13F-HR filed by Annex Advisory Services, LLC
Annex Advisory Services, LLC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-10, with 155 holding rows worth $1,403,873,000.
- Accession
- 0001085146-20-000524
- Filer
- CIK 1542287
- Filed
- 2020-02-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 155 entries on the cover page, a total value of $1,403,873,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,403,873,000 with VALUE read as thousands by filing date, 13F file number 028-15012. 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 |
|---|---|---|---|---|---|---|
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 5,776,802 | $178,871,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 4,664,960 | $148,492,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 3,519,109 | $110,235,000 | thousands by filing date | |
| VTI | 922908769 | COM | 2,938,071 | $87,490,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 3,541,090 | $87,349,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 2,917,925 | $83,228,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 3,423,114 | $82,775,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 3,515,791 | $81,205,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 2,710,160 | $56,024,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 1,489,228 | $40,946,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 675,439 | $21,931,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 674,707 | $20,691,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 543,689 | $15,130,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 333,745 | $15,105,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 806,104 | $14,187,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 1,401,666 | $12,903,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 427,796 | $12,377,000 | thousands by filing date | |
| IJH | 464287507 | COM | 473,258 | $11,976,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 546,012 | $11,789,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 325,167 | $11,628,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 358,954 | $10,606,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 410,919 | $10,178,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 425,439 | $9,919,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 534,783 | $9,689,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 467,171 | $9,648,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 370,914 | $9,349,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 403,156 | $9,138,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 581,008 | $8,304,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 236,289 | $7,467,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 364,243 | $7,366,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 456,148 | $6,677,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 845,955 | $6,626,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 257,023 | $6,533,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 294,276 | $6,507,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 207,137 | $6,449,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 466,232 | $6,314,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 265,931 | $6,226,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 302,530 | $5,961,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 189,923 | $5,706,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 398,882 | $5,671,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 297,107 | $5,492,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 292,902 | $5,491,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 57,435 | $5,297,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 327,300 | $4,662,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 261,567 | $4,602,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 230,056 | $4,458,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 138,949 | $4,408,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 265,755 | $4,390,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 349,340 | $4,176,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 346,023 | $3,614,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 86,502 | $3,611,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 322,046 | $3,548,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 309,228 | $3,478,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 118,839 | $3,417,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 127,304 | $3,398,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 137,835 | $3,105,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 205,906 | $2,913,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 63,268 | $2,909,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 118,135 | $2,874,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 58,946 | $2,746,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 112,567 | $2,484,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 63,332 | $2,447,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 137,301 | $2,352,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 118,643 | $2,348,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 69,845 | $2,275,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 39,289 | $2,143,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 70,029 | $2,006,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 132,300 | $1,976,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 89,256 | $1,837,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 60,821 | $1,768,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 106,409 | $1,693,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 18,420 | $1,631,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 93,217 | $1,575,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 40,403 | $1,546,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 63,590 | $1,540,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 37,676 | $1,366,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 53,798 | $1,285,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 105,846 | $1,240,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 48,808 | $1,102,000 | thousands by filing date | |
| BANK FIRST CORP | 06211J100 | COM | 15,399 | $1,078,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 18,973 | $1,076,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 54,088 | $1,017,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 3,108 | $914,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 13,279 | $906,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 16,576 | $771,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 14,767 | $737,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 30,056 | $714,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 51,817 | $691,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 33,540 | $684,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 62,538 | $684,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 47,152 | $621,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 6,405 | $607,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 18,507 | $603,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 6,860 | $603,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 3,473 | $575,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 48,490 | $570,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 3,113 | $568,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 9,257 | $549,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 9,998 | $547,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 19,215 | $543,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 21,822 | $530,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 22,179 | $489,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 33,884 | $483,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 5,556 | $465,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 1,517 | $458,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 13,621 | $455,000 | thousands by filing date | |
| ASSURANT INC COM | 04621X108 | Stock | 3,455 | $453,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 3,219 | $443,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 13,026 | $436,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 16,141 | $413,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 3,203 | $399,000 | thousands by filing date | |
| LAMB WESTON HLDGS INC | 513272104 | COM | 4,640 | $399,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 2,250 | $398,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 41,660 | $388,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 1,910 | $377,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 4,021 | $366,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 1,234 | $360,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 24,151 | $344,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 11,694 | $343,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 24,832 | $338,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 67,184 | $337,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| Vanguard Growth | 922908736 | COM | 21,076 | $331,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 9,971 | $329,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 35,048 | $326,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 2,250 | $318,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 10,926 | $309,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 24,000 | $308,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 5,422 | $300,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 6,300 | $292,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 2,726 | $288,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 19,862 | $275,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 24,690 | $273,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 23,771 | $266,000 | thousands by filing date | |
| APTARGROUP INC COM | 038336103 | Stock | 2,265 | $262,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 1,239 | $260,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 10,800 | $259,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 3,900 | $254,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 1,933 | $249,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 3,850 | $236,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 14,900 | $234,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 17,583 | $232,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 171 | $229,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 3,145 | $227,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 21,337 | $226,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 1,656 | $222,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 29,546 | $222,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 1,210 | $213,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 2,239 | $210,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 2,672 | $206,000 | thousands by filing date | |
| BRP INC COM SUN VTG | 05577W200 | Stock | 4,450 | $203,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 1,132 | $202,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 15,820 | $200,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 12,150 | $118,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 16,662 | $106,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 18,564 | $87,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-20-000524 | this filing | 2020-02-10 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001085146-20-000646 | base | 2020-02-13 | acceptance time not in the bulk data set |