AUA CAPITAL MANAGEMENT, LLC

Filed: 1/9/2024ACC: 0001085146-24-000092

📋 What this filing means

AUA CAPITAL MANAGEMENT, LLC filed this quarterly 13F‑HR report disclosing 81 equity positions with a total reported market value of $160.68M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

Positions

$160.68M

Total AUM (reported)

1.44M

Total Shares

Allocation by class

TR UNIT$44.01M27.4%

COM$33.86M21.1%

MSCI EAFE ETF$9.35M5.8%

SHRT NAT MUN ETF$7.23M4.5%

NATIONAL MUN ETF$6.77M4.2%

NUVEEN BLMBRG SH$5.38M3.4%

1 3 YR TREAS BD$4.69M2.9%

Portfolio Concentration

Top 3$60.88M37.9%

4–10$37.19M23.1%

11–25$35.05M21.8%

Rest$27.56M17.2%

Top 3 weight

37.9%

Top 10 weight

61.0%

Voting Authority Distribution

Total shares with voting rights: 1.44M

Sole

Full voting authority

471.70K

% of voting shares32.8%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

967.41K

% of voting shares67.2%

Investment Discretion (by position count)

Sole81

Shared0

Other0

Dominant voting typeNone · 67.2% of voting shares

Institutional Holdings81

Rows:

SPDR S&P 500 ETF TR

SOLE

TR UNIT

Shares92.60K

TypeSH

Market value$44.01M

27.39%

Sole

29.15K

Shared

0.00

None

63.45K

ISHARES TR

SOLE

MSCI EAFE ETF

Shares124.04K

TypeSH

Market value$9.35M

5.82%

Sole

15.27K

Shared

0.00

None

108.77K

APPLE INC

SOLE

COM

Shares39.08K

TypeSH

Market value$7.52M

4.68%

Sole

4.05K

Shared

0.00

None

35.03K

ISHARES TR

SOLE

SHRT NAT MUN ETF

Shares68.55K

TypeSH

Market value$7.23M

4.50%

Sole

15.63K

Shared

0.00

None

52.92K

ISHARES TR

SOLE

NATIONAL MUN ETF

Shares62.44K

TypeSH

Market value$6.77M

4.21%

Sole

16.13K

Shared

0.00

None

46.31K

AMAZON COM INC

SOLE

COM

Shares37.26K

TypeSH

Market value$5.66M

3.52%

Sole

4.37K

Shared

0.00

None

32.89K

SPDR SER TR

SOLE

NUVEEN BLMBRG SH

Shares112.66K

TypeSH

Market value$5.38M

3.35%

Sole

48.82K

Shared

0.00

None

63.84K

ISHARES TR

SOLE

1 3 YR TREAS BD

Shares57.15K

TypeSH

Market value$4.69M

2.92%

Sole

14.05K

Shared

0.00

None

43.11K

ISHARES TR

SOLE

RUSSELL 2000 ETF

Shares18.59K

TypeSH

Market value$3.73M

2.32%

Sole

5.60K

Shared

0.00

None

13K

ALTRIA GROUP INC

SOLE

COM

Shares92.37K

TypeSH

Market value$3.73M

2.32%

Sole

1.08K

Shared

0.00

None

91.29K

VANGUARD INDEX FDS

SOLE

VALUE ETF

Shares22.42K

TypeSH

Market value$3.35M

2.09%

Sole

3.83K

Shared

0.00

None

18.59K

SELECT SECTOR SPDR TR

SOLE

TECHNOLOGY

Shares17.31K

TypeSH

Market value$3.33M

2.07%

Sole

3.96K

Shared

0.00

None

13.35K

ISHARES TR

SOLE

CORE S&P MCP ETF

Shares11.84K

TypeSH

Market value$3.28M

2.04%

Sole

3.47K

Shared

0.00

None

8.37K

MICROSOFT CORP

SOLE

COM

Shares8.22K

TypeSH

Market value$3.09M

1.92%

Sole

893.00

Shared

0.00

None

7.33K

VANGUARD BD INDEX FDS

SOLE

SHORT TRM BOND

Shares35.03K

TypeSH

Market value$2.70M

1.68%

Sole

8.27K

Shared

0.00

None

26.76K

VANGUARD SCOTTSDALE FDS

SOLE

SHRT TRM CORP BD

Shares31.73K

TypeSH

Market value$2.46M

1.53%

Sole

8.73K

Shared

0.00

None

23K

ALPHABET INC

SOLE

CAP STK CL C

Shares15.88K

TypeSH

Market value$2.24M

1.39%

Sole

1.17K

Shared

0.00

None

14.71K

META PLATFORMS INC

SOLE

CL A

Shares6.25K

TypeSH

Market value$2.21M

1.38%

Sole

303.00

Shared

0.00

None

5.95K

ISHARES TR

SOLE

CORE S&P SCP ETF

Shares18.90K

TypeSH

Market value$2.05M

1.27%

Sole

1.79K

Shared

0.00

None

17.11K

ISHARES TR

SOLE

3 7 YR TREAS BD

Shares16.08K

TypeSH

Market value$1.88M

1.17%

Sole

4.90K

Shared

0.00

None

11.18K

ISHARES TR

SOLE

US HLTHCARE ETF

Shares6.48K

TypeSH

Market value$1.85M

1.15%

Sole

1.66K

Shared

0.00

None

4.82K

MASTERCARD INCORPORATED

SOLE

CL A

Shares4.28K

TypeSH

Market value$1.83M

1.14%

Sole

806.00

Shared

0.00

None

3.48K

VANGUARD TAX-MANAGED FDS

SOLE

VAN FTSE DEV MKT

Shares35.77K

TypeSH

Market value$1.71M

1.07%

Sole

35.77K

Shared

0.00

None

0.00

VANGUARD INDEX FDS

SOLE

EXTEND MKT ETF

Shares9.40K

TypeSH

Market value$1.55M

0.96%

Sole

543.00

Shared

0.00

None

8.85K

ISHARES TR

SOLE

CORE US AGGBD ET

Shares15.30K

TypeSH

Market value$1.52M

0.95%

Sole

5.76K

Shared

0.00

None

9.54K

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	None
SPDR S&P 500 ETF TRSOLE	TR UNIT	92.60K	SH	$44.01M 27.39%	29.15K	63.45K
ISHARES TRSOLE	MSCI EAFE ETF	124.04K	SH	$9.35M 5.82%	15.27K	108.77K
APPLE INCSOLE	COM	39.08K	SH	$7.52M 4.68%	4.05K	35.03K
ISHARES TRSOLE	SHRT NAT MUN ETF	68.55K	SH	$7.23M 4.50%	15.63K	52.92K
ISHARES TRSOLE	NATIONAL MUN ETF	62.44K	SH	$6.77M 4.21%	16.13K	46.31K
AMAZON COM INCSOLE	COM	37.26K	SH	$5.66M 3.52%	4.37K	32.89K
SPDR SER TRSOLE	NUVEEN BLMBRG SH	112.66K	SH	$5.38M 3.35%	48.82K	63.84K
ISHARES TRSOLE	1 3 YR TREAS BD	57.15K	SH	$4.69M 2.92%	14.05K	43.11K
ISHARES TRSOLE	RUSSELL 2000 ETF	18.59K	SH	$3.73M 2.32%	5.60K	13K
ALTRIA GROUP INCSOLE	COM	92.37K	SH	$3.73M 2.32%	1.08K	91.29K
VANGUARD INDEX FDSSOLE	VALUE ETF	22.42K	SH	$3.35M 2.09%	3.83K	18.59K
SELECT SECTOR SPDR TRSOLE	TECHNOLOGY	17.31K	SH	$3.33M 2.07%	3.96K	13.35K
ISHARES TRSOLE	CORE S&P MCP ETF	11.84K	SH	$3.28M 2.04%	3.47K	8.37K
MICROSOFT CORPSOLE	COM	8.22K	SH	$3.09M 1.92%	893.00	7.33K
VANGUARD BD INDEX FDSSOLE	SHORT TRM BOND	35.03K	SH	$2.70M 1.68%	8.27K	26.76K
VANGUARD SCOTTSDALE FDSSOLE	SHRT TRM CORP BD	31.73K	SH	$2.46M 1.53%	8.73K	23K
ALPHABET INCSOLE	CAP STK CL C	15.88K	SH	$2.24M 1.39%	1.17K	14.71K
META PLATFORMS INCSOLE	CL A	6.25K	SH	$2.21M 1.38%	303.00	5.95K
ISHARES TRSOLE	CORE S&P SCP ETF	18.90K	SH	$2.05M 1.27%	1.79K	17.11K
ISHARES TRSOLE	3 7 YR TREAS BD	16.08K	SH	$1.88M 1.17%	4.90K	11.18K
ISHARES TRSOLE	US HLTHCARE ETF	6.48K	SH	$1.85M 1.15%	1.66K	4.82K
MASTERCARD INCORPORATEDSOLE	CL A	4.28K	SH	$1.83M 1.14%	806.00	3.48K
VANGUARD TAX-MANAGED FDSSOLE	VAN FTSE DEV MKT	35.77K	SH	$1.71M 1.07%	35.77K	0.00
VANGUARD INDEX FDSSOLE	EXTEND MKT ETF	9.40K	SH	$1.55M 0.96%	543.00	8.85K
ISHARES TRSOLE	CORE US AGGBD ET	15.30K	SH	$1.52M 0.95%	5.76K	9.54K

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