# EDGAR Filing Document

**Accession Number:** 0001498383
**File Stem:** 0001498383-23-000001
**Filing Date:** 2023-2
**Character Count:** 14792
**Document Hash:** 0b2dcc3b8faff8c431b87a71c81a9766
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001498383-23-000001.hdr.sgml**: 20230209

**ACCESSION NUMBER**: 0001498383-23-000001

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230209

**DATE AS OF CHANGE**: 20230209

**EFFECTIVENESS DATE**: 20230209

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Asset Allocation & Management Company, LLC
- **CENTRAL INDEX KEY:** 0001498383
- **IRS NUMBER:** 364418695
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-20383
- **FILM NUMBER:** 23605873

**BUSINESS ADDRESS:**
- **STREET 1:** 30 W. MONROE ST.
- **STREET 2:** THIRD FLOOR
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60603
- **BUSINESS PHONE:** 312-263-2900

**MAIL ADDRESS:**
- **STREET 1:** 30 W. MONROE ST.
- **STREET 2:** THIRD FLOOR
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60603

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** Asset Allocation  Management Company LLC<br>**Address:** 30 W. MONROE ST.<br>THIRD FLOOR<br>CHICAGO, IL 60603

**Form 13F File Number:** 028-20383

**CRD Number (if applicable):** 000109875

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Chelsea Klassa<br>**Title:** Chief Compliance Officer<br>**Phone:** 312-845-2308

**Signature, Place, and Date of Signing:**

Chelsea Klassa  Chicago, IL  02-09-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 119

**Form 13F Information Table Value Total:** $258601

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| ABBOTT LABS | COM | 002824100 |  | 241 | 2191 | SH |  | SOLE |  | 0 | 0 | 2191 |
| AIR PRODS  CHEMS INC | COM | 009158106 |  | 1212 | 3932 | SH |  | SOLE |  | 0 | 0 | 3932 |
| ALBEMARLE CORP | COM | 012653101 |  | 365 | 1685 | SH |  | SOLE |  | 0 | 0 | 1685 |
| ALPHABET INC | CAP STK CL C | 02079K107 |  | 873 | 9839 | SH |  | SOLE |  | 0 | 0 | 9839 |
| ALPHABET INC | CAP STK CL A | 02079K305 |  | 598 | 6780 | SH |  | SOLE |  | 0 | 0 | 6780 |
| AMAZON COM INC | COM | 023135106 |  | 461 | 5493 | SH |  | SOLE |  | 0 | 0 | 5493 |
| AMERICAN TOWER CORP NEW | COM | 03027X100 |  | 218 | 1031 | SH |  | SOLE |  | 0 | 0 | 1031 |
| AMERIPRISE FINL INC | COM | 03076C106 |  | 790 | 2536 | SH |  | SOLE |  | 0 | 0 | 2536 |
| AMGEN INC | COM | 031162100 |  | 806 | 3068 | SH |  | SOLE |  | 0 | 0 | 3068 |
| APPLE INC | COM | 037833100 |  | 1821 | 14012 | SH |  | SOLE |  | 0 | 0 | 14012 |
| ARISTA NETWORKS INC | COM | 040413106 |  | 294 | 2422 | SH |  | SOLE |  | 0 | 0 | 2422 |
| AUTOMATIC DATA PROCESSING IN | COM | 053015103 |  | 956 | 4003 | SH |  | SOLE |  | 0 | 0 | 4003 |
| BP PLC | SPONSORED ADR | 055622104 |  | 419 | 12000 | SH |  | SOLE |  | 0 | 0 | 12000 |
| BAKER HUGHES COMPANY | CL A | 05722G100 |  | 354 | 12000 | SH |  | SOLE |  | 0 | 0 | 12000 |
| BANK AMERICA CORP | COM | 060505104 |  | 549 | 16581 | SH |  | SOLE |  | 0 | 0 | 16581 |
| BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 |  | 1406 | 3 | SH |  | SOLE |  | 0 | 0 | 3 |
| BLACKROCK INC | COM | 09247X101 |  | 597 | 843 | SH |  | SOLE |  | 0 | 0 | 843 |
| BOOKING HOLDINGS INC | COM | 09857L108 |  | 294 | 146 | SH |  | SOLE |  | 0 | 0 | 146 |
| BRISTOL-MYERS SQUIBB CO | COM | 110122108 |  | 298 | 4142 | SH |  | SOLE |  | 0 | 0 | 4142 |
| BROADCOM INC | COM | 11135F101 |  | 1179 | 2109 | SH |  | SOLE |  | 0 | 0 | 2109 |
| CVS HEALTH CORP | COM | 126650100 |  | 373 | 4000 | SH |  | SOLE |  | 0 | 0 | 4000 |
| CANADIAN PAC RY LTD | COM | 13645T100 |  | 270 | 3618 | SH |  | SOLE |  | 0 | 0 | 3618 |
| CATERPILLAR INC | COM | 149123101 |  | 315 | 1313 | SH |  | SOLE |  | 0 | 0 | 1313 |
| CHEVRON CORP NEW | COM | 166764100 |  | 521 | 2900 | SH |  | SOLE |  | 0 | 0 | 2900 |
| CISCO SYS INC | COM | 17275R102 |  | 664 | 13941 | SH |  | SOLE |  | 0 | 0 | 13941 |
| COCA COLA CO | COM | 191216100 |  | 931 | 14635 | SH |  | SOLE |  | 0 | 0 | 14635 |
| COLGATE PALMOLIVE CO | COM | 194162103 |  | 700 | 8881 | SH |  | SOLE |  | 0 | 0 | 8881 |
| COSTCO WHSL CORP NEW | COM | 22160K105 |  | 429 | 940 | SH |  | SOLE |  | 0 | 0 | 940 |
| CUMMINS INC | COM | 231021106 |  | 895 | 3695 | SH |  | SOLE |  | 0 | 0 | 3695 |
| DANAHER CORPORATION | COM | 235851102 |  | 249 | 940 | SH |  | SOLE |  | 0 | 0 | 940 |
| EATON VANCE FLTING RATE INC | COM | 278279104 |  | 144 | 13000 | SH |  | SOLE |  | 0 | 0 | 13000 |
| FIFTH THIRD BANCORP | COM | 316773100 |  | 260 | 7915 | SH |  | SOLE |  | 0 | 0 | 7915 |
| FORD MTR CO DEL | COM | 345370860 |  | 582 | 50000 | SH |  | SOLE |  | 0 | 0 | 50000 |
| GENERAL DYNAMICS CORP | COM | 369550108 |  | 857 | 3453 | SH |  | SOLE |  | 0 | 0 | 3453 |
| GILEAD SCIENCES INC | COM | 375558103 |  | 326 | 3803 | SH |  | SOLE |  | 0 | 0 | 3803 |
| HP INC | COM | 40434L105 |  | 625 | 23278 | SH |  | SOLE |  | 0 | 0 | 23278 |
| HOME DEPOT INC | COM | 437076102 |  | 1029 | 3257 | SH |  | SOLE |  | 0 | 0 | 3257 |
| HOPE BANCORP INC | NOTE 2.000% 5/1 | 43940TAB5 |  | 21225 | 21725000 | PRN |  | SOLE |  | 0 | 0 | 21725000 |
| ILLINOIS TOOL WKS INC | COM | 452308109 |  | 655 | 2971 | SH |  | SOLE |  | 0 | 0 | 2971 |
| INTEL CORP | COM | 458140100 |  | 204 | 7736 | SH |  | SOLE |  | 0 | 0 | 7736 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 |  | 1208 | 4535 | SH |  | SOLE |  | 0 | 0 | 4535 |
| INVESCO SR INCOME TR | COM | 46131H107 |  | 115 | 30000 | SH |  | SOLE |  | 0 | 0 | 30000 |
| ISHARES TR | CORE S TTL STK | 464287150 |  | 351 | 4143 | SH |  | SOLE |  | 0 | 0 | 4143 |
| ISHARES TR | SELECT DIVID ETF | 464287168 |  | 1239 | 10273 | SH |  | SOLE |  | 0 | 0 | 10273 |
| ISHARES TR | CORE S ETF | 464287200 |  | 7645 | 19898 | SH |  | SOLE |  | 0 | 0 | 19898 |
| ISHARES TR | IBOXX INV CP ETF | 464287242 |  | 5588 | 53000 | SH |  | SOLE |  | 0 | 0 | 53000 |
| ISHARES TR | MSCI EAFE ETF | 464287465 |  | 258 | 3930 | SH |  | SOLE |  | 0 | 0 | 3930 |
| ISHARES TR | RUS MID CAP ETF | 464287499 |  | 270 | 4000 | SH |  | SOLE |  | 0 | 0 | 4000 |
| ISHARES TR | CORE S MCP ETF | 464287507 |  | 1733 | 7164 | SH |  | SOLE |  | 0 | 0 | 7164 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 |  | 288 | 1653 | SH |  | SOLE |  | 0 | 0 | 1653 |
| ISHARES TR | RUSSELL 3000 ETF | 464287689 |  | 931 | 4221 | SH |  | SOLE |  | 0 | 0 | 4221 |
| ISHARES TR | CORE S SCP ETF | 464287804 |  | 629 | 6641 | SH |  | SOLE |  | 0 | 0 | 6641 |
| ISHARES TR | IBOXX HI YD ETF | 464288513 |  | 3459 | 46975 | SH |  | SOLE |  | 0 | 0 | 46975 |
| ISHARES TR | ISHS 1-5YR INVS | 464288646 |  | 15444 | 310000 | SH |  | SOLE |  | 0 | 0 | 310000 |
| ISHARES INC | MSCI EMRG CHN | 46434G764 |  | 426 | 8971 | SH |  | SOLE |  | 0 | 0 | 8971 |
| ISHARES TR | ESG AWR MSCI USA | 46435G425 |  | 2882 | 34000 | SH |  | SOLE |  | 0 | 0 | 34000 |
| JPMORGAN CHASE  CO | COM | 46625H100 |  | 580 | 4327 | SH |  | SOLE |  | 0 | 0 | 4327 |
| JANUS DETROIT STR TR | HENDRSON AAA CL | 47103U845 |  | 6645 | 134900 | SH |  | SOLE |  | 0 | 0 | 134900 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 1214 | 6875 | SH |  | SOLE |  | 0 | 0 | 6875 |
| KLA CORP | COM NEW | 482480100 |  | 354 | 938 | SH |  | SOLE |  | 0 | 0 | 938 |
| KIMBERLY-CLARK CORP | COM | 494368103 |  | 804 | 5921 | SH |  | SOLE |  | 0 | 0 | 5921 |
| L3HARRIS TECHNOLOGIES INC | COM | 502431109 |  | 260 | 1250 | SH |  | SOLE |  | 0 | 0 | 1250 |
| M  T BK CORP | COM | 55261F104 |  | 717 | 4943 | SH |  | SOLE |  | 0 | 0 | 4943 |
| MARATHON PETE CORP | COM | 56585A102 |  | 291 | 2502 | SH |  | SOLE |  | 0 | 0 | 2502 |
| MARSH  MCLENNAN COS INC | COM | 571748102 |  | 507 | 3063 | SH |  | SOLE |  | 0 | 0 | 3063 |
| MASTERCARD INCORPORATED | CL A | 57636Q104 |  | 271 | 780 | SH |  | SOLE |  | 0 | 0 | 780 |
| MCDONALDS CORP | COM | 580135101 |  | 1437 | 5452 | SH |  | SOLE |  | 0 | 0 | 5452 |
| MERCK  CO INC | COM | 58933Y105 |  | 583 | 5253 | SH |  | SOLE |  | 0 | 0 | 5253 |
| METLIFE INC | COM | 59156R108 |  | 478 | 6600 | SH |  | SOLE |  | 0 | 0 | 6600 |
| MICROSOFT CORP | COM | 594918104 |  | 2067 | 8621 | SH |  | SOLE |  | 0 | 0 | 8621 |
| MICROCHIP TECHNOLOGY INC. | COM | 595017104 |  | 462 | 6580 | SH |  | SOLE |  | 0 | 0 | 6580 |
| MONDELEZ INTL INC | CL A | 609207105 |  | 743 | 11152 | SH |  | SOLE |  | 0 | 0 | 11152 |
| NVIDIA CORPORATION | COM | 67066G104 |  | 215 | 1473 | SH |  | SOLE |  | 0 | 0 | 1473 |
| PNC FINL SVCS GROUP INC | COM | 693475105 |  | 572 | 3621 | SH |  | SOLE |  | 0 | 0 | 3621 |
| PEPSICO INC | COM | 713448108 |  | 1097 | 6074 | SH |  | SOLE |  | 0 | 0 | 6074 |
| PFIZER INC | COM | 717081103 |  | 912 | 17799 | SH |  | SOLE |  | 0 | 0 | 17799 |
| PHILIP MORRIS INTL INC | COM | 718172109 |  | 680 | 6719 | SH |  | SOLE |  | 0 | 0 | 6719 |
| PIMCO INCOME STRATEGY FD II | COM | 72201J104 |  | 124 | 17500 | SH |  | SOLE |  | 0 | 0 | 17500 |
| PROCTER AND GAMBLE CO | COM | 742718109 |  | 1282 | 8461 | SH |  | SOLE |  | 0 | 0 | 8461 |
| QUALCOMM INC | COM | 747525103 |  | 734 | 6678 | SH |  | SOLE |  | 0 | 0 | 6678 |
| RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 |  | 824 | 8167 | SH |  | SOLE |  | 0 | 0 | 8167 |
| SPDR S 500 ETF TR | TR UNIT | 78462F103 |  | 2139 | 5594 | SH |  | SOLE |  | 0 | 0 | 5594 |
| SPDR SER TR | S DIVID ETF | 78464A763 |  | 238 | 1902 | SH |  | SOLE |  | 0 | 0 | 1902 |
| SSGA ACTIVE ETF TR | BLACKSTONE SENR | 78467V608 |  | 11843 | 289551 | SH |  | SOLE |  | 0 | 0 | 289551 |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 808524797 |  | 2780 | 36806 | SH |  | SOLE |  | 0 | 0 | 36806 |
| SELECT SECTOR SPDR TR | FINANCIAL | 81369Y605 |  | 616 | 18000 | SH |  | SOLE |  | 0 | 0 | 18000 |
| STARBUCKS CORP | COM | 855244109 |  | 298 | 3000 | SH |  | SOLE |  | 0 | 0 | 3000 |
| STRYKER CORPORATION | COM | 863667101 |  | 293 | 1200 | SH |  | SOLE |  | 0 | 0 | 1200 |
| TJX COS INC NEW | COM | 872540109 |  | 318 | 4000 | SH |  | SOLE |  | 0 | 0 | 4000 |
| TARGET CORP | COM | 87612E106 |  | 511 | 3430 | SH |  | SOLE |  | 0 | 0 | 3430 |
| TESLA INC | COM | 88160R101 |  | 294 | 2383 | SH |  | SOLE |  | 0 | 0 | 2383 |
| TEXAS INSTRS INC | COM | 882508104 |  | 599 | 3625 | SH |  | SOLE |  | 0 | 0 | 3625 |
| THERMO FISHER SCIENTIFIC INC | COM | 883556102 |  | 258 | 468 | SH |  | SOLE |  | 0 | 0 | 468 |
| TRAVELERS COMPANIES INC | COM | 89417E109 |  | 961 | 5124 | SH |  | SOLE |  | 0 | 0 | 5124 |
| TYSON FOODS INC | CL A | 902494103 |  | 549 | 8816 | SH |  | SOLE |  | 0 | 0 | 8816 |
| UNION PAC CORP | COM | 907818108 |  | 661 | 3193 | SH |  | SOLE |  | 0 | 0 | 3193 |
| UNITED PARCEL SERVICE INC | CL B | 911312106 |  | 755 | 4342 | SH |  | SOLE |  | 0 | 0 | 4342 |
| UNITED RENTALS INC | COM | 911363109 |  | 311 | 874 | SH |  | SOLE |  | 0 | 0 | 874 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 |  | 997 | 1881 | SH |  | SOLE |  | 0 | 0 | 1881 |
| V F CORP | COM | 918204108 |  | 250 | 9052 | SH |  | SOLE |  | 0 | 0 | 9052 |
| VALERO ENERGY CORP | COM | 91913Y100 |  | 207 | 1634 | SH |  | SOLE |  | 0 | 0 | 1634 |
| VANGUARD WORLD FD | ESG US STK ETF | 921910733 |  | 912 | 13850 | SH |  | SOLE |  | 0 | 0 | 13850 |
| VANGUARD BD INDEX FDS | SHORT TRM BOND | 921937827 |  | 237 | 3142 | SH |  | SOLE |  | 0 | 0 | 3142 |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 921943858 |  | 5212 | 124175 | SH |  | SOLE |  | 0 | 0 | 124175 |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 921946406 |  | 25716 | 237650 | SH |  | SOLE |  | 0 | 0 | 237650 |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 922042775 |  | 589 | 11754 | SH |  | SOLE |  | 0 | 0 | 11754 |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 |  | 2935 | 75295 | SH |  | SOLE |  | 0 | 0 | 75295 |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 |  | 3556 | 47300 | SH |  | SOLE |  | 0 | 0 | 47300 |
| VANGUARD INDEX FDS | S 500 ETF SHS | 922908363 |  | 9776 | 27824 | SH |  | SOLE |  | 0 | 0 | 27824 |
| VANGUARD INDEX FDS | MCAP GR IDXVIP | 922908538 |  | 1317 | 7329 | SH |  | SOLE |  | 0 | 0 | 7329 |
| VANGUARD INDEX FDS | MID CAP ETF | 922908629 |  | 2836 | 13915 | SH |  | SOLE |  | 0 | 0 | 13915 |
| VANGUARD INDEX FDS | GROWTH ETF | 922908736 |  | 2598 | 12189 | SH |  | SOLE |  | 0 | 0 | 12189 |
| VANGUARD INDEX FDS | SMALL CP ETF | 922908751 |  | 863 | 4701 | SH |  | SOLE |  | 0 | 0 | 4701 |
| VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 |  | 63609 | 332703 | SH |  | SOLE |  | 0 | 0 | 332703 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 |  | 213 | 5417 | SH |  | SOLE |  | 0 | 0 | 5417 |
| VISA INC | COM CL A | 92826C839 |  | 239 | 1150 | SH |  | SOLE |  | 0 | 0 | 1150 |
| WELLS FARGO CO NEW | PERP PFD CNV A | 949746804 |  | 1303 | 1100 | SH |  | SOLE |  | 0 | 0 | 1100 |
| APTIV PLC | SHS | G6095L109 |  | 252 | 2702 | SH |  | SOLE |  | 0 | 0 | 2702 |
| VALARIS LIMITED | CL A | G9460G101 |  | 256 | 3793 | SH |  | SOLE |  | 0 | 0 | 3793 |

---