SEC 13F Intelligence

Managers / Q4 2021 · view latest →

Asset Allocation & Management Company, LLC

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

Reported Value
$295M
Q4 2021
Positions
116
Filings on Record
26
2020–present window
Filed
Feb 11, 2022
original filing

Summary

Asset Allocation & Management Company, LLC reported $295M in U.S.-listed holdings across 116 positions for Q4 2021.

The portfolio is heavily concentrated: IGSB alone accounts for 22.7% of reported value.

Compared with Q3 2021, the fund opened 82 new positions and exited 0.

Portfolio Metrics

Turnover
+0.3%
vs prior filed quarter
Top-10 Concentration
+73.7%
share of reported value
Largest Position
+22.7%
Ishares Tr

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: 64.2%Common Stock: 22.3%US DOMESTIC: 7.3%GLOBAL: 5.6%Other: 0.4%Other: 0.3%
  • ETP · 64.2% · $190M
  • Common Stock · 22.3% · $66M
  • US DOMESTIC · 7.3% · $21M
  • GLOBAL · 5.6% · $17M
  • Other · 0.4% · $1M
  • Other · 0.3% · $807,000

Quarter-over-Quarter Changes full breakdown →

vs Q3 2021 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
TORONTO DOMINION BK ONTNEW+13.77M13.77M+$15M$15M
SRLNSSGA ACTIVE ETF TRNEW+99.4K99.4K+$5M$5M
HDHOME DEPOT INCNEW+4.5K4.5K+$2M$2M
BANK OF NOVA SCOTIANEW+1.67M1.67M+$2M$2M
QCOMQUALCOMM INCNEW+9.3K9.3K+$2M$2M
PGPROCTER AND GAMBLE CONEW+10.3K10.3K+$2M$2M
MCDMCDONALDS CORPNEW+6.1K6.1K+$2M$2M
APDAIR PRODS & CHEMS INCNEW+4.9K4.9K+$1M$1M

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

Holdings — Q4 2021

102 positions (from 116 filing rows — )
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1IGSBISHARES TRISHS 1-5YR INVS · CORE S&P500 ETF · IBOXX HI YD ETF · MSCI EAFE ETF · CORE S&P MCP ETF · SELECT DIVID ETF · CORE S&P TTL STK · MORTGE REL ETF · RUSSELL 2000 ETF22.67%$67M1.02M
2VTIVANGUARD INDEX FDSTOTAL STK MKT · S&P 500 ETF SHS · GROWTH ETF · MID CAP ETF · MCAP GR IDXVIP · SMALL CP ETF20.24%$60M224.7K
3VYMVANGUARD WHITEHALL FDShistory →HIGH DIV YLD9.14%$27M240.8K
4HOPE BANCORP INCNOTE 2.000% 5/17.25%$21M21.95M
5TORONTO DOMINION BK ONTNOTE 3.625% 9/15.01%$15M13.77M
6ESGVVANGUARD WORLD FDhistory →ESG US STK ETF2.32%$7M77.9K
7VWOVANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF · ALLWRLD EX US2.15%$6M120.7K
8VEAVANGUARD TAX-MANAGED INTL FDhistory →FTSE DEV MKT ETF2.05%$6M118.4K
9SRLNSSGA ACTIVE ETF TRhistory →BLACKSTONE SENR1.54%$5M99.4K
10VCSHVANGUARD SCOTTSDALE FDShistory →SHRT TRM CORP BD1.30%$4M47.3K
11SPYSPDR S&P 500 ETF TRhistory →TR UNIT1.24%$4M7.7K
12HDHOME DEPOT INCCOM0.64%$2M4.5K
13BANK OF NOVA SCOTIANOTE 4.500%12/10.62%$2M1.67M
14QQQINVESCO QQQ TRUNIT SER 10.61%$2M4.5K
15QCOMQUALCOMM INCCOM0.58%$2M9.3K
16PGPROCTER AND GAMBLE COCOM0.57%$2M10.3K
17MCDMCDONALDS CORPCOM0.56%$2M6.1K
18AVGOBROADCOM INCCOM0.54%$2M2.4K
19APDAIR PRODS & CHEMS INCCOM0.51%$1M4.9K
20JNJJOHNSON & JOHNSONCOM0.49%$1M8.4K
21PFEPFIZER INCCOM0.47%$1M23.5K
22BRK/ABERKSHIRE HATHAWAY INC DELCL A0.46%$1M3
23PEPPEPSICO INCCOM0.46%$1M7.8K
24CSCOCISCO SYS INCCOM0.45%$1M20.9K
25JAAAJANUS DETROIT STR TRHENDRSON AAA CL0.44%$1M26.0K
26COPCONOCOPHILLIPSCOM0.42%$1M17.2K
27HPQHP INCCOM0.41%$1M32.1K
28MMM3M COCOM0.40%$1M6.6K
29LMTLOCKHEED MARTIN CORPCOM0.39%$1M3.3K
30KOCOCA COLA COCOM0.39%$1M19.3K
31JPMJPMORGAN CHASE & COCOM0.38%$1M7.1K
32ADPAUTOMATIC DATA PROCESSING INCOM0.38%$1M4.6K
33KMBKIMBERLY-CLARK CORPCOM0.38%$1M7.8K
34TXNTEXAS INSTRS INCCOM0.38%$1M5.9K
35UNPUNION PAC CORPCOM0.38%$1M4.4K
36GPCGENUINE PARTS COCOM0.37%$1M7.8K
37ABTABBOTT LABSCOM0.36%$1M7.6K
38TSNTYSON FOODS INCCL A0.36%$1M12.2K
39TRVTRAVELERS COMPANIES INCCOM0.36%$1M6.8K
40AMPAMERIPRISE FINL INCCOM0.36%$1M3.5K
41CMICUMMINS INCCOM0.36%$1M4.8K
42MTBM & T BK CORPCOM0.35%$1M6.8K
43UPSUNITED PARCEL SERVICE INCCL B0.35%$1M4.9K
44CLCOLGATE PALMOLIVE COCOM0.35%$1M12.2K
45INTCINTEL CORPCOM0.35%$1M20.3K
46LLYLILLY ELI & COCOM0.35%$1M3.7K
47MDLZMONDELEZ INTL INCCL A0.35%$1M15.4K
48BACBK OF AMERICA CORPCOM0.34%$1M22.9K
49ITWILLINOIS TOOL WKS INCCOM0.34%$1M4.1K
50PNCPNC FINL SVCS GROUP INCCOM0.34%$1M5.0K
51GDGENERAL DYNAMICS CORPCOM0.34%$994,0004.8K
52GOOGLALPHABET INCCAP STK CL A0.33%$982,000339
53RTXRAYTHEON TECHNOLOGIES CORPCOM0.33%$969,00011.3K
54GILDGILEAD SCIENCES INCCOM0.32%$953,00013.1K
55AMGNAMGEN INCCOM0.32%$952,0004.2K
56CAHCARDINAL HEALTH INCCOM0.32%$937,00018.2K
57CATCATERPILLAR INCCOM0.32%$936,0004.5K
58BLACKROCK INCCOM0.31%$927,0001.0K
59VFCV F CORPCOM0.31%$914,00012.5K
60BMYBRISTOL-MYERS SQUIBB COCOM0.30%$890,00014.3K
61PMPHILIP MORRIS INTL INCCOM0.30%$881,0009.3K
62TGTTARGET CORPCOM0.27%$794,0003.4K
63AAPLAPPLE INCCOM0.24%$710,0004.0K
64CANADIAN PAC RY LTDCOM0.20%$581,0008.1K
65ARISTA NETWORKS INCCOM0.19%$575,0004.0K
66MCHPMICROCHIP TECHNOLOGY INC.COM0.19%$573,0006.6K
67EMXCISHARES INCMSCI EMRG CHN0.18%$544,0009.0K
68MSFTMICROSOFT CORPCOM0.17%$504,0001.5K
69KLACKLA CORPCOM NEW0.17%$495,0001.1K
70II-VI INCCOM0.16%$485,0007.1K
71FDXFEDEX CORPCOM0.16%$466,0001.8K
72FFIVF5 INCCOM0.16%$465,0001.9K
73UNHUNITEDHEALTH GROUP INCCOM0.15%$452,000900
74CVSCVS HEALTH CORPCOM0.14%$413,0004.0K
75METMETLIFE INCCOM0.14%$412,0006.6K
76MRKMERCK & CO INCCOM0.14%$403,0005.3K
77ALBALBEMARLE CORPCOM0.13%$394,0001.7K
78GLDSPDR GOLD TRGOLD SHS0.12%$363,0002.1K
79SBUXSTARBUCKS CORPCOM0.12%$351,0003.0K
80FITBFIFTH THIRD BANCORPCOM0.12%$345,0007.9K
81CVXCHEVRON CORP NEWCOM0.12%$340,0002.9K
82LULULULULEMON ATHLETICA INCCOM0.11%$333,000850
83SYKSTRYKER CORPORATIONCOM0.11%$321,0001.2K
84BPBP PLCSPONSORED ADR0.11%$320,00012.0K
85TJXTJX COS INC NEWCOM0.10%$304,0004.0K
86MRSHMARSH & MCLENNAN COS INCCOM0.10%$295,0001.7K
87BKRBAKER HUGHES COMPANYCL A0.10%$289,00012.0K
88VZVERIZON COMMUNICATIONS INCCOM0.10%$281,0005.4K
89KNXKNIGHT-SWIFT TRANSN HLDGS INCL A0.09%$277,0004.5K
90IPGINTERPUBLIC GROUP COS INCCOM0.09%$270,0007.2K
91LHXL3HARRIS TECHNOLOGIES INCCOM0.09%$267,0001.3K
92MSMORGAN STANLEYCOM NEW0.09%$261,0002.7K
93BSVVANGUARD BD INDEX FDSSHORT TRM BOND0.09%$254,0003.1K
94VVISA INCCOM CL A0.08%$249,0001.1K
95CRMSALESFORCE COM INCCOM0.08%$248,000975
96SDYSPDR SER TRS&P DIVID ETF0.08%$246,0001.9K
97GRMNGARMIN LTDSHS0.07%$213,0001.6K
98VEEVVEEVA SYS INCCL A COM0.07%$204,000800
99EFTEATON VANCE FLTING RATE INCCOM0.06%$188,00013.0K
100PFNPIMCO INCOME STRATEGY FD IICOM0.05%$160,00017.5K

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
  • SECURIAN ASSET MANAGEMENT, INC
  • Muzinich & Co., 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 ↗.