RICHARD W. PAUL & ASSOCIATES, LLC

Filed: 2/7/2023ACC: 0001964203-23-000001

📋 What this filing means

RICHARD W. PAUL & ASSOCIATES, LLC filed this quarterly 13F‑HR report disclosing 544 equity positions with a total reported market value of $198.67M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

544

Positions

$198.67M

Total AUM (reported)

3.37M

Total Shares

Allocation by class

COM$50.90M25.6%

CORE S&P US VLU$9.03M4.5%

UNIT SER 1$7.86M4.0%

CORE S&P US GWT$7.61M3.8%

BLOOMBERG INVT$6.37M3.2%

BLOOMBERG 1-3 MO$5.41M2.7%

CORE S&P SCP ETF$5.35M2.7%

Portfolio Concentration

Top 3$24.50M12.3%

4–10$34.52M17.4%

11–25$38.69M19.5%

Rest$100.95M50.8%

Top 3 weight

12.3%

Top 10 weight

29.7%

Voting Authority Distribution

Total shares with voting rights: 3.37M

Sole

Full voting authority

0.00

% of voting shares0.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

3.37M

% of voting shares100.0%

Investment Discretion (by position count)

Sole544

Shared0

Other0

Dominant voting typeNone · 100.0% of voting shares

Institutional Holdings544

Rows:

ISHARES TR

SOLE

CORE S&P US VLU

Shares127.85K

TypeSH

Market value$9.03M

4.55%

Sole

0.00

Shared

0.00

None

127.85K

INVESCO QQQ TR

SOLE

UNIT SER 1

Shares29.51K

TypeSH

Market value$7.86M

3.95%

Sole

0.00

Shared

0.00

None

29.51K

ISHARES TR

SOLE

CORE S&P US GWT

Shares93.37K

TypeSH

Market value$7.61M

3.83%

Sole

0.00

Shared

0.00

None

93.37K

SPDR SER TR

SOLE

BLOOMBERG INVT

Shares209.58K

TypeSH

Market value$6.37M

3.21%

Sole

0.00

Shared

0.00

None

209.58K

SPDR SER TR

SOLE

BLOOMBERG 1-3 MO

Shares59.19K

TypeSH

Market value$5.41M

2.73%

Sole

0.00

Shared

0.00

None

59.19K

ISHARES TR

SOLE

CORE S&P SCP ETF

Shares56.54K

TypeSH

Market value$5.35M

2.69%

Sole

0.00

Shared

0.00

None

56.54K

ISHARES TR

SOLE

CORE MSCI EAFE

Shares86.12K

TypeSH

Market value$5.31M

2.67%

Sole

0.00

Shared

0.00

None

86.12K

JANUS DETROIT STR TR

SOLE

HENDRSON AAA CL

Shares84.38K

TypeSH

Market value$4.16M

2.09%

Sole

0.00

Shared

0.00

None

84.38K

SPDR SER TR

SOLE

PORTFOLIO SHORT

Shares136.04K

TypeSH

Market value$4.00M

2.01%

Sole

0.00

Shared

0.00

None

136.04K

SPDR SER TR

SOLE

PORTFOLIO S&P500

Shares87.32K

TypeSH

Market value$3.93M

1.98%

Sole

0.00

Shared

0.00

None

87.32K

SPDR SER TR

SOLE

PRTFLO S&P500 GW

Shares69.23K

TypeSH

Market value$3.51M

1.77%

Sole

0.00

Shared

0.00

None

69.23K

ISHARES TR

SOLE

FLTG RATE NT ETF

Shares68.97K

TypeSH

Market value$3.47M

1.75%

Sole

0.00

Shared

0.00

None

68.97K

APPLE INC

SOLE

COM

Shares25.32K

TypeSH

Market value$3.29M

1.66%

Sole

0.00

Shared

0.00

None

25.32K

ISHARES TR

SOLE

CORE S&P500 ETF

Shares8.40K

TypeSH

Market value$3.23M

1.63%

Sole

0.00

Shared

0.00

None

8.40K

INVESCO EXCH TRD SLF IDX FD

SOLE

BULSHS 2024 CB

Shares148.49K

TypeSH

Market value$3.04M

1.53%

Sole

0.00

Shared

0.00

None

148.49K

MICROSOFT CORP

SOLE

COM

Shares11.68K

TypeSH

Market value$2.80M

1.41%

Sole

0.00

Shared

0.00

None

11.68K

ISHARES INC

SOLE

CORE MSCI EMKT

Shares59.23K

TypeSH

Market value$2.77M

1.39%

Sole

0.00

Shared

0.00

None

59.23K

SSGA ACTIVE ETF TR

SOLE

BLACKSTONE SENR

Shares63.15K

TypeSH

Market value$2.58M

1.30%

Sole

0.00

Shared

0.00

None

63.15K

ISHARES TR

SOLE

IBOXX HI YD ETF

Shares30.86K

TypeSH

Market value$2.27M

1.14%

Sole

0.00

Shared

0.00

None

30.86K

J P MORGAN EXCHANGE TRADED F

SOLE

US AGGREGATE ETF

Shares48.94K

TypeSH

Market value$2.24M

1.13%

Sole

0.00

Shared

0.00

None

48.94K

FIRST TR EXCHANGE-TRADED FD

SOLE

FIRST TR TA HIYL

Shares53.51K

TypeSH

Market value$2.08M

1.05%

Sole

0.00

Shared

0.00

None

53.51K

SELECT SECTOR SPDR TR

SOLE

SBI HEALTHCARE

Shares14.95K

TypeSH

Market value$2.03M

1.02%

Sole

0.00

Shared

0.00

None

14.95K

SPDR SER TR

SOLE

PORTFOLI S&P1500

Shares38.39K

TypeSH

Market value$1.82M

0.91%

Sole

0.00

Shared

0.00

None

38.39K

ISHARES TR

SOLE

EAFE SML CP ETF

Shares31.55K

TypeSH

Market value$1.78M

0.90%

Sole

0.00

Shared

0.00

None

31.55K

VICTORY PORTFOLIOS II

SOLE

VCTRYSHS USAA CR

Shares36.50K

TypeSH

Market value$1.78M

0.89%

Sole

0.00

Shared

0.00

None

36.50K

Issuer	Class	Shares	Type	Value / Portfolio %	None
ISHARES TRSOLE	CORE S&P US VLU	127.85K	SH	$9.03M 4.55%	127.85K
INVESCO QQQ TRSOLE	UNIT SER 1	29.51K	SH	$7.86M 3.95%	29.51K
ISHARES TRSOLE	CORE S&P US GWT	93.37K	SH	$7.61M 3.83%	93.37K
SPDR SER TRSOLE	BLOOMBERG INVT	209.58K	SH	$6.37M 3.21%	209.58K
SPDR SER TRSOLE	BLOOMBERG 1-3 MO	59.19K	SH	$5.41M 2.73%	59.19K
ISHARES TRSOLE	CORE S&P SCP ETF	56.54K	SH	$5.35M 2.69%	56.54K
ISHARES TRSOLE	CORE MSCI EAFE	86.12K	SH	$5.31M 2.67%	86.12K
JANUS DETROIT STR TRSOLE	HENDRSON AAA CL	84.38K	SH	$4.16M 2.09%	84.38K
SPDR SER TRSOLE	PORTFOLIO SHORT	136.04K	SH	$4.00M 2.01%	136.04K
SPDR SER TRSOLE	PORTFOLIO S&P500	87.32K	SH	$3.93M 1.98%	87.32K
SPDR SER TRSOLE	PRTFLO S&P500 GW	69.23K	SH	$3.51M 1.77%	69.23K
ISHARES TRSOLE	FLTG RATE NT ETF	68.97K	SH	$3.47M 1.75%	68.97K
APPLE INCSOLE	COM	25.32K	SH	$3.29M 1.66%	25.32K
ISHARES TRSOLE	CORE S&P500 ETF	8.40K	SH	$3.23M 1.63%	8.40K
INVESCO EXCH TRD SLF IDX FDSOLE	BULSHS 2024 CB	148.49K	SH	$3.04M 1.53%	148.49K
MICROSOFT CORPSOLE	COM	11.68K	SH	$2.80M 1.41%	11.68K
ISHARES INCSOLE	CORE MSCI EMKT	59.23K	SH	$2.77M 1.39%	59.23K
SSGA ACTIVE ETF TRSOLE	BLACKSTONE SENR	63.15K	SH	$2.58M 1.30%	63.15K
ISHARES TRSOLE	IBOXX HI YD ETF	30.86K	SH	$2.27M 1.14%	30.86K
J P MORGAN EXCHANGE TRADED FSOLE	US AGGREGATE ETF	48.94K	SH	$2.24M 1.13%	48.94K
FIRST TR EXCHANGE-TRADED FDSOLE	FIRST TR TA HIYL	53.51K	SH	$2.08M 1.05%	53.51K
SELECT SECTOR SPDR TRSOLE	SBI HEALTHCARE	14.95K	SH	$2.03M 1.02%	14.95K
SPDR SER TRSOLE	PORTFOLI S&P1500	38.39K	SH	$1.82M 0.91%	38.39K
ISHARES TRSOLE	EAFE SML CP ETF	31.55K	SH	$1.78M 0.90%	31.55K
VICTORY PORTFOLIOS IISOLE	VCTRYSHS USAA CR	36.50K	SH	$1.78M 0.89%	36.50K

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