DOSSIER · 13F-HR · Q3 2026

AUA CAPITAL MANAGEMENT, LLC

$211M in tracked AUM across 80 positions as of Q3 2026.

AC
CIK 0001706915 · last filed Sep 30, 2026
Total AUM
$211M
as of Q3 2026
Holdings
80
—
positions
Whale Score
62
62
tracked
Activity
—
no data
changes this Q
AI Analysis · Q3 2026
Comprehensive Analysis of SEC 13F Filing: AUA CAPITAL MANAGEMENT, LLC
1. Portfolio Overview

AUA Capital Management, LLC has reported a significant expansion in its portfolio size and a strategic overhaul of its asset allocation for the period ending December 31, 2025. The total portfolio value surged by 110.2%, growing from approximately $94.86 million to $199.40 million. This doubling of assets under management (AUM) suggests substantial capital inflows or the realization...

The portfolio now comprises 80 holdings, reflecting a diversified approach. The structure indicates a transition from a potentially more concentrated or specialized strategy to a broader, "core-satellite" architecture. The heavy reliance on ETFs (nearly 67% of the portfolio) suggests a focus on beta generation and broad market exposure, while the individual equity positions are concentrated in high-conviction mega-cap names. The massive quarterly turnover—evidenced by 32 new positions and 13 exits—signals a deliberate pivot in the firm’s investment mandate or risk management approach.

2. Key Holdings
Analysis generated by 13F Insight from SEC Form 13F filing data · Q3 2026. Methodology

Quarter at a glance — Q3 2026

Position-change comparison pending.

No quarter-over-quarter changes available.

Top 10 holdings

By portfolio weight as of Q3 2026.

#HoldingValueSharesWeight
01
SPY
STATE STR SPDR S&P 500 ETF T
$62M81K29.4%
02
AAPL
APPLE INC
$12M37K5.8%
03
EFA
ISHARES TR
$12M112K5.5%
04
AMZN
AMAZON COM INC
$9M34K4.0%
05
SUB
ISHARES TR
$7M67K3.3%
06
MO
ALTRIA GROUP INC
$6M92K2.9%
07
MUB
ISHARES TR
$6M59K2.8%
08
XLK
SELECT SECTOR SPDR TR
$6M30K2.8%
09
IWM
ISHARES TR
$6M20K2.6%
10
VTV
VANGUARD INDEX FDS
$5M25K2.5%

Filing history

2026Q3Sep 30
$211M▼ 2.1%
80 positionsView →
2026Q2Jun 30
$216M▲ 10.2%
84 positionsView →
2026Q1Mar 31
$196M▼ 1.8%
80 positionsView →
2025Q4Dec 31
$199M▲ 11.9%
80 positionsView →
2025Q3Sep 30
$178M▲ 6.4%
77 positionsLocked
2025Q2Jun 30
$167M▲ 9.0%
76 positionsLocked
2025Q1Mar 31
$154M▼ 1.4%
77 positionsLocked
2024Q4Dec 31
$156M▼ 9.8%
77 positionsLocked
2024Q3Sep 30
$173M▲ 4.0%
82 positionsLocked
2024Q2Jun 30
$166M▼ 4.3%
79 positionsLocked
2024Q1Mar 31
$174M▲ 8.0%
90 positionsLocked
2023Q4Dec 31
$161M▲ 16.2%
81 positionsLocked
Showing 12 of 38