13F-HR filed by Castle Rock Wealth Management, LLC
Castle Rock Wealth Management, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-13, with 158 holding rows worth $96,289,000.
- Accession
- 0001085146-19-002906
- Filer
- CIK 1727605
- Filed
- 2019-11-13
- 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, 158 entries on the cover page, a total value of $96,289,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $96,289,000 with VALUE read as thousands by filing date, 13F file number 028-18292. 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 |
|---|---|---|---|---|---|---|
| Amazon.com, Inc | 023135106 | COM | 1,843 | $3,264,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 11,893 | $3,111,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 23,426 | $2,830,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 23,562 | $2,364,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 12,585 | $2,260,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 20,297 | $2,240,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 13,197 | $1,921,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 7,999 | $1,767,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 97,848 | $1,707,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 10,728 | $1,462,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E806 | SABA INT RATE | 66,607 | $1,342,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U886 | HENDRSN SHRT ETF | 26,829 | $1,336,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 15,444 | $1,294,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 24,668 | $1,280,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 5,474 | $1,269,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 28,488 | $1,121,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 4,367 | $1,110,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 9,539 | $1,064,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 69,874 | $1,039,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 18,558 | $997,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 3,419 | $948,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 14,215 | $946,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 44,756 | $892,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 7,709 | $891,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 12,406 | $890,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 2,399 | $881,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 13,670 | $866,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 2,757 | $848,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 14,863 | $842,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 11,207 | $827,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 100,205 | $826,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 588 | $764,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 47,576 | $761,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 13,020 | $760,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 50,824 | $759,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 10,745 | $752,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 2,542 | $738,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 5,563 | $734,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 12,890 | $726,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 5,331 | $725,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 15,922 | $722,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 8,318 | $713,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 7,370 | $691,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 6,162 | $681,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 1,923 | $673,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 12,943 | $671,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 8,293 | $663,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 506 | $657,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 2,191 | $654,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 3,360 | $647,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F643 | MRNGSTR WDE MOAT | 11,964 | $640,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 10,919 | $635,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 17,950 | $633,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 8,213 | $629,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 14,388 | $613,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 3,038 | $610,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 3,411 | $603,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 6,584 | $600,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 13,454 | $586,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 41,939 | $584,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 3,977 | $580,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 1,838 | $575,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 9,644 | $575,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 22,143 | $551,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 3,998 | $548,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 4,063 | $533,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 960 | $523,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 3,115 | $504,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 2,493 | $495,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 8,239 | $495,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 36,955 | $494,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 7,294 | $493,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 4,452 | $492,000 | thousands by filing date | |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 6,395 | $484,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 3,989 | $476,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 3,582 | $475,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 2,562 | $473,000 | thousands by filing date | |
| INVESCO | 46138J841 | EXCHANGE TRADED | 22,105 | $472,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,200 | $456,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 58,181 | $454,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 4,580 | $454,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 1,770 | $440,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 16,673 | $437,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 1,950 | $433,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 7,279 | $426,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 44,089 | $421,000 | thousands by filing date | |
| BROOKFIELD PPTY REIT INC | 11282X103 | CL A | 21,647 | $410,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 1,876 | $409,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 1,589 | $407,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 15,185 | $406,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,701 | $401,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 2,409 | $394,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 2,855 | $393,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 1,856 | $386,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V837 | DORSEY WRIGHT MO | 6,240 | $383,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 6,255 | $378,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 2,017 | $377,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 6,378 | $369,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 7,350 | $360,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 3,225 | $355,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 4,341 | $351,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 8,220 | $348,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 7,341 | $346,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G680 | S&P FINCIAL REVE | 4,800 | $346,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 2,316 | $334,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 8,913 | $329,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 6,100 | $326,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 5,855 | $321,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 3,130 | $318,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 3,053 | $313,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 4,550 | $311,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 2,762 | $310,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 6,067 | $306,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 1,762 | $300,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 2,430 | $294,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 4,900 | $289,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 5,308 | $283,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 5,150 | $280,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 3,192 | $277,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 1,573 | $276,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 1,197 | $274,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,459 | $272,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 1,423 | $272,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 17,060 | $258,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 7,466 | $245,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 16,142 | $243,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 5,108 | $240,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 2,130 | $234,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 7,775 | $231,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 1,000 | $229,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 1,900 | $229,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 4,550 | $229,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 818 | $227,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 4,477 | $226,000 | thousands by filing date | |
| STONECO LTD | G85158106 | COM CL A | 6,357 | $224,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y500 | ZACKS MULT AST | 9,650 | $223,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 9,796 | $221,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 2,437 | $220,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 2,600 | $220,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 4,347 | $219,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 6,256 | $216,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 1,805 | $215,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E107 | EQUAL WEGT 0-30 | 5,500 | $215,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 6,222 | $209,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 8,560 | $209,000 | thousands by filing date | |
| CERIDIAN HCM HLDG INC | 15677J108 | COM | 3,872 | $209,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 1,572 | $206,000 | thousands by filing date | |
| VTI | 922908769 | COM | 1,302 | $204,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 9,622 | $204,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 864 | $203,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 15,800 | $201,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 17,351 | $172,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 13,710 | $169,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 15,250 | $153,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 13,167 | $106,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 13,562 | $82,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 11,500 | $60,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 20,000 | $16,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-002906 | this filing | 2019-11-13 | acceptance time not in the bulk data set |