CARRET ASSET MANAGEMENT, LLC

HTTP://WWW.CARRET.COM NEW YORK, NY Investment Advisor How do I update this listing?

Carret Asset Management is based out of New York. Carret Asset Management is a large advisory firm with 2255 clients and discretionary assets under management (AUM) of $2,938,680,198 (Form ADV from 2019-12-01). Their last reported 13F filing for Q1 2020 included $520,114,000 in managed 13F securities and a top 10 holdings concentration of 31.88%. Carret Asset Management's largest holding is Apple Inc with shares held of 118,250. Whalewisdom has at least 104 13F filings, and 2 13G filings

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03/31/2020

13F Sector Allocation Over Time

03/31/2020

13F Activity

  • Market Value $520.956 Million
  • Prior Market Value $685.582 Million
  • New Purchases6 stocks
  • Additional Purchases69 stocks
  • Sold out of44 stocks
  • Reduced holdings in112 stocks
  • Top 10 Holdings % 31.83 %
  • Turnover % [1]:21.74%
  • Turnover Alt % [2]: 7.97 %
  • Time Held Top20:19.75 quarters
  • Time Held Top10:16.40 quarters
  • Time Held All:27.53 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 2020-05-15

Performance for Q1 2020: -9.81%
Performance Last 4 Quarters: -0.9%
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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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

CARRET ASSET MANAGEMENT, LLC
320 PARK AVENUE 18TH FLOOR
NEW YORK NY    10022
Country: United States

Business Phone: 212-593-3800
Fax: 212-593-9796
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 21
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities:
Total Number of Clients: 2255
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 - Recent Insider Transactions

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CARRET ASSET MANAGEMENT, LLC

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

CARRET ASSET MANAGEMENT, LLC

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
VEGA, MARCO, ANTONIO PRINCIAL COO, CFO, CCO 09/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
BMI CAPITAL LLC CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER direct 2013-10-01
CARRET AND COMPANY, LLC. COMPLIANCE OFFICER direct 2003-03-01
CARRET CAPITAL ACQUISITION COMPANY, LLC COMPLIANCE OFFICER direct 2004-04-01
CARRET CAPITAL LLC CHIEF COMPLIANCE OFFICER, CFO, COO direct 2005-09-01
CARRET CAPITAL LLC CHIEF COMPLIANCE OFFICER, CFO, COO.MANAGER direct 2005-09-01
RIKOON CARRET WEALTH MANAGEMENT GROUP, LLC COMPLIANCE OFFICER direct 2004-04-01
CARRET ASSET MANAGEMENT, LLC COMPLIANCE OFFICER direct 2004-04-01
CARRET ASSET MANAGEMENT, LLC PRINCIAL COO, CFO, CCO direct 2005-09-01
CARRET ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, CFO, COO direct 2005-09-01
CARRET INVESTMENT COMPANY, LLC CHIEF COMPLIANCE OFFICER direct 2005-08-01
BREAN ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-09-01
REISNER, WAYNE, STANLEY PRESIDENT, CHIEF EXECUTIVE OFFICER 09/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
MANCHESTER CAPITAL CORP PRESIDENT/DIRECTOR direct 1988-12-01
CARRET AND COMPANY, LLC. MEMBER direct 2002-06-01
CARRET ASSET MANAGEMENT, LLC PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2005-09-01
CARRET ASSET MANAGEMENT, LLC PRESIDENT direct 2004-04-01 2005-01-20
GRAYBILL, JASON, RICHARD PRINCIPAL, SENIOR MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARRET ASSET MANAGEMENT, LLC PRINCIPAL, SENIOR MANAGING DIRECTOR direct 2014-01-01
KLEIN, NEIL, DOUGLAS PRINCIPAL, SENIOR MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARRET ASSET MANAGEMENT, LLC PRINCIPAL, SENIOR MANAGING DIRECTOR direct 2014-01-01
CARRET HOLDINGS, INC. MEMBER 02/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
CARRET ASSET MANAGEMENT, LLC MEMBER indirect 2007-12-01
CARRET ASSET MANAGEMENT, LLC MEMBER indirect 2007-12-01
EVEREST HILL GROUP INC. (BVI) OWNER GB CAPITAL, LLC 12/01/2007 Indirect 75% or more
EVEREST TRUST OWNER EVEREST HILL GROUP INC. (BVI) 05/01/2010 Indirect 50 - 75%
(TRUSTEE) Q MANAGEMENT SERVICES (PTC) LIMITED TRUSTEE EVEREST TRUST 05/01/2010 Indirect 50 - 75%
GB CAPITAL, LLC SHAREHOLDER CARRET HOLDINGS, INC. 02/01/2019 Indirect 25 - 50%
MORNINGSTAR JAPAN KK SHAREHOLDER CARRET HOLDINGS, INC. 02/01/2019 Indirect 50 - 75%
SBI HOLDINGS, INC. JAPAN KK SHAREHOLDER MORNINGSTAR JAPAN KK 02/01/2019 Indirect 25 - 50%

CARRET ASSET MANAGEMENT, LLC

ownership team - last updated 2017-09-29
Name Title Start Date Direct/Indirect % Ownership
KLEIN, NEIL, DOUGLAS PRINCIPAL, SENIOR MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARRET ASSET MANAGEMENT, LLC PRINCIPAL, SENIOR MANAGING DIRECTOR direct 2014-01-01
GRAYBILL, JASON, RICHARD PRINCIPAL, SENIOR MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARRET ASSET MANAGEMENT, LLC PRINCIPAL, SENIOR MANAGING DIRECTOR direct 2014-01-01
REISNER, WAYNE, STANLEY PRESIDENT, CHIEF EXECUTIVE OFFICER 09/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
MANCHESTER CAPITAL CORP PRESIDENT/DIRECTOR direct 1988-12-01
CARRET AND COMPANY, LLC. MEMBER direct 2002-06-01
CARRET ASSET MANAGEMENT, LLC PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2005-09-01
CARRET ASSET MANAGEMENT, LLC PRESIDENT direct 2004-04-01 2005-01-20
CARRET ASSET MANAGEMENT GROUP, LLC MEMBER 05/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
CARRET CAPITAL LLC MEMBER direct 2004-04-01
CARRET CAPITAL LLC MEMBER direct 2004-05-01
RIKOON CARRET WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2004-04-01
CARRET ASSET MANAGEMENT, LLC MEMBER direct 2004-04-01
CARRET ASSET MANAGEMENT, LLC MEMBER direct 2004-05-01
CARRET SHIKIAR & CO., LLC MEMBER indirect 2004-05-01
VEGA, MARCO, ANTONIO PRINCIAL COO, CFO, CCO 09/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
BMI CAPITAL LLC CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER direct 2013-10-01
CARRET AND COMPANY, LLC. COMPLIANCE OFFICER direct 2003-03-01
CARRET CAPITAL ACQUISITION COMPANY, LLC COMPLIANCE OFFICER direct 2004-04-01
CARRET CAPITAL LLC CHIEF COMPLIANCE OFFICER, CFO, COO direct 2005-09-01
CARRET CAPITAL LLC CHIEF COMPLIANCE OFFICER, CFO, COO.MANAGER direct 2005-09-01
RIKOON CARRET WEALTH MANAGEMENT GROUP, LLC COMPLIANCE OFFICER direct 2004-04-01
CARRET ASSET MANAGEMENT, LLC COMPLIANCE OFFICER direct 2004-04-01
CARRET ASSET MANAGEMENT, LLC PRINCIAL COO, CFO, CCO direct 2005-09-01
CARRET ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, CFO, COO direct 2005-09-01
CARRET INVESTMENT COMPANY, LLC CHIEF COMPLIANCE OFFICER direct 2005-08-01
BREAN ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-09-01
(TRUSTEE) Q MANAGEMENT SERVICES (PTC) LIMITED TRUSTEE AQ EVEREST TRUST 05/01/2010 Indirect 50 - 75%
EVEREST TRUST OWNER BREAN MURRAY CARRET GROUP INC. (BVI) 05/01/2010 Indirect 50 - 75%
EVEREST HILL GROUP INC. (BVI) OWNER CARRET HOLDINGS, INC. 12/01/2007 Indirect 75% or more
CARRET HOLDINGS, INC. MEMBER CARRET ASSET MANAGEMENT GROUP, LLC 12/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CARRET ASSET MANAGEMENT, LLC MEMBER indirect 2007-12-01
CARRET ASSET MANAGEMENT, LLC MEMBER indirect 2007-12-01

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