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WhaleScore
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
12/31/2018
12/31/2018
12/31/2018
12/31/2018
12/31/2018
[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.
You are limited to the prior 8 quarters of 13F filings. Subscribe to WhaleWisdom to view all filing data for 3D ASSET MANAGEMENT, INC
Top 20 equal-weighted holdings. Performance numbers calculated through 2019-02-14
Performance for Q4 2018: | 1.87% |
Performance Last 4 Quarters: | -0.98% |
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 |
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: |
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.
Filing Date | Form Type | Industry Group | Securities Offered | Total Offering Amount | Total Amount Sold | Total Remaining |
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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 |
Name | Address | |
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No Other Issuers |
Name | Address | Relationship |
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JOHN ARTHUR O'CONNOR | subscription required |
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RAYMOND NOEKER | subscription required |
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ROBERT L FRANCIS | subscription required |
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SHERYL O'CONNOR | subscription required |
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WAYNE CONNORS | subscription required |
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Name | Title | Start Date | Direct/Indirect | % Ownership | |||||||||||||||||||||||||||||||||||||||||||||||||||
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CONNORS, WAYNE, NMN | DIRECTOR & SHAREHOLDER | 05/01/2013 | Direct | 25 - 50% | |||||||||||||||||||||||||||||||||||||||||||||||||||
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LUCICH, ANDREW, THOMAS | CHIEF COMPLIANCE OFFICER | 04/01/2016 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||||||||||||
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O'CONNOR, JOHN, ARTHUR | PRINCIPAL, DIRECTOR & SHAREHOLDER | 11/01/2005 | Direct | 25 - 50% | |||||||||||||||||||||||||||||||||||||||||||||||||||
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FRANKENHOFF, CHRISTOPHER, MICHAEL | DIRECTOR | 04/01/2007 | Direct | 10 - 25% | |||||||||||||||||||||||||||||||||||||||||||||||||||
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O'CONNOR, SHERYL, MARY | PRINCIPAL & SHAREHOLDER | 03/01/2006 | Direct | 25 - 50% | |||||||||||||||||||||||||||||||||||||||||||||||||||
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Noeker, Raymond, Harold | CHIEF FINANCIAL OFFICER | 10/01/2015 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||||||||||||
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