Simplify Asset Management Inc.

Registered adviser

CIK

1846368

Location

Las Vegas, NV

Portfolio Value

Mid $6,108,145,488

Diversification

Highly concentrated

Filing Date

Global Rank

#686 / 8,818 ▼ 26 · as of Jun 2026

Top Industry

Biotechnology 22.8%

Period ended 28 days ago

Filed Oct 27, 2026 · 1d

24 quarters · since Dec 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

Form ADV adviser

CRD 309535

Roster of Oct 1, 2026

Regulatory AUM

$14,051,519,652

Main clients

Registered funds and BDCs (100% of AUM)

Private funds

0 funds

$0 gross assets

Registered funds advised

42 series (2 index, 42 ETFs)

$12,019,188,328 net assets· N-CEN Jun 30, 2026

LEI

549300E3XNKOUYLNJO28

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Sep 2026 to Oct 2026	$14,051,519,652	Registered funds and BDCs (100%)
Dec 2025 to Aug 2026	$9,635,489,613	Registered funds and BDCs (100%)
Sep 2024 to Sep 2025	$4,662,466,719	Registered funds and BDCs (100%)
Feb 2024 to Aug 2024	$3,183,394,013	Registered funds and BDCs (100%)
Oct 2023 to Jan 2024	$2,435,497,393	Registered funds and BDCs (100%)
May 2023 to Sep 2023	$1,355,634,801	Registered funds and BDCs (100%)

4 earlier changes not shown.

Stated strategy

Fixed income / rates, Multi-asset, Quantitative / systematic, Income, Wealth management / planning Form ADV Part 2A, Aug 21, 2026 · original

In the firm's words

Fixed income / rates: Simplify acts as advisor for a range of ETFs that include Equity, Fixed income, and Alternatives.
Multi-asset: Simplify’s SMAs will seek to leverage our capabilities across multiple asset classes and strategies available and deploy them in the flexible SMA portfolios.
Quantitative / systematic: Simplify’s Model Portfolios are constructed using quantitative and qualitative methodologies to select diversified ETFs across various sponsors and providers in an effort to enhance risk-adjusted returns based on the model objectives of Conservative, Moderate, Growth, Alternative, and Income.
Income: based on the model objectives of Conservative, Moderate, Growth, Alternative, and Income.
Wealth management / planning: select diversified ETFs across various sponsors and providers in an effort to enhance risk-adjusted returns

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Concentrated

The top 10 positions are 95.5% of the book (60%+)

Turnover

Low turnover

15.6% over the last four quarters (under 30%)

Horizon

Medium horizon

Value-weighted holding period 7.5 quarters (4 to under 12)

Closest benchmark: every 13F filer's combined book, active share 92.9%; sector active share 80.6% against the combined 13F book's sector weights.

Over time 23 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 backtest

Portfolio Concentration

113 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

68.9%

−5.0 pts

Top 5

93.4%

−0.2 pts

Top 10

95.3%

+0.2 pts

HHI

5,155

Highly concentrated−620

Portfolio Trend

24 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	93.1%	$5,685,409,408	20
Healthcare	5.9%	$357,416,501	63
Energy	0.5%	$33,240,564	2
Industrials	0.2%	$15,169,706	3
Real Estate	0.1%	$6,458,118	8
Technology	0.1%	$4,537,093	12
Consumer Cyclical	0.1%	$4,469,293	2
Financial Services	0.0%	$784,290	2
Consumer Defensive	0.0%	$660,515	1

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

10 positions

Ticker	Company	Δ Shares	Shares	Value
CTAP		+1,400,000	1,500,000	$44,010,000
QIS	Simplify Multi-QIS Alternative ETF	+700,000	4,477,620	$48,129,937
XV		+525,000	1,149,406	$27,700,684
BHR	Braemar Hotels & Resorts Inc.	+470,000	653,000	$1,090,510
PCT	PureCycle Technologies, Inc.	+278,065	3,326,255	$14,668,784
FLL	Full House Resorts Inc	+210,500	607,500	$862,650
WRBY	Warby Parker Inc.	+40,271	627,337	$17,427,421
GH	Guardant Health, Inc.	+21,369	48,940	$8,728,938
LLY	ELI LILLY & Co	+15,373	30,088	$34,814,223
TMO	Thermo Fisher Scientific Inc.	+1,051	24,130	$16,288,956
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
SBIL		−9,393,624	39,748,238	$3,977,208,694
TUA	Simplify Short Term Treasury Futures Strategy ETF	−4,787,000	23,740	$452,009
AGGH	Simplify Exchange Traded Funds	−1,458,000	651,127	$12,325,834
SPUC	Simplify US Equity Income ETF	−1,075,000	559,812	$27,150,882
NXTI	Simplify Next Intangible Core Index ETF	−725,000	97,303	$3,494,734
BUCK	Simplify Treasury Option Income ETF	−725,000	975,000	$22,503,000
ACHV	Achieve Life Sciences, Inc.	−500,000	932,105	$7,540,729
BHVN	Biohaven Ltd.	−489,562	550,693	$7,351,751
AGG	iShares Core U.S. Aggregate Bond ETF	−331,696	4,710,059	$445,288,977
TXG	10x Genomics, Inc.	−224,699	68,239	$6,166,076
RITM	Rithm Capital Corp.	−141,890	269,703	$2,408,447
IBIT	iShares Bitcoin Trust ETF	−129,600	357,300	$16,914,582
MFA	Mfa Financial, Inc.	−101,973	65,773	$516,318
HODL	VanEck Bitcoin ETF	−88,584	175,843	$4,153,411
DX	Dynex Capital Inc	−83,586	50,914	$567,181
ABEO	Abeona Therapeutics Inc.	−69,083	276,333	$1,450,748
AGNC	AGNC Investment Corp.	−67,883	47,602	$431,750
NLY	Annaly Capital Management Inc	−44,392	27,447	$518,473
DCTH	Delcath Systems, Inc.	−37,091	227,679	$3,636,033
DHR	Danaher Corp	−33,329	9,505	$2,105,832
CLDX	Celldex Therapeutics, Inc.	−31,505	21,629	$700,995
UTHR	UNITED THERAPEUTICS Corp	−29,327	16,084	$8,715,758
IVV	iShares Core S&P 500 ETF	−24,060	1,018,592	$780,088,683
CMPS	COMPASS Pathways plc	−23,900	90,381	$1,124,339
ELV	Elevance Health, Inc.	−18,261	7,316	$2,844,607
No positions match the current search.

New Positions

Positions the filer opened this quarter

12 positions

Ticker	Company	Shares	Value
HUM	Humana Inc	65,190	$24,874,548
ARQT	Arcutis Biotherapeutics, Inc.	865,862	$22,884,732
AVTR	Avantor, Inc.	965,919	$14,537,080
SMMT	Summit Therapeutics Inc.	510,106	$8,625,892
GRAL	GRAIL, Inc.	42,969	$6,020,816
HSIC	Henry Schein Inc	37,999	$3,190,776
COLL	Collegium Pharmaceutical, Inc	93,521	$2,040,628
DINE		75,000	$1,828,875
CABA	Cabaletta Bio, Inc.	556,235	$1,067,971
PROK	Prokidney Corp.	483,741	$803,010
CRWD	CrowdStrike Holdings, Inc.	1,535	$406,391
CRVS	Corvus Pharmaceuticals, Inc.	25,000	$288,000
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
NVO	Novo Nordisk A S	504,918	$24,205,768
ALGN	Align Technology Inc	66,847	$11,274,415
AZN	Astrazeneca PLC	34,188	$6,482,728
EYPT	EyePoint, Inc.	400,044	$5,720,629
ISRG	Intuitive Surgical Inc	7,492	$2,979,418
ZVRA	Zevra Therapeutics, Inc.	70,759	$1,014,684
OWL	Blue Owl Capital Inc.	106,500	$931,875
MRK	Merck & Co., Inc.	7,167	$920,959
CIM	Chimera Investment Corp	51,025	$680,673
BSX	Boston Scientific Corp	15,014	$640,797
CAT	Caterpillar Inc	558	$594,214
FTNT	Fortinet, Inc.	3,513	$539,667
CDNS	Cadence Design Systems Inc	1,356	$508,933
AMAT	Applied Materials Inc	691	$499,593
ADBE	Adobe Inc.	2,379	$487,742
LRCX	Lam Research Corp	1,105	$478,829
NET	Cloudflare, Inc.	1,906	$467,503
SPOT	Spotify Technology S.A.	1,006	$461,884
DDOG	Datadog, Inc.	1,733	$451,203
GEV	GE Vernova Inc.	374	$439,397
CMCSA	Comcast Corp	16,385	$402,251
CIEN	Ciena Corp	786	$385,580
HD	Home Depot, Inc.	1,074	$378,778
INTU	Intuit Inc.	1,392	$363,312
KO	Coca Cola Co	4,089	$332,313
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

113 tracked positions · $6,108,145,488 total · filing declares 115 positions · $6,108,063,357 · as of Sep 30, 2026

All sectors Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology

Showing 1–50 of 113 positions by value · page 1 of 3

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
SBIL		Reduced	39,748,238	-9,393,624	$3,977,208,694	−19.1%	65.11%
IVV	iShares Core S&P 500 ETF	Reduced	1,018,592	-24,060	$780,088,683	−0.1%	12.77%
AGG	iShares Core U.S. Aggregate Bond ETF	Reduced	4,710,059	-331,696	$445,288,977	−10.8%	7.29%
IBIT	iShares Bitcoin Trust ETF PUT CALL + SHARES	Added	3,120,000	+1,177,300	$147,700,800	+128.4%	2.42%
GLD	Spdr Gold Trust CALL	Added	235,100	+125,100	$89,535,484	+121.0%	1.47%
QIS	Simplify Multi-QIS Alternative ETF	Added	4,477,620	+700,000	$48,129,937	+27.1%	0.79%
CTAP		Added	1,500,000	+1,400,000	$44,010,000	+1566.4%	0.72%
NMB		Held	1,553,376	0	$35,906,286	−7.2%	0.59%
LLY	ELI LILLY & Co Healthcare	Added	30,088	+15,373	$34,814,223	+97.3%	0.57%
PAGP	Plains Gp Holdings LP Energy	Held	1,272,360	0	$32,954,124	+6.7%	0.54%
XV		Added	1,149,406	+525,000	$27,700,684	+79.0%	0.45%
SPUC	Simplify US Equity Income ETF	Reduced	559,812	-1,075,000	$27,150,882	−66.2%	0.44%
HUM	Humana Inc Healthcare	NEW	65,190	NEW	$24,874,548	NEW	0.41%
ARQT	Arcutis Biotherapeutics, Inc. Healthcare	NEW	865,862	NEW	$22,884,732	NEW	0.37%
BUCK	Simplify Treasury Option Income ETF	Reduced	975,000	-725,000	$22,503,000	−43.5%	0.37%
WRBY	Warby Parker Inc. Healthcare	Added	627,337	+40,271	$17,427,421	−2.2%	0.29%
ABBV	AbbVie Inc. Healthcare	Reduced	64,262	-199	$16,810,296	+3.6%	0.28%
JNJ	Johnson & Johnson Healthcare	Reduced	62,457	-10,422	$16,534,866	−10.7%	0.27%
TMO	Thermo Fisher Scientific Inc. Healthcare	Added	24,130	+1,051	$16,288,956	+40.8%	0.27%
UNH	Unitedhealth Group Inc Healthcare	Reduced	41,403	-809	$15,198,213	−13.4%	0.25%
PCT	PureCycle Technologies, Inc. Industrials	Added	3,326,255	+278,065	$14,668,784	−40.7%	0.24%
AVTR	Avantor, Inc. Healthcare	NEW	965,919	NEW	$14,537,080	NEW	0.24%
JAZZ	Jazz Pharmaceuticals plc Healthcare	Reduced	53,790	-14,770	$12,453,460	−24.6%	0.20%
AGGH	Simplify Exchange Traded Funds	Reduced	651,127	-1,458,000	$12,325,834	−71.0%	0.20%
GILD	Gilead Sciences, Inc. Healthcare	Reduced	81,061	-264	$12,082,142	+17.6%	0.20%
DGX	Quest Diagnostics Inc Healthcare	Reduced	49,538	-177	$11,545,821	+9.6%	0.19%
BNTC	Benitec Biopharma Inc. Healthcare	Reduced	1,002,201	-3,356	$10,022,010	−25.5%	0.16%
CAS	Simplify China A Shares PLUS Income ETF	Held	428,078	0	$10,020,235	−19.5%	0.16%
AMGN	Amgen Inc Healthcare	Reduced	20,917	-57	$8,816,724	+16.1%	0.14%
GH	Guardant Health, Inc. Healthcare	Added	48,940	+21,369	$8,728,938	+111.0%	0.14%
UTHR	UNITED THERAPEUTICS Corp Healthcare	Reduced	16,084	-29,327	$8,715,758	−64.6%	0.14%
SMMT	Summit Therapeutics Inc. Healthcare	NEW	510,106	NEW	$8,625,892	NEW	0.14%
ACHV	Achieve Life Sciences, Inc. Healthcare	Reduced	932,105	-500,000	$7,540,729	−19.4%	0.12%
BHVN	Biohaven Ltd. Healthcare	Reduced	550,693	-489,562	$7,351,751	−52.5%	0.12%
TXG	10x Genomics, Inc. Healthcare	Reduced	68,239	-224,699	$6,166,076	−45.1%	0.10%
GRAL	GRAIL, Inc. Healthcare	NEW	42,969	NEW	$6,020,816	NEW	0.10%
CVS	CVS HEALTH Corp Healthcare	Reduced	69,933	-1,157	$5,992,558	−18.5%	0.10%
CAH	Cardinal Health Inc Healthcare	Reduced	26,830	-94	$5,969,675	−6.7%	0.10%
VRTX	Vertex Pharmaceuticals Inc Healthcare	Reduced	10,428	-28	$5,451,862	+5.0%	0.09%
HODL	VanEck Bitcoin ETF	Reduced	175,843	-88,584	$4,153,411	−5.4%	0.07%
ESTA	Establishment Labs Holdings Inc. Healthcare	Reduced	60,333	-207	$3,871,568	−25.5%	0.06%
DCTH	Delcath Systems, Inc. Healthcare	Reduced	227,679	-37,091	$3,636,033	+9.1%	0.06%
TSLA	Tesla, Inc. Consumer Cyclical	Reduced	10,165	-456	$3,606,643	−19.3%	0.06%
NXTI	Simplify Next Intangible Core Index ETF	Reduced	97,303	-725,000	$3,494,734	−87.8%	0.06%
GEHC	GE HealthCare Technologies Inc. Healthcare	Reduced	51,877	-163	$3,391,199	+1.8%	0.06%
HSIC	Henry Schein Inc Healthcare	NEW	37,999	NEW	$3,190,776	NEW	0.05%
LITL		Held	91,464	0	$3,015,568	−4.2%	0.05%
MIST	Milestone Pharmaceuticals Inc. Healthcare	Held	3,349,379	0	$2,899,557	−35.4%	0.05%
ELV	Elevance Health, Inc. Healthcare	Reduced	7,316	-18,261	$2,844,607	−71.2%	0.05%
XXV	Simplify Ancorato Target 25 Distribution ETF	Held	116,500	0	$2,676,005	−2.9%	0.04%

Showing the top 50 of 113 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.