13F-HR filed by Empirical Financial Services, LLC d.b.a. Empirical Wealth Management
Empirical Financial Services, LLC d.b.a. Empirical Wealth Management filed this 13F-HR for the quarter ended 2018-03-31, filed 2018-05-14, with 202 holding rows worth $507,015,000.
- Accession
- 0001085146-18-001363
- Filer
- CIK 1510434
- Filed
- 2018-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2018
A holdings report, 202 entries on the cover page, a total value of $507,015,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $507,015,000 with VALUE read as thousands by filing date, 13F file number 028-14067. A later restatement replaced it, so the quarter does not use it. 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 |
|---|---|---|---|---|---|---|
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 857,412 | $101,466,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 483,226 | $62,212,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 633,767 | $44,133,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 209,631 | $30,735,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 324,442 | $26,597,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 570,327 | $22,065,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 108,683 | $11,695,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 58,959 | $9,938,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 78,031 | $9,526,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 128,340 | $8,880,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 147,762 | $8,523,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 51,970 | $6,520,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 45,194 | $5,690,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 106,746 | $5,400,000 | thousands by filing date | |
| VTI | 922908769 | COM | 27,827 | $5,255,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 33,692 | $5,221,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 232,058 | $5,105,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 51,216 | $4,911,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 72,503 | $4,252,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 10,382 | $3,951,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 863 | $3,856,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 11,736 | $3,478,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 65,657 | $3,061,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 12,308 | $2,971,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 14,073 | $2,930,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 21,420 | $2,727,000 | thousands by filing date | |
| HYD | 92189F361 | ETF | 66,513 | $2,618,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 92,706 | $2,475,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 7,955 | $2,376,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 25,020 | $2,142,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 37,793 | $1,964,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 43,177 | $1,875,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 9,966 | $1,865,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 11,738 | $1,857,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 18,899 | $1,832,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 25,953 | $1,829,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 95,002 | $1,822,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 71,333 | $1,799,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 30,842 | $1,786,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 75,880 | $1,777,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 6,980 | $1,766,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 13,510 | $1,737,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 0 | $1,737,000 | thousands by filing date | Amount filed as zero, left out of ratios. |
| Boeing Company | 097023105 | COM | 5,553 | $1,696,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 15,271 | $1,656,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 60,030 | $1,558,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 13,088 | $1,542,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 18,342 | $1,465,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 36,036 | $1,443,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 6,667 | $1,427,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 15,418 | $1,408,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 13,578 | $1,399,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 12,548 | $1,395,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 5,747 | $1,203,000 | thousands by filing date | |
| Guggenheim BulletShares 2023 C | 18383M241 | ETF | 44,552 | $1,193,000 | thousands by filing date | |
| BulletShares 2024 Corporate | 18383M233 | COM | 45,463 | $1,187,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 22,332 | $1,035,000 | thousands by filing date | |
| Vaneck Vectors AMT-Free Inter | 92189F544 | ETF | 34,271 | $995,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 36,170 | $967,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 46,673 | $944,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 13,240 | $934,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 35,897 | $930,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 9,194 | $924,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 4,162 | $919,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M225 | 2021 HG YLD CB | 35,996 | $906,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 26,441 | $893,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 6,285 | $892,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 9,971 | $889,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 33,948 | $888,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 5,666 | $882,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 5,084 | $878,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 8,474 | $831,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 2,444 | $816,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 225 | $793,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 4,812 | $752,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 16,823 | $748,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 10,550 | $726,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 4,163 | $716,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 7,393 | $713,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 24,996 | $709,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 3,000 | $698,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 4,468 | $692,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 3,005 | $675,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 686 | $667,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 8,856 | $667,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 5,480 | $665,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 19,882 | $661,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 5,375 | $646,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 6,831 | $620,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 4,303 | $591,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 9,259 | $580,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 5,036 | $576,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 15,856 | $571,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 1,892 | $530,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 3,590 | $528,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 12,025 | $520,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,480 | $516,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 3,290 | $507,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 10,690 | $506,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 8,771 | $497,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 22,302 | $490,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 2,615 | $488,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 1,618 | $483,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 5,398 | $477,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 9,831 | $475,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 8,279 | $446,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 3,112 | $414,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 50,102 | $405,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 4,171 | $400,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 1,814 | $398,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 6,121 | $395,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 12,142 | $387,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 3,590 | $380,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 3,834 | $377,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 1,626 | $371,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 4,412 | $363,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 23,485 | $362,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 2,615 | $351,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 6,750 | $346,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 14,122 | $346,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 3,876 | $343,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 685 | $342,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 133,129 | $337,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 1,362 | $330,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 11,562 | $327,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 4,946 | $326,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 5,191 | $321,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 939 | $321,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 7,405 | $316,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 2,788 | $304,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,170 | $299,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 4,219 | $299,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 8,203 | $298,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 7,323 | $297,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 2,019 | $297,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 79 | $296,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 2,280 | $293,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 5,656 | $281,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 362 | $280,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 5,202 | $277,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 13,659 | $268,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 3,819 | $264,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 5,241 | $264,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 1,510 | $263,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 1,360 | $259,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 2,883 | $259,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 1,766 | $254,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 462 | $252,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 1,600 | $245,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 1,028 | $240,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 8,640 | $236,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 5,337 | $234,000 | thousands by filing date | |
| IJH | 464287507 | COM | 241 | $233,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 13,266 | $232,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 4,530 | $232,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 4,283 | $222,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 0 | $221,000 | thousands by filing date | Amount filed as zero, left out of ratios. |
| SPLUNK INC | 848637104 | COM | 18,298 | $214,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 730 | $212,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 1,927 | $210,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 2,829 | $210,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 1,738 | $207,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 380 | $207,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 4,887 | $204,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 2,382 | $201,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 20,000 | $139,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 239,428 | $135,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 14,478 | $132,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 48,466 | $121,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 39,608 | $63,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 15,033 | $63,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 24,270 | $56,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 18,256 | $46,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 15,765 | $45,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 10,992 | $44,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 13,248 | $41,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 14,309 | $39,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 20,329 | $38,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 250,279 | $34,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| Salesforce.com, Inc | 79466L302 | COM | 31,231 | $34,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 10,200 | $31,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 31,344 | $29,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 11,648 | $28,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 13,443 | $28,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 11,023 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 20,287 | $23,000 | thousands by filing date | |
| CNO FINL GROUP INC | 12621E103 | COM | 269,511 | $21,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| RITEAID CORP | 767754104 | COM | 10,000 | $17,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 16,714 | $16,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 11,300 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 23,003 | $13,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 13,078 | $9,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 14,380 | $6,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 18,080 | $6,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 15,618 | $6,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 74,395 | $3,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 15,268 | $3,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 45,061 | $2,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| BEST BUY INC COM | 086516101 | Stock | 166,115 | $2,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 21,577 | $1,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 13,964 | $1,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 436,301 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-18-001363 | this filing | 2018-05-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001085146-18-001421 | base | 2018-05-14 | acceptance time not in the bulk data set |