13F-HR filed by Wambolt & Associates, LLC
Wambolt & Associates, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-15, with 157 holding rows worth $121,098,000.
- Accession
- 0001085146-19-002523
- Filer
- CIK 1755723
- Filed
- 2019-10-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 157 entries on the cover page, a total value of $121,098,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $121,098,000 with VALUE read as thousands by filing date, 13F file number 028-18985. 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 |
|---|---|---|---|---|---|---|
| United Parcel Service,Inc. Class B | 911312106 | COM | 42,548 | $5,098,000 | thousands by filing date | |
| INVESCO TR II ETF S&P INTL DEV LOW LOW VOLATILITY | 46138E230 | ETF | 90,977 | $3,108,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 71,504 | $3,090,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 25,642 | $3,078,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 24,793 | $2,680,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 98,923 | $2,563,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 92,780 | $2,230,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 21,499 | $2,192,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 135,487 | $2,143,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 28,094 | $2,070,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 215,816 | $1,973,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 33,028 | $1,912,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 20,248 | $1,907,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 8,353 | $1,871,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 12,834 | $1,784,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 35,979 | $1,778,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 19,178 | $1,716,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V266 | S&P500 PUR GWT | 13,768 | $1,631,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 8,977 | $1,599,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 29,697 | $1,595,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 19,315 | $1,555,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 83,034 | $1,547,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 29,418 | $1,510,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V258 | S&P500 PUR VAL | 22,135 | $1,435,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 94,795 | $1,424,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 19,929 | $1,408,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 29,476 | $1,396,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 43,424 | $1,138,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 9,395 | $1,080,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 14,129 | $1,032,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 15,450 | $1,024,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 837 | $1,022,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 3,431 | $1,018,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 4,613 | $990,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 10,523 | $981,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 7,166 | $930,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 15,325 | $925,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 15,019 | $920,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 10,742 | $915,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 15,139 | $902,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 42,923 | $901,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 55,895 | $899,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 4,138 | $861,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 9,574 | $849,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 6,765 | $841,000 | thousands by filing date | |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 29,670 | $839,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 6,870 | $815,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 9,331 | $811,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 21,210 | $793,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 63,173 | $777,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 8,892 | $767,000 | thousands by filing date | |
| Booking Holdings Inc. | 09857L108 | COM | 390 | $765,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 3,374 | $749,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 4,496 | $728,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 2,493 | $726,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 2,586 | $702,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 20,385 | $692,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 23,992 | $686,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 29,752 | $672,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 4,696 | $641,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 3,715 | $639,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 17,426 | $633,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 6,830 | $611,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 51,814 | $601,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 10,470 | $584,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 1,031 | $567,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 18,446 | $567,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 2,409 | $559,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 15,410 | $554,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 6,603 | $547,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 1,227 | $547,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 313 | $543,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 9,903 | $539,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 4,828 | $531,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 4,470 | $526,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 1,758 | $525,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 27,341 | $515,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 6,746 | $512,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 9,967 | $503,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 6,021 | $501,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 3,374 | $491,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 3,764 | $491,000 | thousands by filing date | |
| MARKELGROUPINC | 570535104 | STOK | 413 | $488,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 3,921 | $488,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 4,223 | $482,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 6,801 | $480,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 2,275 | $472,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 7,005 | $468,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 4,565 | $467,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 6,907 | $448,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 6,828 | $442,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 4,572 | $441,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 3,717 | $438,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 5,396 | $437,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 1,635 | $435,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 5,364 | $435,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 5,678 | $430,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 6,784 | $428,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 4,371 | $419,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 2,439 | $413,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 2,454 | $411,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 2,501 | $409,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 4,607 | $407,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 2,431 | $393,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,550 | $392,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 3,424 | $387,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 7,103 | $384,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 6,171 | $371,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 2,258 | $365,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 13,017 | $365,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 2,353 | $362,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 12,944 | $359,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 5,441 | $355,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,608 | $350,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 1,617 | $348,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 6,182 | $340,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 2,140 | $340,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 2,053 | $331,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 1,140 | $327,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 1,319 | $323,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 6,023 | $313,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 5,711 | $312,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 1,394 | $312,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 1,607 | $303,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 7,382 | $302,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 1,458 | $301,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 6,653 | $298,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,172 | $294,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 7,436 | $290,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 2,602 | $285,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 2,097 | $271,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 2,323 | $267,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 2,023 | $261,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 2,199 | $257,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 18,789 | $256,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 1,870 | $251,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 5,526 | $251,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 6,578 | $249,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 16,422 | $244,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 4,835 | $241,000 | thousands by filing date | |
| LITTELFUSE INC COM | 537008104 | Stock | 1,361 | $241,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V183 | S&P SML 600 EQ | 4,296 | $229,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 8,932 | $225,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 938 | $219,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 1,236 | $215,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 5,516 | $215,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 10,301 | $213,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 4,576 | $211,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 1,773 | $210,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 12,431 | $210,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 20,993 | $205,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 3,435 | $202,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 2,732 | $201,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 3,975 | $201,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 11,677 | $191,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 46,607 | $123,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 33,165 | $29,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-002523 | this filing | 2019-10-15 | acceptance time not in the bulk data set |