Claybrook Capital, LLC

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CIK 1729848

13F portfolio (2023-Q3)

$175M

Positions

138

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2023-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 (2023-Q3)

Holdings

138

Top 5

24.6%

Top 10

34.0%

Effective N

44.8

HHI

0.022

This quarter

1 new · 0 exit →

By sector

Unclassified68.0%

Real Estate11.5%

Utilities3.2%

Consumer Staples3.1%

Financials3.0%

Information Technology2.2%

Consumer Discretionary2.0%

Communication Services1.8%

Other5.1%

By market cap

Unknown68.0%

Large ($10–200B)12.3%

Mega (>$200B)6.9%

Small ($300M–2B)5.0%

Mid ($2–10B)4.9%

Micro (<$300M)2.9%

By region

Other68.0%

North America32.0%

By industry group GICS — finer than sector

Industry group	Weight	Names
Unclassified	70.25%	97
Equity Real Estate Investment Trusts (REITs)	11.28%	15
Utilities	3.21%	3
Tobacco	2.90%	1
Specialty Retail	2.04%	1
Software	1.54%	2
Health Care Equipment & Supplies	1.18%	1
Software & IT Services	1.13%	2
Aerospace & Defense	1.10%	1
Chemicals	1.02%	2
Oil, Gas & Consumable Fuels	0.86%	2
Banks	0.79%	1
Diversified Telecommunication Services	0.59%	1
Industrial Conglomerates	0.46%	1
Semiconductors & Semiconductor Equipment	0.42%	1
Food Products	0.25%	1
Real Estate Management & Development	0.24%	1
Technology Hardware & Equipment	0.21%	1
Pharmaceuticals & Biotechnology	0.20%	1
Construction Materials	0.16%	1
Health Care Providers & Services	0.10%	1
Media & Publishing	0.08%	1

Top holdings

#	Ticker	Name	Sector	Weight
1	SPY	STATE STR SPDR S&P 500 ETF T	Unclassified	9.37%
2	QQQ	INVESCO QQQ TR	Unclassified	5.34%
3	NRK	NUVEEN NEW YORK AMT QLT MUNI	Unclassified	4.28%
4	MO	ALTRIA GROUP, INC.	Consumer Staples	2.90%
5	NAN	NUVEEN NEW YORK QLT MUN INC	Unclassified	2.69%
6	BRK.B	BERKSHIRE HATHAWAY INC	Financials	2.20%
7	AMZN	AMAZON COM INC	Consumer Discretionary	2.04%
8	ET	Energy Transfer LP	Utilities	1.78%
9	MYN	BLACKROCK MUNIYIELD N Y QUAL	Unclassified	1.77%
10	LADR	Ladder Capital Corp	Real Estate	1.60%

42/138 names classified · sector 32.0% of weight · industry 29.8% · mkt cap 32.0%; unclassified names shown, never dropped.

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

top 5/sector, rest → “Other” · 24 quarters

Real EstateEPRT, RITM, EFC, KREF, LADR · other

Information TechnologyMSFT, AAPL, INTC, CRM, CSCO · other

Consumer DiscretionaryAMZN, GNTX, LOW, TGT, WMT · other

FinancialsBRK.B, V, DJP, JPM, BAC · other

Health CareBDX, JNJ, ABBV, ABT, AMGN · other

IndustrialsBA, GFF, HON, NSC, FDX · other

Consumer StaplesMO, STZ, BUD, HSY, PEP · other

EnergyCOP, PSX, BP, XOM, FANG · other

Communication ServicesGOOGL, DIS, VZ, META, CMCSA · other

MaterialsAPD, CL, PG, LGO, NKE · other

UtilitiesET, KMI, PPL, NEE, D · other

UnclassifiedSPY, NRK, UBS AG LONDON BRH, BRK.A, MTUM · 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: 32.0% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2023-Q3), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

Only 24% of book weight classified — the grid is NOT representative of the whole book.

holdings, colored by sector (30 classified)Claybrook Capital, LLC centroid (Mid Core)

Real EstateConsumer StaplesInformation TechnologyConsumer DiscretionaryCommunication ServicesIndustrialsHealth CareUtilitiesMaterialsFinancialsEnergy

Style box summary for Claybrook Capital, LLC: centroid Mid Core. Heaviest cells: Small Value 6.7%, Large Growth 6.4%, Large Value 4.2%.

Classified: 23.5% of book weight (30/123 names) · unclassified 76.5%: SPY, , QQQ, NRK, NAN, BRK.B, ET, MYN, VT, MOAT +83 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· 138 positions (2023-Q3) · largest first · Δ vs 2023-Q2

#	Security	Shares	Value	Weight	Δ QoQ
1	SPYSTATE STR SPDR S&P 500 ETF T	38,321	$16M	9.4%	HOLD
2	QQQINVESCO QQQ TR	26,054	$9M	5.3%	HOLD
3	NRKNUVEEN NEW YORK AMT QLT MUNI	792,367	$7M	4.3%	HOLD
4	MOALTRIA GROUP INC	120,458	$5M	2.9%	HOLD
5	NANNUVEEN NEW YORK QLT MUN INC	486,078	$5M	2.7%	HOLD
6	BRK.BBERKSHIRE HATHAWAY INC DEL	10,980	$4M	2.2%	HOLD
7	AMZNAMAZON COM INC	28,050	$4M	2.0%	TRIM −3%
8	ETENERGY TRANSFER L P	222,298	$3M	1.8%	HOLD
9	MYNBLACKROCK MUNIYIELD N Y QUAL	348,250	$3M	1.8%	HOLD
10	LADRLADDER CAP CORP	271,781	$3M	1.6%	HOLD
11	VTVANGUARD INTL EQUITY INDEX F	29,423	$3M	1.6%	TRIM −3%
12	MOATVANECK ETF TRUST	35,300	$3M	1.5%	HOLD
13	BLACKROCK MUNIHLDGS NY QLTY	292,141	$3M	1.5%	HOLD
14	PIMCO NEW YORK MUN INCOME FD	397,400	$2M	1.4%	HOLD
15	XNEAXNUVEEN AMT FREE QLTY MUN INC	248,583	$2M	1.4%	HOLD
16	FSKFS KKR CAP CORP	119,643	$2M	1.3%	HOLD
17	STWDSTARWOOD PPTY TR INC	120,192	$2M	1.3%	HOLD
18	MSFTMICROSOFT CORP	7,335	$2M	1.3%	HOLD
19	EPRTESSENTIAL PPTYS RLTY TR INC	106,758	$2M	1.3%	HOLD
20	JPCNUVEEN PFD & INCOME OPPORTUN	357,226	$2M	1.3%	HOLD
21	PMLPIMCO MUN INCOME FD II	280,187	$2M	1.2%	HOLD
22	PROSHARES TR	195,350	$2M	1.2%	HOLD
23	RCREADY CAPITAL CORP	206,637	$2M	1.2%	HOLD
24	BDXBECTON DICKINSON & CO	7,950	$2M	1.2%	HOLD
25	IQIINVESCO QUALITY MUN INCOME T	244,543	$2M	1.2%	HOLD
26	BABOEING CO	10,010	$2M	1.1%	HOLD
27	XMVFXBLACKROCK MUNIVEST FD INC	312,220	$2M	1.1%	HOLD
28	KREFKKR REAL ESTATE FIN TR INC	154,116	$2M	1.0%	HOLD
29	OCSLOAKTREE SPECIALTY LENDING CO	90,468	$2M	1.0%	HOLD
30	PNIPIMCO NEW YORK MUN FD II	281,593	$2M	1.0%	HOLD
31	KMIKINDER MORGAN INC DEL	104,000	$2M	1.0%	HOLD
32	GLDSPDR GOLD TR	9,785	$2M	1.0%	HOLD
33	ABRARBOR REALTY TRUST INC	108,877	$2M	0.9%	HOLD
34	NVGNUVEEN AMT FREE MUN CR INC F	160,147	$2M	0.9%	HOLD
35	UTGREAVES UTIL INCOME FD	66,212	$2M	0.9%	HOLD
36	PNNTPENNANTPARK INVT CORP	246,312	$2M	0.9%	HOLD
37	APDAIR PRODS & CHEMS INC	5,600	$2M	0.9%	HOLD
38	VTNINVESCO TR INVT GRADE NEW YO	170,381	$2M	0.9%	HOLD
39	NZFNUVEEN MUNICIPAL CREDIT INC	148,183	$2M	0.9%	HOLD
40	XAI OCTAGN FLT RAT & ALT INM	214,393	$1M	0.9%	HOLD
41	PFFAETFIS SER TR I	72,115	$1M	0.8%	HOLD
42	OMFONEMAIN HLDGS INC	34,391	$1M	0.8%	HOLD
43	TPVGTRIPLEPOINT VENTURE GROWTH B	121,240	$1M	0.7%	HOLD
44	ACREARES COML REAL ESTATE CORP	129,913	$1M	0.7%	HOLD
45	ARIAPOLLO COML REAL EST FIN INC	121,855	$1M	0.7%	HOLD
46	XCMUXMFS HIGH YIELD MUN TR	382,584	$1M	0.7%	HOLD
47	BXMTBLACKSTONE MTG TR INC	52,758	$1M	0.7%	HOLD
48	VEAVANGUARD TAX-MANAGED FDS	26,109	$1M	0.7%	TRIM −3%
49	ARCCARES CAPITAL CORP	57,562	$1M	0.6%	HOLD
50	SARSARATOGA INVT CORP	41,817	$1M	0.6%	HOLD
51	ITAIShares U.S. Aerospace & Defense ETF	10,025	$1M	0.6%	HOLD
52	VZVERIZON COMMUNICATIONS INC	32,040	$1M	0.6%	TRIM −6%
53	BIZDVANECK ETF TRUST	64,093	$1M	0.6%	HOLD
54	SKYYFIRST TR EXCHANGE-TRADED FD	13,490	$1M	0.6%	HOLD
55	KYNKAYNE ANDERSON ENERGY INFRST	121,491	$1M	0.6%	HOLD
56	VWOVANGUARD INTL EQUITY INDEX F	25,621	$1M	0.6%	TRIM −3%
57	GOOGALPHABET INC	7,540	$994,149	0.6%	ADD 3%
58	GOOGLALPHABET INC	7,440	$973,598	0.6%	HOLD
59	QQQJINVESCO EXCH TRADED FD TR II	38,480	$948,138	0.5%	HOLD
60	HESS CORP	6,000	$918,000	0.5%	HOLD
61	COPCONOCOPHILLIPS	7,600	$910,480	0.5%	HOLD
62	RQICOHEN & STEERS QUALITY INCOM	85,300	$863,236	0.5%	HOLD
63	DXDYNEX CAP INC	67,140	$801,652	0.5%	HOLD
64	MMM3M CO	8,550	$800,451	0.5%	HOLD
65	SEVNSEVEN HILLS REALTY TRUST	70,588	$770,821	0.4%	HOLD
66	EPDENTERPRISE PRODS PARTNERS L	28,151	$770,493	0.4%	HOLD
67	AMLPALPS ETF TR	17,870	$754,114	0.4%	HOLD
68	BSVVANGUARD BD INDEX FDS	10,000	$751,700	0.4%	TRIM −6%
69	VRTVERTIV HOLDINGS CO	19,760	$735,072	0.4%	HOLD
70	BCSFBAIN CAP SPECIALTY FIN INC	46,355	$709,695	0.4%	HOLD
71	XJQCXNUVEEN CR STRATEGIES INCOME	140,195	$709,387	0.4%	HOLD
72	GSBDGOLDMAN SACHS BDC INC	47,200	$687,232	0.4%	HOLD
73	PDIPIMCO DYNAMIC INCOME FD	37,383	$645,978	0.4%	HOLD
74	XBNYXBLACKROCK N Y MUN INCOME TRU	70,821	$644,471	0.4%	HOLD
75	SLRCSLR INVESTMENT CORP	41,393	$637,038	0.4%	HOLD
76	LDPCOHEN & STEERS LTD D	36,815	$628,432	0.4%	HOLD
77	RITMRITHM CAPITAL CORP	65,915	$612,350	0.4%	HOLD
78	MFICMIDCAP FINANCIAL INVSTMNT CO	44,137	$606,884	0.3%	HOLD
79	XNCMXNUVEEN CALIFORNIA AMT QLT MU	58,810	$603,391	0.3%	HOLD
80	PTACOHEN & STEERS TAX ADVAN PFD	34,384	$600,688	0.3%	HOLD
81	MPLXMPLX LP	16,516	$587,474	0.3%	HOLD
82	SDYSPDR SER TR	5,000	$575,050	0.3%	HOLD
83	HYTBLACKROCK CORPOR HI YLD FD I	63,742	$550,093	0.3%	HOLD
84	HTGCHERCULES CAPITAL INC	32,620	$535,620	0.3%	HOLD
85	BARCLAYS BANK PLC	21,550	$502,546	0.3%	HOLD
86	BGBBLACKSTONE STRATEGIC CRED 20	44,898	$493,429	0.3%	HOLD
87	XIGDXVOYA GLBL EQTY DIV & PREM OP	100,402	$491,970	0.3%	HOLD
88	TSLXSIXTH STREET SPECIALTY LENDI	23,660	$483,610	0.3%	HOLD
89	KAYNE ANDERSON	66,675	$474,726	0.3%	HOLD
90	VIGVANGUARD SPECIALIZED FUNDS	3,000	$466,140	0.3%	HOLD
91	KHCKRAFT HEINZ CO	13,000	$437,320	0.3%	HOLD
92	PIONEER NAT RES CO	1,902	$436,604	0.2%	HOLD
93	EFCELLINGTON FINANCIAL INC	33,695	$420,177	0.2%	HOLD
94	VIRTUS CONVERTIBLE INCOME	126,918	$394,715	0.2%	HOLD
95	OBDCBLUE OWL CAPITAL CORPORATION	28,490	$394,587	0.2%	HOLD
96	XJPIXNUVEEN PFD SECS & INC OPPTY	22,795	$391,390	0.2%	HOLD
97	RITHM PPTY TR INC	58,552	$377,075	0.2%	HOLD
98	CRMSALESFORCE INC	1,857	$376,562	0.2%	TRIM −62%
99	GPMTGRANITE PT MTG TR INC	75,760	$369,709	0.2%	HOLD
100	ANETArista Networks Inc	2,000	$367,860	0.2%	HOLD
101	BTZBLACKROCK CR ALLOCATION INCO	37,535	$363,339	0.2%	HOLD
102	HEGDLISTED FDS TR SWAN HEDGED EQUITY US LARGE CAP ETF	20,000	$362,300	0.2%	TRIM −69%
103	PFEPFIZER INC	10,705	$355,085	0.2%	HOLD
104	GBDCGOLUB CAP BDC INC	24,060	$352,960	0.2%	HOLD
105	XEADXALLSPRING INCOME OPPORTUNIT	56,161	$342,582	0.2%	HOLD
106	CRESTWOOD EQUITY PARTNERS LP	11,637	$340,382	0.2%	HOLD
107	SNSRGLOBAL X FDS	11,008	$337,171	0.2%	HOLD
108	MONROE CAP CORP	43,140	$321,393	0.2%	HOLD
109	HFROHIGHLAND OPPS & INCOME FD	38,853	$312,378	0.2%	HOLD
110	PMTPENNYMAC MTG INVT TR	23,400	$290,160	0.2%	HOLD
111	DTECALPS ETF TR	8,051	$285,180	0.2%	HOLD
112	BXSLBLACKSTONE SECD LENDING FD	10,400	$284,544	0.2%	HOLD
113	LGOLARGO INC	99,295	$281,005	0.2%	HOLD
114	REMISHARES TR	12,521	$279,719	0.2%	HOLD
115	VIACOMCBS INC	21,100	$272,190	0.2%	TRIM −9%
116	NMFCNEW MTN FIN CORP	19,880	$257,446	0.1%	HOLD
117	OXFORD LANE CAP CORP	51,371	$256,341	0.1%	HOLD
118	EARNELLINGTON CREDIT COMPANY	40,186	$249,555	0.1%	HOLD
119	PFFISHARES TR	8,197	$247,140	0.1%	HOLD
120	JEPIJPMorgan Equity Premium Income ETF	4,584	$245,519	0.1%	HOLD
121	CCAPCRESCENT CAP BDC INC	13,975	$238,973	0.1%	HOLD
122	BLACKROCK CAP INVT CORP	64,164	$238,048	0.1%	HOLD
123	BBDCBarings BDC, Inc.	25,255	$225,022	0.1%	HOLD
124	FPFFIRST TR INTER DURATN PFD &	14,712	$219,209	0.1%	HOLD
125	XFFCXFLAHERTY & CRUMRINE PFD SECS	16,895	$219,128	0.1%	HOLD
126	MORTVANECK ETF TRUST	19,030	$216,371	0.1%	HOLD
127	PCTPURECYCLE TECHNOLOGIES INC	34,500	$193,545	0.1%	ADD 13%
128	CHWCALAMOS GBL DYN INCOME FUND	34,403	$190,593	0.1%	HOLD
129	GLVCLOUGH GLOBAL DIVID & INCOME	38,270	$190,202	0.1%	HOLD
130	NPFDNUVEEN VRIABL RAT PFD & INM	11,608	$181,897	0.1%	HOLD
131	XEVVXEATON VANCE LIMITED DURATION	19,837	$179,326	0.1%	HOLD
132	UBS AG LONDON BRANCH	18,658	$173,872	0.1%	NEW
133	CSTLCASTLE BIOSCIENCES INC	10,026	$169,339	0.1%	TRIM −26%
134	FINSANGEL OAK FINL STRATEGIES IN	13,455	$161,998	0.1%	HOLD
135	XFRAXBLACKROCK FLOATING RATE INCO	12,650	$159,643	0.1%	HOLD
136	XGLQXCLOUGH GLOBAL EQUITY FD	29,090	$159,413	0.1%	HOLD
137	TDAYUSA TODAY CO INC	60,338	$147,828	0.1%	HOLD
138	PFNPIMCO INCOME STRATEGY FD II	12,270	$80,859	0.0%	HOLD

☆Claybrook Capital, LLC