SEC 13F Intelligence

Managers / Q1 2021 · view latest →

Asset Allocation & Management Company, LLC

CIK 0001498383 · 10 S. RIVERSIDE PLAZA, SUITE 700, CHICAGO, IL, 60606 · 312-263-2900

Reported Value
$202M
Q1 2021
Positions
61
Filings on Record
26
2020–present window
Filed
May 14, 2021
original filing

Summary

Asset Allocation & Management Company, LLC reported $202M in U.S.-listed holdings across 61 positions for Q1 2021.

The portfolio is heavily concentrated: IGSB alone accounts for 34.1% of reported value.

Compared with Q4 2020, the fund opened 28 new positions and exited 2.

Portfolio Metrics

Turnover
+2.3%
vs prior filed quarter
Top-10 Concentration
+94.0%
share of reported value
Largest Position
+34.1%
Ishares Tr
New / Exited
28 / 2
positions this quarter

Methodology: turnover is min(value bought, value sold) ÷ average reported value across the two quarters — value-based, so market moves inflate it slightly versus a share-based measure. Concentration and largest position are shares of the filing’s total reported value, options excluded, with multiple share classes and repeated sub-manager rows for the same issuer combined into one position — the same rule the holdings table uses by default. New/exited counts compare against the prior filed quarter. All figures derive solely from the fund’s 13F filings.

Reported Value by Quarter

13F Reported Value
Q3 ’20: $217MQ3 ’20Q4 ’20: $155MQ1 ’21: $202MQ2 ’21: $217MQ2 ’21Q3 ’21: $185MQ4 ’21: $295MQ1 ’22: $279MQ1 ’22Q2 ’22: $240MQ3 ’22: $244MQ4 ’22: $259MQ4 ’22Q1 ’23: $249MQ2 ’23: $252MQ3 ’23: $167MQ3 ’23Q4 ’23: $149MQ1 ’24: $153MQ2 ’24: $151MQ2 ’24Q3 ’24: $159MQ4 ’24: $183MQ1 ’25: $198MQ1 ’25Q2 ’25: $216MQ3 ’25: $237MQ4 ’25: $251MQ4 ’25Q1 ’26: $270Mfilingsflow.com

Portfolio Composition

By security type
ETP: 84.2%US DOMESTIC: 14.0%Common Stock: 1.3%Closed-End Fund: 0.2%ADR: 0.1%Other: 0.2%
  • ETP · 84.2% · $171M
  • US DOMESTIC · 14.0% · $28M
  • Common Stock · 1.3% · $3M
  • Closed-End Fund · 0.2% · $489,000
  • ADR · 0.1% · $292,000
  • Other · 0.2% · $342,000

Quarter-over-Quarter Changes full breakdown →

vs Q4 2020 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
HOPE BANCORP INCNEW+22.09M22.09M+$22M$22M
ESGVVANGUARD WORLD FDNEW+38.5K38.5K+$3M$3M
REMISHARES TRNEW+5.7K5.7K+$2M$2M
AKAMAI TECHNOLOGIESNEW+735.0K735.0K+$800,000$800,000
PRICELINE GRP INCNEW+660.0K660.0K+$779,000$779,000
KAMAN CORPNEW+520.0K520.0K+$564,000$564,000
TPG SPECIALTY LENDINNEW+500.0K500.0K+$563,000$563,000
NRG ENERGY INCNEW+380.0K380.0K+$441,000$441,000

Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.

Holdings — Q1 2021

45 positions (from 61 filing rows — )
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1IGSBISHARES TRISHS 1-5YR INVS · CORE S&P500 ETF · IBOXX HI YD ETF · MSCI EAFE ETF · MORTGE REL ETF · CORE MSCI EAFE · SELECT DIVID ETF · CORE S&P MCP ETF · CORE S&P TTL STK34.08%$69M1.04M
2VTIVANGUARD INDEX FDSTOTAL STK MKT · S&P 500 ETF SHS · GROWTH ETF · MID CAP ETF · SMALL CP ETF · MCAP GR IDXVIP28.60%$58M244.6K
3HOPE BANCORP INCNOTE 2.000% 5/110.77%$22M22.09M
4VYMVANGUARD WHITEHALL Fhistory →HIGH DIV YLD9.66%$20M193.5K
5VWOVANGUARD INTL EQUITYFTSE EMR MKT ETF · ALLWRLD EX US3.27%$7M122.0K
6VEAVANGUARD TAX-MANAGEDhistory →FTSE DEV MKT ETF2.22%$4M91.5K
7IEMGISHARES INChistory →CORE MSCI EMKT1.74%$4M54.9K
8ESGVVANGUARD WORLD FDhistory →ESG US STK ETF1.40%$3M38.5K
9BSVVANGUARD BD INDEX FDSHORT TRM BOND · INTERMED TERM · LONG TERM BOND1.12%$2M26.2K
10SPYSPDR S&P 500 ETF TRhistory →TR UNIT1.10%$2M5.6K
11QQQINVESCO QQQ TRUNIT SER 10.71%$1M4.5K
12BRK/ABERKSHIRE HATHAWAY ICL A0.57%$1M3
13AKAMAI TECHNOLOGIESNOTE 0.375% 9/00.40%$800,000735.0K
14PRICELINE GRP INCNOTE 0.900% 9/10.38%$779,000660.0K
15GOOGLALPHABET INCCAP STK CL A0.35%$699,000339
16SDYSPDR SER TRS&P DIVID ETF0.31%$631,0005.3K
17KAMAN CORPNOTE 3.250% 5/00.28%$564,000520.0K
18TPG SPECIALTY LENDINNOTE 4.500% 8/00.28%$563,000500.0K
19NRG ENERGY INCDBCV 2.750% 6/00.22%$441,000380.0K
20LUMENTUM HLDGS INCNOTE 0.500%12/10.18%$373,000320.0K
21JAZZ INVESTMENTS I LNOTE 1.500% 8/10.18%$359,000330.0K
22SPLUNK INCNOTE 1.125% 9/10.17%$354,000300.0K
23SUMMIT HOTEL PPTYS INOTE 1.500% 2/10.17%$338,000305.0K
24LENDINGTREE INC NEWNOTE 0.625% 6/00.16%$331,000275.0K
25BPBP PLCSPONSORED ADR0.14%$292,00012.0K
26SMART GLOBAL HLDGS INOTE 2.250% 2/10.14%$290,000220.0K
27TGTTARGET CORPCOM0.14%$283,0001.4K
28REVANCE THERAPEUTICSNOTE 1.750% 2/10.13%$269,000240.0K
29MESA LABS INCNOTE 1.375% 8/10.12%$252,000230.0K
30QIAGEN NVDEBT 1.000%11/10.12%$247,000200.0K
31FFGFBL FINL GROUP INCCL A0.11%$224,0004.0K
32AVGOBROADCOM INCCOM0.10%$212,000457
33EURONET WORLDWIDE INNOTE 0.750% 3/10.09%$183,000160.0K
34EFTEATON VANCE FLTING RCOM0.09%$183,00013.0K
35PFNPIMCO INCOME STRATEGCOM0.09%$180,00017.5K
36VVRINVESCO SR INCOME TRCOM0.06%$126,00030.0K
37ALTERYX INCNOTE 1.000% 8/00.05%$105,000115.0K
38ATLAS AIR WORLDWIDENOTE 1.875% 6/00.05%$97,00080.0K
39CYBERARK SOFTWARE LTNOTE 11/10.05%$97,00090.0K
40PINDUODUO INCNOTE 12/00.05%$95,00090.0K
41NEOGENOMICS INCNOTE 0.250% 1/10.04%$76,00075.0K
42RINGCENTRAL INCNOTE 3/00.03%$68,00062.0K
43PEBBLEBROOK HOTEL TRNOTE 1.750%12/10.03%$53,00045.0K
44FLEXION THERAPEUTICSNOTE 3.375% 5/00.02%$36,00040.0K
45INTERDIGITAL INCNOTE 2.000% 6/00.01%$21,00020.0K

Filing History

QuarterReported ValuePositionsFiledTypeLinks
Q1 2026$270M94Apr 15, 202613F-HRchanges · EDGAR ↗
Q4 2025$251M94Jan 12, 202613F-HRchanges · EDGAR ↗
Q3 2025$237M88Nov 3, 202513F-HRchanges · EDGAR ↗
Q2 2025$216M92Jul 16, 202513F-HRchanges · EDGAR ↗
Q1 2025$198M90Apr 8, 202513F-HRchanges · EDGAR ↗
Q4 2024$183M83Jan 13, 202513F-HRchanges · EDGAR ↗
Q3 2024$159M47Oct 22, 202413F-HRchanges · EDGAR ↗
Q2 2024$151M48Jul 9, 202413F-HRchanges · EDGAR ↗
Q1 2024$153M49Apr 11, 202413F-HRchanges · EDGAR ↗
Q4 2023$149M49Feb 9, 202413F-HRchanges · EDGAR ↗
Q3 2023$167M50Oct 17, 202313F-HRchanges · EDGAR ↗
Q2 2023$252M64Aug 8, 202313F-HRchanges · EDGAR ↗
Q1 2023$249M96Apr 17, 202313F-HRchanges · EDGAR ↗
Q4 2022$259M119Feb 9, 202313F-HRchanges · EDGAR ↗
Q3 2022$244M117Oct 20, 202213F-HRchanges · EDGAR ↗
Q2 2022$240M116Jul 19, 202213F-HRchanges · EDGAR ↗
Q1 2022$279M121Apr 11, 202213F-HRchanges · EDGAR ↗
Q4 2021$295M116Feb 11, 202213F-HRchanges · EDGAR ↗
Q3 2021$185M34Oct 15, 202113F-HRchanges · EDGAR ↗
Q2 2021$217M46Aug 16, 202113F-HRchanges · EDGAR ↗
Q1 2021$202M61May 14, 202113F-HRchanges · EDGAR ↗
Q4 2020$155M35Feb 12, 202113F-HRchanges · EDGAR ↗
Q3 2020$217M42Nov 16, 202013F-HRchanges · EDGAR ↗

Other Included Managers

This filing reports holdings on behalf of 4 additional managers.

  • Mariner, LLC
  • ZAZOVE ASSOCIATES LLC
  • Muzinich & Co., Inc.
  • SECURIAN ASSET MANAGEMENT, INC

13F filings are due up to 45 days after quarter end, so holdings shown here lag the fund’s current book. Source: original SEC filing on EDGAR ↗.