AUA CAPITAL MANAGEMENT, LLC

Filed: 7/11/2023ACC: 0001085146-23-002632

📋 What this filing means

AUA CAPITAL MANAGEMENT, LLC filed this quarterly 13F‑HR report disclosing 80 equity positions with a total reported market value of $145.22M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

Positions

$145.22M

Total AUM (reported)

1.59M

Total Shares

Allocation by class

TR UNIT$40.65M28.0%

COM$29.03M20.0%

MSCI EAFE ETF$8.52M5.9%

SHRT NAT MUN ETF$7.13M4.9%

NATIONAL MUN ETF$6.45M4.4%

NUVEEN BLMBRG SH$4.97M3.4%

1 3 YR TREAS BD$4.39M3.0%

Portfolio Concentration

Top 3$56.30M38.8%

4–10$33.78M23.3%

11–25$30.51M21.0%

Rest$24.64M17.0%

Top 3 weight

38.8%

Top 10 weight

62.0%

Voting Authority Distribution

Total shares with voting rights: 1.59M

Sole

Full voting authority

414.11K

% of voting shares26.1%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

1.17M

% of voting shares73.9%

Investment Discretion (by position count)

Sole80

Shared0

Other0

Dominant voting typeNone · 73.9% of voting shares

Institutional Holdings80

Rows:

SPDR S&P 500 ETF TR

SOLE

TR UNIT

Shares91.69K

TypeSH

Market value$40.65M

27.99%

Sole

Shared

0.00

None

89.69K

ISHARES TR

SOLE

MSCI EAFE ETF

Shares117.52K

TypeSH

Market value$8.52M

5.87%

Sole

1.91K

Shared

0.00

None

115.61K

ISHARES TR

SOLE

SHRT NAT MUN ETF

Shares68.53K

TypeSH

Market value$7.13M

4.91%

Sole

46.00

Shared

0.00

None

68.48K

APPLE INC

SOLE

COM

Shares36.23K

TypeSH

Market value$7.03M

4.84%

Sole

432.00

Shared

0.00

None

35.80K

ISHARES TR

SOLE

NATIONAL MUN ETF

Shares60.40K

TypeSH

Market value$6.45M

4.44%

Sole

1.86K

Shared

0.00

None

58.54K

SPDR SER TR

SOLE

NUVEEN BLMBRG SH

Shares105.68K

TypeSH

Market value$4.97M

3.42%

Sole

901.00

Shared

0.00

None

104.78K

ISHARES TR

SOLE

1 3 YR TREAS BD

Shares54.12K

TypeSH

Market value$4.39M

3.02%

Sole

1.56K

Shared

0.00

None

52.57K

AMAZON COM INC

SOLE

COM

Shares33.21K

TypeSH

Market value$4.33M

2.98%

Sole

0.00

Shared

0.00

None

33.21K

ALTRIA GROUP INC

SOLE

COM

Shares75.72K

TypeSH

Market value$3.43M

2.36%

Sole

0.00

Shared

0.00

None

75.72K

ISHARES TR

SOLE

RUSSELL 2000 ETF

Shares17K

TypeSH

Market value$3.18M

2.19%

Sole

239.00

Shared

0.00

None

16.76K

ISHARES TR

SOLE

CORE S&P MCP ETF

Shares11.46K

TypeSH

Market value$3.00M

2.06%

Sole

22.00

Shared

0.00

None

11.44K

SELECT SECTOR SPDR TR

SOLE

TECHNOLOGY

Shares17.21K

TypeSH

Market value$2.99M

2.06%

Sole

118.00

Shared

0.00

None

17.10K

MICROSOFT CORP

SOLE

COM

Shares7.54K

TypeSH

Market value$2.57M

1.77%

Sole

0.00

Shared

0.00

None

7.54K

VANGUARD BD INDEX FDS

SOLE

SHORT TRM BOND

Shares33.53K

TypeSH

Market value$2.53M

1.75%

Sole

419.00

Shared

0.00

None

33.12K

VANGUARD SCOTTSDALE FDS

SOLE

SHRT TRM CORP BD

Shares32.19K

TypeSH

Market value$2.44M

1.68%

Sole

1.28K

Shared

0.00

None

30.90K

VANGUARD INDEX FDS

SOLE

VALUE ETF

Shares15.92K

TypeSH

Market value$2.26M

1.56%

Sole

45.00

Shared

0.00

None

15.87K

ISHARES TR

SOLE

3 7 YR TREAS BD

Shares15.78K

TypeSH

Market value$1.82M

1.25%

Sole

390.00

Shared

0.00

None

15.39K

ALPHABET INC

SOLE

CAP STK CL C

Shares14.81K

TypeSH

Market value$1.79M

1.23%

Sole

100.00

Shared

0.00

None

14.71K

ISHARES TR

SOLE

CORE S&P SCP ETF

Shares17.39K

TypeSH

Market value$1.73M

1.19%

Sole

0.00

Shared

0.00

None

17.39K

ISHARES TR

SOLE

US HLTHCARE ETF

Shares6.11K

TypeSH

Market value$1.71M

1.18%

Sole

16.00

Shared

0.00

None

6.09K

META PLATFORMS INC

SOLE

CL A

Shares5.95K

TypeSH

Market value$1.71M

1.17%

Sole

0.00

Shared

0.00

None

5.95K

VANGUARD TAX-MANAGED FDS

SOLE

VAN FTSE DEV MKT

Shares35.77K

TypeSH

Market value$1.65M

1.14%

Sole

0.00

Shared

0.00

None

35.77K

VANGUARD INDEX FDS

SOLE

EXTEND MKT ETF

Shares9.71K

TypeSH

Market value$1.45M

1.00%

Sole

623.00

Shared

0.00

None

9.09K

SPDR GOLD TR

SOLE

GOLD SHS

Shares8.05K

TypeSH

Market value$1.44M

0.99%

Sole

209.00

Shared

0.00

None

7.85K

MASTERCARD INCORPORATED

SOLE

CL A

Shares3.61K

TypeSH

Market value$1.42M

0.98%

Sole

0.00

Shared

0.00

None

3.61K

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	None
SPDR S&P 500 ETF TRSOLE	TR UNIT	91.69K	SH	$40.65M 27.99%	2K	89.69K
ISHARES TRSOLE	MSCI EAFE ETF	117.52K	SH	$8.52M 5.87%	1.91K	115.61K
ISHARES TRSOLE	SHRT NAT MUN ETF	68.53K	SH	$7.13M 4.91%	46.00	68.48K
APPLE INCSOLE	COM	36.23K	SH	$7.03M 4.84%	432.00	35.80K
ISHARES TRSOLE	NATIONAL MUN ETF	60.40K	SH	$6.45M 4.44%	1.86K	58.54K
SPDR SER TRSOLE	NUVEEN BLMBRG SH	105.68K	SH	$4.97M 3.42%	901.00	104.78K
ISHARES TRSOLE	1 3 YR TREAS BD	54.12K	SH	$4.39M 3.02%	1.56K	52.57K
AMAZON COM INCSOLE	COM	33.21K	SH	$4.33M 2.98%	0.00	33.21K
ALTRIA GROUP INCSOLE	COM	75.72K	SH	$3.43M 2.36%	0.00	75.72K
ISHARES TRSOLE	RUSSELL 2000 ETF	17K	SH	$3.18M 2.19%	239.00	16.76K
ISHARES TRSOLE	CORE S&P MCP ETF	11.46K	SH	$3.00M 2.06%	22.00	11.44K
SELECT SECTOR SPDR TRSOLE	TECHNOLOGY	17.21K	SH	$2.99M 2.06%	118.00	17.10K
MICROSOFT CORPSOLE	COM	7.54K	SH	$2.57M 1.77%	0.00	7.54K
VANGUARD BD INDEX FDSSOLE	SHORT TRM BOND	33.53K	SH	$2.53M 1.75%	419.00	33.12K
VANGUARD SCOTTSDALE FDSSOLE	SHRT TRM CORP BD	32.19K	SH	$2.44M 1.68%	1.28K	30.90K
VANGUARD INDEX FDSSOLE	VALUE ETF	15.92K	SH	$2.26M 1.56%	45.00	15.87K
ISHARES TRSOLE	3 7 YR TREAS BD	15.78K	SH	$1.82M 1.25%	390.00	15.39K
ALPHABET INCSOLE	CAP STK CL C	14.81K	SH	$1.79M 1.23%	100.00	14.71K
ISHARES TRSOLE	CORE S&P SCP ETF	17.39K	SH	$1.73M 1.19%	0.00	17.39K
ISHARES TRSOLE	US HLTHCARE ETF	6.11K	SH	$1.71M 1.18%	16.00	6.09K
META PLATFORMS INCSOLE	CL A	5.95K	SH	$1.71M 1.17%	0.00	5.95K
VANGUARD TAX-MANAGED FDSSOLE	VAN FTSE DEV MKT	35.77K	SH	$1.65M 1.14%	0.00	35.77K
VANGUARD INDEX FDSSOLE	EXTEND MKT ETF	9.71K	SH	$1.45M 1.00%	623.00	9.09K
SPDR GOLD TRSOLE	GOLD SHS	8.05K	SH	$1.44M 0.99%	209.00	7.85K
MASTERCARD INCORPORATEDSOLE	CL A	3.61K	SH	$1.42M 0.98%	0.00	3.61K

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