Filed: 10/23/2023ACC: 0001085146-23-003844
📋 What this filing means
AUA CAPITAL MANAGEMENT, LLC filed this quarterly 13F‑HR report disclosing 76 equity positions with a total reported market value of $138.24M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
76
Positions
$138.24M
Total AUM (reported)
1.36M
Total Shares
Allocation by class
TR UNIT$36.74M26.6%
COM$29.09M21.0%
MSCI EAFE ETF$8.19M5.9%
SHRT NAT MUN ETF$6.66M4.8%
NATIONAL MUN ETF$5.99M4.3%
NUVEEN BLMBRG SH$4.74M3.4%
1 3 YR TREAS BD$4.31M3.1%
Portfolio Concentration
Top 3$51.58M37.3%
4–10$32.49M23.5%
11–25$29.77M21.5%
Rest$24.39M17.6%
Top 3 weight
37.3%
Top 10 weight
60.8%
Voting Authority Distribution
Total shares with voting rights: 1.36M
Sole
Full voting authority
405.51K
shares
% of voting shares29.9%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
951.47K
shares
% of voting shares70.1%
Investment Discretion (by position count)
Sole76
Shared0
Other0
Dominant voting typeNone · 70.1% of voting shares
Institutional Holdings76
Rows:
SPDR S&P 500 ETF TR
SOLEShares85.94K
TypeSH
Market value$36.74M
26.58%
Sole
22.08K
Shared
0.00
None
63.86K
ISHARES TR
SOLEShares118.81K
TypeSH
Market value$8.19M
5.92%
Sole
12.08K
Shared
0.00
None
106.72K
ISHARES TR
SOLEShares64.70K
TypeSH
Market value$6.66M
4.81%
Sole
11.78K
Shared
0.00
None
52.92K
APPLE INC
SOLEShares38.86K
TypeSH
Market value$6.65M
4.81%
Sole
3.83K
Shared
0.00
None
35.03K
ISHARES TR
SOLEShares58.44K
TypeSH
Market value$5.99M
4.34%
Sole
12.80K
Shared
0.00
None
45.65K
SPDR SER TR
SOLEShares102.43K
TypeSH
Market value$4.74M
3.43%
Sole
38.59K
Shared
0.00
None
63.84K
AMAZON COM INC
SOLEShares37.18K
TypeSH
Market value$4.73M
3.42%
Sole
4.29K
Shared
0.00
None
32.89K
ISHARES TR
SOLEShares53.23K
TypeSH
Market value$4.31M
3.12%
Sole
11.28K
Shared
0.00
None
41.96K
ALTRIA GROUP INC
SOLEShares75.72K
TypeSH
Market value$3.18M
2.30%
Sole
0.00
Shared
0.00
None
75.72K
ISHARES TR
SOLEShares16.36K
TypeSH
Market value$2.89M
2.09%
Sole
4.38K
Shared
0.00
None
11.98K
ISHARES TR
SOLEShares11.09K
TypeSH
Market value$2.76M
2.00%
Sole
2.72K
Shared
0.00
None
8.37K
SELECT SECTOR SPDR TR
SOLEShares16.35K
TypeSH
Market value$2.68M
1.94%
Sole
3K
Shared
0.00
None
13.35K
MICROSOFT CORP
SOLEShares8.17K
TypeSH
Market value$2.58M
1.87%
Sole
841.00
Shared
0.00
None
7.33K
VANGUARD BD INDEX FDS
SOLEShares33.44K
TypeSH
Market value$2.51M
1.82%
Sole
6.68K
Shared
0.00
None
26.76K
VANGUARD SCOTTSDALE FDS
SOLEShares30.25K
TypeSH
Market value$2.27M
1.64%
Sole
6.86K
Shared
0.00
None
23.40K
VANGUARD INDEX FDS
SOLEShares16.18K
TypeSH
Market value$2.23M
1.61%
Sole
3.09K
Shared
0.00
None
13.09K
ALPHABET INC
SOLEShares15.86K
TypeSH
Market value$2.09M
1.51%
Sole
1.14K
Shared
0.00
None
14.71K
META PLATFORMS INC
SOLEShares6.25K
TypeSH
Market value$1.88M
1.36%
Sole
303.00
Shared
0.00
None
5.95K
ISHARES TR
SOLEShares18.83K
TypeSH
Market value$1.78M
1.28%
Sole
1.72K
Shared
0.00
None
17.11K
ISHARES TR
SOLEShares15.16K
TypeSH
Market value$1.72M
1.24%
Sole
3.98K
Shared
0.00
None
11.18K
MASTERCARD INCORPORATED
SOLEShares4.25K
TypeSH
Market value$1.68M
1.22%
Sole
772.00
Shared
0.00
None
3.48K
ISHARES TR
SOLEShares6.15K
TypeSH
Market value$1.66M
1.20%
Sole
1.33K
Shared
0.00
None
4.82K
VANGUARD INDEX FDS
SOLEShares9.48K
TypeSH
Market value$1.36M
0.98%
Sole
623.00
Shared
0.00
None
8.85K
VANGUARD SPECIALIZED FUNDS
SOLEShares8.29K
TypeSH
Market value$1.29M
0.93%
Sole
1.23K
Shared
0.00
None
7.06K
SPDR GOLD TR
SOLEShares7.48K
TypeSH
Market value$1.28M
0.93%
Sole
1.50K
Shared
0.00
None
5.98K
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
SPDR S&P 500 ETF TRSOLE | TR UNIT | 85.94K | SH | $36.74M 26.58% | 22.08K | 0.00 | 63.86K |
ISHARES TRSOLE | MSCI EAFE ETF | 118.81K | SH | $8.19M 5.92% | 12.08K | 0.00 | 106.72K |
ISHARES TRSOLE | SHRT NAT MUN ETF | 64.70K | SH | $6.66M 4.81% | 11.78K | 0.00 | 52.92K |
APPLE INCSOLE | COM | 38.86K | SH | $6.65M 4.81% | 3.83K | 0.00 | 35.03K |
ISHARES TRSOLE | NATIONAL MUN ETF | 58.44K | SH | $5.99M 4.34% | 12.80K | 0.00 | 45.65K |
SPDR SER TRSOLE | NUVEEN BLMBRG SH | 102.43K | SH | $4.74M 3.43% | 38.59K | 0.00 | 63.84K |
AMAZON COM INCSOLE | COM | 37.18K | SH | $4.73M 3.42% | 4.29K | 0.00 | 32.89K |
ISHARES TRSOLE | 1 3 YR TREAS BD | 53.23K | SH | $4.31M 3.12% | 11.28K | 0.00 | 41.96K |
ALTRIA GROUP INCSOLE | COM | 75.72K | SH | $3.18M 2.30% | 0.00 | 0.00 | 75.72K |
ISHARES TRSOLE | RUSSELL 2000 ETF | 16.36K | SH | $2.89M 2.09% | 4.38K | 0.00 | 11.98K |
ISHARES TRSOLE | CORE S&P MCP ETF | 11.09K | SH | $2.76M 2.00% | 2.72K | 0.00 | 8.37K |
SELECT SECTOR SPDR TRSOLE | TECHNOLOGY | 16.35K | SH | $2.68M 1.94% | 3K | 0.00 | 13.35K |
MICROSOFT CORPSOLE | COM | 8.17K | SH | $2.58M 1.87% | 841.00 | 0.00 | 7.33K |
VANGUARD BD INDEX FDSSOLE | SHORT TRM BOND | 33.44K | SH | $2.51M 1.82% | 6.68K | 0.00 | 26.76K |
VANGUARD SCOTTSDALE FDSSOLE | SHRT TRM CORP BD | 30.25K | SH | $2.27M 1.64% | 6.86K | 0.00 | 23.40K |
VANGUARD INDEX FDSSOLE | VALUE ETF | 16.18K | SH | $2.23M 1.61% | 3.09K | 0.00 | 13.09K |
ALPHABET INCSOLE | CAP STK CL C | 15.86K | SH | $2.09M 1.51% | 1.14K | 0.00 | 14.71K |
META PLATFORMS INCSOLE | CL A | 6.25K | SH | $1.88M 1.36% | 303.00 | 0.00 | 5.95K |
ISHARES TRSOLE | CORE S&P SCP ETF | 18.83K | SH | $1.78M 1.28% | 1.72K | 0.00 | 17.11K |
ISHARES TRSOLE | 3 7 YR TREAS BD | 15.16K | SH | $1.72M 1.24% | 3.98K | 0.00 | 11.18K |
MASTERCARD INCORPORATEDSOLE | CL A | 4.25K | SH | $1.68M 1.22% | 772.00 | 0.00 | 3.48K |
ISHARES TRSOLE | US HLTHCARE ETF | 6.15K | SH | $1.66M 1.20% | 1.33K | 0.00 | 4.82K |
VANGUARD INDEX FDSSOLE | EXTEND MKT ETF | 9.48K | SH | $1.36M 0.98% | 623.00 | 0.00 | 8.85K |
VANGUARD SPECIALIZED FUNDSSOLE | DIV APP ETF | 8.29K | SH | $1.29M 0.93% | 1.23K | 0.00 | 7.06K |
SPDR GOLD TRSOLE | GOLD SHS | 7.48K | SH | $1.28M 0.93% | 1.50K | 0.00 | 5.98K |
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