SEC 13F Intelligence

Managers / Q3 2023 · view latest →

Asset Allocation & Management Company, LLC

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

Reported Value
$167M
Q3 2023
Positions
50
Filings on Record
26
2020–present window
Filed
Oct 17, 2023
original filing

Summary

Asset Allocation & Management Company, LLC reported $167M in U.S.-listed holdings across 50 positions for Q3 2023.

The portfolio is heavily concentrated: VTI alone accounts for 32.8% of reported value.

Compared with Q2 2023, the fund opened 3 new positions and exited 17.

Portfolio Metrics

Turnover
+1.3%
vs prior filed quarter
Top-10 Concentration
+89.4%
share of reported value
Largest Position
+32.8%
Vanguard Index Fds
New / Exited
3 / 17
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: 95.3%Common Stock: 4.2%ADR: 0.3%Closed-End Fund: 0.2%
  • ETP · 95.3% · $159M
  • Common Stock · 4.2% · $7M
  • ADR · 0.3% · $465,000
  • Closed-End Fund · 0.2% · $393,000

Quarter-over-Quarter Changes full breakdown →

vs Q2 2023 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
RSPINVESCO EXCHANGE TRADED FD TNEW+11.5K11.5K+$2M$2M
VALVALARIS LTDNEW+3.8K3.8K+$284,000$284,000
VLOVALERO ENERGY CORPNEW+1.6K1.6K+$232,000$232,000
MSFTMICROSOFT CORPSOLD OUT−3.0K0−$1M$0
AAPLAPPLE INCSOLD OUT−5.3K0−$1M$0
RTXRAYTHEON TECHNOLOGIES CORPSOLD OUT−8.2K0−$800,000$0
ADPAUTOMATIC DATA PROCESSING INSOLD OUT−3.3K0−$727,000$0
AMGNAMGEN INCSOLD OUT−3.1K0−$681,000$0

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

Holdings — Q3 2023

31 positions (from 50 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 ETF32.84%$55M231.9K
2IVVISHARES TRIBOXX INV CP ETF · CORE S&P500 ETF · ISHS 1-5YR INVS · CORE US AGGBD ET · IBOXX HI YD ETF · ESG AWR MSCI USA · CORE S&P MCP ETF · SELECT DIVID ETF · RUSSELL 3000 ETF · PFD AND INCM SEC · CORE S&P SCP ETF · CORE S&P TTL STK · RUSSELL 2000 ETF · MSCI EAFE ETF22.81%$38M399.5K
3SRLNSSGA ACTIVE ETF TRhistory →BLACKSTONE SENR9.15%$15M364.7K
4VYMVANGUARD WHITEHALL FDShistory →HIGH DIV YLD7.18%$12M116.0K
5FTSLFIRST TR EXCHANGE-TRADED FDhistory →SENIOR LN FD3.90%$7M142.4K
6BKLNINVESCO EXCH TRADED FD TR IIhistory →SR LN ETF3.86%$6M307.4K
7VEAVANGUARD TAX-MANAGED FDShistory →VAN FTSE DEV MKT3.26%$5M124.6K
8JAAAJANUS DETROIT STR TRhistory →HENDRSON AAA CL2.40%$4M79.6K
9VCSHVANGUARD SCOTTSDALE FDShistory →SHRT TRM CORP BD2.13%$4M47.3K
10VWOVANGUARD INTL EQUITY INDEX Fhistory →FTSE EMR MKT ETF1.85%$3M79.0K
11SCHDSCHWAB STRATEGIC TRhistory →US DIVIDEND EQ1.56%$3M36.8K
12SPYSPDR S&P 500 ETF TRhistory →TR UNIT1.41%$2M5.5K
13GOOGALPHABET INCCAP STK CL C · CAP STK CL A1.08%$2M13.8K
14RSPINVESCO EXCHANGE TRADED FD TS&P500 EQL WGT0.97%$2M11.5K
15BRK/ABERKSHIRE HATHAWAY INC DELCL A0.95%$2M3
16QQQINVESCO QQQ TRUNIT SER 10.87%$1M4.0K
17WFCWELLS FARGO CO NEWPERP PFD CNV A0.73%$1M1.1K
18ANGLVANECK ETF TRUSTFALLEN ANGEL HG0.58%$974,00036.0K
19FFORD MTR CO DELCOM0.37%$621,00050.0K
20BPBP PLCSPONSORED ADR0.28%$465,00012.0K
21EMXCISHARES INCMSCI EMRG CHN0.27%$447,0009.0K
22AMZNAMAZON COM INCCOM0.27%$445,0003.5K
23AVGOBROADCOM INCCOM0.23%$380,000457
24MPCMARATHON PETE CORPCOM0.23%$379,0002.5K
25VALVALARIS LTDCL A0.17%$284,0003.8K
26BSVVANGUARD BD INDEX FDSSHORT TRM BOND0.14%$236,0003.1K
27VLOVALERO ENERGY CORPCOM0.14%$232,0001.6K
28SDYSPDR SER TRS&P DIVID ETF0.13%$219,0001.9K
29EFTEATON VANCE FLTING RATE INCCOM0.10%$160,00013.0K
30VVRINVESCO SR INCOME TRCOM0.07%$118,00030.0K
31PFNPIMCO INCOME STRATEGY FD IICOM0.07%$115,00017.5K

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 ↗

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 ↗.