Wernau Asset Management Inc.

Registered adviser

CIK

2053236

Location

Gloucester, MA

Portfolio Value

Small $214,792,155

Diversification

Highly concentrated

Filing Date

Global Rank

#6,510 / 8,807 ▲ 189 · as of Jun 2026

Top Industry

Consumer Electronics 52.1%

Period ended 20 days ago

Filed Oct 19, 2026 · 1d

8 quarters · since Dec 2024

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 129473

Roster of Oct 1, 2026

Regulatory AUM

$202,609,112

Main clients

Individuals and high net worth (87% of AUM)

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 75.5% of the book (60%+)

Turnover

Low turnover

3.4% over the last four quarters (under 30%)

Horizon

Medium horizon

Value-weighted holding period 6.9 quarters (4 to under 12)

Closest benchmark: the S&P 500 as of 2026-06-30, active share 71.4%; sector active share 28.7% against the combined 13F book's sector weights.

Over time 7 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

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

Top Position

40.6%

−1.9 pts

Top 5

80.9%

+3.1 pts

Top 10

88.8%

+2.2 pts

HHI

2,532

Highly concentrated+119

Portfolio Trend

8 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	45.2%	$97,097,742	17
Technology	33.4%	$71,706,039	5
Financial Services	7.4%	$15,923,276	5
Communication Services	7.3%	$15,629,516	6
Healthcare	2.0%	$4,398,635	4
Consumer Cyclical	1.5%	$3,116,680	3
Utilities	1.3%	$2,760,398	2
Consumer Defensive	1.1%	$2,363,920	2
Energy	0.7%	$1,586,648	3
Real Estate	0.1%	$209,301	1

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

20 positions

Ticker	Company	Δ Shares	Shares	Value
SCHF	Schwab International Equity ETF	+351	49,939	$1,371,824
SCHD	Schwab U.S. Dividend Equity ETF	+218	34,212	$1,112,916
NFLX	Netflix Inc	+174	3,478	$241,999
KMI	Kinder Morgan, Inc.	+127	15,962	$481,254
VTWO	VANGUARD RUSSELL 2000 INDEX FUND	+122	23,922	$2,685,005
VO	VANGUARD MID-CAP INDEX FUND	+119	15,100	$1,184,142
CSCO	Cisco Systems, Inc.	+47	19,254	$2,072,308
NLY	Annaly Capital Management Inc	+44	11,080	$209,301
SBUX	Starbucks Corp	+42	2,827	$265,624
DIS	Walt Disney Co	+38	9,783	$1,026,236
NVDA	Nvidia Corp	+28	5,323	$1,215,666
VWO	VANGUARD EMERGING MARKETS STOCK INDEX FUND	+17	17,833	$1,057,675
AMZN	Amazon Com Inc	+16	10,314	$2,569,733
ABBV	AbbVie Inc.	+15	1,298	$339,543
MSFT	Microsoft Corp	+9	12,924	$6,628,719
GLD	Spdr Gold Trust	+8	1,919	$730,831
XOM	ExxonMobil Holdings Corp	+7	5,289	$860,784
BRK-B	Berkshire Hathaway Inc	+7	14,590	$7,265,090
GOOG	Alphabet Inc.	+1	22,771	$7,758,990
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	+1	1,014	$379,479
No positions match the current search.

Trimmed

Positions the filer reduced

12 positions

Ticker	Company	Δ Shares	Shares	Value
PFE	Pfizer Inc	−2,774	116,951	$3,335,442
AAPL	Apple Inc.	−1,430	89,612	$29,842,588
T	At&T Inc.	−1,429	82,024	$2,001,385
BAC	Bank Of America Corp /De/	−1,200	81,755	$4,449,924
VZ	Verizon Communications Inc	−514	21,532	$987,672
F	Ford Motor Co	−478	23,327	$281,323
UTL	Unitil Corp	−422	44,104	$2,238,719
JPM	Jpmorgan Chase & Co	−149	9,686	$3,204,419
PBA	Pembina Pipeline Corp	−85	5,487	$244,610
SPY	Spdr S&P 500 ETF Trust	−36	16,823	$12,829,724
KKR	KKR & Co. Inc.	−35	10,995	$1,003,843
PG	PROCTER & GAMBLE Co	−31	13,449	$1,953,870
No positions match the current search.

New Positions

Positions the filer opened this quarter

1 positions

Ticker	Company	Shares	Value	Open
SCHX	Schwab U.S. Large-Cap ETF	6,754	$202,620
No positions match the current search.

Sold Out

Positions the filer fully exited

1 positions

Ticker	Company	Shares	Value	Open
VONV	VANGUARD RUSSELL 1000 VALUE INDEX FUND	1,885	$200,394
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

48 tracked positions · $214,792,155 total · filing declares 51 positions · $216,707,181 · as of Sep 30, 2026

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

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
SPY	Spdr S&P 500 ETF Trust PUT + SHARES	Added	114,323	+4,764	$87,186,149	+6.6%	40.59%
AAPL	Apple Inc. PUT + SHARES Technology	Added	184,112	+32,070	$61,312,978	+39.4%	28.55%
GOOG	Alphabet Inc. PUT + SHARES Communication Services	Added	23,271	+1	$7,929,360	−3.6%	3.69%
BRK-B	Berkshire Hathaway Inc Financial Services	Added	14,590	+7	$7,265,090	−0.4%	3.38%
MSFT	Microsoft Corp Technology	Added	12,924	+9	$6,628,719	+37.6%	3.09%
BAC	Bank Of America Corp /De/ Financial Services	Reduced	81,755	-1,200	$4,449,924	−5.9%	2.07%
GOOGL	Alphabet Inc. Communication Services	Held	10,006	0	$3,442,864	−3.7%	1.60%
PFE	Pfizer Inc Healthcare	Reduced	116,951	-2,774	$3,335,442	+15.7%	1.55%
JPM	Jpmorgan Chase & Co Financial Services	Reduced	9,686	-149	$3,204,419	−0.5%	1.49%
VTWO	VANGUARD RUSSELL 2000 INDEX FUND	Added	23,922	+122	$2,685,005	−7.1%	1.25%
AMZN	Amazon Com Inc Consumer Cyclical	Added	10,314	+16	$2,569,733	+4.7%	1.20%
UTL	Unitil Corp Utilities	Reduced	44,104	-422	$2,238,719	−4.6%	1.04%
CSCO	Cisco Systems, Inc. Technology	Added	19,254	+47	$2,072,308	−8.1%	0.96%
T	At&T Inc. Communication Services	Reduced	82,024	-1,429	$2,001,385	+15.9%	0.93%
PG	PROCTER & GAMBLE Co Consumer Defensive	Reduced	13,449	-31	$1,953,870	−1.2%	0.91%
SCHF	Schwab International Equity ETF	Added	49,939	+351	$1,371,824	−0.1%	0.64%
NVDA	Nvidia Corp Technology	Added	5,323	+28	$1,215,666	+14.7%	0.57%
VO	VANGUARD MID-CAP INDEX FUND	Added	15,100	+119	$1,184,142	−1.9%	0.55%
SCHD	Schwab U.S. Dividend Equity ETF	Added	34,212	+218	$1,112,916	+3.2%	0.52%
VWO	VANGUARD EMERGING MARKETS STOCK INDEX FUND	Added	17,833	+17	$1,057,675	−0.5%	0.49%
DIS	Walt Disney Co Communication Services	Added	9,783	+38	$1,026,236	+9.4%	0.48%
KKR	KKR & Co. Inc. Financial Services	Reduced	10,995	-35	$1,003,843	−0.8%	0.47%
VZ	Verizon Communications Inc Communication Services	Reduced	21,532	-514	$987,672	+5.8%	0.46%
XOM	ExxonMobil Holdings Corp Energy	Added	5,289	+7	$860,784	+19.2%	0.40%
GLD	Spdr Gold Trust	Added	1,919	+8	$730,831	+3.8%	0.34%
SCHB	Schwab U.S. Broad Market ETF	Held	19,554	0	$573,127	+1.2%	0.27%
ED	Consolidated Edison Inc Utilities	Held	5,104	0	$521,679	−7.6%	0.24%
KMI	Kinder Morgan, Inc. Energy	Added	15,962	+127	$481,254	−4.9%	0.22%
LLY	ELI LILLY & Co Healthcare	Held	414	0	$479,031	−3.5%	0.22%
IBM	International Business Machines Corp Technology	Held	2,166	0	$476,368	−21.8%	0.22%
SAM	Boston Beer Co Inc Consumer Defensive	Held	2,500	0	$410,050	−7.3%	0.19%
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	Added	1,014	+1	$379,479	+1.2%	0.18%
EEM	iShares MSCI Emerging Markets ETF	Held	5,316	0	$355,055	−2.4%	0.17%
ABBV	AbbVie Inc. Healthcare	Added	1,298	+15	$339,543	+5.2%	0.16%
F	Ford Motor Co Consumer Cyclical	Reduced	23,327	-478	$281,323	−15.0%	0.13%
SBUX	Starbucks Corp Consumer Cyclical	Added	2,827	+42	$265,624	−6.7%	0.12%
QQQ	Invesco Qqq Trust, Series 1	Held	350	0	$258,919	+0.5%	0.12%
JNJ	Johnson & Johnson Healthcare	Held	924	0	$244,619	+4.2%	0.11%
PBA	Pembina Pipeline Corp Energy	Reduced	5,487	-85	$244,610	−5.1%	0.11%
NFLX	Netflix Inc Communication Services	Added	3,478	+174	$241,999	+2.6%	0.11%
NLY	Annaly Capital Management Inc Real Estate	Added	11,080	+44	$209,301	−15.2%	0.10%
SCHX	Schwab U.S. Large-Cap ETF	NEW	6,754	NEW	$202,620	NEW	0.09%
XLF	State Street Corp Financial Services	Held	6,122	0	$0	−100.0%	0.00%
IWB	iShares Russell 1000 ETF	Held	580	0	$0	−100.0%	0.00%
IWD	iShares Russell 1000 Value ETF	Held	847	0	$0	−100.0%	0.00%
IWF	iShares Russell 1000 Growth ETF	Held	4,528	0	$0	−100.0%	0.00%
SHY	iShares 1-3 Year Treasury Bond ETF	Held	4,207	0	$0	−100.0%	0.00%
TIP	iShares TIPS Bond ETF	Held	2,159	0	$0	−100.0%	0.00%

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.