Filed: 2/14/2023ACC: 0001398344-23-003303
📋 What this filing means
AUA CAPITAL MANAGEMENT, LLC filed this quarterly 13F‑HR report disclosing 352 equity positions with a total reported market value of $147.24M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
352
Positions
$147.24M
Total AUM (reported)
1.77M
Total Shares
Allocation by class
TR UNIT$36.70M24.9%
COM$32.39M22.0%
MSCI EAFE ETF$8.18M5.6%
SHRT NAT MUN ETF$7.22M4.9%
NATIONAL MUN ETF$7.15M4.9%
1 3 YR TREAS BD$5.30M3.6%
NUVEEN BLMBRG SH$4.96M3.4%
Portfolio Concentration
Top 3$52.10M35.4%
4–10$32.08M21.8%
11–25$28.90M19.6%
Rest$34.16M23.2%
Top 3 weight
35.4%
Top 10 weight
57.2%
Voting Authority Distribution
Total shares with voting rights: 1.77M
Sole
Full voting authority
514.15K
shares
% of voting shares29.1%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
1.25M
shares
% of voting shares70.9%
Investment Discretion (by position count)
Sole352
Shared0
Other0
Dominant voting typeNone · 70.9% of voting shares
Institutional Holdings352
Rows:
SPDR S&P 500 ETF TR
SOLEShares95.96K
TypeSH
Market value$36.70M
24.92%
Sole
6.01K
Shared
0.00
None
89.94K
ISHARES TR
SOLEShares124.56K
TypeSH
Market value$8.18M
5.55%
Sole
8.60K
Shared
0.00
None
115.96K
ISHARES TR
SOLEShares69.27K
TypeSH
Market value$7.22M
4.91%
Sole
741.00
Shared
0.00
None
68.53K
ISHARES TR
SOLEShares67.72K
TypeSH
Market value$7.15M
4.85%
Sole
8.91K
Shared
0.00
None
58.81K
ISHARES TR
SOLEShares65.28K
TypeSH
Market value$5.30M
3.60%
Sole
12.49K
Shared
0.00
None
52.80K
APPLE INC
SOLEShares38.61K
TypeSH
Market value$5.02M
3.41%
Sole
2.77K
Shared
0.00
None
35.84K
SPDR SER TR
SOLEShares105.68K
TypeSH
Market value$4.96M
3.37%
Sole
768.00
Shared
0.00
None
104.91K
ALTRIA GROUP INC
SOLEShares75.72K
TypeSH
Market value$3.46M
2.35%
Sole
0.00
Shared
0.00
None
75.72K
ISHARES TR
SOLEShares18.75K
TypeSH
Market value$3.27M
2.22%
Sole
1.97K
Shared
0.00
None
16.79K
ISHARES TR
SOLEShares12.10K
TypeSH
Market value$2.93M
1.99%
Sole
661.00
Shared
0.00
None
11.44K
AMAZON COM INC
SOLEShares34.21K
TypeSH
Market value$2.87M
1.95%
Sole
1K
Shared
0.00
None
33.21K
VANGUARD BD INDEX FDS
SOLEShares36.68K
TypeSH
Market value$2.76M
1.88%
Sole
3.01K
Shared
0.00
None
33.67K
VANGUARD SCOTTSDALE FDS
SOLEShares33.56K
TypeSH
Market value$2.52M
1.71%
Sole
2.53K
Shared
0.00
None
31.03K
VANGUARD INDEX FDS
SOLEShares16.94K
TypeSH
Market value$2.38M
1.61%
Sole
912.00
Shared
0.00
None
16.03K
SELECT SECTOR SPDR TR
SOLEShares18.55K
TypeSH
Market value$2.31M
1.57%
Sole
1.44K
Shared
0.00
None
17.12K
ISHARES TR
SOLEShares17.46K
TypeSH
Market value$2.01M
1.36%
Sole
2.01K
Shared
0.00
None
15.45K
MICROSOFT CORP
SOLEShares8.26K
TypeSH
Market value$1.98M
1.35%
Sole
724.00
Shared
0.00
None
7.54K
ISHARES TR
SOLEShares6.55K
TypeSH
Market value$1.86M
1.26%
Sole
456.00
Shared
0.00
None
6.09K
ISHARES TR
SOLEShares17.39K
TypeSH
Market value$1.65M
1.12%
Sole
0.00
Shared
0.00
None
17.39K
SPDR GOLD TR
SOLEShares9.02K
TypeSH
Market value$1.53M
1.04%
Sole
1.09K
Shared
0.00
None
7.93K
ALPHABET INC
SOLEShares16.95K
TypeSH
Market value$1.50M
1.02%
Sole
2.24K
Shared
0.00
None
14.71K
VANGUARD TAX-MANAGED FDS
SOLEShares35.77K
TypeSH
Market value$1.50M
1.02%
Sole
0.00
Shared
0.00
None
35.77K
ISHARES TR
SOLEShares14.83K
TypeSH
Market value$1.44M
0.98%
Sole
1.65K
Shared
0.00
None
13.18K
VANGUARD SPECIALIZED FUNDS
SOLEShares8.55K
TypeSH
Market value$1.30M
0.88%
Sole
473.00
Shared
0.00
None
8.07K
VANGUARD INDEX FDS
SOLEShares9.71K
TypeSH
Market value$1.29M
0.88%
Sole
521.00
Shared
0.00
None
9.19K
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
SPDR S&P 500 ETF TRSOLE | TR UNIT | 95.96K | SH | $36.70M 24.92% | 6.01K | 0.00 | 89.94K |
ISHARES TRSOLE | MSCI EAFE ETF | 124.56K | SH | $8.18M 5.55% | 8.60K | 0.00 | 115.96K |
ISHARES TRSOLE | SHRT NAT MUN ETF | 69.27K | SH | $7.22M 4.91% | 741.00 | 0.00 | 68.53K |
ISHARES TRSOLE | NATIONAL MUN ETF | 67.72K | SH | $7.15M 4.85% | 8.91K | 0.00 | 58.81K |
ISHARES TRSOLE | 1 3 YR TREAS BD | 65.28K | SH | $5.30M 3.60% | 12.49K | 0.00 | 52.80K |
APPLE INCSOLE | COM | 38.61K | SH | $5.02M 3.41% | 2.77K | 0.00 | 35.84K |
SPDR SER TRSOLE | NUVEEN BLMBRG SH | 105.68K | SH | $4.96M 3.37% | 768.00 | 0.00 | 104.91K |
ALTRIA GROUP INCSOLE | COM | 75.72K | SH | $3.46M 2.35% | 0.00 | 0.00 | 75.72K |
ISHARES TRSOLE | RUSSELL 2000 ETF | 18.75K | SH | $3.27M 2.22% | 1.97K | 0.00 | 16.79K |
ISHARES TRSOLE | CORE S&P MCP ETF | 12.10K | SH | $2.93M 1.99% | 661.00 | 0.00 | 11.44K |
AMAZON COM INCSOLE | COM | 34.21K | SH | $2.87M 1.95% | 1K | 0.00 | 33.21K |
VANGUARD BD INDEX FDSSOLE | SHORT TRM BOND | 36.68K | SH | $2.76M 1.88% | 3.01K | 0.00 | 33.67K |
VANGUARD SCOTTSDALE FDSSOLE | SHRT TRM CORP BD | 33.56K | SH | $2.52M 1.71% | 2.53K | 0.00 | 31.03K |
VANGUARD INDEX FDSSOLE | VALUE ETF | 16.94K | SH | $2.38M 1.61% | 912.00 | 0.00 | 16.03K |
SELECT SECTOR SPDR TRSOLE | TECHNOLOGY | 18.55K | SH | $2.31M 1.57% | 1.44K | 0.00 | 17.12K |
ISHARES TRSOLE | 3 7 YR TREAS BD | 17.46K | SH | $2.01M 1.36% | 2.01K | 0.00 | 15.45K |
MICROSOFT CORPSOLE | COM | 8.26K | SH | $1.98M 1.35% | 724.00 | 0.00 | 7.54K |
ISHARES TRSOLE | US HLTHCARE ETF | 6.55K | SH | $1.86M 1.26% | 456.00 | 0.00 | 6.09K |
ISHARES TRSOLE | CORE S&P SCP ETF | 17.39K | SH | $1.65M 1.12% | 0.00 | 0.00 | 17.39K |
SPDR GOLD TRSOLE | GOLD SHS | 9.02K | SH | $1.53M 1.04% | 1.09K | 0.00 | 7.93K |
ALPHABET INCSOLE | CAP STK CL C | 16.95K | SH | $1.50M 1.02% | 2.24K | 0.00 | 14.71K |
VANGUARD TAX-MANAGED FDSSOLE | VAN FTSE DEV MKT | 35.77K | SH | $1.50M 1.02% | 0.00 | 0.00 | 35.77K |
ISHARES TRSOLE | CORE US AGGBD ET | 14.83K | SH | $1.44M 0.98% | 1.65K | 0.00 | 13.18K |
VANGUARD SPECIALIZED FUNDSSOLE | DIV APP ETF | 8.55K | SH | $1.30M 0.88% | 473.00 | 0.00 | 8.07K |
VANGUARD INDEX FDSSOLE | EXTEND MKT ETF | 9.71K | SH | $1.29M 0.88% | 521.00 | 0.00 | 9.19K |
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