13F-HR filed by CERTUITY, LLC
CERTUITY, LLC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-10, with 194 holding rows worth $209,122,000.
- Accession
- 0001172661-20-000375
- Filer
- CIK 1800752
- 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 combination report, 194 entries on the cover page, a total value of $209,122,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $209,122,000 with VALUE read as thousands by filing date, 13F file number 028-19813. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerBURNEY CO/028-04852
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 |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 143,292 | $30,487,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 58,728 | $17,245,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 37,833 | $14,202,000 | thousands by filing date | |
| IJH | 464287507 | COM | 52,670 | $10,841,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 102,965 | $8,634,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 4,500 | $8,315,000 | thousands by filing date | put |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 46,828 | $6,391,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 31,034 | $5,459,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 81,710 | $3,600,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 8,805 | $2,846,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 17,194 | $2,712,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 73,945 | $2,487,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 26,228 | $2,398,000 | thousands by filing date | |
| VTI | 922908769 | COM | 14,224 | $2,327,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 8,949 | $2,081,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 108,655 | $1,653,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 100,937 | $1,626,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 15,869 | $1,616,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 56,241 | $1,584,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 7,480 | $1,575,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 164,056 | $1,545,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 7,461 | $1,531,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 102,494 | $1,526,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 6,488 | $1,470,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 794 | $1,467,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 1,051 | $1,408,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 21,450 | $1,349,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 7,033 | $1,321,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 9,149 | $1,307,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 28,730 | $1,278,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 89,591 | $1,215,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 28,942 | $1,131,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 13,872 | $1,118,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 21,897 | $1,102,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 95,135 | $1,070,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 7,511 | $1,047,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 15,010 | $1,042,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 4,244 | $1,039,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 1,722 | $1,018,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 6,753 | $985,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 12,829 | $971,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 6,538 | $946,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 82,479 | $941,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 9,438 | $939,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 72,756 | $933,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 686 | $917,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 14,934 | $917,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 13,689 | $879,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 7,295 | $874,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 2,395 | $824,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 8,504 | $809,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 45,400 | $803,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 34,563 | $789,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 24,560 | $785,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 7,643 | $774,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 12,467 | $694,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 47,300 | $686,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 8,975 | $667,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 2,191 | $654,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 5,367 | $647,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 8,881 | $646,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 10,514 | $629,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 4,842 | $621,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 27,400 | $587,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 5,139 | $583,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 2,604 | $569,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 41,507 | $568,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 22,601 | $562,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 2,834 | $560,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 16,934 | $521,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 3,369 | $517,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 4,047 | $505,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 11,183 | $503,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 7,700 | $500,000 | thousands by filing date | |
| L3HARRIS TECHNOLOGIES INC COM | 502431109 | Stock | 2,490 | $493,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 10,245 | $491,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 5,217 | $474,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 3,419 | $463,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 7,373 | $461,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 5,056 | $460,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 35,747 | $459,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 33,600 | $453,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 1,853 | $449,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 3,437 | $442,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 3,223 | $441,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 5,509 | $440,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 2,316 | $437,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 9,659 | $433,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 2,433 | $431,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,460 | $429,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 5,043 | $428,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 8,035 | $426,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 4,789 | $421,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 22,540 | $415,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 8,229 | $414,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 1,227 | $405,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 6,655 | $395,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 25,000 | $395,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 3,266 | $376,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 3,289 | $374,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 6,500 | $373,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 9,503 | $372,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 2,733 | $366,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 6,812 | $366,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 3,243 | $351,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 3,048 | $347,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 2,246 | $344,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 3,410 | $343,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 2,053 | $340,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 1 | $340,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 1,437 | $338,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 1,477 | $323,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 3,390 | $318,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 1,061 | $312,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 1,502 | $306,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 8,000 | $298,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 1,398 | $297,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 2,149 | $297,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 11,406 | $293,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 12,293 | $292,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 1,582 | $284,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 2,121 | $279,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 1,702 | $272,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 3,200 | $271,000 | thousands by filing date | |
| RAYMOND JAMES FINL INC COM | 754730109 | Stock | 2,993 | $268,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 1,403 | $268,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 2,007 | $260,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 2,064 | $260,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 1,414 | $259,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 3,684 | $257,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 3,332 | $257,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 898 | $256,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 7,213 | $254,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 4,737 | $254,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 13,000 | $254,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 14,000 | $252,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 2,677 | $251,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 4,357 | $250,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 3,801 | $248,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 622 | $247,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 771 | $244,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 1,567 | $244,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 1,002 | $242,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 1,466 | $238,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 1,097 | $235,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 5,295 | $233,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 1,943 | $231,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 1,654 | $228,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 1,705 | $228,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 1,244 | $227,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 1,174 | $226,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 3,069 | $222,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 1,000 | $219,000 | thousands by filing date | put |
| Boeing Company | 097023105 | COM | 667 | $217,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 8,159 | $216,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 1,302 | $216,000 | thousands by filing date | |
| LYFT INC | 55087P104 | CL A COM | 4,982 | $214,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 200,000 | $213,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 2,582 | $209,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 531 | $207,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 3,289 | $207,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 872 | $205,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 1,120 | $202,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 1,417 | $201,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 1,605 | $200,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 3,715 | $200,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 25,000 | $193,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 4,000 | $191,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 2,000 | $186,000 | thousands by filing date | put |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 800 | $186,000 | thousands by filing date | put |
| EMERSON ELEC CO COM | 291011104 | Stock | 2,336 | $178,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 533 | $172,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 500 | $162,000 | thousands by filing date | put |
| Vanguard Real Estate | 922908553 | SHS | 1,700 | $158,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 18,951 | $145,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 824 | $143,000 | thousands by filing date | |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 1,182 | $129,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 661 | $128,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 1,200 | $121,000 | thousands by filing date | put |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 600 | $116,000 | thousands by filing date | put |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 1,000 | $110,000 | thousands by filing date | put |
| EMERSON ELEC CO COM | 291011104 | Stock | 1,200 | $92,000 | thousands by filing date | put |
| Deere & Company | 244199105 | COM | 500 | $87,000 | thousands by filing date | put |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 285 | $66,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 10,050 | $63,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 14,482 | $53,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 15,000 | $52,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 900 | $43,000 | thousands by filing date | put |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 3,000 | $41,000 | thousands by filing date | put |
| REDWOOD TRUST INC | 758075AC9 | BOND | 25,000 | $25,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 1,000 | $24,000 | thousands by filing date | put |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 25,000 | $23,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 1,400 | $19,000 | thousands by filing date | put |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 2,000 | $2,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001172661-20-000375 | this filing | 2020-02-10 | acceptance time not in the bulk data set |