RICHARD W. PAUL & ASSOCIATES, LLC

Filed: 10/12/2023ACC: 0001964203-23-000004

📋 What this filing means

RICHARD W. PAUL & ASSOCIATES, LLC filed this quarterly 13F‑HR report disclosing 511 equity positions with a total reported market value of $218.62M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

511

Positions

$218.62M

Total AUM (reported)

2.98M

Total Shares

Allocation by class

COM$56.51M25.8%

BLOOMBERG 1-3 MO$13.62M6.2%

CORE S&P US VLU$9.88M4.5%

CORE S&P US GWT$9.70M4.4%

20 YR TR BD ETF$8.78M4.0%

CORE S&P SCP ETF$7.37M3.4%

CORE MSCI EAFE$6.22M2.8%

Portfolio Concentration

Top 3$33.21M15.2%

4–10$41.79M19.1%

11–25$41.48M19.0%

Rest$102.15M46.7%

Top 3 weight

15.2%

Top 10 weight

34.3%

Voting Authority Distribution

Total shares with voting rights: 2.98M

Sole

Full voting authority

74.19K

% of voting shares2.5%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

2.90M

% of voting shares97.5%

Investment Discretion (by position count)

Sole511

Shared0

Other0

Dominant voting typeNone · 97.5% of voting shares

Institutional Holdings511

Rows:

SPDR SER TR

SOLE

BLOOMBERG 1-3 MO

Shares148.37K

TypeSH

Market value$13.62M

6.23%

Sole

27.00

Shared

0.00

None

148.35K

ISHARES TR

SOLE

CORE S&P US VLU

Shares132.40K

TypeSH

Market value$9.88M

4.52%

Sole

1.73K

Shared

0.00

None

130.67K

ISHARES TR

SOLE

CORE S&P US GWT

Shares102.31K

TypeSH

Market value$9.70M

4.44%

Sole

1.40K

Shared

0.00

None

100.90K

ISHARES TR

SOLE

20 YR TR BD ETF

Shares99.03K

TypeSH

Market value$8.78M

4.02%

Sole

0.00

Shared

0.00

None

99.03K

ISHARES TR

SOLE

CORE S&P SCP ETF

Shares78.08K

TypeSH

Market value$7.37M

3.37%

Sole

709.00

Shared

0.00

None

77.37K

ISHARES TR

SOLE

CORE MSCI EAFE

Shares96.72K

TypeSH

Market value$6.22M

2.85%

Sole

1.22K

Shared

0.00

None

95.50K

INVESCO QQQ TR

SOLE

UNIT SER 1

Shares15.54K

TypeSH

Market value$5.57M

2.55%

Sole

712.00

Shared

0.00

None

14.83K

SPDR SER TR

SOLE

PORTFOLIO SHORT

Shares178.46K

TypeSH

Market value$5.23M

2.39%

Sole

0.00

Shared

0.00

None

178.46K

ISHARES TR

SOLE

CORE US AGGBD ET

Shares49.20K

TypeSH

Market value$4.63M

2.12%

Sole

0.00

Shared

0.00

None

49.20K

APPLE INC

SOLE

COM

Shares23.32K

TypeSH

Market value$3.99M

1.83%

Sole

2.28K

Shared

0.00

None

21.04K

SELECT SECTOR SPDR TR

SOLE

SBI HEALTHCARE

Shares29.78K

TypeSH

Market value$3.83M

1.75%

Sole

61.00

Shared

0.00

None

29.72K

ISHARES TR

SOLE

MSCI EAFE ETF

Shares50.77K

TypeSH

Market value$3.50M

1.60%

Sole

0.00

Shared

0.00

None

50.77K

ISHARES INC

SOLE

CORE MSCI EMKT

Shares73.48K

TypeSH

Market value$3.50M

1.60%

Sole

887.00

Shared

0.00

None

72.59K

SPDR SER TR

SOLE

PRTFLO S&P500 GW

Shares58.55K

TypeSH

Market value$3.47M

1.59%

Sole

0.00

Shared

0.00

None

58.55K

MICROSOFT CORP

SOLE

COM

Shares10.59K

TypeSH

Market value$3.34M

1.53%

Sole

304.00

Shared

0.00

None

10.29K

ISHARES TR

SOLE

CORE S&P500 ETF

Shares6.77K

TypeSH

Market value$2.91M

1.33%

Sole

0.00

Shared

0.00

None

6.77K

FIRST TR NAS100 EQ WEIGHTED

SOLE

SHS

Shares27.58K

TypeSH

Market value$2.87M

1.31%

Sole

0.00

Shared

0.00

None

27.58K

J P MORGAN EXCHANGE TRADED F

SOLE

BETABUILDERS US

Shares59.24K

TypeSH

Market value$2.62M

1.20%

Sole

46.00

Shared

0.00

None

59.19K

SELECT SECTOR SPDR TR

SOLE

SBI CONS STPLS

Shares36.59K

TypeSH

Market value$2.52M

1.15%

Sole

48.00

Shared

0.00

None

36.54K

SELECT SECTOR SPDR TR

SOLE

TECHNOLOGY

Shares15.19K

TypeSH

Market value$2.49M

1.14%

Sole

44.00

Shared

0.00

None

15.15K

VANECK ETF TRUST

SOLE

FALLEN ANGEL HG

Shares79.55K

TypeSH

Market value$2.15M

0.98%

Sole

0.00

Shared

0.00

None

79.55K

INVESCO EXCHANGE TRADED FD T

SOLE

S&P500 EQL WGT

Shares15.16K

TypeSH

Market value$2.15M

0.98%

Sole

0.00

Shared

0.00

None

15.16K

ISHARES TR

SOLE

EAFE SML CP ETF

Shares37.94K

TypeSH

Market value$2.14M

0.98%

Sole

467.00

Shared

0.00

None

37.48K

ISHARES TR

SOLE

IBOXX HI YD ETF

Shares27.89K

TypeSH

Market value$2.06M

0.94%

Sole

79.00

Shared

0.00

None

27.81K

SELECT SECTOR SPDR TR

SOLE

SBI CONS DISCR

Shares11.96K

TypeSH

Market value$1.93M

0.88%

Sole

0.00

Shared

0.00

None

11.96K

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	None
SPDR SER TRSOLE	BLOOMBERG 1-3 MO	148.37K	SH	$13.62M 6.23%	27.00	148.35K
ISHARES TRSOLE	CORE S&P US VLU	132.40K	SH	$9.88M 4.52%	1.73K	130.67K
ISHARES TRSOLE	CORE S&P US GWT	102.31K	SH	$9.70M 4.44%	1.40K	100.90K
ISHARES TRSOLE	20 YR TR BD ETF	99.03K	SH	$8.78M 4.02%	0.00	99.03K
ISHARES TRSOLE	CORE S&P SCP ETF	78.08K	SH	$7.37M 3.37%	709.00	77.37K
ISHARES TRSOLE	CORE MSCI EAFE	96.72K	SH	$6.22M 2.85%	1.22K	95.50K
INVESCO QQQ TRSOLE	UNIT SER 1	15.54K	SH	$5.57M 2.55%	712.00	14.83K
SPDR SER TRSOLE	PORTFOLIO SHORT	178.46K	SH	$5.23M 2.39%	0.00	178.46K
ISHARES TRSOLE	CORE US AGGBD ET	49.20K	SH	$4.63M 2.12%	0.00	49.20K
APPLE INCSOLE	COM	23.32K	SH	$3.99M 1.83%	2.28K	21.04K
SELECT SECTOR SPDR TRSOLE	SBI HEALTHCARE	29.78K	SH	$3.83M 1.75%	61.00	29.72K
ISHARES TRSOLE	MSCI EAFE ETF	50.77K	SH	$3.50M 1.60%	0.00	50.77K
ISHARES INCSOLE	CORE MSCI EMKT	73.48K	SH	$3.50M 1.60%	887.00	72.59K
SPDR SER TRSOLE	PRTFLO S&P500 GW	58.55K	SH	$3.47M 1.59%	0.00	58.55K
MICROSOFT CORPSOLE	COM	10.59K	SH	$3.34M 1.53%	304.00	10.29K
ISHARES TRSOLE	CORE S&P500 ETF	6.77K	SH	$2.91M 1.33%	0.00	6.77K
FIRST TR NAS100 EQ WEIGHTEDSOLE	SHS	27.58K	SH	$2.87M 1.31%	0.00	27.58K
J P MORGAN EXCHANGE TRADED FSOLE	BETABUILDERS US	59.24K	SH	$2.62M 1.20%	46.00	59.19K
SELECT SECTOR SPDR TRSOLE	SBI CONS STPLS	36.59K	SH	$2.52M 1.15%	48.00	36.54K
SELECT SECTOR SPDR TRSOLE	TECHNOLOGY	15.19K	SH	$2.49M 1.14%	44.00	15.15K
VANECK ETF TRUSTSOLE	FALLEN ANGEL HG	79.55K	SH	$2.15M 0.98%	0.00	79.55K
INVESCO EXCHANGE TRADED FD TSOLE	S&P500 EQL WGT	15.16K	SH	$2.15M 0.98%	0.00	15.16K
ISHARES TRSOLE	EAFE SML CP ETF	37.94K	SH	$2.14M 0.98%	467.00	37.48K
ISHARES TRSOLE	IBOXX HI YD ETF	27.89K	SH	$2.06M 0.94%	79.00	27.81K
SELECT SECTOR SPDR TRSOLE	SBI CONS DISCR	11.96K	SH	$1.93M 0.88%	0.00	11.96K

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