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JIM SAULNIER & ASSOCIATES, LLC — 13F Holdings & Portfolio

CIK 2044420 · latest 13F-HR filed 2026-11-04

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JIM SAULNIER & ASSOCIATES, LLC manages $259.4M in 13F-reported U.S. long-equity assets across 148 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are AOR (13.07%), AOA (10.41%), VBIL (8.09%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 9 new positions and exited 13; 28 existing positions rose in reported value and 35 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$259.4M

Long-equity book

Holdings
148

Distinct positions

Period
2026-09-30

Filed 2026-11-04

Q/Q Activity
+9 / −13 / ↑28 / ↓35

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26
AOR13.1% · +9%AOA10.4% · +14%VBIL8.1% · -6%VEA4.8% · +9%BND3.2% · +6%PBJL2.4% · +55%VTI2.4% · -11%AOM2.2% · +86%VV2.1% · +27%PBMY1.9% · 0%PBJN1.8% · -0%VTV1.8% · +12%VO1.5% · +27%PBSE1.4% · +105%VUG1.4% · +5%PBNV1.4% · 0%PBAU1.4% · +15%PBFB1.2% · 0%VWO1.2% · +21%PBMR1.1% · -4%IBTI1.1% · +2%PBAP1.0% · 0%SGOV1.0% · +60%BIL1.0% · -0%IBTH0.9% · +6%PBJA0.9% · -18%VB0.8% · +19%CPNS0.8% · +74%VOO0.7% · -13%AAPL0.7% · -2%IVV0.6% · +0%MMAX0.6% · -28%CPNM0.6% · -0%VNQ0.6% · +16%PBOC0.5% · 0%ILCG0.5% · -27%CPNJ0.5% · 0%VWOB0.5% · +0%JULT0.5% · 0%IBTJ0.5% · -0%FEBW0.5% · 0%IBIJ0.5% · +3%PBDE0.5% · -7%ILCB0.4% · -32%ILCV0.4% · -34%VXUS0.4% · +3%IBIE0.4% · +2%APRW0.4% · 0%SMAX0.4% · 0%PMMY0.4% · 0%CPRJ0.4% · -3%SPEM0.4% · -15%IBTK0.3% · +12%MSFT0.3% · -4%PMNV0.3% · 0%IBIF0.3% · +2%MAYW0.3% · 0%PMAU0.3% · +58%GVI0.3% · -22%AMZN0.3% · -5%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 50.7%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Jul 14, 2026.

Assets Under Management
$286.4M
Discretionary
$286.4M
Employees
7
Accounts
627
Address
506 EAST MULBERRY ST
FORT COLLINS, CO 80524
Phone
(970) 530-0556
Website
Name Title / Status Ownership Type
SAULNIER, JAMES, HENRY ControlMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER
since Nov 2013
75% or moreIndividual

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

JIM SAULNIER & ASSOCIATES, LLC Holdings (2026-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 ISHARES TR AOR 464289867 $33.9M 13.07% 494,855 SH
2 ISHARES TR AOA 464289859 $27.0M 10.41% 277,689 SH
3 VANGUARD INSTL INDEX FD VBIL 922040845 $21.0M 8.09% 277,113 SH
4 VANGUARD TAX-MANAGED FDS VEA 921943858 $12.5M 4.82% 177,022 SH
5 VANGUARD BD INDEX FDS BND 921937835 $8.4M 3.23% 119,501 SH
6 PGIM ROCK ETF TR PBJL 69420N833 $6.3M 2.42% 196,928 SH
7 VANGUARD INDEX FDS VTI 922908769 $6.3M 2.41% 16,738 SH
8 ISHARES TR AOM 464289875 $5.6M 2.17% 115,558 SH
9 VANGUARD INDEX FDS VV 922908637 $5.5M 2.13% 15,691 SH
10 PGIM ROCK ETF TR PBMY 69420N874 $4.9M 1.89% 154,475 SH
11 PGIM ROCK ETF TR PBJN 69420N858 $4.6M 1.78% 147,326 SH
12 VANGUARD INDEX FDS VTV 922908744 $4.6M 1.76% 21,103 SH
13 VANGUARD INDEX FDS VO 922908629 $4.0M 1.53% 50,731 SH
14 PGIM ROCK ETF TR PBSE 69420N783 $3.6M 1.38% 114,303 SH
15 VANGUARD INDEX FDS VUG 922908736 $3.6M 1.38% 39,582 SH
16 PGIM ROCK ETF TR PBNV 69420N767 $3.6M 1.37% 112,057 SH
17 PGIM ROCK ETF TR PBAU 69420N817 $3.6M 1.37% 111,056 SH
18 PGIM ROCK ETF TR PBFB 69420N403 $3.1M 1.18% 93,746 SH
19 VANGUARD INTL EQUITY INDEX F VWO 922042858 $3.0M 1.17% 51,367 SH
20 PGIM ROCK ETF TR PBMR 69420N601 $2.9M 1.11% 87,471 SH
21 ISHARES TR IBTI 46436E833 $2.8M 1.08% 128,138 SH
22 PGIM ROCK ETF TR PBAP 69420N809 $2.6M 0.99% 81,028 SH
23 ISHARES TR SGOV 46436E718 $2.5M 0.98% 25,183 SH
24 SPDR SERIES TRUST BIL 78468R663 $2.5M 0.97% 27,326 SH
25 ISHARES TR IBTH 46436E841 $2.3M 0.90% 105,059 SH
26 PGIM ROCK ETF TR PBJA 69420N205 $2.3M 0.88% 69,227 SH
27 VANGUARD INDEX FDS VB 922908751 $2.1M 0.80% 7,322 SH
28 CALAMOS ETF TR CPNS 12811T860 $1.9M 0.75% 68,117 SH
29 VANGUARD INDEX FDS VOO 922908363 $1.9M 0.73% 2,691 SH
30 APPLE INC AAPL 037833100 $1.9M 0.73% 5,648 SH
31 ISHARES TR IVV 464287200 $1.7M 0.64% 2,168 SH
32 ISHARES TR MMAX 46438G455 $1.6M 0.63% 59,380 SH
33 CALAMOS ETF TR CPNM 12811T845 $1.6M 0.63% 60,002 SH
34 VANGUARD INDEX FDS VNQ 922908553 $1.5M 0.58% 16,718 SH
35 PGIM ROCK ETF TR PBOC 69420N775 $1.4M 0.55% 45,254 SH
36 ISHARES TR ILCG 464287119 $1.4M 0.54% 11,935 SH
37 CALAMOS ETF TR CPNJ 12811T878 $1.4M 0.53% 49,128 SH
38 VANGUARD WHITEHALL FDS VWOB 921946885 $1.3M 0.51% 20,990 SH
39 AIM ETF PRODUCTS TRUST JULT 00888H307 $1.3M 0.51% 26,872 SH
40 ISHARES TR IBTJ 46436E825 $1.3M 0.50% 60,670 SH
41 AIM ETF PRODUCTS TRUST FEBW 00888H786 $1.3M 0.49% 34,981 SH
42 ISHARES TR IBIJ 46438G851 $1.2M 0.46% 48,886 SH
43 PGIM ROCK ETF TR PBDE 69420N759 $1.2M 0.45% 37,028 SH
44 ISHARES TR ILCB 464287127 $1.2M 0.45% 11,020 SH
45 ISHARES TR ILCV 464288109 $1.1M 0.42% 10,337 SH
46 VANGUARD STAR FDS VXUS 921909768 $1.1M 0.41% 12,466 SH
47 ISHARES TR IBIE 46438G703 $1.0M 0.40% 40,433 SH
48 AIM ETF PRODUCTS TRUST APRW 00888H208 $1.0M 0.40% 27,197 SH
49 ISHARES TR SMAX 46438G588 $1.0M 0.40% 36,141 SH
50 PGIM ROCK ETF TR PMMY 69420N643 $1.0M 0.39% 37,411 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-11-04 $259.4M 148 0002044420-26-000006
2026-06-30 2026-07-28 $248.6M 152 0002044420-26-000003
2026-03-31 2026-04-22 $205.5M 139 0002044420-26-000002
2025-12-31 2026-01-29 $192.9M 139 0002044420-26-000001
Filer Information
Address
506 EAST MULBERRY STREET
FORT COLLINS, CO 80523
Phone
(970) 530-0556
Filing Manager
JIM SAULNIER & ASSOCIATES, LLC
FORT COLLINS, CO
Signatory
Sylvia McGaughey
Consultant