CIK: 0001706915
Total reported value
$195.7M
Reporting period: 2026-03-31 · Number of holdings: 80
AUA CAPITAL MANAGEMENT, LLC disclosed 80 holdings in its latest 13F filing for the period ending 2026-03-31, with total reported value of $195.7M and a quarterly turnover rate of 9.3%.
Browse other institutions with $100M to $1B AUMBrowse other institutions starting with "A"
Aua Capital Management, LLC's disclosed holdings carry a Herfindahl concentration index of 0.096 — mathematically equivalent to about 10 equally-sized positions, well below its 80 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 2.60), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 23% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Trim SPY
-0.4% -$2.9M
Add AGG
+63.1% $1.5M
Add MO
0.0% $769.4K
Add MUB
+13.0% $734.8K
Trim MSFT
0.0% -$902.9K
Add VTV
+12.0% $657.7K
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 28.00% | -0.95% | -0.42% | |
| 2 | EFA | Ishares Msci Eafe ETF | ETF-Other | 5.85% | +0.35% | +3.17% | |
| 3 | AAPL | Apple INC | Stock-Tech | 4.76% | -0.25% | — | |
| 4 | AMZN | Amazon.com INC | Stock-Consumer Disc | 3.73% | -0.32% | — | |
| 5 | SUB | Ishares Short-term National | ETF-Other | 3.67% | — | — | |
| 6 | MUB | Ishares National Muni Bond E | ETF-Other | 3.50% | +0.43% | +13.02% | |
| 7 | MO | Altria Group INC | Stock-Consumer Staples | 3.11% | +0.44% | — | |
| 8 | IWM | Ishares Russell 2000 ETF | ETF-Small Cap | 2.65% | +0.16% | +3.85% | |
| 9 | VTV | Vanguard Value ETF | ETF-Other | 2.56% | +0.37% | +12.03% | |
| 10 | SHM | Ss Spdr N Ice St Muni ETF | ETF-Other | 2.46% | +0.02% | -1.03% | |
| 11 | GOOG | Alphabet Inc-cl C | Stock-Comm Services | 2.22% | -0.17% | — | |
| 12 | SHY | Ishares 1-3 Year Treasury Bo | ETF-Gov Bonds | 2.18% | -0.03% | -2.59% | |
| 13 | AGG | Ishares Core U.s. Aggregate | ETF-Other | 2.04% | +0.80% | +63.15% | |
| 14 | XLK | Ss Technology Select Sector | ETF-Tech | 2.03% | -0.15% | -0.65% | |
| 15 | IJH | Ishares Core S&p Midcap ETF | ETF-Other | 1.90% | +0.07% | — | |
| 16 | META | Meta Platforms Inc-class A | Stock-Comm Services | 1.83% | -0.24% | — | |
| 17 | GLD | Spdr Gold Shares | ETF-Commodities | 1.72% | +0.16% | — | |
| 18 | MSFT | Microsoft CORP | Stock-Tech | 1.51% | -0.42% | — | |
| 19 | BSV | Vanguard Short-term Bond ETF | ETF-Other | 1.29% | — | -1.61% | |
| 20 | IJR | Ishares Core S&p Small-cap E | ETF-Small Cap | 1.23% | +0.06% | — | |
| 21 | VEA | Vanguard Ftse Developed ETF | ETF-Other | 1.18% | +0.05% | — | |
| 22 | IEI | Ishares 3-7 Year Treasury Bo | ETF-Gov Bonds | 1.18% | +0.24% | +22.94% | |
| 23 | VCSH | Vanguard S/t CORP Bond ETF | ETF-Corp Bonds | 1.14% | — | -0.37% | |
| 24 | MA | Mastercard INC - A | Stock-Financials | 1.03% | -0.12% | — | |
| 25 | GS | Goldman Sachs Group INC | Stock-Financials | 0.96% | -0.02% | — | |
| 26 | IYH | Ishares U.s. Healthcare ETF | ETF-Other | 0.92% | -0.05% | -1.26% | |
| 27 | VXF | Vanguard Extended Market ETF | ETF-Other | 0.82% | — | — | |
| 28 | VUG | Vanguard Growth ETF | ETF-Other | 0.81% | -0.08% | — | |
| 29 | JPM | Jpmorgan Chase & Co | Stock-Financials | 0.74% | -0.05% | — | |
| 30 | VIG | Vanguard Dividend Apprec ETF | ETF-Other | 0.72% | — | — | |
| 31 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 0.72% | -0.05% | — | |
| 32 | UL | Unilever Plc-sponsored Adr | Stock-Consumer Staples | 0.57% | -0.07% | — | |
| 33 | BND | Vanguard Total Bond Market | ETF-Other | 0.44% | — | — | |
| 34 | CAT | Caterpillar INC | Stock-Industrials | 0.42% | +0.08% | — | |
| 35 | CVX | Chevron CORP | Stock-Energy | 0.41% | +0.11% | — | |
| 36 | ETN | Eaton Corporation plc | Stock-Industrials | 0.41% | +0.05% | — | |
| 37 | WMT | Walmart INC | Stock-Consumer Staples | 0.39% | +0.05% | — | |
| 38 | BRK-B | Berkshire Hathaway Inc-cl B | Stock-Other | 0.38% | — | — | |
| 39 | COST | Costco Wholesale CORP | Stock-Consumer Staples | 0.38% | +0.06% | — | |
| 40 | AXP | American Express Co | Stock-Financials | 0.37% | -0.08% | — | |
| 41 | HD | Home Depot INC | Stock-Consumer Disc | 0.37% | — | — | |
| 42 | VCIT | Vanguard Int-term Corporate | ETF-Corp Bonds | 0.33% | -0.12% | -28.27% | |
| 43 | SYK | Stryker CORP | Stock-Healthcare | 0.32% | — | — | |
| 44 | KHC | Kraft Heinz Co/the | Stock-Consumer Staples | 0.31% | — | — | |
| 45 | ABBV | Abbvie INC | Stock-Healthcare | 0.30% | — | — | |
| 46 | JNJ | Johnson & Johnson | Stock-Healthcare | 0.30% | +0.05% | — | |
| 47 | EEM | Ishares Msci Emerging Market | ETF-Emerging Markets | 0.27% | — | — | |
| 48 | VLO | Valero Energy CORP | Stock-Energy | 0.26% | +0.08% | -6.43% | |
| 49 | BSX | Boston Scientific CORP | Stock-Healthcare | 0.24% | -0.12% | — | |
| 50 | VWO | Vanguard Ftse Emerging Marke | ETF-Emerging Markets | 0.24% | — | +13.17% |
Performance for Q3 2026
+3.2%
Performance Last 4 Quarters
+18%
Based on 88% of reported portfolio value with available pricing
| Period | Holdings | Total value | Stability | Top holdings |
|---|---|---|---|---|
| 2026-03-31 | 80 | $195.7M | 9 | |
| 2025-12-31 | 80 | $199.4M | 13 | |
| 2025-09-30 | 77 | $178.2M | 16 | |
| 2025-06-30 | 76 | $167.4M | 0 | |
| 2025-03-31 | 77 | $153.6M | 100 | |
| 2024-12-31 | 77 | $155.8M | 0 | |
| 2024-09-30 | 82 | $172.7M | 0 | |
| 2024-06-30 | 79 | $166.1M | 0 | |
| 2024-03-31 | 90 | $173.5M | 0 | |
| 2023-12-31 | 81 | $160.7M | 0 | |
| 2023-09-30 | 76 | $138.2M | 0 | |
| 2023-06-30 | 80 | $145.2M | 0 | |
| 2023-03-31 | 88 | $148.0M | 0 | |
| 2022-12-31 | 352 | $147.2M | 0 | |
| 2022-09-30 | 367 | $151.4M | 0 | |
| 2022-06-30 | 379 | $172.2M | 0 | |
| 2022-03-31 | 379 | $186.0M | 0 | |
| 2021-12-31 | 359 | $170.4M | 0 | |
| 2021-09-30 | 356 | $158.0M | 0 | |
| 2021-06-30 | 346 | $161.7M | 97 | |
| 2021-03-31 | 362 | $152.1M | 10 | |
| 2020-12-31 | 367 | $140.1M | 16 | |
| 2020-09-30 | 365 | $120.0M | 19 | |
| 2020-06-30 | 175 | $100.0M | 12 | |
| 2020-03-31 | 239 | $105.5M | 17 | |
| 2019-12-31 | 238 | $121.5M | 10 | |
| 2019-09-30 | 244 | $124.4M | 3 | |
| 2019-06-30 | 244 | $124.6M | 5 | |
| 2019-03-31 | 238 | $120.0M | 9 | |
| 2018-12-31 | 238 | $109.8M | 15 | |
| 2018-09-30 | 237 | $126.5M | 15 | |
| 2018-06-30 | 236 | $114.6M | 10 | |
| 2018-03-31 | 258 | $117.8M | 20 | |
| 2017-12-31 | 240 | $111.1M | 8 | |
| 2017-09-30 | 236 | $108.8M | 10 | |
| 2017-06-30 | 240 | $111.3M | 32 | |
| 2017-03-31 | 223 | $100.0M | 56 | |
| 2016-12-31 | 240 | $104.7M | 0 |
Aua Capital Management, LLC's most significant position changes for 2026-03-31: Sold out: Tmc THE Metals Co INC (TMC); New buy: Exxon Mobil CORP (XOM); New buy: Jpmorgan Ultra-short Income (JPST); New buy: Coca-cola Co/the (KO); Sold out: Mondelez International Inc-a (MDLZ).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | AGG | Ishares Core U.s. Aggregate | +0.8% | +63.15% | Add |
| 2 | MO | Altria Group INC | +0.4% | — | Unchanged |
| 3 | MUB | Ishares National Muni Bond E | +0.4% | +13.02% | Add |
| 4 | VTV | Vanguard Value ETF | +0.4% | +12.03% | Add |
| 5 | EFA | Ishares Msci Eafe ETF | +0.4% | +3.17% | Add |
| 6 | IEI | Ishares 3-7 Year Treasury Bo | +0.2% | +22.94% | Add |
| 7 | GLD | Spdr Gold Shares | +0.2% | — | Unchanged |
| 8 | IWM | Ishares Russell 2000 ETF | +0.2% | +3.85% | Add |
| 9 | CVX | Chevron CORP | +0.1% | — | Unchanged |
| 10 | CAT | Caterpillar INC | +0.1% | — | Unchanged |
| 11 | VLO | Valero Energy CORP | +0.1% | -6.43% | Trim |
| 12 | IJH | Ishares Core S&p Midcap ETF | +0.1% | — | Unchanged |
| 13 | COST | Costco Wholesale CORP | +0.1% | — | Unchanged |
| 14 | IJR | Ishares Core S&p Small-cap E | +0.1% | — | Unchanged |
| 15 | JNJ | Johnson & Johnson | +0.1% | — | Unchanged |
| 16 | ETN | Eaton Corporation plc | +0.1% | — | Unchanged |
| 17 | WMT | Walmart INC | +0.1% | — | Unchanged |
| 18 | VEA | Vanguard Ftse Developed ETF | +0.1% | — | Unchanged |
| 19 | EOG | Eog Resources INC | 0% | — | Unchanged |
| 20 | DBC | Invesco Db Commodity Index T | 0% | — | Unchanged |
| 21 | LMT | Lockheed Martin CORP | 0% | — | Unchanged |
| 22 | SHM | Ss Spdr N Ice St Muni ETF | 0% | -1.03% | Trim |
| 23 | GS | Goldman Sachs Group INC | 0% | — | Unchanged |
| 24 | SHY | Ishares 1-3 Year Treasury Bo | 0% | -2.59% | Trim |
| 25 | IBIT | Ishares Bitcoin Trust ETF | 0% | — | Unchanged |
| 26 | HYG | Ishr Ibx Usd Hiyld Cb Etf-ui | 0% | -11.45% | Trim |
| 27 | JPM | Jpmorgan Chase & Co | -0.1% | — | Unchanged |
| 28 | IYH | Ishares U.s. Healthcare ETF | -0.1% | -1.26% | Trim |
| 29 | GOOGL | Alphabet Inc-cl A | -0.1% | — | Unchanged |
| 30 | ACN | Accenture plc | -0.1% | — | Unchanged |
| 31 | ARCC | Ares Capital CORP | -0.1% | -15.20% | Trim |
| 32 | UL | Unilever Plc-sponsored Adr | -0.1% | — | Unchanged |
| 33 | VUG | Vanguard Growth ETF | -0.1% | — | Unchanged |
| 34 | AXP | American Express Co | -0.1% | — | Unchanged |
| 35 | MA | Mastercard INC - A | -0.1% | — | Unchanged |
| 36 | VCIT | Vanguard Int-term Corporate | -0.1% | -28.27% | Trim |
| 37 | BSX | Boston Scientific CORP | -0.1% | — | Unchanged |
| 38 | XLK | Ss Technology Select Sector | -0.2% | -0.65% | Trim |
| 39 | GOOG | Alphabet Inc-cl C | -0.2% | — | Unchanged |
| 40 | META | Meta Platforms Inc-class A | -0.2% | — | Unchanged |
| 41 | AAPL | Apple INC | -0.3% | — | Unchanged |
| 42 | AMZN | Amazon.com INC | -0.3% | — | Unchanged |
| 43 | MSFT | Microsoft CORP | -0.4% | — | Unchanged |
| 44 | SPY | Ss Spdr S&p 500 ETF Trust-us | -1% | -0.42% | Trim |
| 45 | TMC | Tmc THE Metals Co INC | — | EXIT | Sold out |
| 46 | XOM | Exxon Mobil CORP | — | NEW | New buy |
| 47 | JPST | Jpmorgan Ultra-short Income | — | NEW | New buy |
| 48 | KO | Coca-cola Co/the | — | NEW | New buy |
| 49 | MDLZ | Mondelez International Inc-a | — | EXIT | Sold out |
| 50 | WFC | Wells Fargo & Co | — | EXIT | Sold out |
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2026-03-31 | 2026-04-22 | 13F-HR | View on EDGAR |
| 2025-12-31 | 2026-01-23 | 13F-HR | View on EDGAR |
| 2025-09-30 | 2025-11-04 | 13F-HR | View on EDGAR |
| 2025-06-30 | 2025-07-10 | 13F-HR | View on EDGAR |
| 2025-03-31 | 2025-04-09 | 13F-HR | View on EDGAR |
| 2024-12-31 | 2025-01-27 | 13F-HR | View on EDGAR |
| 2024-09-30 | 2024-10-16 | 13F-HR | View on EDGAR |
| 2024-06-30 | 2024-08-08 | 13F-HR | View on EDGAR |
| 2024-03-31 | 2024-04-11 | 13F-HR | View on EDGAR |
| 2023-12-31 | 2024-01-09 | 13F-HR | View on EDGAR |
| 2023-09-30 | 2023-10-23 | 13F-HR | View on EDGAR |
| 2023-06-30 | 2023-07-11 | 13F-HR | View on EDGAR |
| 2023-03-31 | 2023-04-20 | 13F-HR | View on EDGAR |
| 2022-12-31 | 2023-02-14 | 13F-HR | View on EDGAR |
| 2022-09-30 | 2022-11-09 | 13F-HR | View on EDGAR |
| 2022-06-30 | 2022-08-11 | 13F-HR | View on EDGAR |
| 2022-03-31 | 2022-05-04 | 13F-HR | View on EDGAR |
| 2021-12-31 | 2022-02-11 | 13F-HR | View on EDGAR |
| 2021-09-30 | 2021-11-09 | 13F-HR | View on EDGAR |
| 2021-06-30 | 2021-07-29 | 13F-HR | View on EDGAR |
| 2021-03-31 | 2021-05-11 | Amendment | View on EDGAR |
| 2021-03-31 | 2021-05-05 | 13F-HR | View on EDGAR |
| 2020-12-31 | 2021-02-09 | 13F-HR | View on EDGAR |
| 2020-09-30 | 2020-11-12 | 13F-HR | View on EDGAR |
| 2020-06-30 | 2020-07-13 | 13F-HR | View on EDGAR |
| 2020-03-31 | 2020-04-22 | 13F-HR | View on EDGAR |
| 2019-12-31 | 2020-01-10 | 13F-HR | View on EDGAR |
| 2019-09-30 | 2019-10-24 | 13F-HR | View on EDGAR |
| 2019-06-30 | 2019-08-14 | 13F-HR | View on EDGAR |
| 2019-03-31 | 2019-05-14 | 13F-HR | View on EDGAR |
| 2018-12-31 | 2019-01-31 | 13F-HR | View on EDGAR |
| 2018-09-30 | 2018-10-30 | 13F-HR | View on EDGAR |
| 2018-06-30 | 2018-07-10 | 13F-HR | View on EDGAR |
| 2018-03-31 | 2018-05-15 | 13F-HR | View on EDGAR |
| 2017-12-31 | 2018-02-06 | 13F-HR | View on EDGAR |
| 2017-09-30 | 2017-10-20 | 13F-HR | View on EDGAR |
| 2017-06-30 | 2017-07-26 | 13F-HR | View on EDGAR |
| 2017-03-31 | 2017-06-05 | 13F-HR | View on EDGAR |
| 2016-12-31 | 2017-06-05 | 13F-HR | View on EDGAR |
Institutions with a similar AUM
CIK 0002128338
Total reported value
$195.7M
31 stks
2026-03-31
AUM within 0.0% of this institution
CIK 0002033031
Total reported value
$195.8M
13 stks
2026-03-31
AUM within 0.0% of this institution
CIK 0001091923
Total reported value
$195.8M
80 stks
2026-03-31
AUM within 0.1% of this institution
Institutions with overlapping top holdings
CIK 0000014745
Total reported value
$400.4M
1,021 stks
2026-03-31
3 of the top 5 holdings overlap, including Ss Spdr S&p 500 ETF Trust-us
CIK 0000036966
Total reported value
$2.4B
2,094 stks
2026-03-31
3 of the top 5 holdings overlap, including Ss Spdr S&p 500 ETF Trust-us
CIK 0000059951
Total reported value
$850.7M
366 stks
2022-12-31
Stale — no recent filing
3 of the top 5 holdings overlap, including Apple INC