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Livermore
Livermore
ZHEN

Wetherby Asset Management Inc

SEC CIK
0001279627
Latest filing
Nov 14, 2025

Holdings in Q3 2023

Holdings as of Sep 30, 2023, filed Nov 14, 2023. Long positions only; changes compare share counts with Q2 2023.

Institution overview
Positions
896
−38 vs. Q2 2023
Portfolio value
$1.76B
−$92.3M (−5.0%) vs. Q2 2023
Filed
Nov 14, 2023
SEC
Holdings of Wetherby Asset Management Inc in Q3 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
NVVENuvve Holding Corp.COM21,098$7.15K<0.1%00.0%UnchangedHistory
AMWLAmerican Well CorpCL A11,747$13.7K<0.1%+11,747NewHistory
LUMNLumen Technologies, Inc.Stock10,507$14.9K<0.1%−40,491−79.4%ReducedHistory
OPKOpko Health, Inc.COM11,225$18.0K<0.1%00.0%UnchangedHistory
Lumiradx LimitedG5709L109SHS83,489$19.6K<0.1%00.0%Unchanged–
SPCEVirgin Galactic Holdings, IncCOM10,986$19.8K<0.1%+10,986NewHistory
FCELFuelcell Energy IncCOM16,146$20.7K<0.1%+16,146NewHistory
DNAGinkgo Bioworks Holdings, Inc.CL A SHS14,917$27.0K<0.1%+802+5.7%AddedHistory
URGUr-Energy IncCOM26,625$41.0K<0.1%00.0%UnchangedHistory
TVGrupo Televisa, S.A.B.SPON ADR REP ORD14,993$45.7K<0.1%−13,690−47.7%ReducedHistory
SOFISoFi Technologies, Inc.Stock6,205$49.6K<0.1%+6,205NewHistory
OXLCOxford Lane Capital Corp.COM10,000$49.9K<0.1%+10,000NewHistory
ERICEricsson LM Telephone CoADR B SEK 1010,311$50.1K<0.1%−800−7.2%ReducedHistory
RUMRUM Group Inc.Stock10,000$51.0K<0.1%00.0%UnchangedHistory
CURVTorrid Holdings Inc.COM24,664$54.5K<0.1%+24,664NewHistory
UNITUniti Group Inc.COM11,719$55.3K<0.1%−2,077−15.1%ReducedHistory
HMYHarmony Gold Mining Co LtdADR15,096$56.8K<0.1%+12+0.1%AddedHistory
OPENOpendoor Technologies Inc.COM24,548$64.8K<0.1%−1,540−5.9%ReducedHistory
NCVVirtus Convertible & Income FundCOM21,919$68.2K<0.1%00.0%UnchangedHistory
IGDVoya GLOBAL EQUITY DIVIDEND & PREMIUM OPPORTUNITY FUNDCOM13,988$68.5K<0.1%00.0%UnchangedHistory
AQNAlgonquin Power & Utilities Corp.COM11,592$68.6K<0.1%−38,569−76.9%ReducedHistory
SIDNational Steel CoSPONSORED ADR29,254$69.9K<0.1%−1,744−5.6%ReducedHistory
JQCNuveen Credit Strategies Income FundCOM SHS13,905$70.4K<0.1%00.0%UnchangedHistory
VVRInvesco Senior Income TrustCOM19,094$74.8K<0.1%00.0%UnchangedHistory
ITUBItau Unibanco Holding S.A.SPON ADR REP PFD15,096$81.1K<0.1%−314−2.0%ReducedHistory
UGPUltrapar Holdings IncSP ADR REP COM22,299$81.8K<0.1%−3,517−13.6%ReducedHistory
TEITempleton Emerging Markets Income FundCOM18,000$83.0K<0.1%00.0%UnchangedHistory
EMDWestern Asset Emerging Markets Debt Fund Inc.COM10,000$83.0K<0.1%00.0%UnchangedHistory
CERSCerus CorpCOM51,860$84.0K<0.1%−12,500−19.4%ReducedHistory
RLXRLX Technology Inc.SPONSORED ADS56,126$84.8K<0.1%−30,494−35.2%ReducedHistory
RDFNRedfin CorpCOM12,239$86.2K<0.1%+76+0.6%AddedHistory
MYDBlackRock Muniyield Fund, Inc.COM10,449$95.9K<0.1%−545−5.0%ReducedHistory
BlackRock New York Municipal Income Trust09248L106SH BEN INT10,569$96.2K<0.1%−563−5.1%Reduced–
VKIInvesco Advantage Municipal Income Trust IISH BEN INT13,271$98.3K<0.1%−897−6.3%ReducedHistory
BFKBlackRock Municipal Income TrustSH BEN INT11,153$98.9K<0.1%−575−4.9%ReducedHistory
MYNBlackRock Muniyield New York Quality Fund, Inc.COM11,191$99.2K<0.1%−642−5.4%ReducedHistory
MHNBlackRock Muniholdings New York Quality Fund, Inc.COM10,879$99.3K<0.1%−813−7.0%ReducedHistory
MIYBlackRock Muniyield Michigan Quality Fund, Inc.COM10,022$99.5K<0.1%−643−6.0%ReducedHistory
BLEBlackRock Municipal Income Trust IICOM10,903$99.7K<0.1%−767−6.6%ReducedHistory
MVFBlackRock Munivest Fund, Inc.COM16,480$99.9K<0.1%−1,057−6.0%ReducedHistory
KTFDWS Municipal Income TrustCOM13,075$100.7K<0.1%−932−6.7%ReducedHistory
NQPNuveen Pennsylvania Quality Municipal Income FundCOM10,022$101.9K<0.1%−693−6.5%ReducedHistory
BRSPBrightSpire Capital, Inc.COM CL A16,856$105.5K<0.1%00.0%UnchangedHistory
DMBBNY Mellon Municipal Bond Infrastructure Fund, Inc.COM SHS10,643$105.6K<0.1%−787−6.9%ReducedHistory
KGCKinross Gold CorpCOM24,011$109.5K<0.1%00.0%UnchangedHistory
PGREParamount Group, Inc.COM23,962$110.7K<0.1%+2,195+10.1%AddedHistory
SWNSouthwestern Energy CoCOM17,344$111.9K<0.1%−361−2.0%ReducedHistory
GRFSGrifols SASP ADR REP B NVT12,464$113.9K<0.1%−544−4.2%ReducedHistory
MELIMercadolibre IncCOM95$120.4K<0.1%−135−58.7%ReducedHistory
SIRISirius XM Holdings Inc.COM29,357$132.7K<0.1%+6,333+27.5%AddedHistory
GAPGap IncCOM12,617$134.1K<0.1%−1,494−10.6%ReducedHistory
BGBBlackstone Strategic Credit 2027 Term FundCOM SHS BEN IN12,500$137.4K<0.1%00.0%UnchangedHistory
AGNCAGNC Investment Corp.REIT15,532$146.6K<0.1%+1,680+12.1%AddedHistory
VTRSViatris IncStock14,969$147.6K<0.1%−1,280−7.9%ReducedHistory
ETRNMidstream Co LLCCOM16,018$150.1K<0.1%−591−3.6%ReducedHistory
PMLPIMCO Municipal Income Fund IICOM19,753$151.9K<0.1%−1,128−5.4%ReducedHistory
IQiQIYI, Inc.SPONSORED ADS32,767$155.3K<0.1%+242+0.7%AddedHistory
VMOInvesco Municipal Opportunity TrustCOM18,947$155.9K<0.1%−1,257−6.2%ReducedHistory
IIMInvesco Value Municipal Income TrustCOM15,090$156.9K<0.1%−851−5.3%ReducedHistory
GBDCGolub Capital BDC, Inc.COM10,717$157.2K<0.1%+10,717NewHistory
NVGNuveen AMT-Free Municipal Credit Income FundCEF15,304$157.8K<0.1%−836−5.2%ReducedHistory
DEIDouglas Emmett IncCOM12,370$157.8K<0.1%−45−0.4%ReducedHistory
TIMBTim S.A.SPONSORED ADR10,641$158.6K<0.1%+598+6.0%AddedHistory
MHDBlackRock Muniholdings Fund, Inc.COM15,420$159.0K<0.1%−1,038−6.3%ReducedHistory
MQYBlackRock Muniyield Quality Fund, Inc.COM15,586$159.4K<0.1%−1,054−6.3%ReducedHistory
NZFNuveen Municipal Credit Income FundCOM SH BEN INT15,330$159.9K<0.1%−982−6.0%ReducedHistory
AGROAdecoagro S.A.COM13,700$160.2K<0.1%00.0%UnchangedHistory
MUJBlackRock Muniholdings New Jersey Quality Fund, Inc.COM15,876$160.7K<0.1%−1,006−6.0%ReducedHistory
DNPDNP Select Income Fund IncCOM17,246$164.2K<0.1%00.0%UnchangedHistory
GDSGDS Holdings LtdSPONSORED ADS15,561$170.4K<0.1%−225−1.4%ReducedHistory
LDPCohen & Steers Ltd Duration Preferred & Income Fund, Inc.COM10,000$170.7K<0.1%00.0%UnchangedHistory
RITMRithm Capital Corp.REIT18,863$175.2K<0.1%00.0%UnchangedHistory
HSTHost Hotels & Resorts, Inc.COM11,024$177.2K<0.1%+24+0.2%AddedHistory
RVTRoyce Small-Cap Trust, Inc.COM13,881$178.6K<0.1%+159+1.2%AddedHistory
JBGSJBG Smith PropertiesCOM12,360$178.7K<0.1%−7,532−37.9%ReducedHistory
Copel-ADR20441B605ADR20,499$179.8K<0.1%00.0%Unchanged–
OPLNOPENLANE, Inc.COM12,894$192.4K<0.1%−1,161−8.3%ReducedHistory
VFCV F CorpStock11,005$194.5K<0.1%+11,005NewHistory
Natura &CO Hldg S A63884N108ADS34,129$196.9K<0.1%+412+1.2%Added–
KNSLKinsale Capital Group, Inc.Stock483$200.0K<0.1%+483NewHistory
iShares U S ETF Tr46431W507SHOR DURA BD ETF4,031$201.1K<0.1%00.0%Unchanged–
ADXAdams Diversified Equity Fund, Inc.COM12,203$203.1K<0.1%00.0%UnchangedHistory
BSACBanco Santander ChileSP ADR REP COM11,103$203.6K<0.1%+63+0.6%AddedHistory
AXONAxon Enterprise, Inc.COM1,030$205.0K<0.1%−11−1.1%ReducedHistory
iShares Russell 1000 Value ETF464287598ETF1,355$205.7K<0.1%−60−4.2%Reduced–
ICLICL Group Ltd.SHS37,111$206.0K<0.1%−19,934−34.9%ReducedHistory
PATHUiPath, Inc.Stock12,039$206.0K<0.1%−241−2.0%ReducedHistory
CHXChampionX CorpCOM5,809$206.9K<0.1%+5,809NewHistory
JKHYJack Henry & Associates IncStock1,380$208.6K<0.1%+34+2.5%AddedHistory
PPLIPeople IncCOM NEW4,152$209.2K<0.1%−206−4.7%ReducedHistory
CNXCNX Resources CorpCOM9,288$209.7K<0.1%+9,288NewHistory
ETF Ser Solutions26922A347AAM S&P DEV MK10,000$209.9K<0.1%00.0%Unchanged–
Dimensional ETF Trust25434V807INTERNATNAL VAL6,443$210.2K<0.1%00.0%Unchanged–
NBIXNeurocrine Biosciences IncStock1,873$210.7K<0.1%+1,873NewHistory
BOKFBok Financial CorpCOM NEW2,653$212.2K<0.1%+49+1.9%AddedHistory
WTRGEssential Utilities, Inc.COM6,193$212.6K<0.1%+388+6.7%AddedHistory
BAPCredicorp LtdCOM1,663$212.8K<0.1%−80−4.6%ReducedHistory
First Tr Exchange-Traded FD33734X846NASDAQ CYB ETF4,699$213.5K<0.1%00.0%Unchanged–
CIBGrupo Cibest S.A.SPON ADR PREF8,061$215.1K<0.1%−164−2.0%ReducedHistory
AESAES CorpStock14,154$215.1K<0.1%+1,010+7.7%AddedHistory

Options (13)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of Wetherby Asset Management Inc in Q3 2023
SecurityClassPutsCalls
MELIMercadolibre IncCOM–$633.9K
MSFTMicrosoft CorpStock–$347.3K
CRWDCrowdStrike Holdings, Inc.Stock–$184.1K
TTDTrade Desk, Inc.Stock–$156.3K
AMZNAmazon Com IncStock–$152.5K
ABNBAirbnb, Inc.Stock–$150.9K
TSLATesla, Inc.Stock–$150.1K
PANWPalo Alto Networks IncStock–$140.7K
GOOGLAlphabet Inc.Stock–$130.9K
NVDANVIDIA CorpStock–$87.0K
AAPLApple Inc.Stock–$51.4K
SOFISoFi Technologies, Inc.Stock–$40.0K
NUNu Holdings Ltd.ORD SHS CL A–$36.3K

Sold out since Q2 2023 (68)

Positions held at the end of Q2 2023 that are gone from this filing.

Positions of Wetherby Asset Management Inc sold out since Q2 2023
SecurityClassShares in Q2 2023Value in Q2 2023% of portfolio in Q2 2023History
LEVILevi Strauss & CoCL A COM STK88,003$1.27M0.1%History
Vanguard Scottsdale FDS92206C706INTER TERM TREAS16,001$938.6K0.1%–
Vanguard Short-Term Bond ETF921937827ETF9,555$722.1K<0.1%–
Vanguard Real Estate ETF922908553ETF6,815$569.5K<0.1%–
Schwab US Tips ETF808524870ETF8,603$451.1K<0.1%–
iShares Broad Usd Investment Grade Corporate Bond ETF464288620ETF6,899$345.6K<0.1%–
PODDInsulet CorpStock1,170$337.4K<0.1%History
Vanguard Total International Bond ETF92203J407ETF6,816$333.2K<0.1%–
SESea LtdSPONSORD ADS5,711$331.5K<0.1%History
SPOTSpotify Technology S.A.Stock2,063$331.2K<0.1%History
ULTAUlta Beauty, Inc.Stock671$315.8K<0.1%History
HRLHormel Foods CorpCOM7,450$299.6K<0.1%History
OMCLOmnicell, Inc.COM3,939$290.2K<0.1%History
iShares Tr46428865310-20 YR TRS ETF2,560$283.5K<0.1%–
ENPHEnphase Energy, Inc.Stock1,644$275.3K<0.1%History
XIFRXPLR Infrastructure, LPCOM UNIT PART IN4,526$265.4K<0.1%History
PUKPrudential PLCADR9,361$265.1K<0.1%History
LWLamb Weston Holdings, Inc.Stock2,305$265.0K<0.1%History
KKellanovaStock3,885$261.8K<0.1%History
EXASExact Sciences CorpCOM2,696$253.2K<0.1%History
TECHBIO-TECHNE CorpCOM3,092$252.4K<0.1%History
Vanguard Intl Equity Index F922042676GLB EX US ETF6,236$250.6K<0.1%–
Invesco Exch Traded FD Tr II46138E354S&P500 LOW VOL3,976$249.8K<0.1%–
RBLXRoblox CorpStock6,166$248.5K<0.1%History
PRTAProthena Corp Public Ltd CoSHS3,570$243.8K<0.1%History
DOCUDocuSign, Inc.Stock4,717$241.0K<0.1%History
PBAPembina Pipeline CorpCOM7,558$237.6K<0.1%History
PNWPinnacle West Capital CorpCOM2,868$233.6K<0.1%History
SNNSmith & Nephew PLCSPDN ADR NEW7,185$231.7K<0.1%History
CAVACava Group, Inc.COM5,600$229.3K<0.1%History
LVSLas Vegas Sands CorpCOM3,951$229.2K<0.1%History
iShares Tr46434V4070-5YR HI YL CP5,478$227.1K<0.1%–
DBXDropbox, Inc.CL A8,494$226.5K<0.1%History
SWKStanley Black & Decker, Inc.COM2,403$225.2K<0.1%History
SWKSSkyworks Solutions, Inc.Stock2,033$225.0K<0.1%History
PACPacific Airport GroupSPON ADS B1,211$216.4K<0.1%History
NINisource Inc.COM7,908$216.3K<0.1%History
iShares Tr464288885EAFE GRWTH ETF2,243$214.0K<0.1%–
UALUnited Airlines Holdings, Inc.COM3,872$212.5K<0.1%History
AFGAmerican Financial Group IncCOM1,788$212.3K<0.1%History
AVTAvnet IncCOM4,167$210.2K<0.1%History
HUBBHubbell IncCOM634$210.2K<0.1%History
MZTIMarzetti CoCOM1,041$209.3K<0.1%History
LSCCLattice Semiconductor CorpCOM2,151$206.6K<0.1%History
FEFirstenergy CorpCOM5,305$206.3K<0.1%History
DVADavita Inc.COM2,040$205.0K<0.1%History
MPTMedical Properties Trust IncCOM21,988$203.6K<0.1%History
LYVLive Nation Entertainment, Inc.COM2,232$203.4K<0.1%History
SEICSEI Investments CoCOM3,410$203.3K<0.1%History
KMXCarMax IncCOM2,413$202.0K<0.1%History
JLLJones Lang Lasalle IncCOM1,288$200.7K<0.1%History
ALKAlaska Air Group, Inc.COM3,767$200.3K<0.1%History
AGCOAGCO CorpCOM1,524$200.3K<0.1%History
State Street Financial Select Sector SPDR ETF81369Y605ETF5,940$200.2K<0.1%–
WBWEIBO CorpSPONSORED ADR14,053$184.2K<0.1%History
PLTRPalantir Technologies Inc.Stock10,254$157.2K<0.1%History
BEKEKE Holdings Inc.SPONSORED ADS10,297$152.9K<0.1%History
APLEApple Hospitality REIT, Inc.REIT10,097$152.6K<0.1%History
PLUGPlug Power IncStock11,864$123.3K<0.1%History
NXJNuveen New Jersey Quality Municipal Income FundCOM10,455$119.9K<0.1%History
LCIDLucid Group, Inc.COM17,053$117.5K<0.1%History
BYMBlackRock Municipal Income Quality TrustCOM10,350$116.4K<0.1%History
KEYKeycorpCOM12,386$114.4K<0.1%History
ZSZscaler, Inc.Stock603$88.2K<0.1%History
GGBGerdau S.A.SPON ADR REP PFD15,630$81.6K<0.1%History
BBBLACKBERRY LtdCOM10,469$57.9K<0.1%History
HBIHanesbrands Inc.COM10,592$48.1K<0.1%History
RENTRent the Runway, Inc.COM CL A10,271$20.3K<0.1%History