Filed: 11/9/2022ACC: 0001398344-22-021704
📋 What this filing means
AUA CAPITAL MANAGEMENT, LLC filed this quarterly 13F‑HR report disclosing 367 equity positions with a total reported market value of $151.4K. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
367
Positions
$151.4K
Total AUM (reported)
1.83M
Total Shares
Allocation by class
TR UNIT$36.7K24.2%
COM$29.3K19.3%
SHRT NAT MUN ETF$19.6K13.0%
MSCI EAFE ETF$7.1K4.7%
NATIONAL MUN ETF$6.9K4.6%
1 3 YR TREAS BD$5.3K3.5%
NUVEEN BLMBRG SH$4.9K3.2%
Portfolio Concentration
Top 3$63.4K41.8%
4–10$32.0K21.1%
11–25$26.1K17.2%
Rest$30.0K19.8%
Top 3 weight
41.8%
Top 10 weight
63.0%
Voting Authority Distribution
Total shares with voting rights: 1.83M
Sole
Full voting authority
511.95K
shares
% of voting shares27.9%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
1.32M
shares
% of voting shares72.1%
Investment Discretion (by position count)
Sole367
Shared0
Other0
Dominant voting typeNone · 72.1% of voting shares
Institutional Holdings367
Rows:
SPDR S&P 500 ETF TR
SOLEShares102.62K
TypeSH
Market value$36.7K
24.21%
Sole
5.85K
Shared
0.00
None
96.77K
ISHARES TR
SOLEShares191.06K
TypeSH
Market value$19.6K
12.96%
Sole
695.00
Shared
0.00
None
190.37K
ISHARES TR
SOLEShares126.50K
TypeSH
Market value$7.1K
4.68%
Sole
8.33K
Shared
0.00
None
118.17K
ISHARES TR
SOLEShares67.68K
TypeSH
Market value$6.9K
4.59%
Sole
8.75K
Shared
0.00
None
58.93K
ISHARES TR
SOLEShares64.71K
TypeSH
Market value$5.3K
3.47%
Sole
12.26K
Shared
0.00
None
52.45K
APPLE INC
SOLEShares37.46K
TypeSH
Market value$5.2K
3.42%
Sole
2.56K
Shared
0.00
None
34.90K
SPDR SER TR
SOLEShares106.61K
TypeSH
Market value$4.9K
3.25%
Sole
635.00
Shared
0.00
None
105.98K
AMAZON COM INC
SOLEShares34.21K
TypeSH
Market value$3.9K
2.55%
Sole
1K
Shared
0.00
None
33.21K
ISHARES TR
SOLEShares18.61K
TypeSH
Market value$3.1K
2.03%
Sole
1.94K
Shared
0.00
None
16.67K
VANGUARD BD INDEX FDS
SOLEShares36.92K
TypeSH
Market value$2.8K
1.83%
Sole
2.95K
Shared
0.00
None
33.98K
ISHARES TR
SOLEShares11.69K
TypeSH
Market value$2.6K
1.69%
Sole
659.00
Shared
0.00
None
11.03K
VANGUARD SCOTTSDALE FDS
SOLEShares33.79K
TypeSH
Market value$2.5K
1.66%
Sole
2.40K
Shared
0.00
None
31.39K
SELECT SECTOR SPDR TR
SOLEShares18.36K
TypeSH
Market value$2.2K
1.44%
Sole
1.41K
Shared
0.00
None
16.94K
VANGUARD INDEX FDS
SOLEShares16.66K
TypeSH
Market value$2.1K
1.36%
Sole
908.00
Shared
0.00
None
15.75K
ISHARES TR
SOLEShares17.59K
TypeSH
Market value$2.0K
1.33%
Sole
1.95K
Shared
0.00
None
15.64K
MICROSOFT CORP
SOLEShares7.73K
TypeSH
Market value$1.8K
1.19%
Sole
727.00
Shared
0.00
None
7K
ISHARES TR
SOLEShares6.49K
TypeSH
Market value$1.6K
1.09%
Sole
453.00
Shared
0.00
None
6.04K
ALTRIA GROUP INC
SOLEShares40.03K
TypeSH
Market value$1.6K
1.07%
Sole
0.00
Shared
0.00
None
40.03K
ALPHABET INC
SOLEShares16.49K
TypeSH
Market value$1.6K
1.05%
Sole
2.14K
Shared
0.00
None
14.35K
ISHARES TR
SOLEShares17.57K
TypeSH
Market value$1.5K
1.01%
Sole
0.00
Shared
0.00
None
17.57K
ISHARES TR
SOLEShares14.88K
TypeSH
Market value$1.4K
0.95%
Sole
1.70K
Shared
0.00
None
13.18K
SPDR GOLD TR
SOLEShares9.10K
TypeSH
Market value$1.4K
0.93%
Sole
1.06K
Shared
0.00
None
8.04K
VANGUARD TAX-MANAGED FDS
SOLEShares35.77K
TypeSH
Market value$1.3K
0.86%
Sole
0.00
Shared
0.00
None
35.77K
VANGUARD INDEX FDS
SOLEShares9.71K
TypeSH
Market value$1.2K
0.82%
Sole
416.00
Shared
0.00
None
9.30K
VANGUARD SCOTTSDALE FDS
SOLEShares15.91K
TypeSH
Market value$1.2K
0.80%
Sole
1.24K
Shared
0.00
None
14.67K
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
SPDR S&P 500 ETF TRSOLE | TR UNIT | 102.62K | SH | $36.7K 24.21% | 5.85K | 0.00 | 96.77K |
ISHARES TRSOLE | SHRT NAT MUN ETF | 191.06K | SH | $19.6K 12.96% | 695.00 | 0.00 | 190.37K |
ISHARES TRSOLE | MSCI EAFE ETF | 126.50K | SH | $7.1K 4.68% | 8.33K | 0.00 | 118.17K |
ISHARES TRSOLE | NATIONAL MUN ETF | 67.68K | SH | $6.9K 4.59% | 8.75K | 0.00 | 58.93K |
ISHARES TRSOLE | 1 3 YR TREAS BD | 64.71K | SH | $5.3K 3.47% | 12.26K | 0.00 | 52.45K |
APPLE INCSOLE | COM | 37.46K | SH | $5.2K 3.42% | 2.56K | 0.00 | 34.90K |
SPDR SER TRSOLE | NUVEEN BLMBRG SH | 106.61K | SH | $4.9K 3.25% | 635.00 | 0.00 | 105.98K |
AMAZON COM INCSOLE | COM | 34.21K | SH | $3.9K 2.55% | 1K | 0.00 | 33.21K |
ISHARES TRSOLE | RUSSELL 2000 ETF | 18.61K | SH | $3.1K 2.03% | 1.94K | 0.00 | 16.67K |
VANGUARD BD INDEX FDSSOLE | SHORT TRM BOND | 36.92K | SH | $2.8K 1.83% | 2.95K | 0.00 | 33.98K |
ISHARES TRSOLE | CORE S&P MCP ETF | 11.69K | SH | $2.6K 1.69% | 659.00 | 0.00 | 11.03K |
VANGUARD SCOTTSDALE FDSSOLE | SHRT TRM CORP BD | 33.79K | SH | $2.5K 1.66% | 2.40K | 0.00 | 31.39K |
SELECT SECTOR SPDR TRSOLE | TECHNOLOGY | 18.36K | SH | $2.2K 1.44% | 1.41K | 0.00 | 16.94K |
VANGUARD INDEX FDSSOLE | VALUE ETF | 16.66K | SH | $2.1K 1.36% | 908.00 | 0.00 | 15.75K |
ISHARES TRSOLE | 3 7 YR TREAS BD | 17.59K | SH | $2.0K 1.33% | 1.95K | 0.00 | 15.64K |
MICROSOFT CORPSOLE | COM | 7.73K | SH | $1.8K 1.19% | 727.00 | 0.00 | 7K |
ISHARES TRSOLE | US HLTHCARE ETF | 6.49K | SH | $1.6K 1.09% | 453.00 | 0.00 | 6.04K |
ALTRIA GROUP INCSOLE | COM | 40.03K | SH | $1.6K 1.07% | 0.00 | 0.00 | 40.03K |
ALPHABET INCSOLE | CAP STK CL C | 16.49K | SH | $1.6K 1.05% | 2.14K | 0.00 | 14.35K |
ISHARES TRSOLE | CORE S&P SCP ETF | 17.57K | SH | $1.5K 1.01% | 0.00 | 0.00 | 17.57K |
ISHARES TRSOLE | CORE US AGGBD ET | 14.88K | SH | $1.4K 0.95% | 1.70K | 0.00 | 13.18K |
SPDR GOLD TRSOLE | GOLD SHS | 9.10K | SH | $1.4K 0.93% | 1.06K | 0.00 | 8.04K |
VANGUARD TAX-MANAGED FDSSOLE | VAN FTSE DEV MKT | 35.77K | SH | $1.3K 0.86% | 0.00 | 0.00 | 35.77K |
VANGUARD INDEX FDSSOLE | EXTEND MKT ETF | 9.71K | SH | $1.2K 0.82% | 416.00 | 0.00 | 9.30K |
VANGUARD SCOTTSDALE FDSSOLE | INT-TERM CORP | 15.91K | SH | $1.2K 0.80% | 1.24K | 0.00 | 14.67K |
Page 1 of 15
…