SEC 13F Intelligence

Managers / Q4 2023 · view latest →

Asset Allocation & Management Company, LLC

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

Reported Value
$149M
Q4 2023
Positions
49
Filings on Record
26
2020–present window
Filed
Feb 9, 2024
original filing

Summary

Asset Allocation & Management Company, LLC reported $149M in U.S.-listed holdings across 49 positions for Q4 2023.

The portfolio is heavily concentrated: VTI alone accounts for 41.4% of reported value.

Compared with Q3 2023, the fund opened 5 new positions and exited 6.

Portfolio Metrics

Turnover
+13.3%
vs prior filed quarter
Top-10 Concentration
+91.2%
share of reported value
Largest Position
+41.4%
Vanguard Index Fds
New / Exited
5 / 6
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: 94.6%Common Stock: 4.2%ADR: 0.9%Closed-End Fund: 0.3%
  • ETP · 94.6% · $141M
  • Common Stock · 4.2% · $6M
  • ADR · 0.9% · $1M
  • Closed-End Fund · 0.3% · $413,000

Quarter-over-Quarter Changes full breakdown →

vs Q3 2023 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
SPDR SER TRNEW+294.4K294.4K+$7M$7M
FALNISHARES TRNEW+39.0K39.0K+$1M$1M
CXCEMEX SAB DE CVNEW+120.5K120.5K+$934,000$934,000
NODKNI HLDGS INCNEW+21.6K21.6K+$280,000$280,000
TGTTARGET CORPNEW+1.4K1.4K+$204,000$204,000
BKLNINVESCO EXCH TRADED FD TR IISOLD OUT−307.4K0−$6M$0
AGGISHARES TRSOLD OUT−44.0K0−$4M$0
JAAAJANUS DETROIT STR TRSOLD OUT−79.6K0−$4M$0

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

Holdings — Q4 2023

30 positions (from 49 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 ETF41.40%$62M234.1K
2IVVISHARES TRCORE S&P500 ETF · IBOXX INV CP ETF · ESG AWR MSCI USA · ISHS 1-5YR INVS · IBOXX HI YD ETF · CORE S&P MCP ETF · SELECT DIVID ETF · FALN ANGLS USD · RUSSELL 3000 ETF · PFD AND INCM SEC · CORE S&P SCP ETF · CORE S&P TTL STK · RUSSELL 2000 ETF · MSCI EAFE ETF18.78%$28M265.7K
3VYMVANGUARD WHITEHALL FDShistory →HIGH DIV YLD8.67%$13M116.0K
4SRLNSSGA ACTIVE ETF TRhistory →BLACKSTONE SENR5.49%$8M195.6K
5SDYSPDR SER TRPORTFLI HIGH YLD · S&P DIVID ETF4.77%$7M296.3K
6VEAVANGUARD TAX-MANAGED FDShistory →VAN FTSE DEV MKT4.03%$6M125.7K
7VCSHVANGUARD SCOTTSDALE FDShistory →SHRT TRM CORP BD2.26%$3M43.7K
8VWOVANGUARD INTL EQUITY INDEX Fhistory →FTSE EMR MKT ETF2.21%$3M80.2K
9SCHDSCHWAB STRATEGIC TRhistory →US DIVIDEND EQ1.88%$3M36.8K
10SPYSPDR S&P 500 ETF TRhistory →TR UNIT1.76%$3M5.5K
11RSPINVESCO EXCHANGE TRADED FD Thistory →S&P500 EQL WGT1.21%$2M11.5K
12QQQINVESCO QQQ TRhistory →UNIT SER 11.11%$2M4.0K
13BRK/ABERKSHIRE HATHAWAY INC DELhistory →CL A1.09%$2M3
14WFCWELLS FARGO CO NEWPERP PFD CNV A0.88%$1M1.1K
15GOOGLALPHABET INCCAP STK CL A0.63%$947,0006.8K
16CXCEMEX SAB DE CVSPON ADR NEW0.63%$934,000120.5K
17FTSLFIRST TR EXCHANGE-TRADED FDSENIOR LN FD0.52%$783,00017.0K
18FFORD MTR CO DELCOM0.41%$610,00050.0K
19AVGOBROADCOM INCCOM0.34%$510,000457
20EMXCISHARES INCMSCI EMRG CHN0.33%$497,0009.0K
21BPBP PLCSPONSORED ADR0.28%$425,00012.0K
22MPCMARATHON PETE CORPCOM0.25%$371,0002.5K
23NODKNI HLDGS INCCOM0.19%$280,00021.6K
24VALVALARIS LTDCL A0.17%$260,0003.8K
25BSVVANGUARD BD INDEX FDSSHORT TRM BOND0.16%$242,0003.1K
26VLOVALERO ENERGY CORPCOM0.14%$212,0001.6K
27TGTTARGET CORPCOM0.14%$204,0001.4K
28EFTEATON VANCE FLTING RATE INCCOM0.11%$163,00013.0K
29PFNPIMCO INCOME STRATEGY FD IICOM0.09%$127,00017.5K
30VVRINVESCO SR INCOME TRCOM0.08%$123,00030.0K

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
  • 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 ↗.