3D ASSET MANAGEMENT, INC

CIK

1359371

Location

Hartford, CT

Portfolio Value

Small $337,966,857

Diversification

Moderately concentrated

Filing Date

Global Rank

#2,584 / 5,416 ▼ 89 · as of Sep 2020

Top Industry

Engineering & Construction 17.4%

Period ended 6 years ago

Filed Nov 9, 2020 · 5y

3 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Unknown

Portfolio style

Measured from the filed 13F common-share book for Sep 30, 2020, never from the firm's own description.

Style

Concentrated

The top 10 positions are 94.7% of the book (60%+)

Turnover

Turnover unknown

It needs four straight quarters of measured turnover

Horizon

Horizon unknown

The value-weighted holding period is at least 2.9 quarters, but 93.3% of the book was already held when coverage starts

Closest benchmark: every 13F filer's combined book, active share 98.0%; sector active share 69.4% against the combined 13F book's sector weights.

Over time 3 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

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Portfolio Concentration

70 tracked positions · as of Sep 30, 2020 · Δ vs Jun 30, 2020

Top Position

29.7%

−1.9 pts

Top 5

79.9%

−1.5 pts

Top 10

94.7%

−1.2 pts

HHI

1,647

Moderately concentrated−102

Portfolio Trend

3 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2020

Sector	% Portfolio	Value	Positions
Unclassified	99.3%	$335,574,772	63
Financial Services	0.2%	$656,138	2
Industrials	0.1%	$416,000	1
Healthcare	0.1%	$395,962	1
Technology	0.1%	$391,206	1
Basic Materials	0.1%	$319,581	1
Consumer Defensive	0.1%	$213,198	1

Last Quarter's Activity

Export CSV

Sep 30, 2020 vs Jun 30, 2020

Added To

Positions the filer increased

15 positions

Ticker	Company	Δ Shares	Shares	Value
BCI	abrdn Bloomberg All Commodity Strategy K-1 Free ETF	+111,742	419,111	$8,344,500
BNDC	FlexShares Trust	+27,528	45,088	$1,213,092
DAUG	FT Vest U.S. Equity Deep Buffer ETF - August	+11,903	277,954	$8,846,441
QLC	FlexShares US Quality Large Cap Index Fund	+10,924	20,082	$737,370
TLTD	FlexShares Morningstar Developed Markets ex-US Factor Tilt Index Fund	+6,658	10,408	$582,535
FMB	First Trust Managed Municipal ETF	+6,091	42,436	$2,359,653
VTV	VANGUARD VALUE INDEX FUND	+5,413	373,037	$38,986,096
BOTZ	Global X Robotics & Artificial Intelligence ETF	+2,666	21,482	$598,703
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	+2,026	4,865	$567,745
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	+1,678	6,400	$380,032
JMST	JPMorgan Ultra-Short Municipal Income ETF	+1,646	142,284	$7,255,061
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	+1,626	3,841	$405,148
LQD	iShares iBoxx $ Investment Grade Corporate Bond ETF	+503	2,281	$0
TAXF	American Century Diversified Municipal Bond ETF	+316	37,961	$2,033,570
IVV	iShares Core S&P 500 ETF	+14	1,977	$0
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
DGRE	WisdomTree Emerging Markets Quality Dividend Growth Fund	−107,003	579,751	$14,029,974
GSIE	Goldman Sachs ActiveBeta(R) International Equity ETF	−69,265	804,573	$22,648,729
IQDF	FlexShares International Quality Dividend Index Fund	−64,864	1,058,132	$21,882,169
JQUA	JPMorgan U.S. Quality Factor ETF	−59,459	1,022,057	$33,165,749
EZM	WisdomTree U.S. MidCap Fund	−57,343	649,870	$22,219,055
AGGY	WisdomTree Trust	−46,265	579,617	$31,194,986
EES	WisdomTree U.S. SmallCap Fund	−37,227	450,142	$13,445,741
—		−36,883	256,478	$10,605,365
QDEF	FlexShares Quality Dividend Defensive Index Fund	−30,972	740,612	$32,742,456
DLS	WisdomTree International SmallCap Dividend Fund	−26,944	320,308	$19,186,449
LMBS	First Trust Low Duration Opportunities ETF	−22,468	295,918	$15,293,042
GQRE	FlexShares Global Quality Real Estate Index Fund	−19,016	110,208	$5,783,715
IVLU	iShares MSCI Intl Value Factor ETF	−18,094	598,364	$0
USMV	iShares MSCI USA Min Vol Factor ETF	−13,105	7,587	$0
SPSB	State Street(R) SPDR(R) Portfolio Short Term Corporate Bond ETF	−7,622	11,959	$375,153
GWX	State Street(R) SPDR(R) S&P(R) International Small Cap ETF	−4,011	18,561	$563,511
SPEM	State Street(R) SPDR(R) Portfolio Emerging Markets ETF	−3,783	15,271	$558,307
MUB	iShares National Muni Bond ETF	−3,620	17,969	$0
MTUM	iShares MSCI USA Momentum Factor ETF	−3,588	6,804	$0
SPLV	Invesco S&P 500 Low Volatility ETF	−3,552	4,155	$222,874
IMTM	iShares MSCI Intl Momentum Factor ETF	−3,367	11,866	$0
—		−2,627	10,038	$325,010
RVNU	Xtrackers Municipal Infrastructure Revenue Bond Active ETF	−2,258	246,139	$6,982,963
CEW	WisdomTree Emerging Currency Strategy Fund	−1,844	13,191	$228,336
—		−1,819	8,511	$315,655
No positions match the current search.

New Positions

Positions the filer opened this quarter

20 positions

Ticker	Company	Shares	Value
CGC	Canopy Growth Corp	27,651	$395,962
AAPL	Apple Inc.	3,378	$391,206
XLY	State Street(R) Consumer Discretionary Select Sector SPDR(R) ETF	2,656	$390,378
XLC	State Street(R) Communication Services Select Sector SPDR(R) ETF	6,268	$372,319
XLF	State Street Corp	13,965	$336,137
XLI	State Street(R) Industrial Select Sector SPDR(R) ETF	4,271	$328,781
SMG	Scotts Miracle-Gro Co	2,090	$319,581
NULG	Nuveen ESG Large-Cap Growth ETF	5,886	$299,538
—		4,518	$287,525
XLRE	State Street(R) Real Estate Select Sector SPDR(R) ETF	8,021	$282,900
TILT	FlexShares Morningstar US Market Factor Tilt Index Fund	2,225	$271,450
CPTL	Global X Morningstar Capital Allocation Leaders ETF	10,487	$254,938
VEA	Vanguard FTSE Developed Markets ETF	6,122	$250,389
ACES	Alps ETF Trust	4,305	$238,626
BUG	Global X Cybersecurity ETF	10,119	$220,189
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	7,138	$213,783
STZ	Constellation Brands, Inc.	1,125	$213,198
TLTE	FlexShares Morningstar Emerging Markets Factor Tilt Index Fund	4,385	$208,857
—		5,236	$0
IWO	iShares Russell 2000 Growth ETF	915	$0
No positions match the current search.

Sold Out

Positions the filer fully exited

8 positions

Ticker	Company	Shares	Value
SCHH	Schwab U.S. REIT ETF	10,647	$374,987
SRLN	State Street(R) Blackstone Senior Loan ETF	7,102	$308,084
BKLN	Invesco Ltd.	12,214	$260,768
SCHE	Schwab Emerging Markets Equity ETF	9,313	$226,771
—		7,477	$208,234
EMB	iShares J.P. Morgan USD Emerging Markets Bond ETF	1,945	$0
IEI	iShares 3-7 Year Treasury Bond ETF	3,290	$0
IGIB	iShares 5-10 Year Investment Grade Corporate Bond ETF	7,469	$0
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

70 tracked positions · $337,966,857 total · filing declares 76 positions · $359,600,000 · as of Sep 30, 2020

All sectors Basic Materials Consumer Defensive Financial Services Healthcare Industrials Technology

Showing 1–50 of 70 positions by value · page 1 of 2

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
VTV	VANGUARD VALUE INDEX FUND	Added	373,037	+5,413	$38,986,096	+6.5%	3+	before history	11.54%
JQUA	JPMorgan U.S. Quality Factor ETF	Reduced	1,022,057	-59,459	$33,165,749	+0.8%	3+	before history	9.81%
QDEF	FlexShares Quality Dividend Defensive Index Fund	Reduced	740,612	-30,972	$32,742,456	+1.4%	3+	before history	9.69%
AGGY	WisdomTree Trust	Reduced	579,617	-46,265	$31,194,986	−7.4%	3+	before history	9.23%
GSIE	Goldman Sachs ActiveBeta(R) International Equity ETF	Reduced	804,573	-69,265	$22,648,729	−2.5%	3+	before history	6.70%
EZM	WisdomTree U.S. MidCap Fund	Reduced	649,870	-57,343	$22,219,055	−3.6%	3+	before history	6.57%
IQDF	FlexShares International Quality Dividend Index Fund	Reduced	1,058,132	-64,864	$21,882,169	−3.1%	3+	before history	6.47%
DLS	WisdomTree International SmallCap Dividend Fund	Reduced	320,308	-26,944	$19,186,449	−0.7%	3+	before history	5.68%
LMBS	First Trust Low Duration Opportunities ETF	Reduced	295,918	-22,468	$15,293,042	−7.1%	3+	before history	4.53%
DGRE	WisdomTree Emerging Markets Quality Dividend Growth Fund	Reduced	579,751	-107,003	$14,029,974	−10.0%	3+	before history	4.15%
EES	WisdomTree U.S. SmallCap Fund	Reduced	450,142	-37,227	$13,445,741	−2.8%	3+	before history	3.98%
		Reduced	256,478	-36,883	$10,605,365	−7.3%	3+	before history	3.14%
DAUG	FT Vest U.S. Equity Deep Buffer ETF - August	Added	277,954	+11,903	$8,846,441	+9.2%	2	unpriced	2.62%
BCI	abrdn Bloomberg All Commodity Strategy K-1 Free ETF	Added	419,111	+111,742	$8,344,500	+48.6%	3+	before history	2.47%
JMST	JPMorgan Ultra-Short Municipal Income ETF	Added	142,284	+1,646	$7,255,061	+1.2%	3+	before history	2.15%
RVNU	Xtrackers Municipal Infrastructure Revenue Bond Active ETF	Reduced	246,139	-2,258	$6,982,963	−0.7%	3+	before history	2.07%
GQRE	FlexShares Global Quality Real Estate Index Fund	Reduced	110,208	-19,016	$5,783,715	−12.9%	3+	before history	1.71%
HYGV	FlexShares High Yield Value - Scored Bond Index Fund	Reduced	68,525	-175	$3,186,412	+3.2%	3+	before history	0.94%
JHMM	John Hancock Multifactor Mid Cap ETF	Reduced	75,199	-266	$2,828,986	+6.7%	3+	before history	0.84%
FMB	First Trust Managed Municipal ETF	Added	42,436	+6,091	$2,359,653	+18.0%	2	$54.12	0.70%
TAXF	American Century Diversified Municipal Bond ETF	Added	37,961	+316	$2,033,570	+2.2%	2	$51.48	0.60%
BNDC	FlexShares Trust	Added	45,088	+27,528	$1,213,092	+156.2%	2	$26.88	0.36%
VOT	VANGUARD MID-CAP GROWTH INDEX FUND	Reduced	5,538	-1,587	$997,615	−15.2%	3+	before history	0.30%
QLC	FlexShares US Quality Large Cap Index Fund	Added	20,082	+10,924	$737,370	+133.5%	2	$34.73	0.22%
QQQ	Invesco Qqq Trust, Series 1	Reduced	2,248	-643	$624,584	−12.7%	3+	before history	0.18%
BOTZ	Global X Robotics & Artificial Intelligence ETF	Added	21,482	+2,666	$598,703	+33.3%	3+	before history	0.18%
TLTD	FlexShares Morningstar Developed Markets ex-US Factor Tilt Index Fund	Added	10,408	+6,658	$582,535	+190.8%	2	$54.26	0.17%
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	Added	4,865	+2,026	$567,745	+91.4%	2	unpriced	0.17%
GWX	State Street(R) SPDR(R) S&P(R) International Small Cap ETF	Reduced	18,561	-4,011	$563,511	−8.7%	3+	before history	0.17%
SPEM	State Street(R) SPDR(R) Portfolio Emerging Markets ETF	Reduced	15,271	-3,783	$558,307	−12.4%	3+	before history	0.17%
JEC	Jacobs Solutions Inc. Industrials	Held	4,485	0	$416,000	+9.5%	3+	before history	0.12%
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	Added	3,841	+1,626	$405,148	+82.8%	2	unpriced	0.12%
CGC	Canopy Growth Corp Healthcare	NEW	27,651	NEW	$395,962	NEW	1	$16.77	0.12%
AAPL	Apple Inc. Technology	NEW	3,378	NEW	$391,206	NEW	1	unpriced	0.12%
XLY	State Street(R) Consumer Discretionary Select Sector SPDR(R) ETF	NEW	2,656	NEW	$390,378	NEW	1	unpriced	0.12%
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	Added	6,400	+1,678	$380,032	+42.6%	3+	before history	0.11%
SPSB	State Street(R) SPDR(R) Portfolio Short Term Corporate Bond ETF	Reduced	11,959	-7,622	$375,153	−38.9%	3+	before history	0.11%
XLC	State Street(R) Communication Services Select Sector SPDR(R) ETF	NEW	6,268	NEW	$372,319	NEW	1	unpriced	0.11%
XLF	State Street Corp Financial Services	NEW	13,965	NEW	$336,137	NEW	1	$24.32	0.10%
XLI	State Street(R) Industrial Select Sector SPDR(R) ETF	NEW	4,271	NEW	$328,781	NEW	1	unpriced	0.10%
		Reduced	10,038	-2,627	$325,010	−14.2%	3+	before history	0.10%
BRK-A	Berkshire Hathaway Inc Financial Services	Held	1	0	$320,001	+19.7%	2	$274,034.30	0.09%
SMG	Scotts Miracle-Gro Co Basic Materials	NEW	2,090	NEW	$319,581	NEW	1	$154.50	0.09%
		Reduced	8,511	-1,819	$315,655	−16.6%	3+	before history	0.09%
NULG	Nuveen ESG Large-Cap Growth ETF	NEW	5,886	NEW	$299,538	NEW	1	$49.59	0.09%
		NEW	4,518	NEW	$287,525	NEW	1	$62.12	0.09%
XLRE	State Street(R) Real Estate Select Sector SPDR(R) ETF	NEW	8,021	NEW	$282,900	NEW	1	unpriced	0.08%
TILT	FlexShares Morningstar US Market Factor Tilt Index Fund	NEW	2,225	NEW	$271,450	NEW	1	$121.25	0.08%
CPTL	Global X Morningstar Capital Allocation Leaders ETF	NEW	10,487	NEW	$254,938	NEW	1	unpriced	0.08%
VEA	Vanguard FTSE Developed Markets ETF	NEW	6,122	NEW	$250,389	NEW	1	$41.03	0.07%

Showing the top 50 of 70 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.