 0.00% 191 $5K No change
DGRW Wisdomtree U.S. Quality Divi 0.00% 55 $5K No change
CALM Cal-Maine Foods Inc. 0.00% 50 $5K New
UNH Unitedhealth Group Inc. 0.00% 13 $4K No change
NKE Nike Inc. Class B 0.00% 64 $4K Reduce -19.0%
UHS Universal Health Services-B 0.00% 21 $4K No change
ELV Elevance Health Inc. 0.00% 13 $4K No change
BP BP PLC-Spons ADR 0.00% 112 $4K Add +1.8%
VIG Vanguard Dividend Apprec ETF 0.00% 17 $4K No change
CMCSA Comcast Corp. Class A 0.00% 115 $4K No change
RCL Royal Caribbean Cruises Ltd. 0.00% 10 $3K No change
DHS Wisdomtree US High Dividend 0.00% 32 $3K No change
CVS CVS Health Corp. 0.00% 41 $3K No change
MA Mastercard Inc. Class A 0.00% 5 $3K No change
STLA Stellantis NV 0.00% 300 $3K Add +9.1%
T AT&T Inc. 0.00% 85 $2K Add +14.9%
NOK Nokia Corp.-Spon ADR 0.00% 400 $2K Add +100.0%
AFL Aflac Inc. 0.00% 17 $2K No change
LQD Ishr Ibx Usd Invgd CB ETF-Ui 0.00% 17 $2K No change
NOW ServiceNow Inc. 0.00% 2 $2K No change
DIA SS SPDR Dow Jones Indus Avg filed as SPDR DOW JONES INDL AVERAGE 0.00% 3 $1K No change
UBER Uber Technologies Inc. 0.00% 14 $1K Reduce -36.4%
GIS General Mills Inc. 0.00% 25 $1K New
GOOG Alphabet Inc. Class C 0.00% 5 $1K Reduce -37.5%
QQQ Invesco QQQ Trust Series 1 0.00% 2 $1K No change
AMLX Amylyx Pharmaceuticals Inc. 0.00% 87 $1K No change
TLT iShares 20+ Year Treasury BD 0.00% 12 $1K No change
LUNR Intuitive Machines Inc. 0.00% 100 $1K Add +100.0%
BMNR Bitmine Immersion Technologi 0.00% 20 $1K New
BNS Bank of Nova Scotia filed as BANK NOVA SCOTIA HALIFAX 0.00% 15 $970 New
WPP WPP PLC-Sponsored ADR 0.00% 35 $877 New
UPXI Upexi Inc. 0.00% 150 $866 New
SWAG Stran & Co. Inc. 0.00% 500 $830 Reduce -37.5%
CARR Carrier Global Corp. 0.00% 13 $776 No change
LULU Lululemon Athletica Inc. 0.00% 4 $712 No change
CHRD Chord Energy Corp. 0.00% 7 $696 Reduce -53.3%
SHY iShares 1-3 Year Treasury Bo 0.00% 8 $664 No change
TARS Tarsus Pharmaceuticals Inc. 0.00% 10 $594 Reduce -50.0%
WU Western Union Co. 0.00% 50 $400 New
DXC DXC Technology Co. 0.00% 16 $218 No change
BHVN Biohaven Ltd. 0.00% 12 $180 No change
MRNA Moderna Inc. 0.00% 6 $155 No change
VFC VF Corp. 0.00% 2 $32 No change
ACB Aurora Cannabis Inc. 0.00% 3 $18 No change
Other holdings (1): bonds, preferreds, convertibles and warrants · $6K (not counted above)
SecurityClassShares / PrincipalValueChange
WELLS FARGO & COMPANY (WFC 7.5 PERP L) PERP PFD CNV A 5$6KNo change

Total filed on the 13F, all lines: $155.2M.

Portfolio Sells Q2 2025 → Q3 2025
MDT Medtronic PLC Reduce -92.4% 0.19% −2.47
CAG Conagra Brands Inc. Reduce -99.4% 0.01% −2.46
LYB Lyondellbasell Indu Class A Reduce -98.7% 0.02% −2.28
BEN Franklin Templeton Inc. Reduce -92.9% 0.13% −2.08
EVRG Evergy Inc. Reduce -67.8% 0.80% −1.85
FCX Freeport-McMoran Inc. Reduce -1.4% 2.23% −0.72
MSFT Microsoft Corp. Reduce -0.8% 2.38% −0.34
RTX RTX Corp. Reduce -3.4% 3.26% −0.21
C Citigroup Inc. Reduce -6.1% 3.20% −0.17
AVGO Broadcom Inc. Reduce -5.7% 3.33% −0.15
NVDA Nvidia Corp. Reduce -46.5% 0.17% −0.15
JCI Johnson Controls Internation Reduce -0.7% 0.79% −0.11
APD Air Products & Chemicals Inc. Reduce -1.4% 0.39% −0.09
XOM Exxon Mobil Corp. Reduce -3.1% 0.41% −0.07
AXP American Express Co. Reduce -21.4% 0.12% −0.05
WM Waste Management Inc. Reduce -6.7% 0.10% −0.03
JNJ Johnson & Johnson Reduce -12.6% 0.18% −0.02
DIS The Walt Disney Co. Reduce -36.4% 0.02% −0.02
DIVO Amplify CWP Enhan Divid ETF Sold out 0.00% −0.02
QQQI Neos Nasdaq-100 High Inc. ETF Sold out 0.00% −0.02
JSI JH Securitized Income ETF Sold out 0.00% −0.01
PCMM BBLX Private Credit Clo ETF Sold out 0.00% −0.01
LLY Eli Lilly & Co. Sold out 0.00% −0.01
COST Costco Wholesale Corp. Reduce -17.9% 0.01% −0.01
AMP Ameriprise Financial Inc. Sold out 0.00% −0.01
NCIQ Hashdex Nasdaq Cme Crypto Inc. Sold out 0.00% −0.00
CMI Cummins Inc. Reduce -9.0% 0.69% −0.00
GM General Motors Co. Reduce -16.7% 0.01% −0.00
NKE Nike Inc. Class B Reduce -19.0% 0.00% −0.00
MO Altria Group Inc. Reduce -10.5% 0.01% −0.00
CF CF Industries Holdings Inc. Reduce -7.6% 0.00% −0.00
BABA Alibaba Group Holding-SP ADR Sold out 0.00% −0.00
PAYO Payoneer Global Inc. Sold out 0.00% −0.00
AVGE Avantis All Eqty Mrkts ETF Sold out 0.00% −0.00
COF Capital One Financial Corp. Sold out 0.00% −0.00
CHRD Chord Energy Corp. Reduce -53.3% 0.00% −0.00
TDC Teradata Corp. Sold out 0.00% −0.00
UBER Uber Technologies Inc. Reduce -36.4% 0.00% −0.00
ACMR Acm Research Inc. Class A Sold out 0.00% −0.00
BIDU Baidu Inc. - Spon ADR Sold out 0.00% −0.00
GOOG Alphabet Inc. Class C Reduce -37.5% 0.00% −0.00
SWAG Stran & Co. Inc. Reduce -37.5% 0.00% −0.00
INTC Intel Corp. Reduce -24.9% 0.00% −0.00
JD Jd.com Inc.-ADR Sold out 0.00% −0.00
OII Oceaneering Intl Inc. Sold out 0.00% −0.00
TARS Tarsus Pharmaceuticals Inc. Reduce -50.0% 0.00% −0.00
CAT Caterpillar Inc. Reduce -1.7% 0.09% +0.00
ORCL Oracle Corp. Reduce -6.8% 3.30% +0.05
VLO Valero Energy Corp. Reduce -0.5% 0.86% +0.06
BKR Baker Hughes Co. Reduce -2.0% 2.87% +0.15

Portfolio Buys Q2 2025 → Q3 2025
OKE Oneok Inc. Add +21655.0% 2.75% +2.73
LEN Lennar Corp. Class A New 2.26% +2.26
SWK Stanley Black & Decker Inc. New 2.21% +2.21
PKG Packaging Corp. of America New 2.19% +2.19
BBY Best Buy Co. Inc. Add +29.6% 2.61% +0.50
UPS United Parcel Service Class B Add +69.1% 2.28% +0.36
AMGN Amgen Inc. Add +35.3% 2.47% +0.34
HPE Hewlett Packard Enterprise Add +12.0% 2.71% +0.33
LHX L3HARRIS Technologies Inc. Add +8.0% 3.13% +0.32
BAC Bank of America Corp. Add +21.8% 2.81% +0.31
MCD McDonald's Corp. Add +27.7% 2.77% +0.31
CVX Chevron Corp. Add +20.5% 3.00% +0.29
TGT Target Corp. Add +45.3% 2.64% +0.28
VZ Verizon Communications Inc. Add +28.8% 2.81% +0.28
PFE Pfizer Inc. Add +25.0% 2.42% +0.25
QCOM Qualcomm Inc. Add +21.2% 2.73% +0.19
MRK Merck & Co. Inc. Add +17.5% 2.68% +0.14
TFC Truist Financial Corp. Add +17.6% 2.30% +0.13
NEE Nextera Energy Inc. Add +12.9% 2.83% +0.11
JPM JPMorgan Chase & Co. Add +12.0% 3.37% +0.11
BMY Bristol-Myers Squibb Co. Add +23.6% 2.69% +0.06
BIL SS SPDR BB 1-3M T-Bill ETF Add +153.9% 0.03% +0.02
KO The Coca-Cola Co. Add +26.3% 2.86% +0.01
TTD Trade Desk Inc./the Class A New 0.00% +0.00
MU Micron Technology Inc. Add +0.4% 0.03% +0.00
SBET Sharplink Inc. New 0.00% +0.00
CALM Cal-Maine Foods Inc. New 0.00% +0.00
NEM Newmont Corp. Add +0.4% 0.01% +0.00
ABBV Abbvie Inc. Add +0.4% 0.04% +0.00
BRK.B Berkshire Hathaway Inc. Class B Add +36.4% 0.01% +0.00
GIS General Mills Inc. New 0.00% +0.00
BMNR Bitmine Immersion Technologi New 0.00% +0.00
BNS Bank of Nova Scotia New 0.00% +0.00
UPXI Upexi Inc. New 0.00% +0.00
WPP WPP PLC-Sponsored ADR New 0.00% +0.00
NOK Nokia Corp.-Spon ADR Add +100.0% 0.00% +0.00
LUNR Intuitive Machines Inc. Add +100.0% 0.00% +0.00
WU Western Union Co. New 0.00% +0.00
BP BP PLC-Spons ADR Add +1.8% 0.00% 0.00
T AT&T Inc. Add +14.9% 0.00% −0.00
STLA Stellantis NV Add +9.1% 0.00% −0.00
USFR Wisdomtree Floating Rate Tre Add +1.2% 0.01% −0.00
MDLZ Mondelez International Inc. Class A Add +0.6% 0.01% −0.00
KMB Kimberly-Clark Corp. Add +4.0% 0.02% −0.00
PSX Phillips 66 Add +3.1% 2.00% −0.01
EMR Emerson Electric Co. Add +4.1% 0.07% −0.01
PM Philip Morris International Add +0.8% 0.04% −0.01
IBM Intl Business Machines Corp. Add +21.3% 3.55% −0.06
CSCO Cisco Systems Inc. Add +11.4% 3.00% −0.22

All Filings

QuarterPositions13F Reported ValueTop Holdings
Q2 2026 165$229.0MSTX, CSCO, MSFT, C, JPM
Q1 2026 108$223.4MCVX, C, CSCO, IBM, VZ
Q4 2025 157$167.0MC, IBM, RTX, FCX, AVGO
Q3 2025 161$155.2MSTX, IBM, JPM, AVGO, ORCL
Q2 2025 165$131.6MSTX, IBM, AVGO, RTX, C
Q1 2025 160$111.6MBIL, IBM, RTX, BMY, NEE
Q4 2024Amended 175$113.3MAVGO, IBM, CSCO, C, JPM