SEC 13F Intelligence

Managers / Q1 2023 · view latest →

Asset Allocation & Management Company, LLC

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

Reported Value
$249M
Q1 2023
Positions
96
Filings on Record
26
2020–present window
Filed
Apr 17, 2023
original filing

Summary

Asset Allocation & Management Company, LLC reported $249M in U.S.-listed holdings across 96 positions for Q1 2023.

The portfolio is heavily concentrated: VTI alone accounts for 36.4% of reported value.

Compared with Q4 2022, the fund opened 1 new position and exited 24.

Portfolio Metrics

Turnover
+5.9%
vs prior filed quarter
Top-10 Concentration
+81.7%
share of reported value
Largest Position
+36.4%
Vanguard Index Fds
New / Exited
1 / 24
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: 76.3%Common Stock: 15.0%US DOMESTIC: 8.3%ADR: 0.2%Closed-End Fund: 0.2%
  • ETP · 76.3% · $190M
  • Common Stock · 15.0% · $38M
  • US DOMESTIC · 8.3% · $21M
  • ADR · 0.2% · $455,000
  • Closed-End Fund · 0.2% · $385,000

Quarter-over-Quarter Changes full breakdown →

vs Q4 2022 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
ANGLVANECK ETF TRUSTNEW+36.0K36.0K+$1M$1M
MRKMERCK & CO INCSOLD OUT−5.3K0−$583,000$0
CVXCHEVRON CORP NEWSOLD OUT−2.9K0−$521,000$0
METMETLIFE INCSOLD OUT−6.6K0−$478,000$0
MCHPMICROCHIP TECHNOLOGY INC.SOLD OUT−6.6K0−$462,000$0
CVSCVS HEALTH CORPSOLD OUT−4.0K0−$373,000$0
ALBALBEMARLE CORPSOLD OUT−1.7K0−$365,000$0
BKRBAKER HUGHES COMPANYSOLD OUT−12.0K0−$354,000$0

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

Holdings — Q1 2023

77 positions (from 96 filing rows — )
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1VTIVANGUARD INDEX FDSTOTAL STK MKT · S&P 500 ETF SHS · GROWTH ETF · MID CAP ETF · MCAP GR IDXVIP · SMALL CP ETF36.40%$91M419.0K
2IGSBISHARES TRISHS 1-5YR INVS · CORE S&P500 ETF · IBOXX INV CP ETF · ESG AWR MSCI USA · IBOXX HI YD ETF · CORE S&P MCP ETF · SELECT DIVID ETF · RUSSELL 3000 ETF · CORE S&P SCP ETF · CORE S&P TTL STK · RUSSELL 2000 ETF · MSCI EAFE ETF · RUS MID CAP ETF15.81%$39M475.0K
3VYMVANGUARD WHITEHALL FDShistory →HIGH DIV YLD10.05%$25M237.7K
4HOPE BANCORP INCNOTE 2.000% 5/18.34%$21M21.51M
5SRLNSSGA ACTIVE ETF TRhistory →BLACKSTONE SENR2.87%$7M172.5K
6VEAVANGUARD TAX-MANAGED FDShistory →VAN FTSE DEV MKT2.45%$6M135.5K
7VWOVANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF · ALLWRLD EX US1.67%$4M99.5K
8JAAAJANUS DETROIT STR TRhistory →HENDRSON AAA CL1.58%$4M79.6K
9VCSHVANGUARD SCOTTSDALE FDShistory →SHRT TRM CORP BD1.45%$4M47.3K
10SCHDSCHWAB STRATEGIC TRhistory →US DIVIDEND EQ1.08%$3M36.8K
11SPYSPDR S&P 500 ETF TRTR UNIT0.92%$2M5.6K
12MSFTMICROSOFT CORPCOM0.82%$2M7.1K
13GOOGALPHABET INCCAP STK CL C · CAP STK CL A0.69%$2M16.6K
14AAPLAPPLE INCCOM0.66%$2M10.0K
15QQQINVESCO QQQ TRUNIT SER 10.58%$1M4.5K
16BRK/ABERKSHIRE HATHAWAY INC DELCL A0.56%$1M3
17WFCWELLS FARGO CO NEWPERP PFD CNV A0.51%$1M1.1K
18MCDMCDONALDS CORPCOM0.50%$1M4.5K
19AVGOBROADCOM INCCOM0.48%$1M1.8K
20ANGLVANECK ETF TRUSTFALLEN ANGEL HG0.40%$1M36.0K
21ESGVVANGUARD WORLD FDESG US STK ETF0.40%$993,00013.8K
22KOCOCA COLA COCOM0.36%$908,00014.6K
23ADPAUTOMATIC DATA PROCESSING INCOM0.36%$891,0004.0K
24CMICUMMINS INCCOM0.35%$883,0003.7K
25TRVTRAVELERS COMPANIES INCCOM0.35%$878,0005.1K
26UPSUNITED PARCEL SERVICE INCCL B0.34%$842,0004.3K
27PEPPEPSICO INCCOM0.32%$806,0004.4K
28RTXRAYTHEON TECHNOLOGIES CORPCOM0.32%$800,0008.2K
29KMBKIMBERLY-CLARK CORPCOM0.32%$795,0005.9K
30GDGENERAL DYNAMICS CORPCOM0.32%$788,0003.5K
31MDLZMONDELEZ INTL INCCL A0.31%$778,00011.2K
32AMPAMERIPRISE FINL INCCOM0.31%$777,0002.5K
33JNJJOHNSON & JOHNSONCOM0.30%$756,0004.9K
34AMGNAMGEN INCCOM0.30%$742,0003.1K
35APDAIR PRODS & CHEMS INCCOM0.30%$737,0002.6K
36CSCOCISCO SYS INCCOM0.29%$729,00013.9K
37PFEPFIZER INCCOM0.29%$726,00017.8K
38ITWILLINOIS TOOL WKS INCCOM0.29%$723,0003.0K
39PGPROCTER AND GAMBLE COCOM0.29%$723,0004.9K
40HPQHP INCCOM0.27%$683,00023.3K
41TXNTEXAS INSTRS INCCOM0.27%$674,0003.6K
42CLCOLGATE PALMOLIVE COCOM0.27%$667,0008.9K
43PMPHILIP MORRIS INTL INCCOM0.26%$653,0006.7K
44UNPUNION PAC CORPCOM0.26%$643,0003.2K
45FFORD MTR CO DELCOM0.25%$630,00050.0K
46HDHOME DEPOT INCCOM0.25%$626,0002.1K
47QCOMQUALCOMM INCCOM0.24%$602,0004.7K
48MTBM & T BK CORPCOM0.24%$591,0004.9K
49XLFSELECT SECTOR SPDR TRFINANCIAL0.23%$579,00018.0K
50AMZNAMAZON COM INCCOM0.23%$567,0005.5K
51JPMJPMORGAN CHASE & COCOM0.23%$564,0004.3K
52TSNTYSON FOODS INCCL A0.21%$523,0008.8K
53BACBANK AMERICA CORPCOM0.19%$474,00016.6K
54UNHUNITEDHEALTH GROUP INCCOM0.19%$464,000981
55PNCPNC FINL SVCS GROUP INCCOM0.18%$460,0003.6K
56BPBP PLCSPONSORED ADR0.18%$455,00012.0K
57EMXCISHARES INCMSCI EMRG CHN0.18%$443,0009.0K
58MPCMARATHON PETE CORPCOM0.14%$337,0002.5K
59GILDGILEAD SCIENCES INCCOM0.13%$316,0003.8K
60CATCATERPILLAR INCCOM0.12%$300,0001.3K
61TSLATESLA INCCOM0.12%$295,0001.4K
62BMYBRISTOL-MYERS SQUIBB COCOM0.12%$287,0004.1K
63MAMASTERCARD INCORPORATEDCL A0.11%$283,000780
64BLACKROCK INCCOM0.11%$280,000418
65VALVALARIS LIMITEDCL A0.10%$247,0003.8K
66BSVVANGUARD BD INDEX FDSSHORT TRM BOND0.10%$240,0003.1K
67TGTTARGET CORPCOM0.10%$237,0001.4K
68DHRDANAHER CORPORATIONCOM0.10%$237,000940
69SDYSPDR SER TRS&P DIVID ETF0.09%$235,0001.9K
70VLOVALERO ENERGY CORPCOM0.09%$228,0001.6K
71MRSHMARSH & MCLENNAN COS INCCOM0.09%$227,0001.4K
72ABTABBOTT LABSCOM0.09%$222,0002.2K
73COSTCOSTCO WHSL CORP NEWCOM0.08%$209,000420
74VFCV F CORPCOM0.08%$207,0009.1K
75EFTEATON VANCE FLTING RATE INCCOM0.06%$150,00013.0K
76PFNPIMCO INCOME STRATEGY FD IICOM0.05%$125,00017.5K
77VVRINVESCO SR INCOME TRCOM0.04%$110,00030.0K

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.

  • ZAZOVE ASSOCIATES LLC
  • Muzinich & Co., Inc.
  • Mariner, LLC
  • 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 ↗.