AWM Investment Company, Inc.
Registered adviserFiling Date
Global Rank
#2,299
/ 8,818
▲ 156
Top Industry
Semiconductors
14.1%
Period ended 4 months ago
Filed Aug 14, 2026 · 2mo
26 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
Registered adviser
Form ADV roster, Oct 1, 2026
Records disagree; the first in precedence decides.
Regulatory AUM
$1,316,522,778
Main clients
Pooled investment vehicles
(100% of AUM)
Private funds
8 funds
· Hedge funds
Focus by fund count, roster of Oct 1, 2026
$1,316,522,778 gross assets
LEI
254900DH7DV9J5DJ8B29
Private funds on Schedule D 7.B.(1)
As filed Mar 28, 2024; SEC's bulk Form ADV archive ends with 2024 filings.
$900,361,242 gross assets in 8 funds
Hedge funds
$875,316,195
(6)
Venture capital funds
$25,045,047
(2)
Form ADV history
Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.
| Rosters | Regulatory AUM | Main clients |
|---|---|---|
| Apr 2026 to Oct 2026 | $1,316,522,778 | Pooled investment vehicles (100%) |
| Apr 2025 to Mar 2026 | $1,103,219,298 | Pooled investment vehicles (100%) |
| Apr 2024 to Mar 2025 | $900,361,242 | Pooled investment vehicles (100%) |
| May 2023 to Mar 2024 | $842,959,433 | Pooled investment vehicles (100%) |
| Apr 2023 | $842,959,433 | Pooled investment vehicles (100%) |
| Apr 2022 to Mar 2023 | $1,221,644,447 | Pooled investment vehicles (100%) |
3 earlier changes not shown.
Portfolio style
Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.
Style
Diversified active
Top 10 weight 37.5%, 43.8 effective positions, active share 98.0% against the Russell 2000 as of 2026-06-30; it meets none of the index-like, systematic-like or concentrated tests
Turnover
Medium turnover
42.6% over the last four quarters (30% to under 100%)
Horizon
Long horizon
Value-weighted holding period 13.9 quarters (12+), a floor since 23.7% of the book was already held when coverage starts
Closest benchmark: the Russell 2000 as of 2026-06-30, active share 98.0%; sector active share 38.3% against the combined 13F book's sector weights.
Over time 26 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.
View clone backtestPortfolio Concentration
104 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026Top Position
5.7%
−0.8 pts
Top 5
21.5%
−5.4 pts
Top 10
37.5%
−3.8 pts
HHI
228
Diversified−34
Portfolio Trend
26 quarters · across all stocks
Sector Breakdown
As of Jun 30, 2026| Sector | % Portfolio | Value |
|---|---|---|
| Technology | 44.8% | $512,172,551 |
| Healthcare | 26.6% | $304,166,967 |
| Industrials | 14.4% | $164,482,256 |
| Consumer Cyclical | 4.8% | $55,161,637 |
| Consumer Defensive | 2.7% | $30,445,991 |
| Communication Services | 2.3% | $26,524,416 |
| Basic Materials | 2.2% | $24,932,540 |
| Financial Services | 1.5% | $16,950,918 |
| Energy | 0.8% | $8,890,638 |
Last Quarter's Activity
Export CSVAdded To
Positions the filer increased
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| GRO | Brazil Potash Corp. | +2,771,400 | 5,000,000 | $10,750,000 | |
| TYGO | Tigo Energy, Inc. | +1,197,003 | 3,347,933 | $7,800,683 | |
| RANI | Rani Therapeutics Holdings, Inc. | +1,000,000 | 7,500,000 | $5,700,000 | |
| ABEO | Abeona Therapeutics Inc. | +683,000 | 1,486,130 | $9,184,283 | |
| NXDR | Nextdoor Holdings, Inc. | +501,366 | 2,655,204 | $6,027,313 | |
| RCAT | Red Cat Holdings, Inc. | +500,000 | 874,460 | $9,312,999 | |
| LPTH | Lightpath Technologies Inc | +499,912 | 2,537,522 | $41,488,484 | |
| BDTX | Black Diamond Therapeutics, Inc. | +475,000 | 1,000,000 | $1,850,000 | |
| FENC | Fennec Pharmaceuticals Inc. | +440,161 | 1,160,296 | $12,473,182 | |
| PAYS | Paysign, Inc. | +415,000 | 800,965 | $6,559,903 | |
| REAL | TheRealReal, Inc. | +319,800 | 1,803,647 | $21,264,998 | |
| AQST | Aquestive Therapeutics, Inc. | +205,000 | 475,400 | $1,977,664 | |
| ARLO | Arlo Technologies, Inc. | +200,900 | 1,466,009 | $19,761,801 | |
| GRSD | GRANDSTAND Ltd | +180,866 | 2,667,343 | $5,067,951 | |
| AMSC | American Superconductor Corp | +150,000 | 951,604 | $39,501,082 | |
| IPWR | Ideal Power Inc. | +149,395 | 1,346,244 | $7,215,867 | |
| LOVE | Lovesac Co | +110,400 | 610,402 | $10,187,609 | |
| MODD | Modular Medical, Inc. | +74,429 | 441,095 | $1,984,927 | |
| RNA | Atrium Therapeutics, Inc. | +57,500 | 107,500 | $1,445,875 | |
| IMDX | Insight Molecular Diagnostics Inc. | +30,436 | 2,836,692 | $16,736,482 | |
| — | +22,500 | 222,500 | $4,728,125 | ||
| AVAV | AeroVironment Inc | +16,250 | 146,908 | $24,250,103 | |
| OPRX | OptimizeRx Corp | +10,000 | 240,421 | $1,375,208 | |
| OPK | Opko Health, Inc. | +10,000 | 2,110,000 | $3,165,000 | |
| GLXY | Galaxy Digital Inc. | +2,000 | 447,000 | $12,220,980 | |
| No positions match the current search. | |||||
Trimmed
Positions the filer reduced
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| KOPN | Kopin Corp | −3,790,750 | 8,024,062 | $35,947,797 | |
| MRAM | Everspin Technologies Inc. | −1,327,241 | 750,000 | $18,135,000 | |
| GILT | Gilat Satellite Networks Ltd | −1,266,586 | 1,036,181 | $13,791,569 | |
| PEPG | PepGen Inc. | −1,230,925 | 600,000 | $1,080,000 | |
| AEHR | Aehr Test Systems | −1,219,163 | 374,808 | $36,004,056 | |
| AIOT | Powerfleet, Inc. | −861,043 | 3,840,463 | $14,708,973 | |
| OWLT | Owlet, Inc. | −753,117 | 1,225,353 | $7,033,526 | |
| VELO | Velo3D, Inc. | −656,216 | 1,322,066 | $23,202,258 | |
| ASPI | ASP Isotopes Inc. | −543,006 | 1,581,490 | $9,836,867 | |
| BKSY | BlackSky Technology Inc. | −525,610 | 1,200,000 | $33,504,000 | |
| ARBE | Arbe Robotics Ltd. | −395,453 | 5,506,444 | $4,570,348 | |
| MASS | 908 Devices Inc. | −320,151 | 4,879,773 | $42,454,025 | |
| DFTX | Definium Therapeutics, Inc. | −292,093 | 784,800 | $36,916,992 | |
| GRWG | GrowGeneration Corp. | −282,374 | 3,098,410 | $4,585,646 | |
| OOMA | Ooma Inc | −237,288 | 173,820 | $3,340,820 | |
| VICR | Vicor Corp | −139,199 | 148,981 | $56,580,004 | |
| FEAM | 5E Advanced Materials, Inc. | −123,616 | 3,126,384 | $4,345,673 | |
| ANRO | Alto Neuroscience, Inc. | −90,000 | 80,000 | $2,111,200 | |
| LASR | Nlight, Inc. | −84,728 | 939,011 | $65,373,945 | |
| ALMU | Aeluma, Inc. | −68,596 | 131,404 | $2,901,400 | |
| CEVA | Ceva Inc | −65,000 | 799,806 | $37,718,850 | |
| RDCM | Radcom Ltd | −39,465 | 951,796 | $13,420,323 | |
| CTRN | Citi Trends Inc | −32,000 | 134,127 | $7,757,905 | |
| OUST | Ouster, Inc. | −28,565 | 157,435 | $9,842,836 | |
| NGS | Natural Gas Services Group Inc | −25,044 | 189,732 | $8,185,038 | |
| No positions match the current search. | |||||
New Positions
Positions the filer opened this quarter
20 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| BRUN | Boost Run Inc. | 813,739 | $31,581,210 | |
| ASYS | Amtech Systems Inc | 690,000 | $15,925,200 | |
| SOPH | SOPHiA GENETICS SA | 1,700,000 | $9,809,000 | |
| SHMD | SCHMID Group N.V. | 1,388,976 | $8,694,989 | |
| LTRX | Lantronix Inc | 1,250,000 | $7,350,000 | |
| ELMT | Elmet Group Co. | 344,853 | $6,807,398 | |
| MEC | Mayville Engineering Company, Inc. | 180,000 | $6,742,800 | |
| LWAY | Lifeway Foods, Inc. | 223,000 | $6,654,320 | |
| NEOV | NeoVolta Inc. | 1,645,557 | $5,183,504 | |
| AURA | Aura Biosciences, Inc. | 591,285 | $4,198,123 | |
| FTH | Faeth Therapeutics, Inc. | 111,343 | $2,783,575 | |
| DETX | Liberty Defense Holdings, Ltd. | 514,300 | $2,072,629 | |
| SUNE | SUNation Energy, Inc. | 820,000 | $1,935,200 | |
| ANGX | Angel Studios, Inc. | 458,379 | $1,682,250 | |
| MSLE | Satellos Bioscience Inc. | 180,000 | $1,399,500 | |
| IRD | Opus Genetics, Inc. | 232,590 | $955,944 | |
| CREX | Creative Realities, Inc. | 200,000 | $826,000 | |
| FTK | Flotek Industries Inc | 30,000 | $705,600 | |
| SGMT | Sagimet Biosciences Inc. | 80,000 | $618,400 | |
| FABC | Fabric.AI, Inc. | 145,000 | $535,050 | |
| No positions match the current search. | ||||
Sold Out
Positions the filer fully exited
12 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| MDXH | MDxHealth SA | 5,221,282 | $12,008,948 | |
| TLSI | TriSalus Life Sciences, Inc. | 2,079,105 | $8,316,420 | |
| — | 779,299 | $8,299,534 | ||
| — | 2,255,940 | $5,639,850 | ||
| BLNE | Beeline Holdings, Inc. | 1,848,641 | $4,344,306 | |
| AVNW | Aviat Networks, Inc. | 165,723 | $3,746,997 | |
| GAIA | Gaia, Inc | 1,252,090 | $3,468,289 | |
| LYTS | Lsi Industries Inc | 176,097 | $3,275,404 | |
| INFU | InfuSystem Holdings, Inc | 201,077 | $1,855,940 | |
| NXTC | NextCure, Inc. | 117,371 | $1,253,522 | |
| CNTY | Century Casinos Inc | 639,834 | $889,369 | |
| UCTT | Ultra Clean Holdings, Inc. | 11,442 | $711,463 | |
| No positions match the current search. | ||||
104 tracked positions ·
$1,143,727,914 total
· filing declares
106 positions · $1,152,383,034
· as of Jun 30, 2026
All sectors
Basic Materials
Communication Services
Consumer Cyclical
Consumer Defensive
Energy
Financial Services
Healthcare
Industrials
Technology
Showing 1–50
of 104 positions by value
· page 1 of 3
| Ticker | Company | Type | Shares | Value (USD) | % of Portfolio | History |
|---|---|---|---|---|---|---|
| LASR |
Nlight, Inc.
Technology
|
Reduced | 939,011 | $65,373,945 | 5.72% | |
| VICR |
Vicor Corp
Technology
|
Reduced | 148,981 | $56,580,004 | 4.95% | |
| MASS |
908 Devices Inc.
Healthcare
|
Reduced | 4,879,773 | $42,454,025 | 3.71% | |
| LPTH |
Lightpath Technologies Inc
Technology
|
Added | 2,537,522 | $41,488,484 | 3.63% | |
| AMSC |
American Superconductor Corp
Industrials
|
Added | 951,604 | $39,501,082 | 3.45% | |
| CEVA |
Ceva Inc
Technology
|
Reduced | 799,806 | $37,718,850 | 3.30% | |
| BFLY |
Butterfly Network, Inc.
Healthcare
|
Held | 4,430,593 | $37,305,593 | 3.26% | |
| DFTX |
Definium Therapeutics, Inc.
Healthcare
|
Reduced | 784,800 | $36,916,992 | 3.23% | |
| AEHR |
Aehr Test Systems
Technology
|
Reduced | 374,808 | $36,004,056 | 3.15% | |
| KOPN |
Kopin Corp
Technology
|
Reduced | 8,024,062 | $35,947,797 | 3.14% | |
| BKSY |
BlackSky Technology Inc.
Industrials
|
Reduced | 1,200,000 | $33,504,000 | 2.93% | |
| BRUN |
Boost Run Inc.
Technology
|
NEW | 813,739 | $31,581,210 | 2.76% | |
| PI |
Impinj Inc
Technology
|
Held | 207,018 | $29,651,188 | 2.59% | |
| AVAV |
AeroVironment Inc
Industrials
|
Added | 146,908 | $24,250,103 | 2.12% | |
| VELO |
Velo3D, Inc.
Technology
|
Reduced | 1,322,066 | $23,202,258 | 2.03% | |
| BLZE |
Backblaze, Inc.
Technology
|
Held | 1,400,166 | $22,206,632 | 1.94% | |
| REAL |
TheRealReal, Inc.
Consumer Cyclical
|
Added | 1,803,647 | $21,264,998 | 1.86% | |
| UTI |
Universal Technical Institute Inc
Consumer Defensive
|
Held | 489,098 | $20,918,721 | 1.83% | |
|
|
Held | 3,826,892 | $19,899,838 | 1.74% | ||
| ARLO |
Arlo Technologies, Inc.
Industrials
|
Added | 1,466,009 | $19,761,801 | 1.73% | |
| MRAM |
Everspin Technologies Inc.
Technology
|
Reduced | 750,000 | $18,135,000 | 1.59% | |
| IMDX |
Insight Molecular Diagnostics Inc.
Healthcare
|
Added | 2,836,692 | $16,736,482 | 1.46% | |
| ASYS |
Amtech Systems Inc
Technology
|
NEW | 690,000 | $15,925,200 | 1.39% | |
| SRTA |
Strata Critical Medical, Inc.
Healthcare
|
Held | 2,821,468 | $14,869,136 | 1.30% | |
| AIOT |
Powerfleet, Inc.
Technology
|
Reduced | 3,840,463 | $14,708,973 | 1.29% | |
| GILT |
Gilat Satellite Networks Ltd
Technology
|
Reduced | 1,036,181 | $13,791,569 | 1.21% | |
| RDCM |
Radcom Ltd
Communication Services
|
Reduced | 951,796 | $13,420,323 | 1.17% | |
| FENC |
Fennec Pharmaceuticals Inc.
Healthcare
|
Added | 1,160,296 | $12,473,182 | 1.09% | |
| GLXY |
Galaxy Digital Inc.
Financial Services
|
Added | 447,000 | $12,220,980 | 1.07% | |
| ACOG |
Alpha Cognition Inc.
Healthcare
|
Held | 1,672,168 | $12,073,052 | 1.06% | |
| GRO |
Brazil Potash Corp.
Basic Materials
|
Added | 5,000,000 | $10,750,000 | 0.94% | |
| PVLA |
Palvella Therapeutics, Inc.
Healthcare
|
Held | 69,416 | $10,608,153 | 0.93% | |
| LOVE |
Lovesac Co
Consumer Cyclical
|
Added | 610,402 | $10,187,609 | 0.89% | |
| OUST |
Ouster, Inc.
Technology
|
Reduced | 157,435 | $9,842,836 | 0.86% | |
| ASPI |
ASP Isotopes Inc.
Basic Materials
|
Reduced | 1,581,490 | $9,836,867 | 0.86% | |
| SOPH |
SOPHiA GENETICS SA
Healthcare
|
NEW | 1,700,000 | $9,809,000 | 0.86% | |
| GNSS |
Genasys Inc.
Technology
|
Held | 5,649,544 | $9,604,224 | 0.84% | |
| RCAT |
Red Cat Holdings, Inc.
Industrials
|
Added | 874,460 | $9,312,999 | 0.81% | |
| ABEO |
Abeona Therapeutics Inc.
Healthcare
|
Added | 1,486,130 | $9,184,283 | 0.80% | |
| SHMD |
SCHMID Group N.V.
Industrials
|
NEW | 1,388,976 | $8,694,989 | 0.76% | |
| NGS |
Natural Gas Services Group Inc
Energy
|
Reduced | 189,732 | $8,185,038 | 0.72% | |
| TYGO |
Tigo Energy, Inc.
Technology
|
Added | 3,347,933 | $7,800,683 | 0.68% | |
| CTRN |
Citi Trends Inc
Consumer Cyclical
|
Reduced | 134,127 | $7,757,905 | 0.68% | |
| SPIR |
Spire Global, Inc.
Industrials
|
Reduced | 413,522 | $7,691,509 | 0.67% | |
| LTRX |
Lantronix Inc
Technology
|
NEW | 1,250,000 | $7,350,000 | 0.64% | |
| IPWR |
Ideal Power Inc.
Technology
|
Added | 1,346,244 | $7,215,867 | 0.63% | |
| OWLT |
Owlet, Inc.
Healthcare
|
Reduced | 1,225,353 | $7,033,526 | 0.61% | |
| ELMT |
Elmet Group Co.
Industrials
|
NEW | 344,853 | $6,807,398 | 0.60% | |
| MEC |
Mayville Engineering Company, Inc.
Industrials
|
NEW | 180,000 | $6,742,800 | 0.59% | |
| LWAY |
Lifeway Foods, Inc.
Consumer Defensive
|
NEW | 223,000 | $6,654,320 | 0.58% |
Showing the top 50 of 104 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.