3D/L Capital Management, LLC

CIK

1846943

Location

Hartford, CT

Portfolio Value

Small $304,635,009

Diversification

Moderately concentrated

Filing Date

Global Rank

#3,552 / 7,036 ▼ 172 · as of Sep 2023

Top Industry

Consumer Electronics 58.8%

3Y Alpha vs SPY

-18.2%

Period ended 3 years ago

Filed Oct 26, 2023 · 3y

12 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

Unknown

Portfolio style

Measured from the filed 13F common-share book for Sep 30, 2023, never from the firm's own description.

Style

Concentrated

The top 10 positions are 92.6% of the book (60%+)

Turnover

Medium turnover

39.2% over the last four quarters (30% to under 100%)

Horizon

Medium horizon

Value-weighted holding period 8.5 quarters (4 to under 12)

Closest benchmark: every 13F filer's combined book, active share 92.1%; sector active share 86.5% against the combined 13F book's sector weights.

Over time 12 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

79 tracked positions · as of Sep 30, 2023 · Δ vs Jun 30, 2023

Top Position

34.8%

+1.3 pts

Top 5

77.1%

+0.4 pts

Top 10

92.6%

+0.5 pts

HHI

1,755

Moderately concentrated+62

Portfolio Trend

12 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2023

Sector	% Portfolio	Value	Positions
Unclassified	99.1%	$301,767,055	76
Technology	0.6%	$1,687,103	1
Financial Services	0.3%	$799,728	1
Healthcare	0.1%	$381,123	1

Last Quarter's Activity

Export CSV

Sep 30, 2023 vs Jun 30, 2023

Added To

Positions the filer increased

22 positions

Ticker	Company	Δ Shares	Shares	Value
RVNU	Xtrackers Municipal Infrastructure Revenue Bond Active ETF	+70,598	88,459	$2,100,016
ACWV	iShares Trust	+1,103	7,449	$0
PFE	Pfizer Inc	+749	11,490	$381,123
DFAS	Dimensional U.S. Small Cap ETF	+671	51,817	$2,719,874
DFAX	Dimensional World ex. U.S. Core Equity 2 ETF	+450	20,420	$459,858
BNDC	FlexShares Trust	+373	46,723	$989,780
HYGV	FlexShares High Yield Value - Scored Bond Index Fund	+230	10,960	$435,769
DFAC	Dimensional U.S. Core Equity 2 ETF	+207	25,586	$670,353
GWX	State Street(R) SPDR(R) S&P(R) International Small Cap ETF	+152	11,891	$346,503
CPTL	Global X Morningstar Capital Allocation Leaders ETF	+123	25,740	$768,596
TDTT	FlexShares iBoxx 3-Year Target Duration TIPS Index Fund	+103	10,062	$233,337
—		+94	7,515	$239,179
GUNR	FlexShares Morningstar Global Upstream Natural Resources Index Fund	+74	7,835	$316,847
AAPL	Apple Inc.	+50	9,854	$1,687,103
TLTD	FlexShares Morningstar Developed Markets ex-US Factor Tilt Index Fund	+49	8,351	$522,355
NUSC	Nuveen ESG Small-Cap ETF	+44	16,296	$567,426
XBI	State Street(R) SPDR(R) S&P(R) Biotech ETF	+42	3,208	$234,248
—		+12	6,083	$284,866
ERTH	Victory Portfolios II	+11	5,338	$236,366
TILT	FlexShares Morningstar US Market Factor Tilt Index Fund	+8	2,394	$389,934
IJT	iShares S&P Small-Cap 600 Growth ETF	+5	2,171	$238,115
VOT	VANGUARD MID-CAP GROWTH INDEX FUND	+4	2,802	$545,745
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
DUHP	Dimensional US High Profitability ETF	−87,273	1,194,035	$30,674,759
BOND	PIMCO Active Bond Exchange-Traded Fund	−49,603	154,687	$13,596,987
MUB	iShares National Muni Bond ETF	−49,585	5,078	$520,698
IVLU	iShares MSCI Intl Value Factor ETF	−40,469	854,112	$21,660,280
EZM	WisdomTree U.S. MidCap Fund	−34,703	369,398	$18,743,254
—		−32,632	835,639	$17,755,657
DFIC	Dimensional International Core Equity 2 ETF	−32,181	896,464	$20,932,434
AGGY	WisdomTree Trust	−29,977	98,592	$4,092,553
DFSV	Dimensional US Small Cap Value ETF	−29,029	337,497	$8,552,173
FOCT	FT Vest U.S. Equity Buffer ETF - October	−26,660	22,069	$806,180
LMBS	First Trust Low Duration Opportunities ETF	−20,454	68,922	$3,255,875
BAB	Invesco Exchange-Traded Fund Trust II	−19,497	88,739	$2,244,209
EES	WisdomTree U.S. SmallCap Fund	−19,224	201,526	$8,720,030
DFAE	Dimensional Emerging Core Equity Market ETF	−17,821	684,953	$15,459,389
VTV	VANGUARD VALUE INDEX FUND	−17,781	203,789	$28,108,616
JMST	JPMorgan Ultra-Short Municipal Income ETF	−16,286	47,933	$2,418,219
DIHP	Dimensional International High Profitability ETF	−13,277	153,224	$3,553,264
DFEV	Dimensional Emerging Markets Value ETF	−12,242	443,749	$10,503,538
VEA	Vanguard FTSE Developed Markets ETF	−9,832	13,677	$597,958
DLS	WisdomTree International SmallCap Dividend Fund	−9,231	240,789	$13,838,143
XLF	State Street Corp	−8,386	24,110	$799,728
BNDX	Vanguard Total International Bond ETF	−5,891	6,692	$320,078
BSV	VANGUARD SHORT-TERM BOND INDEX FUND	−4,047	4,166	$313,158
XLC	State Street(R) Communication Services Select Sector SPDR(R) ETF	−3,630	11,436	$749,858
VWO	VANGUARD EMERGING MARKETS STOCK INDEX FUND	−3,520	5,215	$204,480
No positions match the current search.

New Positions

Positions the filer opened this quarter

8 positions

Ticker	Company	Shares	Value
FMAY	FT Vest U.S. Equity Buffer ETF - May	745,536	$28,554,028
JMUB	JPMorgan Municipal ETF	50,939	$2,463,919
FMB	First Trust Managed Municipal ETF	33,556	$1,640,217
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	9,616	$1,576,350
DMAY	FT Vest U.S. Equity Deep Buffer ETF - May	27,188	$921,129
XLY	State Street(R) Consumer Discretionary Select Sector SPDR(R) ETF	4,167	$670,803
QQQE	Direxion NASDAQ-100 Equal Weighted Index Shares	6,338	$473,892
OIH	VanEck Oil Services ETF	588	$202,883
No positions match the current search.

Sold Out

Positions the filer fully exited

24 positions

Ticker	Company	Shares	Value
FFEB	FT Vest U.S. Equity Buffer ETF - February	636,085	$25,338,445
MLN	VanEck Long Muni ETF	134,807	$2,419,785
DFEB	FT Vest U.S. Equity Deep Buffer ETF - February	22,681	$802,226
J	Jacobs Solutions Inc.	4,485	$533,221
BRK-A	Berkshire Hathaway Inc	1	$517,810
QMAR	FT Vest Nasdaq-100 Buffer ETF - March	20,578	$493,378
IUSB	iShares Core Universal USD Bond ETF	9,390	$426,963
SHY	iShares 1-3 Year Treasury Bond ETF	4,878	$395,508
QUAL	iShares MSCI USA Quality Factor ETF	2,370	$319,641
BLV	VANGUARD LONG-TERM BOND INDEX FUND	4,143	$310,393
EFG	iShares MSCI EAFE Growth ETF	3,047	$290,714
VMBS	VANGUARD MORTGAGE-BACKED SECURITIES INDEX FUND	6,295	$289,507
BIV	Vanguard Bond Index Funds	3,762	$283,015
AGG	iShares Core U.S. Aggregate Bond ETF	2,601	$254,767
—		9,302	$247,526
VB	Vanguard Index Funds	1,223	$243,242
IVW	iShares S&P 500 Growth ETF	3,401	$239,702
IEFA	iShares Core MSCI EAFE ETF	3,442	$232,335
EFV	iShares MSCI EAFE Value ETF	4,507	$220,572
IWB	iShares Russell 1000 ETF	899	$219,122
ESGU	iShares ESG Aware MSCI USA ETF	2,208	$215,191
PHO	Victory Portfolios II	3,684	$207,740
CEW	WisdomTree Emerging Currency Strategy Fund	10,792	$190,262
IEMG	iShares Trust	5,245	$0
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

79 tracked positions · $304,635,009 total · filing declares 81 positions · $307,754,106 · as of Sep 30, 2023

All sectors Financial Services Healthcare Technology

Showing 1–50 of 79 positions by value · page 1 of 2

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
DUHP	Dimensional US High Profitability ETF	Reduced	1,194,035	-87,273	$30,674,759	−9.8%	6	$24.34	10.07%
FMAY	FT Vest U.S. Equity Buffer ETF - May	NEW	745,536	NEW	$28,554,028	NEW	1	unpriced	9.37%
VTV	VANGUARD VALUE INDEX FUND	Reduced	203,789	-17,781	$28,108,616	−10.7%	12	before history	9.23%
IVLU	iShares MSCI Intl Value Factor ETF	Reduced	854,112	-40,469	$21,660,280	−4.9%	12	before history	7.11%
DFIC	Dimensional International Core Equity 2 ETF	Reduced	896,464	-32,181	$20,932,434	−7.1%	6	$23.16	6.87%
EZM	WisdomTree U.S. MidCap Fund	Reduced	369,398	-34,703	$18,743,254	−12.4%	12	before history	6.15%
		Reduced	835,639	-32,632	$17,755,657	−9.6%	12	before history	5.83%
DFAE	Dimensional Emerging Core Equity Market ETF	Reduced	684,953	-17,821	$15,459,389	−6.2%	6	$24.43	5.07%
DLS	WisdomTree International SmallCap Dividend Fund	Reduced	240,789	-9,231	$13,838,143	−6.9%	12	before history	4.54%
BOND	PIMCO Active Bond Exchange-Traded Fund	Reduced	154,687	-49,603	$13,596,987	−27.4%	12	before history	4.46%
DFEV	Dimensional Emerging Markets Value ETF	Reduced	443,749	-12,242	$10,503,538	−5.5%	6	$24.31	3.45%
EES	WisdomTree U.S. SmallCap Fund	Reduced	201,526	-19,224	$8,720,030	−11.8%	12	before history	2.86%
DFSV	Dimensional US Small Cap Value ETF	Reduced	337,497	-29,029	$8,552,173	−9.2%	6	$24.42	2.81%
DFUS	Dimensional U.S. Equity Market ETF	Reduced	119,483	-1,501	$5,561,933	−4.5%	10	unpriced	1.83%
AGGY	WisdomTree Trust	Reduced	98,592	-29,977	$4,092,553	−26.1%	12	before history	1.34%
DIHP	Dimensional International High Profitability ETF	Reduced	153,224	-13,277	$3,553,264	−12.8%	6	$23.05	1.17%
JHMM	John Hancock Multifactor Mid Cap ETF	Reduced	74,537	-772	$3,527,090	−5.7%	12	before history	1.16%
LMBS	First Trust Low Duration Opportunities ETF	Reduced	68,922	-20,454	$3,255,875	−23.6%	12	before history	1.07%
DFAT	Dimensional U.S. Targeted Value ETF	Reduced	62,044	-102	$2,834,790	−1.7%	10	unpriced	0.93%
DFAS	Dimensional U.S. Small Cap ETF	Added	51,817	+671	$2,719,874	−3.0%	10	unpriced	0.89%
JMUB	JPMorgan Municipal ETF	NEW	50,939	NEW	$2,463,919	NEW	1	$49.63	0.81%
JMST	JPMorgan Ultra-Short Municipal Income ETF	Reduced	47,933	-16,286	$2,418,219	−25.7%	12	before history	0.79%
BAB	Invesco Exchange-Traded Fund Trust II	Reduced	88,739	-19,497	$2,244,209	−21.9%	12	before history	0.74%
RVNU	Xtrackers Municipal Infrastructure Revenue Bond Active ETF	Added	88,459	+70,598	$2,100,016	+366.4%	12	before history	0.69%
DFIV	Dimensional International Value ETF	Reduced	63,827	-361	$2,082,036	−1.3%	9	unpriced	0.68%
DFUV	Dimensional U.S. Marketwide Value ETF	Reduced	58,549	-648	$1,991,836	−2.5%	6	$33.34	0.65%
AAPL	Apple Inc. Technology	Added	9,854	+50	$1,687,103	−11.3%	12	before history	0.55%
FMB	First Trust Managed Municipal ETF	NEW	33,556	NEW	$1,640,217	NEW	1	$50.21	0.54%
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	NEW	9,616	NEW	$1,576,350	NEW	1	unpriced	0.52%
BNDC	FlexShares Trust	Added	46,723	+373	$989,780	−3.5%	12	before history	0.32%
QLC	FlexShares US Quality Large Cap Index Fund	Reduced	20,627	-1,823	$983,495	−10.9%	12	before history	0.32%
DMAY	FT Vest U.S. Equity Deep Buffer ETF - May	NEW	27,188	NEW	$921,129	NEW	1	unpriced	0.30%
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	Reduced	6,966	-2,398	$896,802	−27.8%	3	unpriced	0.29%
NULG	Nuveen ESG Large-Cap Growth ETF	Reduced	13,612	-76	$816,311	−4.1%	12	before history	0.27%
FOCT	FT Vest U.S. Equity Buffer ETF - October	Reduced	22,069	-26,660	$806,180	−56.2%	4	unpriced	0.26%
XLF	State Street Corp Financial Services	Reduced	24,110	-8,386	$799,728	−27.0%	3	$34.75	0.26%
IVV	iShares Core S&P 500 ETF	Reduced	1,832	-838	$786,715	−33.9%	11	unpriced	0.26%
CPTL	Global X Morningstar Capital Allocation Leaders ETF	Added	25,740	+123	$768,596	−3.3%	12	before history	0.25%
XLC	State Street(R) Communication Services Select Sector SPDR(R) ETF	Reduced	11,436	-3,630	$749,858	−23.5%	2	unpriced	0.25%
XLI	State Street(R) Industrial Select Sector SPDR(R) ETF	Reduced	6,830	-2,380	$692,425	−29.9%	2	unpriced	0.23%
XLY	State Street(R) Consumer Discretionary Select Sector SPDR(R) ETF	NEW	4,167	NEW	$670,803	NEW	1	unpriced	0.22%
DFAC	Dimensional U.S. Core Equity 2 ETF	Added	25,586	+207	$670,353	−2.7%	8	$27.34	0.22%
JIG	JPMorgan International Growth ETF	Reduced	11,625	-270	$621,867	−11.5%	9	$77.15	0.20%
VEA	Vanguard FTSE Developed Markets ETF	Reduced	13,677	-9,832	$597,958	−44.9%	12	before history	0.20%
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	Reduced	6,503	-2,769	$587,806	−21.9%	4	unpriced	0.19%
VUG	VANGUARD GROWTH INDEX FUND	Reduced	2,111	-1,669	$574,846	−46.3%	11	unpriced	0.19%
NUSC	Nuveen ESG Small-Cap ETF	Added	16,296	+44	$567,426	−5.6%	11	$41.74	0.19%
VOT	VANGUARD MID-CAP GROWTH INDEX FUND	Added	2,802	+4	$545,745	−5.2%	11	unpriced	0.18%
TLTD	FlexShares Morningstar Developed Markets ex-US Factor Tilt Index Fund	Added	8,351	+49	$522,355	−3.1%	12	before history	0.17%
MUB	iShares National Muni Bond ETF	Reduced	5,078	-49,585	$520,698	−91.1%	11	unpriced	0.17%

Showing the top 50 of 79 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.