PVG ASSET MANAGEMENT CORP

Registered adviser

CIK

820434

Location

GOLDEN, CO

Portfolio Value

Small $143,790,056

Diversification

Diversified

Filing Date

Global Rank

#6,970 / 8,827 ▲ 248 · as of Jun 2026

Top Industry

Semiconductors 21.8%

Period ended 37 days ago

Filed Oct 19, 2026 · 18d

21 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, Nov 1, 2026

Records disagree; the first in precedence decides.

Form ADV adviser

CRD 105541

Roster of Nov 1, 2026

Regulatory AUM

$624,910,848

Main clients

Other investment advisers (68% of AUM)

Private funds on Schedule D 7.B.(1)

As filed Oct 29, 2024; SEC's bulk Form ADV archive ends with 2024 filings.

No private funds listed.

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 Nov 2026	$624,910,848	Other investment advisers (68%)
Apr 2025 to Mar 2026	$617,865,000	Individuals and high net worth (76%)
Apr 2024 to Mar 2025	$500,377,285	Other investment advisers (79%)
May 2023 to Mar 2024	$350,672,000	Individuals and high net worth (96%)
Apr 2023	$350,672,000	Individuals and high net worth (96%)
Apr 2022 to Mar 2023	$342,110,000	Individuals and high net worth (95%)

3 earlier changes not shown.

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

Diversified active

Top 10 weight 35.7%, 39.8 effective positions, active share 80.2% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Medium turnover

72.5% over the last four quarters (30% to under 100%)

Horizon

Short horizon

Value-weighted holding period 4.0 quarters (under 4)

Closest benchmark: every 13F filer's combined book, active share 80.2%; sector active share 25.8% against the combined 13F book's sector weights.

Over time 20 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

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

Top Position

12.1%

+1.9 pts

Top 5

27.6%

+3.9 pts

Top 10

39.4%

+3.8 pts

HHI

308

Diversified+58

Portfolio Trend

21 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Technology	25.8%	$37,053,576	19
Unclassified	20.4%	$29,399,390	26
Industrials	13.7%	$19,737,495	10
Financial Services	13.6%	$19,582,122	20
Basic Materials	8.4%	$12,025,163	6
Healthcare	5.6%	$8,048,839	15
Energy	3.7%	$5,256,815	7
Real Estate	2.9%	$4,189,926	5
Consumer Cyclical	2.4%	$3,471,252	6
Consumer Defensive	1.8%	$2,602,253	3
Communication Services	1.7%	$2,423,225	5

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
RWT	Redwood Trust Inc	+215,577	340,507	$1,321,167
IVR	Invesco Mortgage Capital Inc.	+58,494	192,124	$1,166,192
IMRX	Immuneering Corp	+39,462	185,913	$761,313
—		+12,762	22,433	$0
CRDL	Cardiol Therapeutics Inc.	+4,700	111,865	$185,695
HPE	Hewlett Packard Enterprise Co	+2,075	11,626	$742,785
CCL	Carnival Corp Ltd.	+1,720	12,797	$314,038
FND	Floor & Decor Holdings, Inc.	+1,395	6,957	$318,700
ONON	On Holding AG	+1,148	10,489	$310,579
BXSL	Blackstone Secured Lending Fund	+795	14,001	$335,743
—		+663	11,151	$0
AMZN	Amazon Com Inc	+564	4,755	$1,184,708
NVDA	Nvidia Corp	+474	19,613	$4,479,216
AHR	American Healthcare REIT, Inc.	+405	19,642	$1,006,848
TSM	Taiwan Semiconductor Manufacturing Co Ltd	+337	6,013	$2,743,070
PEP	Pepsico Inc	+327	4,469	$566,311
ARIS	Aris Mining Corp	+224	132,201	$2,300,297
MU	Micron Technology Inc	+201	3,114	$3,316,752
MSFT	Microsoft Corp	+139	1,773	$909,371
LLY	ELI LILLY & Co	+80	425	$491,759
—		+45	6,670	$0
INTC	Intel Corp	+34	2,770	$333,037
IWM	iShares Russell 2000 ETF	+18	2,249	$624,974
AVGO	Broadcom Inc.	+9	2,175	$763,838
AAPL	Apple Inc.	+4	9,575	$3,188,666
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
AVXL	Anavex Life Sciences Corp.	−172,137	155,207	$313,518
CHRS	Coherus Oncology, Inc.	−59,075	74,160	$89,733
ALT	Altimmune, Inc.	−39,025	27,095	$77,491
SPYI	NEOS S&P 500(R) High Income ETF	−34,007	12,025	$639,369
PIM	Franklin Master Intermediate Income Trust	−32,532	1,202,469	$3,631,456
RWAY	Runway Growth Finance Corp.	−27,903	62,306	$412,465
PLTR	Palantir Technologies Inc.	−13,224	2,279	$426,286
OTF	Blue Owl Technology Finance Corp.	−6,485	49,261	$483,250
WIW	Western Asset Inflation-Linked Opportunities & Income Fund	−6,395	35,118	$276,378
QQQ	Invesco Qqq Trust, Series 1	−5,871	363	$268,536
VOO	VANGUARD 500 INDEX FUND	−5,583	1,801	$1,262,248
GOOG	Alphabet Inc.	−5,055	2,443	$832,427
CDE	Coeur Mining, Inc.	−4,879	175,685	$3,092,056
JEPI	JPMorgan Equity Premium Income ETF	−3,340	5,647	$317,474
MDWD	MediWound Ltd.	−2,622	15,500	$213,435
DIS	Walt Disney Co	−1,089	2,568	$269,383
FTHY	First Trust High Yield Opportunities 2027 Term Fund	−1,000	14,891	$191,349
PULS	PGIM Ultra Short Bond ETF	−987	4,586	$226,823
ATI	Ati Inc	−950	9,525	$1,804,035
GLW	Corning Inc	−929	5,750	$884,120
NFLX	Netflix Inc	−825	3,159	$219,803
VKTX	Viking Therapeutics, Inc.	−751	19,067	$621,584
JEPQ	JPMorgan Nasdaq Equity Premium Income ETF	−666	279,791	$17,139,996
IGV	iShares Expanded Tech-Software Sector ETF	−657	2,608	$277,699
VIAV	Viavi Solutions Inc.	−467	49,721	$2,084,304
No positions match the current search.

New Positions

Positions the filer opened this quarter

16 positions

Ticker	Company	Shares	Value
NPFD	Nuveen Variable Rate Preferred & Income Fund	73,463	$1,271,644
SNOW	Snowflake Inc.	1,385	$470,290
UTWO	US Treasury 2 Year Note ETF	9,059	$428,853
TLT	iShares 20+ Year Treasury Bond ETF	5,412	$420,945
BSX	Boston Scientific Corp	6,732	$293,851
NOW	ServiceNow, Inc.	2,037	$272,978
TSLA	Tesla, Inc.	769	$272,848
THNQ	ROBO Global Artificial Intelligence ETF	2,768	$268,894
SMH	VanEck Semiconductor ETF	421	$256,389
PSQ	ProShares Short QQQ	9,846	$244,377
PANW	Palo Alto Networks Inc	583	$231,631
META	Meta Platforms, Inc.	312	$226,256
CRWD	CrowdStrike Holdings, Inc.	789	$208,887
CNQ	CANADIAN NATURAL RESOURCES Ltd	1,200	$56,484
MTDR	Matador Resources Co	1,000	$51,580
—		2,086	$0
No positions match the current search.

Sold Out

Positions the filer fully exited

23 positions

Ticker	Company	Shares	Value
ROAD	Construction Partners, Inc.	14,614	$1,735,704
KALU	Kaiser Aluminum Corp	8,374	$1,638,205
BANC	Banc Of California, Inc.	77,175	$1,576,685
IFS	Intercorp Financial Services Inc.	24,752	$1,409,873
AGI	Alamos Gold Inc	45,244	$1,372,702
MP	MP Materials Corp.	21,351	$1,195,869
HAPN	Happen, Inc.	42,137	$873,921
WEN	Wendy's Co	41,447	$343,595
HACK		2,997	$314,475
TRIN	Trinity Capital Inc.	15,275	$273,269
IBM	International Business Machines Corp	946	$266,024
RBRK	Rubrik, Inc.	2,992	$240,197
GAP	Gap Inc	12,436	$232,304
CGNX	Cognex Corp	3,185	$230,657
CAH	Cardinal Health Inc	952	$226,157
KRE	State Street(R) SPDR(R) S&P(R) Regional Banking ETF	3,017	$225,822
ENTG	Entegris Inc	1,231	$221,407
AIRR	First Trust Exchange-Traded Fund VI	1,652	$220,129
SUPN	Supernus, Inc.	5,365	$220,125
IWO	iShares Russell 2000 Growth ETF	520	$204,859
CHCT	Community Healthcare Trust Inc	10,320	$188,649
MGF	Aberdeen Government Markets Income Fund	26,379	$75,707
VERU	Veru Inc.	12,200	$38,186
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

122 tracked positions · $143,790,056 total · filing declares 128 positions · $146,677,909 · as of Sep 30, 2026

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

Showing 1–50 of 122 positions by value · page 1 of 3

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
JEPQ	JPMorgan Nasdaq Equity Premium Income ETF	Reduced	279,791	-666	$17,139,996	−0.6%	11.92%
AMD	Advanced Micro Devices Inc Technology	Reduced	13,424	-5	$8,212,266	+5.3%	5.71%
MRVL	Marvell Technology, Inc. Technology	Reduced	19,209	-71	$5,075,209	−11.6%	3.53%
NVDA	Nvidia Corp Technology	Added	19,613	+474	$4,479,216	+17.0%	3.12%
PIM	Franklin Master Intermediate Income Trust Financial Services	Reduced	1,202,469	-32,532	$3,631,456	−9.0%	2.53%
GRAL	GRAIL, Inc. Healthcare	Reduced	25,659	-228	$3,595,339	+103.4%	2.50%
MU	Micron Technology Inc Technology	Added	3,114	+201	$3,316,752	−1.4%	2.31%
HWM	Howmet Aerospace Inc. Industrials	Reduced	14,267	-240	$3,226,910	−17.3%	2.24%
AAPL	Apple Inc. Technology	Added	9,575	+4	$3,188,666	+15.1%	2.22%
GEV	GE Vernova Inc. Industrials	Reduced	3,342	-237	$3,176,537	−24.5%	2.21%
CDE	Coeur Mining, Inc. Basic Materials	Reduced	175,685	-4,879	$3,092,056	+4.9%	2.15%
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	Reduced	38,752	-226	$3,034,669	−5.8%	2.11%
BE	Bloom Energy Corp Industrials	Reduced	9,948	-39	$2,755,397	−8.9%	1.92%
TSM	Taiwan Semiconductor Manufacturing Co Ltd Technology	Added	6,013	+337	$2,743,070	+1.2%	1.91%
FTI	TechnipFMC plc Energy	Reduced	37,838	-231	$2,569,956	+1.8%	1.79%
GE	General Electric Co Industrials	Reduced	8,154	-67	$2,546,412	−17.1%	1.77%
PAAS	Pan American Silver Corp Basic Materials	Reduced	55,253	-190	$2,514,564	+1.3%	1.75%
CRS	Carpenter Technology Corp Industrials	Reduced	6,278	-23	$2,441,011	−37.2%	1.70%
COHR	Coherent Corp. Technology	Reduced	8,406	-61	$2,419,330	−27.6%	1.68%
ARIS	Aris Mining Corp Basic Materials	Added	132,201	+224	$2,300,297	+16.9%	1.60%
FCFS	FirstCash Holdings, Inc. Financial Services	Reduced	10,883	-136	$2,298,816	−3.6%	1.60%
BCS	Barclays PLC Financial Services	Reduced	90,376	-352	$2,193,425	−10.0%	1.53%
C	Citigroup Inc Financial Services	Reduced	16,782	-39	$2,172,933	−7.7%	1.51%
VIAV	Viavi Solutions Inc. Technology	Reduced	49,721	-467	$2,084,304	−13.0%	1.45%
ATI	Ati Inc Industrials	Reduced	9,525	-950	$1,804,035	−12.6%	1.25%
APEI	American Public Education Inc Consumer Defensive	Reduced	42,640	-295	$1,798,555	−22.0%	1.25%
XMTR	Xometry, Inc. Industrials	Reduced	17,203	-17	$1,769,328	+6.5%	1.23%
ERO	Ero Copper Corp. Basic Materials	Reduced	48,212	-219	$1,768,898	+36.5%	1.23%
RWT	Redwood Trust Inc Real Estate	Added	340,507	+215,577	$1,321,167	+123.1%	0.92%
SCHW	Schwab Charles Corp Financial Services	Reduced	13,369	-70	$1,306,686	+5.4%	0.91%
NPFD	Nuveen Variable Rate Preferred & Income Fund Financial Services	NEW	73,463	NEW	$1,271,644	NEW	0.88%
VOO	VANGUARD 500 INDEX FUND	Reduced	1,801	-5,583	$1,262,248	−75.1%	0.88%
PLMR	Palomar Holdings, Inc. Financial Services	Reduced	9,996	-151	$1,232,406	−3.9%	0.86%
VTHR	VANGUARD RUSSELL 3000 INDEX FUND	Reduced	3,630	-43	$1,217,865	+0.0%	0.85%
AMZN	Amazon Com Inc Consumer Cyclical	Added	4,755	+564	$1,184,708	+18.6%	0.82%
CENX	Century Aluminum Co Basic Materials	Reduced	32,782	-316	$1,179,496	−22.5%	0.82%
RGLD	Royal Gold Inc Basic Materials	Reduced	4,957	-41	$1,169,852	+17.3%	0.81%
IVR	Invesco Mortgage Capital Inc. Real Estate	Added	192,124	+58,494	$1,166,192	+10.5%	0.81%
EBC	Eastern Bankshares, Inc. Financial Services	Reduced	52,562	-19	$1,100,122	−5.9%	0.77%
CFG	Citizens Financial Group Inc Financial Services	Reduced	17,185	-60	$1,095,715	−9.3%	0.76%
VIK	Viking Holdings Ltd Consumer Cyclical	Reduced	13,665	-50	$1,070,379	−25.4%	0.74%
CCJ	Cameco Corp Energy	Reduced	11,731	-87	$1,016,725	−15.5%	0.71%
AHR	American Healthcare REIT, Inc. Real Estate	Added	19,642	+405	$1,006,848	+0.4%	0.70%
GRC	Gorman Rupp Co Industrials	Reduced	13,370	-210	$995,797	−20.1%	0.69%
IVV	iShares Core S&P 500 ETF	Reduced	1,198	-74	$917,488	−3.7%	0.64%
MSFT	Microsoft Corp Technology	Added	1,773	+139	$909,371	+49.2%	0.63%
GLW	Corning Inc Technology	Reduced	5,750	-929	$884,120	−48.2%	0.61%
APP	AppLovin Corp Communication Services	Reduced	3,014	-22	$875,356	−44.0%	0.61%
GOOG	Alphabet Inc. Communication Services	Reduced	2,443	-5,055	$832,427	−68.6%	0.58%
AVGO	Broadcom Inc. Technology	Added	2,175	+9	$763,838	−6.6%	0.53%

Showing the top 50 of 122 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.