13F-HR filed by L & S Advisors Inc
L & S Advisors Inc filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-09, with 333 holding rows worth $926,008,000.
- Accession
- 0001104659-21-135843
- Filer
- CIK 1392364
- Filed
- 2021-11-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A combination report, 333 entries on the cover page, a total value of $926,008,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $926,008,000 with VALUE read as thousands by filing date, 13F file number 028-13201. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerWELLS FARGO CLEARING SERVICES, LLC028-13118
- reports for this filerWELLS FARGO ADVISORS FINANCIAL NETWORK, LLC028-13117
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 |
|---|---|---|---|---|---|---|
| Apple Inc | 037833100 | COM | 217,835 | $30,824,000 | thousands by filing date | |
| Vanguard Short Term Investment Grade Fund | 922031877 | Mutual Fund | 2,732,240 | $29,863,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 76,322 | $21,517,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 7,117 | $19,027,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 34,645 | $18,691,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 5,334 | $17,522,000 | thousands by filing date | |
| VANGUARD ULTRASHORTTERM BOND ADMIRAL | 922031711 | BOND FUNDS | 773,808 | $15,577,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 40,712 | $13,817,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 30,952 | $13,283,000 | thousands by filing date | |
| GOLDMAN SACHS GQG PARTNERS INTERNATIONAL OPPORTUNI | 38147N293 | COM | 668,381 | $13,107,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 71,928 | $11,774,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 83,884 | $10,522,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 30,677 | $10,378,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 26,927 | $10,179,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 194,418 | $10,127,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 34,993 | $9,491,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 15,221 | $9,472,000 | thousands by filing date | |
| EQUITY LIFESTYLE PROPERTIES COM | 29472R108 | REIT | 120,541 | $9,414,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 19,209 | $9,201,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 41,559 | $8,609,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 59,888 | $8,372,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 31,768 | $8,266,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 72,189 | $8,090,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 17,923 | $8,054,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 13,915 | $8,011,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 13,921 | $7,954,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 12,779 | $7,800,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 7,797 | $7,751,000 | thousands by filing date | |
| HRDG LVNR INTL EQUITY | 412295107 | COM | 262,824 | $7,751,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 54,125 | $7,519,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 44,000 | $7,326,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 21,691 | $7,268,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 101,523 | $6,912,000 | thousands by filing date | |
| US TREASURY | 912796d30 | FIXED | 6,770,000 | $6,769,000 | thousands by filing date | principal |
| LAM RESEARCH CORP | 512807108 | COM | 11,734 | $6,678,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 68,469 | $6,663,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 28,988 | $6,425,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 48,747 | $6,336,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 4,305 | $5,837,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 28,601 | $5,802,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 38,281 | $5,716,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 133,973 | $5,687,000 | thousands by filing date | |
| VTI | 922908769 | COM | 25,330 | $5,625,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 26,304 | $5,584,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 105,999 | $5,562,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 3,273 | $5,497,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 57,654 | $5,458,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 24,057 | $5,402,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 15,294 | $5,367,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 35,332 | $5,314,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 30,893 | $5,176,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 49,451 | $5,089,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 22,147 | $5,067,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 52,688 | $4,963,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 20,442 | $4,929,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 72,697 | $4,927,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 25,497 | $4,918,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 31,263 | $4,861,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 64,400 | $4,837,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 135,181 | $4,829,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 6,203 | $4,810,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 99,021 | $4,798,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 31,842 | $4,756,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME | 277923546 | FIXED | 1,027,703 | $4,666,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 17,194 | $4,564,000 | thousands by filing date | |
| LORD ABBETT INVT TR | 543916688 | SHS | 1,083,355 | $4,528,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 14,154 | $4,511,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 23,188 | $4,451,000 | thousands by filing date | |
| GOLDMAN SACHS TR | 38142B369 | EMRG MK EQ INS | 144,829 | $4,396,000 | thousands by filing date | |
| EDGEWOOD GROWTH FUND INSTL CLASS | 0075W0759 | Mutual Fund | 70,066 | $4,384,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 13,188 | $4,329,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 11,064 | $4,323,000 | thousands by filing date | |
| CARRIER GLOBAL CORPORATION COM | 14448C104 | Stock | 83,488 | $4,321,000 | thousands by filing date | |
| MATTHEWS ASIA GROWTH FD | 577130776 | COM | 112,202 | $4,289,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 13,272 | $4,041,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 160,410 | $3,803,000 | thousands by filing date | |
| VICTORY SYCAMORE ESTABLISHED VALUE I | 92646A831 | EQUITY FUNDS | 76,560 | $3,784,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 15,703 | $3,766,000 | thousands by filing date | |
| Western Asset Core Bond I | 957663305 | Mutual Fund | 284,154 | $3,748,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 21,948 | $3,713,000 | thousands by filing date | |
| UNITED STATES TREASURY NOTES NOTE | 91282CBG5 | NOTE | 3,701,000 | $3,700,000 | thousands by filing date | principal |
| US TREASURY | 91282cck5 | FIXED | 3,700,000 | $3,694,000 | thousands by filing date | principal |
| Goldman Sachs Core Fixed Income Fund (GSFIX) | 38141W810 | Mutual Fund | 326,661 | $3,577,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 35,893 | $3,506,000 | thousands by filing date | |
| CAESARS ENTERTAINMENT INC NE | 12769G100 | COM | 30,956 | $3,476,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 50,902 | $3,449,000 | thousands by filing date | |
| Guggenheim Macro Oppty Inst | 40168W582 | MF | 125,089 | $3,406,000 | thousands by filing date | |
| SIGNATURE BANK | 82669G104 | COM | 11,906 | $3,242,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 6,596 | $3,199,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 18,942 | $3,105,000 | thousands by filing date | |
| Vital Energy Inc | 516806205 | Common Stock | 37,175 | $3,014,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 125,190 | $3,010,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 53,164 | $2,894,000 | thousands by filing date | |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 4,449 | $2,878,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 17,240 | $2,818,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 9,941 | $2,780,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 8,199 | $2,743,000 | thousands by filing date | |
| CAMDEN PPTY TR SH BEN INT | 133131102 | REIT | 18,384 | $2,711,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 6,906 | $2,703,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 6,737 | $2,689,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 9,063 | $2,661,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 51,010 | $2,604,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 14,228 | $2,590,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 11,806 | $2,585,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 111,762 | $2,529,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 18,678 | $2,528,000 | thousands by filing date | |
| DANAOS CORPORATION SHS | Y1968P121 | Stock | 30,661 | $2,511,000 | thousands by filing date | |
| PIMCO INCOME | 72201F490 | COM | 208,007 | $2,504,000 | thousands by filing date | |
| EAST WEST BANCORP INC COM | 27579R104 | Stock | 31,475 | $2,441,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 21,405 | $2,436,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 22,495 | $2,427,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 14,323 | $2,423,000 | thousands by filing date | |
| VESTAS WIND SYSTEMS AS | 925458101 | COM | 178,920 | $2,419,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 5,370 | $2,396,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 11,755 | $2,382,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 20,380 | $2,371,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 9,621 | $2,365,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 19,773 | $2,336,000 | thousands by filing date | |
| WILLIS TOWERS WATSON PLC LTD SHS | G96629103 | Stock | 9,926 | $2,307,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 122,369 | $2,291,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 33,262 | $2,287,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 42,627 | $2,271,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 14,397 | $2,268,000 | thousands by filing date | |
| BROADCOM INC | 11135F200 | 8% MCNV PFD SR A | 1,479 | $2,266,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 26,340 | $2,235,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 14,769 | $2,215,000 | thousands by filing date | |
| TRANE TECHNOLOGIES PLC SHS | G8994E103 | Stock | 12,745 | $2,200,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 6,061 | $2,183,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 8,158 | $2,138,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 20,839 | $2,099,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 5 | $2,057,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 760 | $2,025,000 | thousands by filing date | |
| ZOOMINFO TECHNOLOGIES INC COMMON STOCK | 98980F104 | Stock | 33,086 | $2,025,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 6,322 | $2,023,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 8,439 | $2,019,000 | thousands by filing date | |
| VANGUARD CA INTERM-TERM TAX-EXEMPT ADM | 922021407 | BOND | 165,159 | $2,015,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 6,709 | $2,009,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 9,135 | $2,003,000 | thousands by filing date | |
| AM CEN TAX FREE BOND | 025075839 | FIXED | 164,427 | $2,003,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 10,298 | $1,999,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 6,696 | $1,969,000 | thousands by filing date | |
| ZSCALERINC | 98980G102 | STOK | 7,406 | $1,942,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 5,328 | $1,923,000 | thousands by filing date | |
| PIMCO DIVERS INCOME | 693391880 | FIXED | 163,275 | $1,824,000 | thousands by filing date | |
| LYNAS RARE EARTHS LTD SP ADR | 551073307 | COM | 382,673 | $1,822,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 11,270 | $1,820,000 | thousands by filing date | |
| Airbnb, Inc. Class A | 009066101 | COM | 10,567 | $1,773,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 11,772 | $1,773,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 4,950 | $1,772,000 | thousands by filing date | |
| BLACKROCK INTERMEDIATE MUNICIP | 09253e609 | com | 147,884 | $1,754,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 7,579 | $1,752,000 | thousands by filing date | |
| Western Asset Managed Mu Nicipals I | 52469J509 | MF | 104,732 | $1,750,000 | thousands by filing date | |
| POOL CORP COM | 73278L105 | Stock | 3,998 | $1,737,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 15,506 | $1,736,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 10,790 | $1,698,000 | thousands by filing date | |
| GXO LOGISTICS INCORPORATED COMMON STOCK | 36262G101 | Stock | 21,545 | $1,690,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 5,889 | $1,684,000 | thousands by filing date | |
| VANGUARD CA INTERM-TERM TAX-EXEMPT INV | 922021308 | BOND FUNDS | 136,885 | $1,670,000 | thousands by filing date | |
| IDEXX LABS INC COM | 45168D104 | Stock | 2,683 | $1,669,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 32,053 | $1,618,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 1,919 | $1,609,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 8,060 | $1,602,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 8,167 | $1,600,000 | thousands by filing date | |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 3,289 | $1,594,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 7,242 | $1,584,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 2,171 | $1,580,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 6,136 | $1,571,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 10,400 | $1,558,000 | thousands by filing date | |
| UNITED STATES TREASURY NOTES NOTE | 91282CBU4 | NOTE | 1,552,000 | $1,551,000 | thousands by filing date | principal |
| CARVANA CO CL A | 146869102 | Stock | 5,129 | $1,547,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 2,061 | $1,536,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 5,321 | $1,533,000 | thousands by filing date | |
| SOFI TECHNOLOGIES INC COM | 83406F102 | Stock | 96,385 | $1,531,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 9,796 | $1,526,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 2,236 | $1,512,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 3,559 | $1,454,000 | thousands by filing date | |
| Vanguard CA Long-Term Tax-Exempt Adm | 922021506 | Mutual Fund | 114,073 | $1,449,000 | thousands by filing date | |
| TRANSDIGM GROUP INC COM | 893641100 | Stock | 2,295 | $1,433,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 5,514 | $1,413,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 5,890 | $1,395,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 4,765 | $1,392,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 41,535 | $1,386,000 | thousands by filing date | |
| DRAFTKINGS INC | 26142R104 | COM CL A | 28,698 | $1,382,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 4,990 | $1,316,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 15,545 | $1,221,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 15,217 | $1,217,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 20,276 | $1,193,000 | thousands by filing date | |
| TALOS PRODUCTION INC | 87485lac8 | FIXED | 1,100,000 | $1,177,000 | thousands by filing date | principal |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 11,594 | $1,167,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 7,006 | $1,123,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A289 | DEFIANCE SPACE A | 30,875 | $1,121,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 2,878 | $1,108,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 17,099 | $1,013,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 16,960 | $1,008,000 | thousands by filing date | |
| CALLON PETROLEUM CO | 144577aj2 | FIXED | 1,020,000 | $994,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 38,675 | $983,000 | thousands by filing date | |
| US TREASURY | 912796a90 | FIXED | 980,000 | $980,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717Y691 | CMN | 16,935 | $976,000 | thousands by filing date | |
| TEEKAY CORPORATION | 87900YAE3 | NOTE 5.000% 1/1 | 975,000 | $956,000 | thousands by filing date | principal |
| MFA FINL INC | 55272XAA0 | BOND | 905,000 | $923,000 | thousands by filing date | principal |
| PBF LOGISTICS LP | 69318uab1 | FIXED | 935,000 | $912,000 | thousands by filing date | principal |
| EZCORP INC | 302301AE6 | NOTE 2.375% 5/0 | 980,000 | $900,000 | thousands by filing date | principal |
| TILRAY BRANDS INC | 88688TAB6 | NOTE 5.000%10/0 | 900,000 | $881,000 | thousands by filing date | principal |
| GENWORTH HLDGS INC | 372491AG5 | Corporate Bond - Domestic | 850,000 | $867,000 | thousands by filing date | principal |
| VITAL ENERGY INC 9.5 25 | 516806AF3 | CORPORATE BONDS | 800,000 | $832,000 | thousands by filing date | principal |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 841,000 | $832,000 | thousands by filing date | principal |
| APPLIED OPTOELECTRONICS INC | 03823UAB8 | NOTE 5.000% 3/1 | 1,000,000 | $824,000 | thousands by filing date | principal |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 900,000 | $814,000 | thousands by filing date | principal |
| PARATEK PHARMACEUTICALS INC | 699374AB0 | Convertible Bond | 935,000 | $813,000 | thousands by filing date | principal |
| NIKE,Inc. Class B | 654106103 | COM | 5,509 | $800,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 8,305 | $797,000 | thousands by filing date | |
| HELLO GROUP INC | 60879BAB3 | NOTE 1.250% 7/0 | 935,000 | $786,000 | thousands by filing date | principal |
| AMC ENTERTAINMENT HLDGS | 00165aah1 | FIXED | 980,000 | $769,000 | thousands by filing date | principal |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 9,485 | $740,000 | thousands by filing date | |
| DIEBOLD NIXDORF | 253651ac7 | FIXED | 720,000 | $735,000 | thousands by filing date | principal |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 1,420 | $683,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 31,310 | $678,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 17,979 | $675,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 5,000 | $671,000 | thousands by filing date | |
| TENNECO INC | 880349ar6 | FIXED | 650,000 | $639,000 | thousands by filing date | principal |
| Vanguard Growth | 922908736 | COM | 2,182 | $633,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 4,221 | $630,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 1,810 | $629,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 4,328 | $629,000 | thousands by filing date | |
| GOLDMAN SACHS DYNAMIC MUNICIPAL INC INST | 38142V746 | NTF BOND FUNDS | 35,918 | $601,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 4,054 | $600,000 | thousands by filing date | |
| US TREASURY | 9127964w6 | FIXED | 600,000 | $600,000 | thousands by filing date | principal |
| DELEK LOG PART/FINANCE | 24665fab8 | FIXED | 585,000 | $598,000 | thousands by filing date | principal |
| INVACARE CORP | 461203AJ0 | NOTE 5.000%11/1 | 675,000 | $588,000 | thousands by filing date | principal |
| LI-CYCLE HOLDINGS CORP | 50202P105 | COMMON SHARES | 50,000 | $585,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 5,047 | $584,000 | thousands by filing date | |
| Metropolitan West Total Return Bond Fund | 592905509 | Mutual Fund | 51,326 | $563,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 10,880 | $561,000 | thousands by filing date | |
| Keyence Corp | J32491102 | Common Stock | 924 | $556,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 12,815 | $551,000 | thousands by filing date | |
| UNITED STATES TREAS NTS 2 11/15/2021 | 912828RR3 | Govt Bond | 540,000 | $541,000 | thousands by filing date | principal |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 2,000 | $530,000 | thousands by filing date | |
| Doubleline Total Return Bd Fd Cl I | 258620103 | MF | 49,774 | $523,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 4,734 | $522,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 4,973 | $505,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 9,960 | $498,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 6,000 | $487,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 4,865 | $480,000 | thousands by filing date | |
| UPSTARTHLDGSINC | 91680M107 | STOK | 1,500 | $475,000 | thousands by filing date | |
| UNITED STATES TREASURY BILLS | 912796C31 | U.S. Treasury Bills | 475,000 | $475,000 | thousands by filing date | principal |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 25,000 | $470,000 | thousands by filing date | |
| AMERICAN AIRLINES 2015-1 | 023770ab6 | FIXED | 475,801 | $467,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL | 88167aal5 | FIXED | 440,000 | $461,000 | thousands by filing date | principal |
| Berkshire Hathaway Inc | 084670702 | COM | 1,645 | $449,000 | thousands by filing date | |
| APTIV PLC | G6095L109 | SHS | 3,000 | $447,000 | thousands by filing date | |
| CONCENTRIX CORP | 20602D101 | COM | 2,500 | $442,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 450,000 | $442,000 | thousands by filing date | principal |
| APPLOVIN CORP COM CL A | 03831W108 | Stock | 6,000 | $434,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 100,000 | $425,000 | thousands by filing date | |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 3,500 | $415,000 | thousands by filing date | |
| OSHKOSH CORP COM | 688239201 | Stock | 3,775 | $386,000 | thousands by filing date | |
| HAWAIIAN AIRL | 419839aa3 | FIXED | 385,834 | $384,000 | thousands by filing date | principal |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 75,000 | $379,000 | thousands by filing date | |
| ASML Hldgs NV Ord | N07059202 | Equity | 499 | $373,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 5,336 | $369,000 | thousands by filing date | |
| CALLON PETROLEUM CORP | 13123X508 | COMMON STOCK | 7,500 | $368,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 20,000 | $366,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 6,134 | $363,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 3,435 | $352,000 | thousands by filing date | |
| SIGNET UK FIN PLC SR NT | 82671AAA1 | Fixed Income | 345,000 | $352,000 | thousands by filing date | principal |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 4,000 | $349,000 | thousands by filing date | |
| FREYR BATTERY | L4135L100 | SHS | 35,100 | $346,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 2,200 | $345,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 15,047 | $341,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 1,519 | $338,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 15,000 | $335,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 2,599 | $331,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 10,000 | $330,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,994 | $327,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q460 | CMN | 4,908 | $325,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 5,000 | $323,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 4,326 | $320,000 | thousands by filing date | |
| JABIL INC | 466313ag8 | FIXED | 305,000 | $317,000 | thousands by filing date | principal |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 1,517 | $313,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 1,742 | $313,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 1,500 | $311,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 4,000 | $311,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N304 | COM NEW | 30,000 | $311,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 4,462 | $307,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 15,000 | $307,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 50,000 | $305,000 | thousands by filing date | |
| AVNET INC | 053807ar4 | FIXED | 285,000 | $298,000 | thousands by filing date | principal |
| FIRST HORIZON NATL CORP | 320517ac9 | FIXED | 285,000 | $297,000 | thousands by filing date | principal |
| ALIBABA GROUP HLDG | 01609was1 | FIXED | 280,000 | $290,000 | thousands by filing date | principal |
| SYNAPTICS INC COM | 87157D109 | Stock | 1,600 | $288,000 | thousands by filing date | |
| GLOBAL-E ONLINE LTD NPV | M5216V106 | SHS | 4,000 | $287,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INV | 76132faa5 | FIXED | 265,000 | $285,000 | thousands by filing date | principal |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 275,000 | $278,000 | thousands by filing date | principal |
| SEAGEN INC | 81181C104 | COM | 1,602 | $272,000 | thousands by filing date | |
| AST SPACEMOBILE INC COM CL A | 00217D100 | Stock | 25,000 | $270,000 | thousands by filing date | |
| BRITISH TELECOM PLC | 111021am3 | FIXED | 250,000 | $270,000 | thousands by filing date | principal |
| MOSAIC CO | 61945cac7 | FIXED | 250,000 | $267,000 | thousands by filing date | principal |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 275,000 | $266,000 | thousands by filing date | principal |
| MYLAN INC | 628530bd8 | FIXED | 250,000 | $266,000 | thousands by filing date | principal |
| MARVELL TECHNOLOGY | 57385laa6 | FIXED | 250,000 | $264,000 | thousands by filing date | principal |
| HOST HOTELS & RESORTS LP | 44107tau0 | FIXED | 250,000 | $262,000 | thousands by filing date | principal |
| GENERAL MOTORS | 37045xbk1 | FIXED | 250,000 | $261,000 | thousands by filing date | principal |
| HYATT HOTELS | 448579ae2 | FIXED | 250,000 | $259,000 | thousands by filing date | principal |
| SANTANDER HOLDINGS USA | 80282kas5 | FIXED | 250,000 | $259,000 | thousands by filing date | principal |
| Amgen Inc. | 031162100 | COM | 1,208 | $257,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP | 517834ag2 | FIXED | 250,000 | $257,000 | thousands by filing date | principal |
| BAIDU INC | 056752ab4 | FIXED | 250,000 | $257,000 | thousands by filing date | principal |
| TAPESTRY INC | 189754ab0 | FIXED | 250,000 | $255,000 | thousands by filing date | principal |
| AMER AIRLN 13-1 A PASS T | 023772ab2 | FIXED | 261,051 | $253,000 | thousands by filing date | principal |
| Raytheon Technologies Corporation | 75513E101 | COM | 2,900 | $249,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 1,740 | $243,000 | thousands by filing date | |
| ARROW ELECTRONICS INC | 042735bd1 | FIXED | 240,000 | $242,000 | thousands by filing date | principal |
| FS KKR CAPITAL CORP | 302635ac1 | FIXED | 225,000 | $230,000 | thousands by filing date | principal |
| VMWARE INC | 928563ab1 | FIXED | 225,000 | $230,000 | thousands by filing date | principal |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 525 | $223,000 | thousands by filing date | |
| US TREASURY | 91282ccd1 | FIXED | 220,000 | $220,000 | thousands by filing date | principal |
| T ROWE PRICE HIGH YIELD FUND | 741481105 | Com | 32,790 | $219,000 | thousands by filing date | |
| ENERGY TRANSFER | 29278nal7 | FIXED | 210,000 | $219,000 | thousands by filing date | principal |
| HCA INC. | 404119BN8 | Corporate Bond - Domestic | 195,000 | $214,000 | thousands by filing date | principal |
| WHIRLPOOL CORP | 96332hcf4 | FIXED | 200,000 | $209,000 | thousands by filing date | principal |
| BARCLAYS PLC | 06738eas4 | FIXED | 205,000 | $207,000 | thousands by filing date | principal |
| GOODRX HLDGS INC | 38246G108 | COM CL A | 5,000 | $205,000 | thousands by filing date | |
| PETROLEOS MEXICANOS GLBL | 71654qce0 | FIXED | 200,000 | $203,000 | thousands by filing date | principal |
| CNH INDUSTRIAL CAPITAL | 12592bag9 | FIXED | 200,000 | $200,000 | thousands by filing date | principal |
| FIDELITY CONTRAFUND | 316071109 | MFD | 10,438 | $197,000 | thousands by filing date | |
| AIA GROUP LTD | Y002A1105 | FOREIGN | 13,449 | $155,000 | thousands by filing date | |
| CYTODYN INC | 23283M101 | Common Stock | 50,600 | $100,000 | thousands by filing date | |
| VICTORY PORTFOLIOS HIGH YIELD | 92647K457 | MUTUAL FUNDS | 10,215 | $70,000 | thousands by filing date | |
| CYPRESS DEV CORP | 232749200 | COM | 10,000 | $12,000 | thousands by filing date | |
| NightFood Holdings Inc | 65412F101 | COM | 11,900 | $3,000 | thousands by filing date | |
| GLOBAL TECHNOLOGIES | 378949101 | COM | 310,000 | $1,000 | thousands by filing date | |
| LABOR SMART INC | 50541a108 | COM | 28,571 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Logic Devices Inc. | 541402103 | COM | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001104659-21-135843 | this filing | 2021-11-09 | acceptance time not in the bulk data set |