AUA CAPITAL MANAGEMENT, LLC

Filed: 4/20/2023ACC: 0001085146-23-001794

📋 What this filing means

AUA CAPITAL MANAGEMENT, LLC filed this quarterly 13F‑HR report disclosing 88 equity positions with a total reported market value of $148.04M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

Positions

$148.04M

Total AUM (reported)

1.66M

Total Shares

Allocation by class

TR UNIT$39.13M26.4%

COM$29.74M20.1%

MSCI EAFE ETF$8.90M6.0%

NATIONAL MUN ETF$7.30M4.9%

SHRT NAT MUN ETF$7.25M4.9%

1 3 YR TREAS BD$5.36M3.6%

NUVEEN BLMBRG SH$5.03M3.4%

Portfolio Concentration

Top 3$55.33M37.4%

4–10$33.98M23.0%

11–25$30.22M20.4%

Rest$28.52M19.3%

Top 3 weight

37.4%

Top 10 weight

60.3%

Voting Authority Distribution

Total shares with voting rights: 1.66M

Sole

Full voting authority

481K

% of voting shares29.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

1.18M

% of voting shares71.0%

Investment Discretion (by position count)

Sole88

Shared0

Other0

Dominant voting typeNone · 71.0% of voting shares

Institutional Holdings88

Rows:

SPDR S&P 500 ETF TR

SOLE

TR UNIT

Shares95.59K

TypeSH

Market value$39.13M

26.43%

Sole

5.72K

Shared

0.00

None

89.87K

ISHARES TR

SOLE

MSCI EAFE ETF

Shares124.49K

TypeSH

Market value$8.90M

6.01%

Sole

8.53K

Shared

0.00

None

115.96K

ISHARES TR

SOLE

NATIONAL MUN ETF

Shares67.72K

TypeSH

Market value$7.30M

4.93%

Sole

8.91K

Shared

0.00

None

58.81K

ISHARES TR

SOLE

SHRT NAT MUN ETF

Shares69.27K

TypeSH

Market value$7.25M

4.90%

Sole

741.00

Shared

0.00

None

68.53K

APPLE INC

SOLE

COM

Shares38.61K

TypeSH

Market value$6.37M

4.30%

Sole

2.77K

Shared

0.00

None

35.84K

ISHARES TR

SOLE

1 3 YR TREAS BD

Shares65.28K

TypeSH

Market value$5.36M

3.62%

Sole

12.49K

Shared

0.00

None

52.80K

SPDR SER TR

SOLE

NUVEEN BLMBRG SH

Shares105.68K

TypeSH

Market value$5.03M

3.39%

Sole

768.00

Shared

0.00

None

104.91K

AMAZON COM INC

SOLE

COM

Shares34.21K

TypeSH

Market value$3.53M

2.39%

Sole

Shared

0.00

None

33.21K

ALTRIA GROUP INC

SOLE

COM

Shares75.72K

TypeSH

Market value$3.38M

2.28%

Sole

0.00

Shared

0.00

None

75.72K

ISHARES TR

SOLE

RUSSELL 2000 ETF

Shares17.16K

TypeSH

Market value$3.06M

2.07%

Sole

376.00

Shared

0.00

None

16.79K

ISHARES TR

SOLE

CORE S&P MCP ETF

Shares12.10K

TypeSH

Market value$3.03M

2.04%

Sole

661.00

Shared

0.00

None

11.44K

SELECT SECTOR SPDR TR

SOLE

TECHNOLOGY

Shares18.55K

TypeSH

Market value$2.80M

1.89%

Sole

1.44K

Shared

0.00

None

17.12K

VANGUARD BD INDEX FDS

SOLE

SHORT TRM BOND

Shares34.63K

TypeSH

Market value$2.65M

1.79%

Sole

965.00

Shared

0.00

None

33.67K

VANGUARD SCOTTSDALE FDS

SOLE

SHRT TRM CORP BD

Shares32.19K

TypeSH

Market value$2.45M

1.66%

Sole

1.15K

Shared

0.00

None

31.03K

MICROSOFT CORP

SOLE

COM

Shares8.26K

TypeSH

Market value$2.38M

1.61%

Sole

717.00

Shared

0.00

None

7.54K

VANGUARD INDEX FDS

SOLE

VALUE ETF

Shares16.94K

TypeSH

Market value$2.34M

1.58%

Sole

912.00

Shared

0.00

None

16.03K

ISHARES TR

SOLE

3 7 YR TREAS BD

Shares15.78K

TypeSH

Market value$1.86M

1.25%

Sole

330.00

Shared

0.00

None

15.45K

ISHARES TR

SOLE

US HLTHCARE ETF

Shares6.55K

TypeSH

Market value$1.79M

1.21%

Sole

456.00

Shared

0.00

None

6.09K

ALPHABET INC

SOLE

CAP STK CL C

Shares16.95K

TypeSH

Market value$1.76M

1.19%

Sole

2.24K

Shared

0.00

None

14.71K

ISHARES TR

SOLE

CORE S&P SCP ETF

Shares17.39K

TypeSH

Market value$1.68M

1.14%

Sole

0.00

Shared

0.00

None

17.39K

SPDR GOLD TR

SOLE

GOLD SHS

Shares9.02K

TypeSH

Market value$1.65M

1.12%

Sole

1.09K

Shared

0.00

None

7.93K

VANGUARD TAX-MANAGED FDS

SOLE

VAN FTSE DEV MKT

Shares35.77K

TypeSH

Market value$1.62M

1.09%

Sole

0.00

Shared

0.00

None

35.77K

ISHARES TR

SOLE

CORE US AGGBD ET

Shares14.83K

TypeSH

Market value$1.48M

1.00%

Sole

1.65K

Shared

0.00

None

13.18K

META PLATFORMS INC

SOLE

CL A

Shares6.45K

TypeSH

Market value$1.37M

0.92%

Sole

500.00

Shared

0.00

None

5.95K

VANGUARD INDEX FDS

SOLE

EXTEND MKT ETF

Shares9.71K

TypeSH

Market value$1.36M

0.92%

Sole

521.00

Shared

0.00

None

9.19K

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	None
SPDR S&P 500 ETF TRSOLE	TR UNIT	95.59K	SH	$39.13M 26.43%	5.72K	89.87K
ISHARES TRSOLE	MSCI EAFE ETF	124.49K	SH	$8.90M 6.01%	8.53K	115.96K
ISHARES TRSOLE	NATIONAL MUN ETF	67.72K	SH	$7.30M 4.93%	8.91K	58.81K
ISHARES TRSOLE	SHRT NAT MUN ETF	69.27K	SH	$7.25M 4.90%	741.00	68.53K
APPLE INCSOLE	COM	38.61K	SH	$6.37M 4.30%	2.77K	35.84K
ISHARES TRSOLE	1 3 YR TREAS BD	65.28K	SH	$5.36M 3.62%	12.49K	52.80K
SPDR SER TRSOLE	NUVEEN BLMBRG SH	105.68K	SH	$5.03M 3.39%	768.00	104.91K
AMAZON COM INCSOLE	COM	34.21K	SH	$3.53M 2.39%	1K	33.21K
ALTRIA GROUP INCSOLE	COM	75.72K	SH	$3.38M 2.28%	0.00	75.72K
ISHARES TRSOLE	RUSSELL 2000 ETF	17.16K	SH	$3.06M 2.07%	376.00	16.79K
ISHARES TRSOLE	CORE S&P MCP ETF	12.10K	SH	$3.03M 2.04%	661.00	11.44K
SELECT SECTOR SPDR TRSOLE	TECHNOLOGY	18.55K	SH	$2.80M 1.89%	1.44K	17.12K
VANGUARD BD INDEX FDSSOLE	SHORT TRM BOND	34.63K	SH	$2.65M 1.79%	965.00	33.67K
VANGUARD SCOTTSDALE FDSSOLE	SHRT TRM CORP BD	32.19K	SH	$2.45M 1.66%	1.15K	31.03K
MICROSOFT CORPSOLE	COM	8.26K	SH	$2.38M 1.61%	717.00	7.54K
VANGUARD INDEX FDSSOLE	VALUE ETF	16.94K	SH	$2.34M 1.58%	912.00	16.03K
ISHARES TRSOLE	3 7 YR TREAS BD	15.78K	SH	$1.86M 1.25%	330.00	15.45K
ISHARES TRSOLE	US HLTHCARE ETF	6.55K	SH	$1.79M 1.21%	456.00	6.09K
ALPHABET INCSOLE	CAP STK CL C	16.95K	SH	$1.76M 1.19%	2.24K	14.71K
ISHARES TRSOLE	CORE S&P SCP ETF	17.39K	SH	$1.68M 1.14%	0.00	17.39K
SPDR GOLD TRSOLE	GOLD SHS	9.02K	SH	$1.65M 1.12%	1.09K	7.93K
VANGUARD TAX-MANAGED FDSSOLE	VAN FTSE DEV MKT	35.77K	SH	$1.62M 1.09%	0.00	35.77K
ISHARES TRSOLE	CORE US AGGBD ET	14.83K	SH	$1.48M 1.00%	1.65K	13.18K
META PLATFORMS INCSOLE	CL A	6.45K	SH	$1.37M 0.92%	500.00	5.95K
VANGUARD INDEX FDSSOLE	EXTEND MKT ETF	9.71K	SH	$1.36M 0.92%	521.00	9.19K

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