Asset Allocation & Management Company, LLC Diversified Active

Location: Chicago, IL

CIK: 0001498383 · Show all filings

Period: Q3 2021 (← Previous) (Next →)

Filing Date: Oct 15, 2021

Total Value: $185M (88.7% shares, 11.3% debt)

Holdings (34)

IGSB ISHARES TR 26.9%

Value $49.72M Shares 910,000 Share Price $54.64 Est. Cost/Share $53.63 Unrealized @ Report Date +1.9%

VTI VANGUARD INDEX FDS 19.4%

Value $35.88M Shares 161,586 Share Price $222.06 Est. Cost/Share $157.00 Unrealized @ Report Date +41.4%

VYM VANGUARD WHITEHALL F 11.7%

Value $21.66M Shares 209,548 Share Price $103.35 Est. Cost/Share $92.31 Unrealized @ Report Date +12.0%

— HOPE BANCORP INC 11.3%

Value $20.88M Shares 21,090,000 Share Price $0.99 Est. Cost/Share $0.99 Unrealized @ Report Date —

VOO VANGUARD INDEX FDS 4.4%

Value $8.214M Shares 20,826 Share Price $394.41 Est. Cost/Share $291.00 Unrealized @ Report Date +35.5%

IVV ISHARES TR 3.5%

Value $6.448M Shares 14,967 Share Price $430.81 Est. Cost/Share $354.35 Unrealized @ Report Date +21.6%

VEA VANGUARD TAX-MANAGED 3.0%

Value $5.512M Shares 109,176 Share Price $50.49 Est. Cost/Share $44.67 Unrealized @ Report Date +13.0%

VWO VANGUARD INTL EQUITY 2.1%

Value $3.921M Shares 78,403 Share Price $50.01 Est. Cost/Share $42.75 Unrealized @ Report Date +17.0%

VCSH VANGUARD SCOTTSDALE 2.1%

Value $3.898M Shares 47,300 Share Price $82.41 Est. Cost/Share $82.68 Unrealized @ Report Date -0.3%

VUG VANGUARD INDEX FDS 1.9%

Value $3.537M Shares 12,189 Share Price $290.18 * Est. Cost/Share $29.27 Unrealized @ Report Date +65.3%

ESGV VANGUARD WORLD FD 1.7%

Value $3.086M Shares 38,545 Share Price $80.06 Est. Cost/Share $72.42 Unrealized @ Report Date +10.6%

HYG ISHARES TR 1.3%

Value $2.436M Shares 27,845 Share Price $87.48 Est. Cost/Share $85.06 Unrealized @ Report Date +2.9%

SPY SPDR S&P 500 ETF TR 1.3%

Value $2.408M Shares 5,611 Share Price $429.16 Est. Cost/Share $345.29 Unrealized @ Report Date +24.3%

EFA ISHARES TR 1.2%

Value $2.218M Shares 28,430 Share Price $78.02 Est. Cost/Share $67.54 Unrealized @ Report Date +15.5%

VEU VANGUARD INTL EQUITY 1.0%

Value $1.87M Shares 30,678 Share Price $60.96 Est. Cost/Share $51.77 Unrealized @ Report Date +17.7%

VOT VANGUARD INDEX FDS 0.9%

Value $1.732M Shares 7,329 Share Price $236.32 Est. Cost/Share $154.26 Unrealized @ Report Date +53.2%

VO VANGUARD INDEX FDS 0.9%

Value $1.726M Shares 7,291 Share Price $236.73 * Est. Cost/Share $45.48 Unrealized @ Report Date +30.1%

QQQ INVESCO QQQ TR 0.9%

Value $1.623M Shares 4,535 Share Price $357.88 Est. Cost/Share $200.22 Unrealized @ Report Date +78.8%

BRK/A BERKSHIRE HATHAWAY I 0.7%

Value $1.234M Shares 3 Share Price $411333.33 Est. Cost/Share $325723.70 Unrealized @ Report Date +26.3%

DVY ISHARES TR 0.6%

Value $1.179M Shares 10,273 Share Price $114.77 Est. Cost/Share $103.00 Unrealized @ Report Date +11.4%

IJH ISHARES TR 0.6%

Value $1.088M Shares 4,134 Share Price $263.18 * Est. Cost/Share $39.56 Unrealized @ Report Date +33.0%

GOOGL ALPHABET INC 0.5%

Value $906K Shares 339 Share Price $2672.57 * Est. Cost/Share $64.05 Unrealized @ Report Date +107.1%

VB VANGUARD INDEX FDS 0.4%

Value $684K Shares 3,128 Share Price $218.67 Est. Cost/Share $188.13 Unrealized @ Report Date +16.2%

ITOT ISHARES TR 0.2%

Value $408K Shares 4,143 Share Price $98.48 Est. Cost/Share $69.58 Unrealized @ Report Date +41.4%

Value $328K Shares 12,000 Share Price $27.33 Est. Cost/Share $37.97 Unrealized @ Report Date -28.0%

TGT TARGET CORP 0.2%

Value $327K Shares 1,430 Share Price $228.67 * Est. Cost/Share $118.66 Unrealized @ Report Date +69.5%

EMXC ISHARES INC 0.2%

Value $281K Shares 4,634 Share Price $60.64 Est. Cost/Share $61.64 Unrealized @ Report Date -1.6%

BSV VANGUARD BD INDEX FD 0.1%

Value $257K Shares 3,142 Share Price $81.80 Est. Cost/Share $82.24 Unrealized @ Report Date -0.4%

SDY SPDR SER TR 0.1%

Value $224K Shares 1,902 Share Price $117.77 Est. Cost/Share $104.97 Unrealized @ Report Date +12.0%

AVGO BROADCOM INC 0.1%

Value $222K Shares 457 Share Price $485.78 * Est. Cost/Share $25.13 Unrealized @ Report Date +77.6%

REM ISHARES TR 0.1%

Value $208K Shares 5,747 Share Price $36.19 Est. Cost/Share $33.47 Unrealized @ Report Date +8.1%

— EATON VANCE FLTING R 0.1%

Value $190K Shares 13,000 Share Price $14.62 Est. Cost/Share $13.69 Unrealized @ Report Date —

— PIMCO INCOME STRATEG 0.1%

Value $163K Shares 17,500 Share Price $9.31 Est. Cost/Share $10.57 Unrealized @ Report Date —

— INVESCO SR INCOME TR 0.1%

Value $141K Shares 30,000 Share Price $4.70 Est. Cost/Share $4.30 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
IGSB	ISHARES TR	910,000	$49.72M	26.9%	$54.64	$53.63	+1.9%	ISHS 1-5YR INVS	464288646
VTI	VANGUARD INDEX FDS	161,586	$35.88M	19.4%	$222.06	$157.00	+41.4%	TOTAL STK MKT	922908769
VYM	VANGUARD WHITEHALL F	209,548	$21.66M	11.7%	$103.35	$92.31	+12.0%	HIGH DIV YLD	921946406
—	HOPE BANCORP INC	21,090,000	$20.88M	11.3%	$0.99	$0.99	—	NOTE 2.000% 5/1	43940TAB5
VOO	VANGUARD INDEX FDS	20,826	$8.214M	4.4%	$394.41	$291.00	+35.5%	S&P 500 ETF SHS	922908363
IVV	ISHARES TR	14,967	$6.448M	3.5%	$430.81	$354.35	+21.6%	CORE S&P500 ETF	464287200
VEA	VANGUARD TAX-MANAGED	109,176	$5.512M	3.0%	$50.49	$44.67	+13.0%	FTSE DEV MKT ETF	921943858
VWO	VANGUARD INTL EQUITY	78,403	$3.921M	2.1%	$50.01	$42.75	+17.0%	FTSE EMR MKT ETF	922042858
VCSH	VANGUARD SCOTTSDALE	47,300	$3.898M	2.1%	$82.41	$82.68	-0.3%	SHRT TRM CORP BD	92206C409
VUG	VANGUARD INDEX FDS	12,189	$3.537M	1.9%	$290.18 *	$29.27	+65.3%	GROWTH ETF	922908736
ESGV	VANGUARD WORLD FD	38,545	$3.086M	1.7%	$80.06	$72.42	+10.6%	ESG US STK ETF	921910733
HYG	ISHARES TR	27,845	$2.436M	1.3%	$87.48	$85.06	+2.9%	IBOXX HI YD ETF	464288513
SPY	SPDR S&P 500 ETF TR	5,611	$2.408M	1.3%	$429.16	$345.29	+24.3%	TR UNIT	78462F103
EFA	ISHARES TR	28,430	$2.218M	1.2%	$78.02	$67.54	+15.5%	MSCI EAFE ETF	464287465
VEU	VANGUARD INTL EQUITY	30,678	$1.87M	1.0%	$60.96	$51.77	+17.7%	ALLWRLD EX US	922042775
VOT	VANGUARD INDEX FDS	7,329	$1.732M	0.9%	$236.32	$154.26	+53.2%	MCAP GR IDXVIP	922908538
VO	VANGUARD INDEX FDS	7,291	$1.726M	0.9%	$236.73 *	$45.48	+30.1%	MID CAP ETF	922908629
QQQ	INVESCO QQQ TR	4,535	$1.623M	0.9%	$357.88	$200.22	+78.8%	UNIT SER 1	46090E103
BRK/A	BERKSHIRE HATHAWAY I	3	$1.234M	0.7%	$411333.33	$325723.70	+26.3%	CL A	084670108
DVY	ISHARES TR	10,273	$1.179M	0.6%	$114.77	$103.00	+11.4%	SELECT DIVID ETF	464287168
IJH	ISHARES TR	4,134	$1.088M	0.6%	$263.18 *	$39.56	+33.0%	CORE S&P MCP ETF	464287507
GOOGL	ALPHABET INC	339	$906K	0.5%	$2672.57 *	$64.05	+107.1%	CAP STK CL A	02079K305
VB	VANGUARD INDEX FDS	3,128	$684K	0.4%	$218.67	$188.13	+16.2%	SMALL CP ETF	922908751
ITOT	ISHARES TR	4,143	$408K	0.2%	$98.48	$69.58	+41.4%	CORE S&P TTL STK	464287150
BP	BP PLC	12,000	$328K	0.2%	$27.33	$37.97	-28.0%	SPONSORED ADR	055622104
TGT	TARGET CORP	1,430	$327K	0.2%	$228.67 *	$118.66	+69.5%	COM	87612E106
EMXC	ISHARES INC	4,634	$281K	0.2%	$60.64	$61.64	-1.6%	MSCI EMRG CHN	46434G764
BSV	VANGUARD BD INDEX FD	3,142	$257K	0.1%	$81.80	$82.24	-0.4%	SHORT TRM BOND	921937827
SDY	SPDR SER TR	1,902	$224K	0.1%	$117.77	$104.97	+12.0%	S&P DIVID ETF	78464A763
AVGO	BROADCOM INC	457	$222K	0.1%	$485.78 *	$25.13	+77.6%	COM	11135F101
REM	ISHARES TR	5,747	$208K	0.1%	$36.19	$33.47	+8.1%	MORTGE REL ETF	46435G342
—	EATON VANCE FLTING R	13,000	$190K	0.1%	$14.62	$13.69	—	COM	278279104
—	PIMCO INCOME STRATEG	17,500	$163K	0.1%	$9.31	$10.57	—	COM	72201J104
—	INVESCO SR INCOME TR	30,000	$141K	0.1%	$4.70	$4.30	—	COM	46131H107