SEC 13F Intelligence

Managers / Q3 2021 · view latest →

Asset Allocation & Management Company, LLC

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

Reported Value
$185M
Q3 2021
Positions
34
Filings on Record
26
2020–present window
Filed
Oct 15, 2021
original filing

Summary

Asset Allocation & Management Company, LLC reported $185M in U.S.-listed holdings across 34 positions for Q3 2021.

The portfolio is heavily concentrated: IGSB alone accounts for 34.5% of reported value.

Compared with Q2 2021, the fund opened 1 new position and exited 13.

Portfolio Metrics

Turnover
+0.7%
vs prior filed quarter
Top-10 Concentration
+97.7%
share of reported value
Largest Position
+34.5%
Ishares Tr
New / Exited
1 / 13
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: 86.8%US DOMESTIC: 11.3%Common Stock: 1.5%Closed-End Fund: 0.3%ADR: 0.2%
  • ETP · 86.8% · $160M
  • US DOMESTIC · 11.3% · $21M
  • Common Stock · 1.5% · $3M
  • Closed-End Fund · 0.3% · $494,000
  • ADR · 0.2% · $328,000

Quarter-over-Quarter Changes full breakdown →

vs Q2 2021 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
EMXCISHARES INCNEW+4.6K4.6K+$281,000$281,000
IEMGISHARES INCSOLD OUT−54.9K0−$4M$0
IEFAISHARES TRSOLD OUT−23.7K0−$2M$0
IWVISHARES TRSOLD OUT−6.0K0−$2M$0
GMGENERAL MTRS COSOLD OUT−16.3K0−$962,000$0
BIVVANGUARD BD INDEX FDSOLD OUT−9.2K0−$824,000$0
VLOVALERO ENERGY CORPSOLD OUT−10.0K0−$781,000$0
IJRISHARES TRSOLD OUT−6.7K0−$753,000$0

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

Holdings — Q3 2021

21 positions (from 34 filing rows — )
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1IGSBISHARES TRISHS 1-5YR INVS · CORE S&P500 ETF · IBOXX HI YD ETF · MSCI EAFE ETF · SELECT DIVID ETF · CORE S&P MCP ETF · CORE S&P TTL STK · MORTGE REL ETF34.51%$64M1.01M
2VTIVANGUARD INDEX FDSTOTAL STK MKT · S&P 500 ETF SHS · GROWTH ETF · MCAP GR IDXVIP · MID CAP ETF · SMALL CP ETF28.05%$52M212.3K
3VYMVANGUARD WHITEHALL Fhistory →HIGH DIV YLD11.73%$22M209.5K
4HOPE BANCORP INCNOTE 2.000% 5/111.31%$21M21.09M
5VWOVANGUARD INTL EQUITYFTSE EMR MKT ETF · ALLWRLD EX US3.14%$6M109.1K
6VEAVANGUARD TAX-MANAGEDhistory →FTSE DEV MKT ETF2.99%$6M109.2K
7VCSHVANGUARD SCOTTSDALEhistory →SHRT TRM CORP BD2.11%$4M47.3K
8ESGVVANGUARD WORLD FDhistory →ESG US STK ETF1.67%$3M38.5K
9SPYSPDR S&P 500 ETF TRhistory →TR UNIT1.30%$2M5.6K
10QQQINVESCO QQQ TRUNIT SER 10.88%$2M4.5K
11BRK/ABERKSHIRE HATHAWAY ICL A0.67%$1M3
12GOOGLALPHABET INCCAP STK CL A0.49%$906,000339
13BPBP PLCSPONSORED ADR0.18%$328,00012.0K
14TGTTARGET CORPCOM0.18%$327,0001.4K
15EMXCISHARES INCMSCI EMRG CHN0.15%$281,0004.6K
16BSVVANGUARD BD INDEX FDSHORT TRM BOND0.14%$257,0003.1K
17SDYSPDR SER TRS&P DIVID ETF0.12%$224,0001.9K
18AVGOBROADCOM INCCOM0.12%$222,000457
19EFTEATON VANCE FLTING RCOM0.10%$190,00013.0K
20PFNPIMCO INCOME STRATEGCOM0.09%$163,00017.5K
21VVRINVESCO SR INCOME TRCOM0.08%$141,00030.0K

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

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 ↗.