13F-HR filed by True Link Financial Advisors, LLC
True Link Financial Advisors, LLC filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-10-29, with 803 holding rows worth $728,899,000.
- Accession
- 0000950123-21-013668
- Filer
- CIK 1846236
- Filed
- 2021-10-29
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 807 entries on the cover page, a total value of $728,899,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $728,889,000 with VALUE read as thousands by filing date, 13F file number 028-20832. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| JOHN HANCOCK SEAPORT LONG SHORT FD I | 47803P476 | Com | 2,983 | $39,000 | thousands by filing date | |
| US INTERNTNL DEV 1point32percent35 DUE 03 15 35 | 90376PBK6 | gb | 40,000 | $39,000 | thousands by filing date | principal |
| NEUBERGER BERMAN ALTERN LONG S | 64128R608 | Equity Mutual Fu | 2,160 | $38,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 717 | $37,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 785 | $36,000 | thousands by filing date | |
| WESTERN ASSET CORE BOND | 957663677 | BOND FUNDS | 2,732 | $36,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 13 | $35,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 341 | $35,000 | thousands by filing date | |
| VANGUARD WELLINGTON INV | 921935102 | EQUITY FUNDS | 712 | $35,000 | thousands by filing date | |
| ILLINOIS TOOL WO 2point65percent26 DUE 11 15 26 | 452308AX7 | cb | 33,000 | $35,000 | thousands by filing date | principal |
| FHLB 2percent35 DUE 05 04 35 | 3130AJJU4 | gb | 35,000 | $35,000 | thousands by filing date | principal |
| VIRGINIA ST PUBLIC 5percent28 FINL SCH DUE 08 01 28 | 92818HBL4 | mb | 30,000 | $35,000 | thousands by filing date | principal |
| FHLB 1point78percent35 DUE 05 04 35 | 3130AJKC2 | gb | 35,000 | $34,000 | thousands by filing date | principal |
| CHURCH & DWIGHT 3point15percent27 DUE 08 01 27 | 171340AN2 | cb | 30,000 | $33,000 | thousands by filing date | principal |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 12 | $32,000 | thousands by filing date | |
| UNITED STATES TREAS NTS 2.25 11/15/2025 | 912828M56 | Govt Bond | 30,000 | $32,000 | thousands by filing date | principal |
| BNP PARIBAS SA 5percent 24F DUE 01 17 24 | F8590LAA4 | cb | 30,000 | $32,000 | thousands by filing date | principal |
| GA MUN ELEC AUTH 5point7percent24 PWR UTIL DUE 01 01 24 OID XTRO TAXBL AMBAC IND | 373541P96 | mb | 30,000 | $32,000 | thousands by filing date | principal |
| PPG INDS INC COM | 693506107 | Stock | 217 | $31,000 | thousands by filing date | |
| SCHWAB SHORT-TERM BOND INDEX | 808517692 | SCHWAB MUTL FUNDS | 3,014 | $31,000 | thousands by filing date | |
| US TREASURY | 912828YM6 | Treasury Note | 30,000 | $31,000 | thousands by filing date | principal |
| FFCB 2point02percent40 DUE 07 02 40 | 3133ELR22 | gb | 33,000 | $31,000 | thousands by filing date | principal |
| ALTRIA GROUP, IN 5.95 49 DUE 02/14/49 | 02209SBF9 | CORPORATE BONDS | 24,000 | $30,000 | thousands by filing date | principal |
| COMMERCIAL MORTG 5point15percent35 MBS CMO DUE 08 25 35 FACTOR 1point000000000000 | 225458E97 | gm | 30,000 | $30,000 | thousands by filing date | principal |
| Automatic Data Processing,Inc. | 053015103 | COM | 138 | $28,000 | thousands by filing date | |
| DELAWARE IVY HIGH INCOME OPPOR | 246107106 | COM | 2,040 | $28,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 1,776 | $28,000 | thousands by filing date | |
| FEDERATED HERMES MDT MID CAP GROWTH IS | 314172198 | Mutual Fund | 463 | $28,000 | thousands by filing date | |
| FEDERAL NTNL MORTGA 7percent33 ABS SPCL DUE 12 25 33 FACTOR 0point038551400000 | 31393U4Q3 | gm | 605,000 | $28,000 | thousands by filing date | principal |
| FIRST TR PORTFOLIOS | 30316G589 | ut | 2,515 | $28,000 | thousands by filing date | |
| ONEOK, INCpoint 6point35percent31 DUE 01 15 31 | 682680BE2 | cb | 22,000 | $28,000 | thousands by filing date | principal |
| PHILIP MORRIS I 6point375percent38 DUE 05 16 38 | 718172AC3 | cb | 20,000 | $28,000 | thousands by filing date | principal |
| MERRILL LYNCH M 4point788 percent 34 ABS SPCL DUE 11 25 34 FACTOR 0point037132353145 | 84751PBJ7 | gm | 685,000 | $28,000 | thousands by filing date | principal |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 441 | $27,000 | thousands by filing date | |
| BRIGHTHOUSE FINL INC | 10922N509 | Common Stock | 961 | $27,000 | thousands by filing date | |
| Hewlett Packard Enterprise Co | 42824CAY5 | Corporate Bond - Domestic | 20,000 | $27,000 | thousands by filing date | principal |
| THE HOME DEPOT, INC 3XXX | 437076BM3 | BCO | 25,000 | $27,000 | thousands by filing date | principal |
| METLIFE INC | 59156RBH0 | COM | 25,000 | $27,000 | thousands by filing date | principal |
| NOVARTIS CAPITAL CORP | 66989HAJ7 | COM | 25,000 | $27,000 | thousands by filing date | principal |
| OH ST WTR POLL 4point042percent23 POOL AUTH DUE 12 01 23 XTRO TAXBL | 67766WQK1 | mb | 25,000 | $27,000 | thousands by filing date | principal |
| RI ST & PROV PL 4point076percent25 GO UTX DUE 10 15 25 TAXBL | 76222RPC0 | mb | 25,000 | $27,000 | thousands by filing date | principal |
| HYDRO QUEBEC 6 percent 31F DUE 08 15 31 | 448814GY3 | oa | 25,000 | $27,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 251 | $26,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 106 | $26,000 | thousands by filing date | |
| APPLE INC 2.4 05/03/2023 | 037833AK6 | Corp Bond | 25,000 | $26,000 | thousands by filing date | principal |
| DOLLAR GENERAL C 3point25percent23 DUE 04 15 23 | 256677AC9 | cb | 25,000 | $26,000 | thousands by filing date | principal |
| TRIBORO BRDG TU 3point884percent22 TOLL TRAN DUE 11 15 22 XTRO TAXBL | 89602NU28 | mb | 25,000 | $26,000 | thousands by filing date | principal |
| HOLLYFRONTIER C 2point625percent23 DUE 10 01 23 | 436106AB4 | cb | 25,000 | $26,000 | thousands by filing date | principal |
| PUBLIC SERVICE 2point375 percent 23 DUE 05 15 23 | 74456QBC9 | cb | 25,000 | $26,000 | thousands by filing date | principal |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 170 | $25,000 | thousands by filing date | |
| SCHWAB FUNDS VALUE ADV | 808515605 | SWVXX | 25,107 | $25,000 | thousands by filing date | |
| VANGUARD EQUITY-INCOME INV | 921921102 | EQUITY FUNDS | 576 | $25,000 | thousands by filing date | |
| UNITED STATES TREAS NTS 2.125 12/31/2022 | 912828N30 | Govt Bond | 24,000 | $25,000 | thousands by filing date | principal |
| US TREASUR NT 2.25 1223 | 912828V23 | NOT | 24,000 | $25,000 | thousands by filing date | principal |
| BpointApointT CAPITAL C 4point906percent30 DUE 04 02 30 | 05526DBN4 | cb | 22,000 | $25,000 | thousands by filing date | principal |
| KS CITY MO SPL O 4point13percent22 SPLO DUE 03 01 22 TAXBL | 485106GR3 | mb | 25,000 | $25,000 | thousands by filing date | principal |
| US TREASUR NT 2percent07 22 UST NOTE DUE 07 31 22 | 912828XQ8 | tn | 25,000 | $25,000 | thousands by filing date | principal |
| Home Depot, Inc | 437076102 | COM | 71 | $23,000 | thousands by filing date | |
| VANGUARD INTERMEDIATE TERM CORP BOND FUND ADMIRAL SHARES | 922031810 | SHS | 2,267 | $23,000 | thousands by filing date | |
| FEDERATED TOTAL RETURN BD-IS | 31428Q101 | COM | 1,996 | $23,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 64 | $22,000 | thousands by filing date | |
| American Beacon Lg Cap Value Inst | 02368A208 | Com | 740 | $22,000 | thousands by filing date | |
| ENTERGY LOUISIAN 4point44percent26 DUE 01 15 26 | 29364WAM0 | cb | 20,000 | $22,000 | thousands by filing date | principal |
| PIMCO DYNAMIC BOND FUND INSTITUTIONAL CLASS | 72201M487 | Mutual Fund | 1,981 | $21,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 260 | $20,000 | thousands by filing date | |
| VANGUARD SMALL CAP GROWTH INDEX ADMIRAL | 921937710 | EQUITY FUNDS | 206 | $20,000 | thousands by filing date | |
| JANUS HENDERSON GROWTH AND INCOME T | 471023200 | NTF EQUITY FUNDS | 269 | $20,000 | thousands by filing date | |
| Price T Rowe Growth Stock Fund | 741479406 | MF | 176 | $20,000 | thousands by filing date | |
| FEDERAL NTNL M 3point1578percent32 ABS SPCL DUE 08 25 32 FACTOR 0point028631490000 | 31393BW76 | gm | 630,000 | $20,000 | thousands by filing date | principal |
| FHLB 1point95percent36 DUE 06 03 36 | 3130AJMH9 | gb | 20,000 | $20,000 | thousands by filing date | principal |
| KFW 5point5percent33 MBS CMO DUE 11 25 33 FACTOR 0point058465684871 | 92922FMW5 | gm | 316,000 | $20,000 | thousands by filing date | principal |
| ORANGE CN VA ECO 2point85percent22 LEAS BLDG DUE 11 01 22 XTRO TAXBL | 684790BS6 | mb | 20,000 | $20,000 | thousands by filing date | principal |
| TANGO FIN LTDpoint 0point3039percent40 ABS STUD DUE 07 25 40 FACTOR 0point374272587341 | 78442GPL4 | gm | 55,000 | $20,000 | thousands by filing date | principal |
| GNMA 7percent33 MBS CMO DUE 10 16 33 FACTOR 1point000000000000 | 38374CT50 | gm | 15,000 | $20,000 | thousands by filing date | principal |
| Raytheon Technologies Corporation | 75513E101 | COM | 225 | $19,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 111 | $19,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 203 | $19,000 | thousands by filing date | |
| FFCB 2percent40 DUE 05 14 40 | 3133ELZC1 | gb | 20,000 | $19,000 | thousands by filing date | principal |
| FFCB 2point125percent40 DUE 05 21 40 | 3133ELZZ0 | gb | 20,000 | $19,000 | thousands by filing date | principal |
| FHLB 1point92percent37 DUE 06 04 37 | 3130AJMU0 | gb | 20,000 | $19,000 | thousands by filing date | principal |
| US TREASU NT 2point125 percent 12 21 UST NOTE DUE 12 31 21 | 912828G87 | tn | 19,000 | $19,000 | thousands by filing date | principal |
| GENERAL ELEC CO | 369604103 | COM | 174 | $18,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 500 | $18,000 | thousands by filing date | |
| TWEEDY BRN GLOBAL VALUE | 901165100 | IFD | 601 | $18,000 | thousands by filing date | |
| ABBEY CAPITAL FUTURES STRATEGY I | 74925K367 | EQUITY FUNDS | 1,492 | $18,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL UNCONST BOND I | 524686672 | mf | 1,436 | $18,000 | thousands by filing date | |
| CWALT INCpoint 5point75percent34 ABS SPCL DUE 08 25 34 FACTOR 0point148700309150 | 12667FME2 | gm | 115,000 | $18,000 | thousands by filing date | principal |
| FHLMC 3point2384percent43 MBS CMO DUE 06 25 43 FACTOR 0point032757690000 | 31393DUG4 | gm | 495,000 | $18,000 | thousands by filing date | principal |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 303 | $17,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 294 | $17,000 | thousands by filing date | |
| SCHWAB US AGGREGATE BOND INDEX | 808517718 | SCHWAB MUTL FUNDS | 1,580 | $17,000 | thousands by filing date | |
| TANGO FIN LTDpoint 0point4139percent44 ABS STUD DUE 01 25 44 FACTOR 0point351017228603 | 78442GQA7 | gm | 50,000 | $17,000 | thousands by filing date | principal |
| GMAC MORTGAGE, LL 5point5percent33 ABS SPCL DUE 10 25 33 FACTOR 0point043988127848 | 36185NQ60 | gm | 330,000 | $17,000 | thousands by filing date | principal |
| ISHARES TR | 464288620 | SHS | 267 | $16,000 | thousands by filing date | |
| HF SINCLAIR CORP 4 5 30 DUE 10 01 30 | 436106AC2 | CORPORATE BONDS | 15,000 | $16,000 | thousands by filing date | principal |
| GOLDMAN SACHS GROUP, INC. | 38148LAE6 | Corp Bonds - Non-Convert | 15,000 | $16,000 | thousands by filing date | principal |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 400 | $15,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 225 | $15,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 45 | $14,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 69 | $14,000 | thousands by filing date | |
| VTI | 922908769 | COM | 62 | $14,000 | thousands by filing date | |
| TRUIST FINANCIAL CORPORATION NOTE PERP | 89832QAD1 | NOTE PERP | 13,000 | $14,000 | thousands by filing date | principal |
| FHLB 2point3percent45 DUE 05 11 45 | 3130AJL56 | gb | 15,000 | $14,000 | thousands by filing date | principal |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 32 | $13,000 | thousands by filing date | |
| T. ROWE PRICE BLUE CHIP GROWTH | 77954Q106 | NTF EQUITY FUNDS | 69 | $13,000 | thousands by filing date | |
| FEDERAL HOME LN M 1point5percent33 DUE 01 27 33 | 3134GWCD6 | gb | 13,000 | $13,000 | thousands by filing date | principal |
| Caterpillar Inc. | 149123101 | COM | 68 | $12,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 59 | $12,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 138 | $12,000 | thousands by filing date | |
| OTIS WORLDWIDE CORP COM | 68902V107 | Stock | 142 | $12,000 | thousands by filing date | |
| FRANKLIN GROWTH ADV | 353496839 | NTF EQUITY FUNDS | 78 | $12,000 | thousands by filing date | |
| COMMERCIAL MORTG 5point75percent33 ABS SPCL DUE 11 25 33 FACTOR 0point148585670268 | 22541QL75 | gm | 75,000 | $12,000 | thousands by filing date | principal |
| FHLMC 4percent43 MBS CMO DUE 01 15 43 FACTOR 0point106150200000 | 3137AXSX2 | gm | 100,000 | $12,000 | thousands by filing date | principal |
| MORTGAGE ASSET SECU 6percent34 ABS SPCL DUE 06 25 34 FACTOR 0point044594033144 | 576434RG1 | gm | 250,000 | $12,000 | thousands by filing date | principal |
| Oracle Corporation | 68389X105 | COM | 123 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B169 | CMN | 174 | $11,000 | thousands by filing date | |
| AMERICAN WASHINGTON MUTUAL INVESTORS FUND CLASS F2 | 939330825 | Mutual Fund | 203 | $11,000 | thousands by filing date | |
| DUNHAM LONG SHORT CREDIT FUND CLASS N | 265458885 | mf | 1,147 | $11,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 75 | $10,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 52 | $10,000 | thousands by filing date | |
| DUNHAM CORPORATE GOVERNM ENT BOND N | 265458307 | mf | 721 | $10,000 | thousands by filing date | |
| DUNHAM INTERNATIONAL OPP ORTUNITY BOND N | 265458448 | mf | 1,062 | $10,000 | thousands by filing date | |
| FEDERAL NTNL MO 4point604percent33 ABS SPCL DUE 09 26 33 FACTOR 0point094677610000 | 31393AV61 | gm | 100,000 | $10,000 | thousands by filing date | principal |
| KFW 5point5percent33 MBS CMO DUE 11 25 33 FACTOR 1point000000000000 | 92922FMN5 | gm | 10,000 | $10,000 | thousands by filing date | principal |
| KFW 5point25percent33 ABS SPCL DUE 10 25 33 FACTOR 0point114591312000 | 92922FEV6 | gm | 85,000 | $10,000 | thousands by filing date | principal |
| REYNOLDS AMERN I 6point15percent43 DUE 09 15 43 | 761713AZ9 | cb | 8,000 | $10,000 | thousands by filing date | principal |
| STRUCTURED ASS 2point3809percent34 ABS SPCL DUE 10 25 34 FACTOR 0point025180716534 | 863579CC0 | gm | 400,000 | $10,000 | thousands by filing date | principal |
| Netflix, Inc | 64110L106 | COM | 14 | $9,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 16 | $9,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 51 | $9,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 800 | $9,000 | thousands by filing date | |
| T ROWE PRICE NEW HORIZON FD | 779562107 | MUTUAL | 97 | $9,000 | thousands by filing date | |
| JPMORGAN INTERNATIONAL F | 48121L163 | MFC | 336 | $9,000 | thousands by filing date | |
| NORTHERN | 665162582 | MUTUAL FUND | 678 | $9,000 | thousands by filing date | |
| BNY Mellon Family Of Funds Int | 05587K741 | OTHER | 344 | $9,000 | thousands by filing date | |
| AMERIQUEST MORTGAGE 7percent29 ABS SPCL DUE 04 25 29 FACTOR 0point002141493248 | 12669BAA0 | gm | 4,000,000 | $9,000 | thousands by filing date | principal |
| CITICORP MORTGAG 5point25percent35 MBS CMO DUE 08 25 35 FACTOR 1point000000000000 | 172973Y45 | gm | 9,000 | $9,000 | thousands by filing date | principal |
| American Tower Corporation | 03027X100 | COM | 32 | $8,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 200 | $8,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 75 | $8,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 103 | $8,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 105 | $8,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 133 | $8,000 | thousands by filing date | |
| FIDELITY LOW-PRICED STOCK | 316345305 | MFD | 159 | $8,000 | thousands by filing date | |
| DODGE & COX STOCK FUND | 256219106 | SHS | 32 | $8,000 | thousands by filing date | |
| NEW CENTURY MORTGAG 6percent34 ABS SPCL DUE 09 25 34 FACTOR 0point021632748696 | 36242DCH4 | gm | 300,000 | $8,000 | thousands by filing date | principal |
| Booking Holdings Inc. | 09857L108 | COM | 3 | $7,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 20 | $7,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 43 | $7,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 29 | $7,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 107 | $7,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2027 CORPORATE BOND ETF | 46138J783 | ETF | 340 | $7,000 | thousands by filing date | |
| MFS VALUE I | 552983694 | NTF EQUITY FUNDS | 133 | $7,000 | thousands by filing date | |
| DUNHAM HIGH YIELD BOND N | 265458604 | mf | 775 | $7,000 | thousands by filing date | |
| FHLMC 5point5percent33 MBS CMO DUE 01 15 33 FACTOR 0point121977430000 | 31393J3Z9 | gm | 50,000 | $7,000 | thousands by filing date | principal |
| Charles Schwab Corp | 808513105 | COM | 78 | $6,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 18 | $6,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 97 | $6,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 88 | $6,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 39 | $6,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 95 | $6,000 | thousands by filing date | |
| Medtronic | BTN1Y11US | MDT | 51 | $6,000 | thousands by filing date | |
| BARON EMERGING MARKETS FUND INST'L CLASS | 06828M876 | Mutual Fund | 330 | $6,000 | thousands by filing date | |
| DRIEHAUS EMERGING MARKETS GROWTH INSTL | 262028756 | EQUITY FUNDS | 126 | $6,000 | thousands by filing date | |
| AMERICAN CENTURY EQUITY GROWTH INV | 02507M600 | mf | 164 | $6,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 27 | $5,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 22 | $5,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 90 | $5,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 6 | $5,000 | thousands by filing date | |
| AON PLC SHS CL A | G0403H108 | Stock | 17 | $5,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 16 | $5,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 6 | $5,000 | thousands by filing date | |
| AMER EUROPACIFIC GRWTH Cl F-2 | 29875E100 | IFD | 69 | $5,000 | thousands by filing date | |
| PGIM HIGH YIELD R6 | 74440Y884 | BOND FUNDS | 918 | $5,000 | thousands by filing date | |
| UNITED STATES TREAS NTS 2.25 11/15/2027 | 9128283F5 | Govt Bond | 5,000 | $5,000 | thousands by filing date | principal |
| Vanguard GNMA Fund Investor Sh | 922031307 | ETF | 512 | $5,000 | thousands by filing date | |
| US TREASURY | 9128283p3 | FIXED | 5,000 | $5,000 | thousands by filing date | principal |
| FEDERAL NTNL MO 6point589percent31 ABS SPCL DUE 10 25 31 FACTOR 0point008184920000 | 313920XZ8 | gm | 500,000 | $5,000 | thousands by filing date | principal |
| STRUCTURED ASS 6point3306percent31 ABS SPCL DUE 03 25 31 FACTOR 0point000820084305 | 073914VW0 | gm | 4,850,000 | $5,000 | thousands by filing date | principal |
| US TREASUR NT 2 percent 12 21 UST NOTE DUE 12 31 21 | 912828U81 | tn | 5,000 | $5,000 | thousands by filing date | principal |
| Comcast Corp | 20030N101 | COM | 72 | $4,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 39 | $4,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 28 | $4,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 42 | $4,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 95 | $4,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 40 | $4,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 18 | $4,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 6 | $4,000 | thousands by filing date | |
| ORGANON & CO COMMON STOCK | 68622V106 | Stock | 133 | $4,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 11 | $4,000 | thousands by filing date | |
| IDEXX LABS INC COM | 45168D104 | Stock | 6 | $4,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 11 | $4,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 100 | $4,000 | thousands by filing date | |
| VANGUARD SPECIALIZED PORTF | 921908877 | Real Assets, Listed Real Estate | 26 | $4,000 | thousands by filing date | |
| BARON SMALL CAP INSTL | 068278803 | EQUITY FUNDS | 84 | $4,000 | thousands by filing date | |
| HARTFORD MIDCAP FUND | 41664M870 | MUTUAL | 119 | $4,000 | thousands by filing date | |
| PIMCO LONG-TERM CREDIT B | 72201P647 | BOND FUNDS | 307 | $4,000 | thousands by filing date | |
| Cohen & Steers Global Infrastr | 19248B404 | Common | 180 | $4,000 | thousands by filing date | |
| ALLSPRING SMALL COMPANY GROWTH INST | 949921571 | mf | 54 | $4,000 | thousands by filing date | |
| FEDERAL NTNL MOR 5point61percent32 ABS SPCL DUE 01 25 32 FACTOR 0point009045840000 | 3139216U7 | gm | 360,000 | $4,000 | thousands by filing date | principal |
| Chevron Corporation | 166764100 | COM | 30 | $3,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 46 | $3,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 28 | $3,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 7 | $3,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 47 | $3,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 64 | $3,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 22 | $3,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 54 | $3,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 25 | $3,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 8 | $3,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 34 | $3,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 8 | $3,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 11 | $3,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 35 | $3,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 17 | $3,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 5 | $3,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 13 | $3,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 10 | $3,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 2 | $3,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 11 | $3,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 100 | $3,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 43 | $3,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 37 | $3,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 17 | $3,000 | thousands by filing date | |
| SCHWAB TOTAL STOCK MKT-SEL | 808509756 | MFD | 45 | $3,000 | thousands by filing date | |
| PRINCIPAL SMALL-MIDCAP DIVIDEND INC INST | 74255L738 | NTF EQUITY FUNDS | 153 | $3,000 | thousands by filing date | |
| ALLSPRING EMERGING MARKE TS EQUITY INST | 94975P751 | SHS | 96 | $3,000 | thousands by filing date | |
| ALLSPRING SPECIAL MID CAP VALUE INST | 949915482 | NTF EQUITY FUNDS | 54 | $3,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 200 | $3,000 | thousands by filing date | |
| VANGUARD FIXED INC S/T FED | 922031604 | MF | 230 | $3,000 | thousands by filing date | |
| FHLMC 5percent35 MBS CMO DUE 11 15 35 FACTOR 0point087757620000 | 31396FM83 | gm | 30,000 | $3,000 | thousands by filing date | principal |
| KFW 5point5percent33 ABS SPCL DUE 05 25 33 FACTOR 0point003677032243 | 929227Y83 | gm | 810,000 | $3,000 | thousands by filing date | principal |
| DUNHAM MONTHLY DISTRIBUT ION N | 265458620 | mf | 83 | $3,000 | thousands by filing date | |
| DUNHAM FLOATING RATE BON D N | 265458414 | mf | 320 | $3,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 85 | $2,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 30 | $2,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 16 | $2,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 32 | $2,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 22 | $2,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 8 | $2,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 11 | $2,000 | thousands by filing date | |
| COSTAR GROUP INC COM | 22160N109 | Stock | 20 | $2,000 | thousands by filing date | |
| L3HARRIS TECHNOLOGIES INC COM | 502431109 | Stock | 9 | $2,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 26 | $2,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 300 | $2,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 41 | $2,000 | thousands by filing date | |
| CORTEVA INC COM | 22052L104 | Stock | 43 | $2,000 | thousands by filing date | |
| VERISK ANALYTICS INC COM | 92345Y106 | Stock | 9 | $2,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 12 | $2,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 27 | $2,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 17 | $2,000 | thousands by filing date | |
| MONSTER BEVERAGE CORP NEW COM | 61174X109 | Stock | 21 | $2,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 25 | $2,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 23 | $2,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 26 | $2,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 53 | $2,000 | thousands by filing date | |
| VANGUARD GROWTH INDEX (ADM) | 922908660 | MFD | 13 | $2,000 | thousands by filing date | |
| Eaton Vance Global Macro Abs Ret I | 277923728 | MF | 282 | $2,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 43 | $2,000 | thousands by filing date | |
| ONEOK, INC 5 85 26 DUE 01/15/26 | 682680BD4 | CORPORATE BONDS | 2,000 | $2,000 | thousands by filing date | principal |
| AMERIQUEST MORTG 6point25percent33 ABS SPCL DUE 12 25 33 FACTOR 0point001755767773 | 12669FFD0 | gm | 900,000 | $2,000 | thousands by filing date | principal |
| CITICORP MORTGAGE S 5XXX MATURED FACTOR 0point001466066921 | 1729735F2 | gm | 1,525,000 | $2,000 | thousands by filing date | principal |
| PT INDOSAT TBK ORDF | Y7130D110 | cs | 5,000 | $2,000 | thousands by filing date | |
| CITIGROUP INC | 179267424 | cs | 30 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 11 | $1,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 19 | $1,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 41 | $1,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 15 | $1,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 20 | $1,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 7 | $1,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 11 | $1,000 | thousands by filing date | |
| AMCOR PLC | G0250X107 | ORD | 115 | $1,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 100 | $1,000 | thousands by filing date | |
| MARKETAXESS HLDGS INC | 57060D108 | COM | 3 | $1,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 42 | $1,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 13 | $1,000 | thousands by filing date | |
| First Eagle Global I | 32008F606 | Mutual Fund | 20 | $1,000 | thousands by filing date | |
| SCHWAB INTERNATIONAL INDEX | 808509830 | SCHWAB MUTL FUNDS | 55 | $1,000 | thousands by filing date | |
| DUNHAM FDS | 265458786 | INTL STK FD N | 32 | $1,000 | thousands by filing date | |
| CHAMPLAIN SMALL COMPANY INSTITUTIONAL | 00766Y190 | EQUITY FUNDS | 59 | $1,000 | thousands by filing date | |
| WELLS FARGO ASSE 4point98percent34 ABS SPCL DUE 04 25 34 FACTOR 0point001292508149 | 94980GAK7 | gm | 560,000 | $1,000 | thousands by filing date | principal |
| DUNHAM EMERGING MARKETS STOCK N | 265458653 | mf | 27 | $1,000 | thousands by filing date | |
| DUNHAM FOCUSED LARGE CAP GROWTH N | 265458554 | mf | 13 | $1,000 | thousands by filing date | |
| DUNHAM LARGE CAP VALUE N | 265458851 | mf | 30 | $1,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KONTOOR BRANDS INC | 50050N103 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CANTALOUPE INC | 138103106 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEGEND OIL AND GAS LTD | 52490C101 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASSISTED LIVING CONCPT NEV N | 04544X300 | CL A NEW | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COLUMBIA STRATEGIC INCOME FUND | 19765L694 | MUT | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| PACIFIC CENTURY PREMIUM DEVELOPMENTS LTD ISIN #BMG6844T1229 SEDOL #B8180J7 | G6844T122 | COMMON STOCK | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST PACIFIC ADVISORS | 302544101 | MUTUAL FUNDS - | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| 100000TH BARABOO BANCORP | AGH021101 | cs | 66,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PLATA PERU RES INC F | 727917106 | cs | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PUTNAM INTERNATIONAL CAP ITAL OPP A | 746802859 | mf | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENTING BERHAD F SPONSORED ADR 1 ADR REPS 1 ORD SHS | 372452201 | cs | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERN AMMUNITION INC XXX BANKRUPT EFF 02 07 14 | 238262009 | cs | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PCCW LIMITED ORDF | 867270209 | cs | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DUNHAM DYNAMIC MACRO N | 265458588 | mf | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DUNHAM REAL ESTATE STOCK N | 265458828 | mf | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DUNHAM SMALL CAP GROWTH N | 265458687 | mf | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DUNHAM SMALL CAP VALUE N | 265458752 | mf | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-21-013668 | this filing | 2021-10-29 | acceptance time not in the bulk data set |