MAI CAPITAL MANAGEMENT

Filed: 11/14/2023ACC: 0001040197-23-000004

📋 What this filing means

MAI CAPITAL MANAGEMENT filed this quarterly 13F‑HR report disclosing 1073 equity positions with a total reported market value of $6.72B. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

1073

Positions

$6.72B

Total AUM (reported)

227.92M

Total Shares

Allocation by class

CS$3.32B49.3%

EE$1.63B24.3%

EZ$1.59B23.6%

SE$126.14M1.9%

ML$34.61M0.5%

RE$24.82M0.4%

PUT$641.0K0.0%

Portfolio Concentration

Top 3$1.04B15.5%

4–10$926.86M13.8%

11–25$1.10B16.3%

Rest$3.66B54.4%

Top 3 weight

15.5%

Top 10 weight

29.3%

Voting Authority Distribution

Total shares with voting rights: 227.92M

Sole

Full voting authority

15.84M

% of voting shares7.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

212.08M

% of voting shares93.0%

Investment Discretion (by position count)

Sole1073

Shared0

Other0

Dominant voting typeNone · 93.0% of voting shares

Institutional Holdings1073

Rows:

iShares S&P 500 Index

SOLE

Shares1.22M

TypeSH

Market value$525.51M

7.81%

Sole

65.55K

Shared

0.00

None

1.16M

Apple Inc

SOLE

Shares1.54M

TypeSH

Market value$262.81M

3.91%

Sole

90.11K

Shared

0.00

None

1.44M

SPDR S&P 500 ETF TRUST

SOLE

Shares595.67K

TypeSH

Market value$254.64M

3.79%

Sole

52.40K

Shared

0.00

None

543.26K

Microsoft Corp

SOLE

Shares792.10K

TypeSH

Market value$250.11M

3.72%

Sole

157.08K

Shared

0.00

None

635.02K

iShares S&P Mid Cap Index

SOLE

Shares613.38K

TypeSH

Market value$152.95M

2.27%

Sole

47.08K

Shared

0.00

None

566.30K

iShares S&P Small Cap Index

SOLE

Shares1.21M

TypeSH

Market value$113.76M

1.69%

Sole

97.13K

Shared

0.00

None

1.11M

Vanguard Dividend Appreciation

SOLE

Shares703.64K

TypeSH

Market value$109.33M

1.63%

Sole

1.68K

Shared

0.00

None

701.96K

Amazon Com Inc

SOLE

Shares804.21K

TypeSH

Market value$102.23M

1.52%

Sole

133.34K

Shared

0.00

None

670.87K

Vanguard FTSE Developed Mkts E

SOLE

Shares2.34M

TypeSH

Market value$102.22M

1.52%

Sole

251.23K

Shared

0.00

None

2.09M

iShares S&P Barra Value Index

SOLE

Shares625.74K

TypeSH

Market value$96.26M

1.43%

Sole

60.05K

Shared

0.00

None

565.70K

iShares Russell 1000 Growth In

SOLE

Shares357.61K

TypeSH

Market value$95.12M

1.41%

Sole

13.81K

Shared

0.00

None

343.80K

SPDR S&P Mid Cap 400 ETF

SOLE

Shares207.26K

TypeSH

Market value$94.64M

1.41%

Sole

18.69K

Shared

0.00

None

188.57K

iShares Core MSCI EAFE

SOLE

Shares1.27M

TypeSH

Market value$81.95M

1.22%

Sole

59.43K

Shared

0.00

None

1.21M

INVESCO QQQ TR SER 1

SOLE

Shares220.66K

TypeSH

Market value$79.06M

1.18%

Sole

24.20K

Shared

0.00

None

196.45K

Alphabet Inc Class C

SOLE

Shares595.59K

TypeSH

Market value$78.53M

1.17%

Sole

160.63K

Shared

0.00

None

434.96K

Alphabet Inc Class

SOLE

Shares585.33K

TypeSH

Market value$76.60M

1.14%

Sole

145.58K

Shared

0.00

None

439.74K

Vanguard Tot Stock Mrkt ETF

SOLE

Shares355.78K

TypeSH

Market value$75.57M

1.12%

Sole

76.02K

Shared

0.00

None

279.76K

iShares Russell 2000 Index

SOLE

Shares383.52K

TypeSH

Market value$67.78M

1.01%

Sole

23.91K

Shared

0.00

None

359.61K

Vanguard FTSE Emerging Mkts ET

SOLE

Shares1.72M

TypeSH

Market value$67.56M

1.00%

Sole

139.17K

Shared

0.00

None

1.58M

Visa Inc Class A Shares

SOLE

Shares285.98K

TypeSH

Market value$65.78M

0.98%

Sole

82.96K

Shared

0.00

None

203.02K

Johnson and Johnson

SOLE

Shares421.28K

TypeSH

Market value$65.61M

0.98%

Sole

68.15K

Shared

0.00

None

353.13K

SPDR S&P Dividend ETF

SOLE

Shares566.90K

TypeSH

Market value$65.20M

0.97%

Sole

118.75K

Shared

0.00

None

448.16K

UnitedHealth Group Inc

SOLE

Shares121.49K

TypeSH

Market value$61.25M

0.91%

Sole

10.57K

Shared

0.00

None

110.92K

Home Depot Inc

SOLE

Shares201.61K

TypeSH

Market value$60.92M

0.91%

Sole

36.42K

Shared

0.00

None

165.19K

iShares S&P 500 Growth

SOLE

Shares879.23K

TypeSH

Market value$60.16M

0.89%

Sole

124.71K

Shared

0.00

None

754.52K

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	None
iShares S&P 500 IndexSOLE	EZ	1.22M	SH	$525.51M 7.81%	65.55K	1.16M
Apple IncSOLE	CS	1.54M	SH	$262.81M 3.91%	90.11K	1.44M
SPDR S&P 500 ETF TRUSTSOLE	EE	595.67K	SH	$254.64M 3.79%	52.40K	543.26K
Microsoft CorpSOLE	CS	792.10K	SH	$250.11M 3.72%	157.08K	635.02K
iShares S&P Mid Cap IndexSOLE	EZ	613.38K	SH	$152.95M 2.27%	47.08K	566.30K
iShares S&P Small Cap IndexSOLE	EZ	1.21M	SH	$113.76M 1.69%	97.13K	1.11M
Vanguard Dividend AppreciationSOLE	EE	703.64K	SH	$109.33M 1.63%	1.68K	701.96K
Amazon Com IncSOLE	CS	804.21K	SH	$102.23M 1.52%	133.34K	670.87K
Vanguard FTSE Developed Mkts ESOLE	EE	2.34M	SH	$102.22M 1.52%	251.23K	2.09M
iShares S&P Barra Value IndexSOLE	EZ	625.74K	SH	$96.26M 1.43%	60.05K	565.70K
iShares Russell 1000 Growth InSOLE	EZ	357.61K	SH	$95.12M 1.41%	13.81K	343.80K
SPDR S&P Mid Cap 400 ETFSOLE	EE	207.26K	SH	$94.64M 1.41%	18.69K	188.57K
iShares Core MSCI EAFESOLE	EZ	1.27M	SH	$81.95M 1.22%	59.43K	1.21M
INVESCO QQQ TR SER 1SOLE	EE	220.66K	SH	$79.06M 1.18%	24.20K	196.45K
Alphabet Inc Class CSOLE	CS	595.59K	SH	$78.53M 1.17%	160.63K	434.96K
Alphabet Inc ClassSOLE	CS	585.33K	SH	$76.60M 1.14%	145.58K	439.74K
Vanguard Tot Stock Mrkt ETFSOLE	EE	355.78K	SH	$75.57M 1.12%	76.02K	279.76K
iShares Russell 2000 IndexSOLE	EZ	383.52K	SH	$67.78M 1.01%	23.91K	359.61K
Vanguard FTSE Emerging Mkts ETSOLE	EE	1.72M	SH	$67.56M 1.00%	139.17K	1.58M
Visa Inc Class A SharesSOLE	CS	285.98K	SH	$65.78M 0.98%	82.96K	203.02K
Johnson and JohnsonSOLE	CS	421.28K	SH	$65.61M 0.98%	68.15K	353.13K
SPDR S&P Dividend ETFSOLE	EE	566.90K	SH	$65.20M 0.97%	118.75K	448.16K
UnitedHealth Group IncSOLE	CS	121.49K	SH	$61.25M 0.91%	10.57K	110.92K
Home Depot IncSOLE	CS	201.61K	SH	$60.92M 0.91%	36.42K	165.19K
iShares S&P 500 GrowthSOLE	EZ	879.23K	SH	$60.16M 0.89%	124.71K	754.52K

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