Optimal Asset Management, Inc.

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CIK 1651336

13F portfolio (2021-Q3)

$800M

Positions

347

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2021-Q2. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.

Implied return what this book implies · modeled, not advice methodology →

Open in PORT →

As filed = each book applied at its quarter-end (what the reported book did) · As copyable = applied at its statutory 45-day filing deadline (what a 13F follower could have earned).

Computing…

Hypothetical modeled performance constructed with hindsight — not actual results, and not indicative of future results. See the Disclaimer.

Exposures · what this manager owns, by sector & size (2021-Q3)

Holdings

347

Top 5

6.2%

Top 10

11.6%

Effective N

192.6

HHI

0.005

This quarter

5 new · 0 exit →

By sector

Information Technology19.5%

Industrials13.9%

Consumer Discretionary13.8%

Health Care12.5%

Unclassified8.4%

Communication Services7.4%

Financials6.9%

Consumer Staples5.9%

Other11.7%

By market cap

Large ($10–200B)71.0%

Mega (>$200B)12.0%

Unknown8.7%

Mid ($2–10B)8.1%

Small ($300M–2B)0.2%

Micro (<$300M)0.0%

By region

North America91.3%

Other8.4%

Europe0.3%

By industry group GICS — finer than sector

Industry group	Weight	Names
Unclassified	8.42%	45
Software	7.71%	16
Specialty Retail	7.24%	19
Commercial Services & Supplies	6.35%	17
Pharmaceuticals & Biotechnology	6.09%	19
Utilities	5.58%	24
Technology Hardware & Equipment	5.15%	14
Food Products	4.02%	10
Insurance	3.14%	20
Diversified Telecommunication Services	3.08%	4
Media & Entertainment	3.01%	4
Chemicals	2.99%	11
Health Care Equipment & Supplies	2.87%	9
Life Sciences Tools & Services	2.67%	7
Software & IT Services	2.29%	9
Semiconductors & Semiconductor Equipment	2.27%	5
Automobiles & Components	2.26%	7
Banks	1.86%	11
Hotels, Restaurants & Leisure	1.83%	6
Construction & Engineering	1.77%	4
Capital Markets	1.59%	9
Aerospace & Defense	1.50%	11
Machinery	1.49%	11
Communications Equipment	1.49%	2
Metals & Mining	1.34%	5
Distributors	1.32%	8
Road & Rail	1.26%	5
Beverages	1.22%	3
Transportation Infrastructure	1.14%	3
Health Care Providers & Services	0.84%	2
Paper & Forest Products	0.74%	3
Oil, Gas & Consumable Fuels	0.72%	5
Media & Publishing	0.71%	1
Electrical Equipment & Components	0.61%	1
Industrial Conglomerates	0.58%	1
Textiles, Apparel & Luxury Goods	0.57%	4
Entertainment	0.55%	2
Diversified Consumer Services	0.43%	1
Food & Staples Retailing	0.37%	1
Tobacco	0.29%	1
Equity Real Estate Investment Trusts (REITs)	0.21%	3
Household Durables	0.17%	1
Real Estate Management & Development	0.14%	1
Professional Services	0.12%	2

Top holdings

#	Ticker	Name	Sector	Weight
1	WMT	Walmart Inc.	Consumer Discretionary	1.39%
2	FTNT	Fortinet, Inc.	Information Technology	1.22%
3	OMC	OMNICOM GROUP INC.	Communication Services	1.22%
4	ADBE	ADOBE INC.	Information Technology	1.22%
5	BR	BROADRIDGE FINANCIAL SOLUTIONS, INC.	Industrials	1.17%
6	QRVO	Qorvo, Inc.	Information Technology	1.15%
7	TMUS	T-Mobile US, Inc.	Communication Services	1.08%
8	CLX	CLOROX CO /DE/	Materials	1.04%
9	LLY	ELI LILLY & Co	Health Care	1.04%
10	ORCL	ORACLE CORP	Information Technology	1.02%

302/347 names classified · sector 91.6% of weight · industry 91.6% · mkt cap 91.3%; unclassified names shown, never dropped.

Sector allocation over time · how the GICS mix & top names shifted quarter by quarter

top 5/sector, rest → “Other” · 8 quarters

Information TechnologyQRVO, ADBE, TYL, FTNT, ORCL · other

IndustrialsBR, FISV, FIS, AKAM, UPS · other

Consumer DiscretionaryWMT, AZO, TGT, MAR, TSLA · other

Health CareLLY, DGX, MRK, WAT, IDXX · other

Communication ServicesOMC, T, TMUS, VZ, CHTR · other

Consumer StaplesHSY, SJM, PEP, GIS, BF.B · other

UtilitiesETR, SO, SRE, FE, WEC · other

FinancialsCME, PGR, UNH, V, ALL · other

MaterialsCLX, NEM, CHD, EL, AXTA · other

Real EstateAGNC, PSA, AMT, SPG, DOC · other

EnergyCOP, XOM, EOG, CVX, OXY · other

UnclassifiedCITRIX SYS INC, ACTIVISION BLIZZARD INC, Bunge Ltd, KELLANOVA, XILINX INC · other

Sector is classified on each name's CURRENT fundamentals, not point-in-time — apparent sector drift can reflect the market re-rating a holding, not a manager trade. 13F is a lagged quarterly snapshot of long positions in US-listed securities only — foreign companies held via a US listing or ADR ARE included, but shares listed only on non-US exchanges (plus shorts, options and cash) are not. Latest quarter: 91.6% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2021-Q3), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

holdings, colored by sector (292 classified)Optimal Asset Management, Inc. centroid (Mid Core)

Information TechnologyIndustrialsConsumer DiscretionaryHealth CareCommunication ServicesFinancialsConsumer StaplesUtilitiesMaterialsEnergyReal Estate

Style box summary for Optimal Asset Management, Inc.: centroid Mid Core. Heaviest cells: Mid Core 17.2%, Mid Value 16.1%, Large Value 12.6%.

Classified: 90.2% of book weight (292/317 names) · unclassified 9.8%: , SNAP, VEA, AZN, W, SPLV, SCHO, SPHQ, SCHR, ELAN +15 more. Size: cap 70/20/10 bands; style: value/growth composite on our own metrics — not Morningstar's model.

Contribution holdings-based, any period

No contribution data for this period.

Holdings· 347 positions (2021-Q3) · largest first · Δ vs 2021-Q2

#	Security	Shares	Value	Weight	Δ QoQ
1	WMTWALMART INC	80,001	$11M	1.4%	HOLD
2	FTNTFORTINET INC	33,550	$10M	1.2%	HOLD
3	OMCOMNICOM GROUP INC	134,761	$10M	1.2%	HOLD
4	ADBEADOBE INC	16,927	$10M	1.2%	HOLD
5	BRBROADRIDGE FINL SOLUTIONS IN	56,087	$9M	1.2%	HOLD
6	QRVOQORVO INC	55,187	$9M	1.2%	HOLD
7	TMUST-MOBILE US INC	67,686	$9M	1.1%	HOLD
8	CLXCLOROX CO DEL	50,449	$8M	1.0%	HOLD
9	LLYELI LILLY & CO	35,931	$8M	1.0%	HOLD
10	ORCLORACLE CORP	93,599	$8M	1.0%	HOLD
11	CHTRCHARTER COMMUNICATIONS INC	10,952	$8M	1.0%	HOLD
12	AKAMAKAMAI TECHNOLOGIES INC	73,063	$8M	1.0%	HOLD
13	TYLTYLER TECHNOLOGIES INC	16,280	$7M	0.9%	HOLD
14	FISVFISERV INC	67,212	$7M	0.9%	HOLD
15	AZOAUTOZONE INC	4,222	$7M	0.9%	HOLD
16	MSIMOTOROLA SOLUTIONS INC	30,119	$7M	0.9%	HOLD
17	KEYSKEYSIGHT TECHNOLOGIES INC	42,053	$7M	0.9%	HOLD
18	TGTTARGET CORP	29,930	$7M	0.9%	HOLD
19	TAT&T INC	251,106	$7M	0.8%	HOLD
20	UPSUNITED PARCEL SERVICE INC	35,553	$6M	0.8%	HOLD
21	DGXQUEST DIAGNOSTICS INC	43,418	$6M	0.8%	HOLD
22	NVRNVR INC	1,310	$6M	0.8%	HOLD
23	Bunge Ltd	71,906	$6M	0.7%	HOLD
24	PAYCPAYCOM SOFTWARE INC	11,639	$6M	0.7%	HOLD
25	NOWSERVICENOW INC	9,252	$6M	0.7%	HOLD
26	IDXXIDEXX LABS INC	9,247	$6M	0.7%	HOLD
27	NWSANEWS CORP NEW	241,769	$6M	0.7%	HOLD
28	CITRIX SYS INC	52,567	$6M	0.7%	HOLD
29	ACTIVISION BLIZZARD INC	70,078	$5M	0.7%	HOLD
30	MTDMETTLER TOLEDO INTERNATIONAL	3,912	$5M	0.7%	HOLD
31	EAELECTRONIC ARTS INC	37,353	$5M	0.7%	HOLD
32	NOCNORTHROP GRUMMAN CORP	14,363	$5M	0.6%	HOLD
33	TSLATESLA INC	6,558	$5M	0.6%	HOLD
34	MRKMERCK & CO INC	65,561	$5M	0.6%	HOLD
35	QCOMQUALCOMM INC	38,012	$5M	0.6%	HOLD
36	GEGE AEROSPACE	46,983	$5M	0.6%	NEW
37	MSFTMICROSOFT CORP	17,100	$5M	0.6%	HOLD
38	CTSHCOGNIZANT TECHNOLOGY SOLUTIO	64,652	$5M	0.6%	HOLD
39	GISGENERAL MILLS INC	79,714	$5M	0.6%	HOLD
40	SBUXSTARBUCKS CORP	43,210	$5M	0.6%	HOLD
41	LUMNLUMEN TECHNOLOGIES INC	384,511	$5M	0.6%	HOLD
42	HSYHERSHEY CO	28,050	$5M	0.6%	HOLD
43	SJMSMUCKER J M CO	39,352	$5M	0.6%	HOLD
44	ORLYOREILLY AUTOMOTIVE INC	7,631	$5M	0.6%	HOLD
45	MMM3M CO	26,420	$5M	0.6%	HOLD
46	EXPDEXPEDITORS INTL WASH INC	38,322	$5M	0.6%	HOLD
47	BMYBRISTOL-MYERS SQUIBB CO	76,711	$5M	0.6%	HOLD
48	FISFIDELITY NATL INFORMATION SV	36,992	$5M	0.6%	HOLD
49	WATWATERS CORP	12,556	$4M	0.6%	HOLD
50	VZVERIZON COMMUNICATIONS INC	82,241	$4M	0.6%	HOLD
51	CPRTCOPART INC	31,519	$4M	0.5%	HOLD
52	SRESEMPRA	34,370	$4M	0.5%	HOLD
53	CHRWC H ROBINSON WORLDWIDE INC	49,734	$4M	0.5%	HOLD
54	AMZNAMAZON COM INC	1,306	$4M	0.5%	HOLD
55	BIOBIO RAD LABS INC	5,626	$4M	0.5%	HOLD
56	KDPKEURIG DR PEPPER INC	121,703	$4M	0.5%	HOLD
57	RVTYREVVITY INC	23,928	$4M	0.5%	HOLD
58	LECOLINCOLN ELEC HLDGS INC	31,927	$4M	0.5%	HOLD
59	BLACK KNIGHT INC	56,839	$4M	0.5%	HOLD
60	NEMNEWMONT CORP	74,976	$4M	0.5%	HOLD
61	DHRDANAHER CORP DEL	13,262	$4M	0.5%	HOLD
62	XRAYDENTSPLY SIRONA INC	68,883	$4M	0.5%	HOLD
63	MSCIMSCI INC	6,544	$4M	0.5%	HOLD
64	DXCMDEXCOM	7,260	$4M	0.5%	HOLD
65	ADMARCHER DANIELS MIDLAND CO	66,106	$4M	0.5%	HOLD
66	VRSNVERISIGN INC	18,808	$4M	0.5%	HOLD
67	PFEPFIZER INC	88,766	$4M	0.5%	HOLD
68	DHID R HORTON INC	45,409	$4M	0.5%	HOLD
69	NTAPNetApp Inc.	42,477	$4M	0.5%	HOLD
70	GMGENERAL MTRS CO	70,894	$4M	0.5%	HOLD
71	DOCUDOCUSIGN INC	14,506	$4M	0.5%	HOLD
72	REGNREGENERON PHARMACEUTICALS	6,137	$4M	0.5%	HOLD
73	HRLHORMEL FOODS CORP	89,604	$4M	0.5%	HOLD
74	AMDADVANCED MICRO DEVICES INC	35,316	$4M	0.5%	HOLD
75	MCDMCDONALDS CORP	15,062	$4M	0.5%	HOLD
76	BDXBECTON DICKINSON & CO	17,621	$4M	0.4%	HOLD
77	JNJJOHNSON & JOHNSON	22,146	$4M	0.4%	HOLD
78	WUWESTERN UN CO	176,926	$4M	0.4%	HOLD
79	AAPLAPPLE INC	25,268	$4M	0.4%	HOLD
80	DISDISNEY WALT CO	20,948	$4M	0.4%	HOLD
81	FFORD MTR CO	247,424	$4M	0.4%	HOLD
82	PGRPROGRESSIVE CORP	38,355	$3M	0.4%	HOLD
83	LNGCheniere Energy, Inc	35,396	$3M	0.4%	HOLD
84	SCISERVICE CORP INTL	730,716	$3M	0.4%	HOLD
85	NFLXNETFLIX INC	5,634	$3M	0.4%	HOLD
86	CPBTHE CAMPBELLS COMPANY	80,652	$3M	0.4%	HOLD
87	JKHYHENRY JACK & ASSOC INC	20,095	$3M	0.4%	HOLD
88	KELLANOVA	51,046	$3M	0.4%	HOLD
89	ETRENTERGY CORP NEW	32,290	$3M	0.4%	HOLD
90	KOCOCA COLA CO	60,712	$3M	0.4%	HOLD
91	CHDCHURCH & DWIGHT CO INC	38,424	$3M	0.4%	HOLD
92	ADSKAUTODESK INC	10,860	$3M	0.4%	HOLD
93	TXNTEXAS INSTRS INC	15,615	$3M	0.4%	HOLD
94	BAXBAXTER INTL INC	36,538	$3M	0.4%	HOLD
95	CVSCVS HEALTH CORP	34,599	$3M	0.4%	HOLD
96	HWMHOWMET AEROSPACE INC	94,049	$3M	0.4%	HOLD
97	SIRISIRIUS XM HOLDINGS INC	473,745	$3M	0.4%	HOLD
98	DGDOLLAR GEN CORP	13,461	$3M	0.4%	HOLD
99	KMBKIMBERLY-CLARK CORP	21,436	$3M	0.4%	HOLD
100	FLEETCOR TECHNOLOGIES INC	10,645	$3M	0.3%	HOLD
101	HIGHARTFORD INSURANCE GROUP INC	39,156	$3M	0.3%	HOLD
102	BURLBURLINGTON STORES INC	9,688	$3M	0.3%	HOLD
103	LENLENNAR CORP	29,184	$3M	0.3%	HOLD
104	WDAYWORKDAY INC	10,942	$3M	0.3%	HOLD
105	WSTWEST PHARMACEUTICAL SVSC INC	6,235	$3M	0.3%	HOLD
106	USBUS BANCORP	43,985	$3M	0.3%	HOLD
107	CINFCINCINNATI FINL CORP	22,854	$3M	0.3%	HOLD
108	SOSOUTHERN CO	41,535	$3M	0.3%	HOLD
109	INTERPUBLIC GROUP COS INC	69,390	$3M	0.3%	HOLD
110	NINISOURCE INC	104,590	$3M	0.3%	HOLD
111	CLCOLGATE PALMOLIVE CO	33,310	$3M	0.3%	HOLD
112	EDCONSOLIDATED EDISON INC	34,187	$2M	0.3%	HOLD
113	NWLNEWELL BRANDS INC	112,084	$2M	0.3%	HOLD
114	PKGPACKAGING CORP AMER	18,011	$2M	0.3%	HOLD
115	DUKDUKE ENERGY CORP NEW	25,309	$2M	0.3%	HOLD
116	TSNTYSON FOODS INC	31,197	$2M	0.3%	HOLD
117	VVISA INC	11,000	$2M	0.3%	HOLD
118	HDHOME DEPOT INC	7,457	$2M	0.3%	HOLD
119	PEPPEPSICO INC	16,021	$2M	0.3%	HOLD
120	AVANGRID INC	48,897	$2M	0.3%	HOLD
121	XOMEXXON MOBIL CORP	40,217	$2M	0.3%	HOLD
122	SEAGEN INC	13,921	$2M	0.3%	HOLD
123	CMECME GROUP INC	12,165	$2M	0.3%	HOLD
124	HPEHEWLETT PACKARD ENTERPRISE C	164,457	$2M	0.3%	HOLD
125	LEALEAR CORP	14,946	$2M	0.3%	HOLD
126	CTASCINTAS CORP	6,123	$2M	0.3%	HOLD
127	MOALTRIA GROUP INC	51,020	$2M	0.3%	HOLD
128	TERTERADYNE INC	21,196	$2M	0.3%	HOLD
129	BIIBBIOGEN INC	8,135	$2M	0.3%	HOLD
130	AIGAMERICAN INTL GROUP INC	41,785	$2M	0.3%	HOLD
131	RMDRESMED INC	8,667	$2M	0.3%	HOLD
132	YUMYUM BRANDS INC	18,447	$2M	0.3%	HOLD
133	SNAPSNAP INC	30,170	$2M	0.3%	HOLD
134	VEAVANGUARD TAX-MANAGED FDS	43,857	$2M	0.3%	TRIM −47%
135	LWLAMB WESTON HLDGS INC	35,963	$2M	0.3%	HOLD
136	WECWEC ENERGY GROUP INC	25,010	$2M	0.3%	HOLD
137	ROLROLLINS INC	62,047	$2M	0.3%	HOLD
138	NBIXNEUROCRINE BIOSCIENCES INC	22,773	$2M	0.3%	HOLD
139	AEPAMERICAN ELEC PWR CO INC	26,349	$2M	0.3%	HOLD
140	AZNASTRAZENECA PLC	35,502	$2M	0.3%	NEW
141	XILINX INC	14,094	$2M	0.3%	HOLD
142	LKQLKQ CORP	42,081	$2M	0.3%	HOLD
143	ATOATMOS ENERGY CORP	23,891	$2M	0.3%	HOLD
144	DPZDOMINOS PIZZA INC	4,349	$2M	0.3%	HOLD
145	MDLZMONDELEZ INTL INC	35,624	$2M	0.3%	HOLD
146	WMWASTE MGMT INC DEL	13,720	$2M	0.3%	HOLD
147	TJXTJX COS INC NEW	30,926	$2M	0.3%	HOLD
148	ROPROPER TECHNOLOGIES INC	4,503	$2M	0.3%	HOLD
149	DBXDROPBOX INC	68,515	$2M	0.3%	HOLD
150	ARWArrow Electronics	17,617	$2M	0.2%	HOLD
151	EVRGEVERGY INC	31,594	$2M	0.2%	HOLD
152	NUENUCOR CORP	19,736	$2M	0.2%	HOLD
153	ANETArista Networks Inc	5,525	$2M	0.2%	HOLD
154	CBSHCOMMERCE BANCSHARES INC	26,974	$2M	0.2%	HOLD
155	TWITTER INC	29,527	$2M	0.2%	HOLD
156	GILDGILEAD SCIENCES INC	25,474	$2M	0.2%	HOLD
157	CBOECBOE GLOBAL MKTS INC	14,138	$2M	0.2%	HOLD
158	AAGILENT TECHNOLOGIES INC	11,110	$2M	0.2%	HOLD
159	ALGNALIGN TECHNOLOGY INC	2,613	$2M	0.2%	HOLD
160	AEEAMEREN CORP	21,300	$2M	0.2%	HOLD
161	FEFIRSTENERGY CORP	48,140	$2M	0.2%	HOLD
162	BWABORGWARNER INC	39,505	$2M	0.2%	HOLD
163	DDOMINION ENERGY INC	23,128	$2M	0.2%	HOLD
164	ELLAUDER ESTEE COS INC	5,529	$2M	0.2%	HOLD
165	UGIUGI CORP NEW	38,846	$2M	0.2%	HOLD
166	DLBDOLBY LABORATORIES INC	18,759	$2M	0.2%	HOLD
167	JACOBS ENGR GROUP INC DEL	12,314	$2M	0.2%	HOLD
168	VEEVVEEVA SYS INC	5,658	$2M	0.2%	HOLD
169	MSMORGAN STANLEY	16,660	$2M	0.2%	HOLD
170	APDAIR PRODS & CHEMS INC	6,326	$2M	0.2%	HOLD
171	JPMJPMORGAN CHASE & CO	9,883	$2M	0.2%	HOLD
172	FASTFASTENAL CO	31,177	$2M	0.2%	HOLD
173	KNXKNIGHT-SWIFT TRANSN HLDGS IN	31,142	$2M	0.2%	HOLD
174	NEENEXTERA ENERGY INC	20,152	$2M	0.2%	HOLD
175	CDK GLOBAL INC	37,129	$2M	0.2%	HOLD
176	MGMMGM RESORTS INTERNATIONAL	36,279	$2M	0.2%	HOLD
177	ICEINTERCONTINENTAL EXCHANGE IN	13,549	$2M	0.2%	HOLD
178	UHALU HAUL HOLDING COMPANY	2,405	$2M	0.2%	HOLD
179	RLRALPH LAUREN CORP	13,517	$2M	0.2%	HOLD
180	ZBRAZEBRA TECHNOLOGIES CORPORATI	2,911	$2M	0.2%	HOLD
181	WWAYFAIR INC	5,842	$1M	0.2%	HOLD
182	WTRGESSENTIAL UTILS INC	31,965	$1M	0.2%	HOLD
183	SPLVINVESCO EXCH TRADED FD TR II	23,988	$1M	0.2%	TRIM −49%
184	AIZASSURANT INC	9,234	$1M	0.2%	HOLD
185	MKTXMARKETAXESS HLDGS INC	3,455	$1M	0.2%	HOLD
186	BMRNBIOMARIN PHARMACEUTICAL INC	18,768	$1M	0.2%	HOLD
187	GSGOLDMAN SACHS GROUP INC	3,806	$1M	0.2%	HOLD
188	INTCINTEL CORP	26,964	$1M	0.2%	HOLD
189	SCHOSCHWAB SHORT-TERM US TREASURY ETF	27,807	$1M	0.2%	ADD 8%
190	JUNIPER NETWORKS INC COM	51,457	$1M	0.2%	HOLD
191	LMTLOCKHEED MARTIN CORP	4,036	$1M	0.2%	HOLD
192	PCARPACCAR INC	17,586	$1M	0.2%	HOLD
193	SPHQINVESCO EXCHANGE TRADED FD T	28,224	$1M	0.2%	TRIM −57%
194	GLGLOBE LIFE INC	15,377	$1M	0.2%	HOLD
195	COOCOOPER COMPANIES INC	3,301	$1M	0.2%	HOLD
196	SCHRSCHWAB STRATEGIC TR	23,997	$1M	0.2%	TRIM −48%
197	WFCWELLS FARGO CO NEW	29,214	$1M	0.2%	HOLD
198	CMSCMS ENERGY CORP	22,420	$1M	0.2%	HOLD
199	PNCPNC FINL SVCS GROUP INC	6,842	$1M	0.2%	HOLD
200	PHMPULTE GROUP INC	29,060	$1M	0.2%	HOLD

showing the top 200 by weight

☆Optimal Asset Management, Inc.