13F-HR filed by AUA CAPITAL MANAGEMENT, LLC
AUA CAPITAL MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-10-30, with 186 holding rows worth $126,512,000.
- Accession
- 0001398344-18-015594
- Filer
- CIK 1706915
- Filed
- 2018-10-30
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 237 entries on the cover page, a total value of $126,512,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $126,506,000 with VALUE read as thousands by filing date, 13F file number 028-18088. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBANK OF AMERICA CORP /DE/
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 121,996 | $35,467,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 174,028 | $11,832,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 130,327 | $6,215,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 55,726 | $6,015,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 65,718 | $5,461,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 45,239 | $3,530,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 38,584 | $3,016,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 68,659 | $2,971,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 15,864 | $2,674,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,200 | $2,403,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 18,758 | $2,234,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 22,426 | $1,956,000 | thousands by filing date | |
| IJH | 464287507 | COM | 9,593 | $1,931,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 18,697 | $1,892,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 16,819 | $1,775,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 14,252 | $1,607,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 18,290 | $1,528,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 13,432 | $1,487,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 6,310 | $1,424,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 6,383 | $1,295,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 10,095 | $1,238,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 16,342 | $1,231,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 13,669 | $1,182,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 13,823 | $1,088,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 3,450 | $768,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 16,473 | $707,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 3,034 | $628,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 525 | $626,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 2,779 | $623,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 9,500 | $573,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 10,328 | $503,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 4,241 | $483,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 12,500 | $481,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 5,351 | $466,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 2,580 | $458,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 3,280 | $453,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 9,468 | $441,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 3,825 | $432,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 3,700 | $423,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 7,852 | $412,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 7,520 | $401,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 4,500 | $395,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 1,825 | $390,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,403 | $366,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 2,746 | $350,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 2,110 | $347,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 279 | $337,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 2,025 | $337,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 2,817 | $329,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 6,680 | $325,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 2,893 | $323,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 7,300 | $322,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 3,000 | $320,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 3,722 | $316,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 1,985 | $311,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 1,783 | $303,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 2,080 | $303,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 2,050 | $287,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 3,011 | $285,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 3,637 | $266,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 750 | $259,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 2,900 | $251,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 5,250 | $248,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 3,720 | $240,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 3,735 | $240,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 2,100 | $235,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 2,890 | $233,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 4,387 | $232,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 2,100 | $228,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,087 | $223,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 1,420 | $216,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 1,421 | $214,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 3,160 | $214,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 2,450 | $210,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 2,646 | $208,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 3,775 | $204,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 975 | $202,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 1,340 | $201,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 2,400 | $200,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 3,000 | $192,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 2,525 | $191,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 3,090 | $188,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 750 | $176,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 1,500 | $175,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 1,884 | $169,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 1,252 | $167,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 1,625 | $153,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 2,437 | $151,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 411 | $147,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 1,200 | $146,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 2,030 | $144,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 3,340 | $144,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 3,000 | $139,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 815 | $136,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 2,251 | $128,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 4,596 | $127,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 3,664 | $125,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 445 | $118,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 1,760 | $118,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 226 | $103,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 670 | $99,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 600 | $91,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 539 | $90,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 750 | $89,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 187 | $88,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 920 | $85,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 719 | $85,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 368 | $81,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 350 | $79,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 1,500 | $78,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 920 | $78,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 2,050 | $72,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 1,161 | $70,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 675 | $66,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 743 | $65,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 600 | $64,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 1,250 | $64,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 500 | $54,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 170 | $54,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 255 | $54,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 980 | $50,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 300 | $49,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 220 | $45,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 1,250 | $44,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 1,950 | $39,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 450 | $37,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 600 | $33,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 1,500 | $32,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 1,350 | $32,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 1,250 | $31,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 885 | $30,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 125 | $30,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 327 | $25,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 2,225 | $25,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 1,880 | $25,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 449 | $24,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 700 | $23,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 475 | $22,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 150 | $20,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES BRITISH | 46138m109 | INDX FD | 150 | $19,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 2,044 | $18,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 241 | $18,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 6,534 | $18,000 | thousands by filing date | |
| LENNOX INTL INC COM | 526107107 | Stock | 79 | $17,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 147 | $17,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 175 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 201 | $16,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 90 | $15,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 147 | $15,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 310 | $14,000 | thousands by filing date | |
| NUTRIEN LTD COM | 67077M108 | Stock | 247 | $14,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 1,000 | $14,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 1,600 | $14,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 500 | $14,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 391 | $13,000 | thousands by filing date | |
| ARROW ELECTRS INC | 042735100 | COM | 181 | $13,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 181 | $12,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 500 | $12,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 230 | $11,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 551 | $11,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 1,000 | $11,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 90 | $10,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 214 | $10,000 | thousands by filing date | |
| VERSUM MATLS INC | 92532W103 | COM | 269 | $10,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 1,500 | $10,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 1,781 | $9,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 100 | $8,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 166 | $8,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 98 | $8,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 200 | $8,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 209 | $7,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 500 | $7,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 2,500 | $7,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 120 | $6,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 75 | $6,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 80 | $5,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 50 | $2,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 49 | $1,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 4 | $1,000 | thousands by filing date | |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 15 | $1,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 20 | $1,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| M & T BK CORP COM | 55261F104 | Stock | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EATON VANCE CORP | 278265103 | COM NON VTG | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LENNAR CORP CL B | 526057302 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001398344-18-015594 | this filing | 2018-10-30 | acceptance time not in the bulk data set |