# EDGAR Filing Document

**Accession Number:** 0002053236
**File Stem:** 0001172661-25-004635
**Filing Date:** 2025-11
**Character Count:** 8448
**Document Hash:** 5039c0c5712bc606d16832ccdef7663c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001172661-25-004635.hdr.sgml**: 20251107

**ACCESSION NUMBER**: 0001172661-25-004635

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20250930

**FILED AS OF DATE**: 20251107

**DATE AS OF CHANGE**: 20251107

**EFFECTIVENESS DATE**: 20251107

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Wernau Asset Management Inc.
- **CENTRAL INDEX KEY:** 0002053236

**ORGANIZATION NAME:**
- **EIN:** 200330382
- **STATE OF INCORPORATION:** MA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-24781
- **FILM NUMBER:** 251462549

**BUSINESS ADDRESS:**
- **STREET 1:** 30 WESTERN AVE, SUITE 206
- **CITY:** GLOUCESTER
- **STATE:** MA
- **ZIP:** 01930
- **BUSINESS PHONE:** 617-871-0029

**MAIL ADDRESS:**
- **STREET 1:** 30 WESTERN AVE, SUITE 206
- **CITY:** GLOUCESTER
- **STATE:** MA
- **ZIP:** 01930

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 09-30-2025

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** Wernau Asset Management Inc.<br>**Address:** 30 Western Ave Suite 206<br>Gloucester, MA 01930

**Form 13F File Number:** 028-24781

**CRD Number (if applicable):** 000129473

**SEC File Number (if applicable):** 801-118713

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Peter Wernau<br>**Title:** CEO<br>**Phone:** 978-325-6049

**Signature, Place, and Date of Signing:**

/s/ Peter Wernau  Gloucester, MA  11-07-2025<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 49

**Form 13F Information Table Value Total:** $147120894

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

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|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| ABBVIE INC | COM | 00287Y109 |  | 280626 | 1212 | SH |  | SOLE |  | 1212 | 0 | 0 |
| ALPHABET INC | CAP STK CL C | 02079K107 |  | 5631274 | 23121 | SH |  | SOLE |  | 23121 | 0 | 0 |
| ALPHABET INC | CAP STK CL A | 02079K305 |  | 2393663 | 9846 | SH |  | SOLE |  | 9846 | 0 | 0 |
| AMAZON COM INC | COM | 023135106 |  | 2166370 | 9866 | SH |  | SOLE |  | 9866 | 0 | 0 |
| ANNALY CAPITAL MANAGEMENT IN | COM NEW | 035710839 |  | 214650 | 10621 | SH |  | SOLE |  | 10621 | 0 | 0 |
| APPLE INC | COM | 037833100 |  | 23997232 | 94243 | SH |  | SOLE |  | 94243 | 0 | 0 |
| APPLE INC | COM | 037833100 |  | 10694460 | 42000 | SH | Put | SOLE |  | 42000 | 0 | 0 |
| AT INC | COM | 00206R102 |  | 2324208 | 82302 | SH |  | SOLE |  | 82302 | 0 | 0 |
| BANK AMERICA CORP | COM | 060505104 |  | 4313660 | 83614 | SH |  | SOLE |  | 83614 | 0 | 0 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 |  | 7061755 | 14046 | SH |  | SOLE |  | 14046 | 0 | 0 |
| BOSTON BEER INC | CL A | 100557107 |  | 528550 | 2500 | SH |  | SOLE |  | 2500 | 0 | 0 |
| CISCO SYS INC | COM | 17275R102 |  | 1342811 | 19626 | SH |  | SOLE |  | 19626 | 0 | 0 |
| CONSOLIDATED EDISON INC | COM | 209115104 |  | 521096 | 5184 | SH |  | SOLE |  | 5184 | 0 | 0 |
| DISNEY WALT CO | COM | 254687106 |  | 1106185 | 9661 | SH |  | SOLE |  | 9661 | 0 | 0 |
| ELI LILLY  CO | COM | 532457108 |  | 332904 | 436 | SH |  | SOLE |  | 436 | 0 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 610654 | 5416 | SH |  | SOLE |  | 5416 | 0 | 0 |
| FORD MTR CO | COM | 345370860 |  | 306583 | 25634 | SH |  | SOLE |  | 25634 | 0 | 0 |
| INTERNATIONAL BUSINESS MACHS | COM | 459200101 |  | 662512 | 2348 | SH |  | SOLE |  | 2348 | 0 | 0 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 |  | 210130 | 350 | SH |  | SOLE |  | 350 | 0 | 0 |
| ISHARES TR | TIPS BD ETF | 464287176 |  | 211763 | 1904 | SH |  | SOLE |  | 1904 | 0 | 0 |
| ISHARES TR | RUS 1000 GRW ETF | 464287614 |  | 530240 | 1132 | SH |  | SOLE |  | 1132 | 0 | 0 |
| ISHARES TR | MSCI EMG MKT ETF | 464287234 |  | 290496 | 5440 | SH |  | SOLE |  | 5440 | 0 | 0 |
| ISHARES TR | 1 3 YR TREAS BD | 464287457 |  | 325037 | 3918 | SH |  | SOLE |  | 3918 | 0 | 0 |
| ISHARES TR | RUS 1000 ETF | 464287622 |  | 387409 | 1060 | SH |  | SOLE |  | 1060 | 0 | 0 |
| JPMORGAN CHASE  CO. | COM | 46625H100 |  | 3019611 | 9573 | SH |  | SOLE |  | 9573 | 0 | 0 |
| KINDER MORGAN INC DEL | COM | 49456B101 |  | 428981 | 15153 | SH |  | SOLE |  | 15153 | 0 | 0 |
| KKR  CO INC | COM | 48251W104 |  | 1383458 | 10646 | SH |  | SOLE |  | 10646 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 |  | 6570772 | 12686 | SH |  | SOLE |  | 12686 | 0 | 0 |
| NETFLIX INC | COM | 64110L106 |  | 301347 | 251 | SH |  | SOLE |  | 251 | 0 | 0 |
| NVIDIA CORPORATION | COM | 67066G104 |  | 703358 | 3769 | SH |  | SOLE |  | 3769 | 0 | 0 |
| PEMBINA PIPELINE CORP | COM | 706327103 |  | 225443 | 5572 | SH |  | SOLE |  | 5572 | 0 | 0 |
| PFIZER INC | COM | 717081103 |  | 3112170 | 122141 | SH |  | SOLE |  | 122141 | 0 | 0 |
| PFIZER INC | COM | 717081103 |  | 891800 | 35000 | SH | Put | SOLE |  | 35000 | 0 | 0 |
| PROCTER AND GAMBLE CO | COM | 742718109 |  | 1992744 | 12969 | SH |  | SOLE |  | 12969 | 0 | 0 |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 808524797 |  | 852006 | 31209 | SH |  | SOLE |  | 31209 | 0 | 0 |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 |  | 202607 | 7692 | SH |  | SOLE |  | 7692 | 0 | 0 |
| SCHWAB STRATEGIC TR | INTL EQTY ETF | 808524805 |  | 1053327 | 45246 | SH |  | SOLE |  | 45246 | 0 | 0 |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 808524102 |  | 724868 | 28194 | SH |  | SOLE |  | 28194 | 0 | 0 |
| SELECT SECTOR SPDR TR | FINANCIAL | 81369Y605 |  | 329792 | 6122 | SH |  | SOLE |  | 6122 | 0 | 0 |
| SPDR GOLD TR | GOLD SHS | 78463V107 |  | 721232 | 2028 | SH |  | SOLE |  | 2028 | 0 | 0 |
| SPDR S 500 ETF TR | TR UNIT | 78462F103 |  | 11444032 | 17178 | SH |  | SOLE |  | 17178 | 0 | 0 |
| SPDR S 500 ETF TR | TR UNIT | 78462F103 |  | 38904912 | 58400 | SH | Put | SOLE |  | 58400 | 0 | 0 |
| STARBUCKS CORP | COM | 855244109 |  | 207797 | 2456 | SH |  | SOLE |  | 2456 | 0 | 0 |
| UNITIL CORP | COM | 913259107 |  | 2044856 | 42725 | SH |  | SOLE |  | 42725 | 0 | 0 |
| VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 |  | 355941 | 1084 | SH |  | SOLE |  | 1084 | 0 | 0 |
| VANGUARD INDEX FDS | MID CAP ETF | 922908629 |  | 1092526 | 3719 | SH |  | SOLE |  | 3719 | 0 | 0 |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 |  | 938831 | 17328 | SH |  | SOLE |  | 17328 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | VNG RUS2000IDX | 92206C664 |  | 2189701 | 22385 | SH |  | SOLE |  | 22385 | 0 | 0 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 |  | 984514 | 22400 | SH |  | SOLE |  | 22400 | 0 | 0 |

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