13F-HR filed by Dakota Wealth Management
Dakota Wealth Management filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-14, with 309 holding rows worth $580,936,000.
- Accession
- 0001085146-19-002985
- Filer
- CIK 1631353
- Filed
- 2019-11-14
- 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, 389 entries on the cover page, a total value of $580,936,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $580,936,000 with VALUE read as thousands by filing date, 13F file number 028-16362. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerCRAWFORD INVESTMENT COUNSEL INC028-02354
- included managerDakota Wealth Management028-16362
- included managerEATON VANCE MANAGEMENT028-04139
- included managerFirst Fiduciary Investment Counsel, Inc.028-07360
- included managerKarpus Management, Inc.028-11445
- included managerPOLEN CAPITAL MANAGEMENT LLC028-03687
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 |
|---|---|---|---|---|---|---|
| ESSEX PPTY TR INC COM | 297178105 | REIT | 81,000 | $26,459,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 56,448 | $19,896,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 116,829 | $18,649,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 99,701 | $13,861,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 61,591 | $13,794,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 202,491 | $13,204,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 81,213 | $10,584,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 60,978 | $10,489,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 65,795 | $9,957,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 242,982 | $9,931,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 41,169 | $9,552,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 411,483 | $9,295,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 153,780 | $9,282,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 112,550 | $9,122,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 4,678 | $8,120,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 65,468 | $7,770,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 170,614 | $7,488,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 24,857 | $7,240,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 59,267 | $7,113,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 23,800 | $7,063,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 250,859 | $6,776,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 20,815 | $6,178,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 115,742 | $5,836,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 35,320 | $5,812,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 110,732 | $5,743,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 114,271 | $5,702,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 150,733 | $5,657,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 66,991 | $5,545,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 422,795 | $5,479,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 57,434 | $5,096,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 43,034 | $5,065,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 56,303 | $4,978,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 343,050 | $4,909,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 341,585 | $4,905,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 74,653 | $4,785,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 55,034 | $4,633,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 16,960 | $4,605,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 34,897 | $3,949,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 20,370 | $3,926,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 47,463 | $3,822,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 21,493 | $3,574,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 27,675 | $3,528,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 180,162 | $3,524,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 33,824 | $3,504,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 29,975 | $3,486,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 12,347 | $3,366,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 8,560 | $3,257,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 55,672 | $3,225,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 226,223 | $3,045,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 39,276 | $3,034,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 23,963 | $2,985,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 17,451 | $2,944,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 53,439 | $2,868,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 210,335 | $2,854,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 18,351 | $2,824,000 | thousands by filing date | |
| VTI | 922908769 | COM | 18,558 | $2,803,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G870 | VAR RATE PFD | 108,628 | $2,761,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 16,943 | $2,735,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 69,380 | $2,729,000 | thousands by filing date | |
| VanEck High Yield Muni ETF | 92189H409 | SHS | 41,939 | $2,702,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 12,468 | $2,677,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 28,116 | $2,647,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 127,073 | $2,619,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 63,848 | $2,570,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 8,479 | $2,531,000 | thousands by filing date | |
| Booking Holdings Inc. | 09857L108 | COM | 1,275 | $2,503,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 55,081 | $2,483,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 18,682 | $2,456,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 20,368 | $2,429,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 25,054 | $2,353,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 30,410 | $2,337,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 12,109 | $2,329,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 31,144 | $2,282,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 48,334 | $2,239,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 31,660 | $2,236,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 29,395 | $2,226,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 43,850 | $2,207,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 23,388 | $2,161,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 14,803 | $2,153,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 35,028 | $1,960,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 12,103 | $1,917,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 50,497 | $1,911,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 165,627 | $1,877,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 14,960 | $1,861,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 3,293 | $1,810,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 13,830 | $1,774,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 15,805 | $1,748,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 13,686 | $1,703,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 19,473 | $1,697,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 1,371 | $1,672,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 31,122 | $1,669,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 9,118 | $1,642,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 119,188 | $1,623,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 8,460 | $1,597,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754106 | COM | 159,950 | $1,593,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 14,927 | $1,591,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 8,424 | $1,425,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 10,918 | $1,411,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 8,974 | $1,404,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 38,088 | $1,327,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 9,607 | $1,318,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 31,883 | $1,310,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 9,246 | $1,284,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 4,470 | $1,235,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 4,398 | $1,205,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 49,671 | $1,203,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 1,095 | $1,188,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 15,385 | $1,168,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 10,497 | $1,155,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 23,120 | $1,142,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 929 | $1,135,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 7,107 | $1,079,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 75,179 | $1,064,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 33,409 | $1,031,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 15,190 | $1,019,000 | thousands by filing date | |
| GRAF INDL CORP | 384278107 | COM | 100,950 | $1,013,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 8,951 | $999,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 7,682 | $994,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 9,249 | $989,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 10,829 | $988,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 10,663 | $984,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 96,175 | $974,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 4,875 | $970,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 4,654 | $968,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 9,426 | $965,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 15,586 | $950,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 102,081 | $944,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R101 | CLASS A | 93,075 | $934,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 33,904 | $928,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 25,767 | $926,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 67,188 | $919,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 10,823 | $918,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 3,448 | $917,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 4,212 | $911,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 60,750 | $911,000 | thousands by filing date | |
| UPHEALTH INC | 375036100 | Common Stock | 91,800 | $902,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 7,183 | $895,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 62,099 | $894,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 19,337 | $890,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 7,393 | $883,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 7,157 | $882,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 17,888 | $876,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 18,790 | $874,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 4,867 | $867,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 66,287 | $865,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 83,600 | $858,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 6,747 | $856,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 131,850 | $802,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 11,988 | $792,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 9,059 | $792,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 3,621 | $786,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 6,602 | $783,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 54,375 | $775,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 8,152 | $760,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 15,318 | $754,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 58,158 | $754,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 55,225 | $752,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 12,747 | $730,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 72,175 | $730,000 | thousands by filing date | |
| EDTECHX HLDGS ACQUISITION CO | 28138X103 | COM | 71,400 | $725,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 49,637 | $701,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P200 | ST STR TOTAL ETF | 13,555 | $673,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 7,398 | $663,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 4,534 | $662,000 | thousands by filing date | |
| BOXWOOD MERGER CORP; TNT ACQ DT: 11/16/2020; CASH | 10319t101 | COM | 65,725 | $662,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X105 | CL A | 65,318 | $638,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 2,497 | $632,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 2,612 | $608,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 39,900 | $603,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 2,716 | $590,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 6,102 | $590,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q106 | CL A | 56,000 | $574,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 7,079 | $572,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 1,975 | $569,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 20,711 | $556,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 5,113 | $553,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 2,370 | $552,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 10,456 | $539,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 3,146 | $532,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 35,069 | $527,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 35,565 | $524,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 3,630 | $513,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 9,250 | $504,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 9,873 | $500,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 43,020 | $477,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 33,972 | $477,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745105 | COM CLASS A | 46,725 | $476,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 12,882 | $454,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 7,305 | $449,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F387 | SHRT HGH YLD MUN | 17,773 | $448,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 11,341 | $444,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 6,000 | $442,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 7,585 | $433,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 29,736 | $430,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 7,403 | $428,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 7,703 | $424,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N103 | COM | 41,575 | $424,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 12,000 | $421,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 2,174 | $419,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 4,816 | $419,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 4,942 | $417,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 3,431 | $411,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 10,012 | $409,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 9,010 | $407,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 3,404 | $388,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 1,743 | $385,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 2,341 | $385,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 964 | $384,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 6,271 | $383,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 2,054 | $380,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 12,977 | $379,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G862 | FLOAT RATE ETF | 15,000 | $374,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 5,017 | $370,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 7,538 | $368,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 4,016 | $366,000 | thousands by filing date | |
| ACAMAR PARTNERS ACQSITION CO | 004285102 | CL A | 37,400 | $365,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 2,560 | $364,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 1,829 | $359,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 35,153 | $349,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 2,500 | $348,000 | thousands by filing date | put |
| USBANCORPDEL | 902973304 | COM NEW | 6,190 | $343,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 32,496 | $343,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 2,000 | $339,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 5,929 | $331,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 6,170 | $329,000 | thousands by filing date | |
| B RILEY PRINCIPAL MERGER CORP | 05586Y106 | Com | 33,033 | $327,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784106 | CL A COM STK | 32,250 | $326,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 24,250 | $325,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 24,056 | $323,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 20,357 | $322,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 1,911 | $320,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 27,416 | $318,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 22,750 | $313,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 31,881 | $311,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C104 | CL A COM | 30,775 | $308,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 11,666 | $301,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 1,824 | $295,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 3,778 | $294,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 23,600 | $294,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 9,664 | $290,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 20,732 | $287,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 2,364 | $280,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 3,337 | $279,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 9,424 | $277,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 11,500 | $276,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 1,733 | $275,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 24,180 | $275,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 768 | $274,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 3,731 | $274,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 2,267 | $271,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 30,517 | $268,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N107 | COM CL A | 26,325 | $266,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 5,745 | $259,000 | thousands by filing date | |
| CHASERG TECHNOLOGY ACQ CORP; TNT ACQ DT: 4/4/2020 | 16166a103 | COM | 25,825 | $259,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 957 | $257,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 24,650 | $251,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 5,688 | $246,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 1,300 | $245,000 | thousands by filing date | put |
| AXONENTERPRISEINC | 05464C101 | STOK | 4,275 | $243,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 4,691 | $242,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 3,890 | $240,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 9,000 | $240,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 6,597 | $240,000 | thousands by filing date | |
| IAC INTERACTIVECORP | 44919P508 | COM | 1,100 | $240,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 15,000 | $235,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 4,240 | $235,000 | thousands by filing date | |
| ALCON AG ORD SHS | H01301128 | Stock | 3,920 | $229,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 6,902 | $229,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 7,911 | $229,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 24,200 | $226,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 2,010 | $225,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 15,917 | $225,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 14,824 | $223,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 3,909 | $221,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 17,175 | $221,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 1,516 | $217,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 399 | $215,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 1,375 | $215,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 5,403 | $215,000 | thousands by filing date | |
| SCHULTZE SPL PURP ACQUSTN CO COM | 80821R109 | Stock | 21,525 | $214,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E537 | NATL AMT MUNI | 7,905 | $210,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 4,062 | $207,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 14,158 | $204,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 2,757 | $203,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P100 | COM | 19,450 | $202,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 2,328 | $201,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 1,990 | $200,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 5,833 | $200,000 | thousands by filing date | |
| SCIENJOY HOLDING CORP SHS | G4887W110 | Common Stock | 19,775 | $199,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 20,328 | $187,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 26,758 | $183,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 25,000 | $181,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 15,047 | $173,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 11,625 | $169,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP | 89154L100 | CL A | 16,700 | $164,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 22,430 | $163,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 15,650 | $162,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 10,000 | $144,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 10,573 | $135,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 11,050 | $128,000 | thousands by filing date | |
| DIAMONDPEAK HLDGS COR | 25280H100 | COM CL A | 12,500 | $123,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 12,265 | $115,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 10,715 | $112,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U108 | COM CL A | 11,250 | $111,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 16,225 | $88,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 20,000 | $86,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 22,500 | $20,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SPY | 78462F103 | SHS | 600 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-002985 | this filing | 2019-11-14 | acceptance time not in the bulk data set |