3D ASSET MANAGEMENT, INC

HTTPS://WWW.3DADVISOR.COM • HARTFORD, CT • Investment Advisor How do I update this listing?

3D Asset Management is based out of Hartford. 3D Asset Management is a large advisory firm with 932 clients and discretionary assets under management (AUM) of $577,105,088 (Form ADV from 2017-06-01). Their last reported 13F filing for Q4 2018 included $387,964,000 in managed 13F securities and a top 10 holdings concentration of 69.55%. 3D Asset Management's largest holding is Wisdomtree Barclays US Aggregate Bond Enhanced Yield Fund with shares held of 784,095. 3D Asset Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 33 13F filings, and 52 13G filings The firm last filed a Form D notice of exempt offering of securities on 2015-07-10. The notice included securities offered of Debt,Other

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12/31/2018

13F Sector Allocation Over Time

12/31/2018

13F Activity

  • Market Value $387.964 Million
  • Prior Market Value $441.74 Million
  • New Purchases4 stocks
  • Additional Purchases36 stocks
  • Sold out of2 stocks
  • Reduced holdings in21 stocks
  • Top 10 Holdings % 69.55 %
  • Turnover % [1]:9.68%
  • Turnover Alt % [2]: 18.55 %
  • Time Held Top20:14.45 quarters
  • Time Held Top10:8.20 quarters
  • Time Held All:17.06 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-02-14

Performance for Q4 2018: 1.87%
Performance Last 4 Quarters: -0.98%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required
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13F Filings Available:
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

3D ASSET MANAGEMENT, INC.
100 CONSTITUTION PLAZA 7TH FLOOR
HARTFORD CT    06103
Country: United States
Business Phone: 860-291-1998
Fax: 860-291-9818
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: DE
Number of employees: 15
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,FEES AS SUB-ADVISOR AND MODEL PROVIDER/STATEGIST
Amount of client funds and securities: 86,238,600
Total Number of Clients: 932
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Non-derivative Insider Transactions Since 12/31/2018

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Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2015-07-10 D BUSINESS SERVICES Debt,Other 1,500,000 1,500,000 0
2014-04-08 D BUSINESS SERVICES Equity 1,500,000 687,504 812,496
2013-03-01 D BUSINESS SERVICES Equity 1,500,000 150,000 1,350,000
2012-02-17 D BUSINESS SERVICES Equity 2,000,000 500,010 1,499,990
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
JOHN ARTHUR O'CONNOR subscription required
    EXECUTIVE OFFICER DIRECTOR
RAYMOND NOEKER subscription required
    DIRECTOR
ROBERT L FRANCIS subscription required
    DIRECTOR
SHERYL O'CONNOR subscription required
    EXECUTIVE OFFICER
WAYNE CONNORS subscription required
    EXECUTIVE OFFICER DIRECTOR

3D ASSET MANAGEMENT, INC.

ownership team - last updated 2017-12-20
Name Title Start Date Direct/Indirect % Ownership
CONNORS, WAYNE, NMN DIRECTOR & SHAREHOLDER 05/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
3D ASSET MANAGEMENT, INC. EXEC. V.P./SECRETARY direct 2005-11-01
3D ASSET MANAGEMENT, INC. SHAREHOLDER/DIRECTOR direct 2013-05-01
3D ASSET MANAGEMENT, INC. DIRECTOR & SHAREHOLDER direct 2013-05-01
3D ASSET MANAGEMENT, INC. PRINCIPAL direct 2013-05-01
3D ASSET MANAGEMENT, INC. PRINCIPAL & SHAREHOLDER direct 2013-05-01
LUCICH, ANDREW, THOMAS CHIEF COMPLIANCE OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FAMILY CAPITAL FIDUCIARY LLC CHIEF OPERATIONS OFFICER direct 1999-08-01
3D ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2016-04-01
CAPITAL FORMATION GROUP, INC. CHIEF OPERATING OFFICER direct 1999-06-01 2003-11-03
CAPITAL FORMATION GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2006-03-01 2009-03-30
CAPITAL FORMATION GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2008-11-01 2009-09-15
HIGHMOUNT CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2013-12-01 2015-12-21
O'CONNOR, JOHN, ARTHUR PRINCIPAL, DIRECTOR & SHAREHOLDER 11/01/2005 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
3D ASSET MANAGEMENT, INC. PRINCIPAL, DIRECTOR & SHAREHOLDER direct 2005-11-01
USICG ADVISORS INC PRESIDENT direct 2000-01-01 2003-01-15
USI SECURITIES, INC. PRESIDENT/FINOP direct 1998-01-01 2006-03-08
3D ASSET MANAGEMENT, INC. PRESIDENT/CCO direct 2005-11-01 2006-03-20
3D ASSET MANAGEMENT, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2005-11-01 2015-06-17
3D ASSET MANAGEMENT, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER direct 2005-11-01 2016-03-29
3D ASSET MANAGEMENT, INC. SHAREHOLDER direct 2005-11-01 2016-05-12
3D ASSET MANAGEMENT, INC. PRINCIPAL direct 2005-11-01 2016-07-12
3D ASSET MANAGEMENT, INC. PRINCIPAL& SHAREHOLDER direct 2005-11-01 2017-03-31
FRANKENHOFF, CHRISTOPHER, MICHAEL DIRECTOR 04/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
3D ASSET MANAGEMENT, INC. SHAREHOLDER direct 2007-04-01
3D ASSET MANAGEMENT, INC. DIRECTOR direct 2007-04-01
O'CONNOR, SHERYL, MARY PRINCIPAL & SHAREHOLDER 03/01/2006 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
3D ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2006-03-01
3D ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER, SECRETARY direct 2006-03-01
3D ASSET MANAGEMENT, INC. PRINCIPAL & SHAREHOLDER direct 2006-03-01
3D ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, BUSINESS DEVELOPMENT direct 2006-03-01
3D ASSET MANAGEMENT, INC. SHAREHOLDER direct 2006-03-01
3D ASSET MANAGEMENT, INC. PRINCIPAL direct 2006-03-01
Noeker, Raymond, Harold CHIEF FINANCIAL OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
3D ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2015-10-01

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