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13F-HR filed by CERTUITY, LLC

CERTUITY, LLC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-10-30, with 201 holding rows worth $253,435,000.

Accession
0001172661-20-002046
Filed
2020-10-30
Accepted by EDGAR
acceptance time not in the bulk data set
Ingested
Source
SEC quarterly data set

Original filing

13F report for Q3 2020

A combination report, 201 entries on the cover page, a total value of $253,435,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $253,435,000 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

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 filedCUSIPClassAmountValueValue read asType
SPY78462F103SHS126,761$42,451,000thousands by filing date
Apple Inc037833100COM226,388$26,218,000thousands by filing date
INVESCO QQQ TR46090E103COM49,782$13,831,000thousands by filing date
SPDR S&P Midcap 400 ETF Trust78467Y107SHS36,701$12,435,000thousands by filing date
IJH464287507COM44,055$8,164,000thousands by filing date
ISHARESRUSSELL1000GROWTHETF464287614STOK28,304$6,139,000thousands by filing date
ISHARES TR CORE S&P 500 ETF464287200SHS17,733$5,959,000thousands by filing date
Amazon.com, Inc023135106COM1,354$4,263,000thousands by filing date
iShares Core S&P Small-Cap ETF464287804SHS60,074$4,219,000thousands by filing date
Technology Select Sector SPDR Fund81369Y803SHS34,305$4,003,000thousands by filing date
Vanguard FTSE Developed Markets ETF921943858SHS94,889$3,881,000thousands by filing date
Microsoft Corp594918104COM15,110$3,178,000thousands by filing date
META PLATFORMS INC CL A30303M102COM11,512$3,015,000thousands by filing date
ISHARES RUSSELL 1000 VALUE ETF464287598ETF25,424$3,003,000thousands by filing date
BlackRock Ultra Short-Term Bond ETF46434V878SHS56,641$2,864,000thousands by filing date
iShares Russell 2000 ETF464287655SHS18,048$2,703,000thousands by filing date
SPY78462F103SHS7,900$2,643,000thousands by filing dateput
Apple Inc037833100COM21,100$2,443,000thousands by filing dateput
iShares U.S. Technology ETF464287721SHS8,075$2,431,000thousands by filing date
PIMCO ETF TR72201R833ENHAN SHRT MA AC23,142$2,360,000thousands by filing date
SCHWAB STRATEGIC TR808524805INTL EQTY ETF74,710$2,346,000thousands by filing date
Alphabet Inc. Reg. Shares A02079K305COM1,453$2,130,000thousands by filing date
SPDR GOLD TR78463V107GOLD SHS11,982$2,122,000thousands by filing date
NUVEEN CALIFORNIA AMT-FREE MUN670651108COM133,655$2,041,000thousands by filing date
Health Care Select Sector SPDR Fund81369Y209SHS19,279$2,034,000thousands by filing date
VGT92204A702SHS6,483$2,019,000thousands by filing date
ANNALY CAPITAL MANAGEMENT035710409COM282,504$2,011,000thousands by filing date
Berkshire Hathaway Inc084670702COM9,205$1,960,000thousands by filing date
VTI922908769COM10,879$1,853,000thousands by filing date
VANGUARD S&P SMALL-CAP 600 ETF921932828ETF14,250$1,840,000thousands by filing date
NUVEEN CA DIVI ADV MUN67066Y105COM123,711$1,801,000thousands by filing date
SPDR Bloomberg 1-3 Month T-Bill ETF78468R663SHS19,479$1,783,000thousands by filing date
Accenture Plc Class AG1151C101COM7,371$1,666,000thousands by filing date
Visa Inc92826C839COM6,526$1,305,000thousands by filing date
SPDR SER TR78464A870S&P BIOTECH11,405$1,271,000thousands by filing date
EATON VANCE CALIFORNIA MUNI BO27828A100COM110,135$1,251,000thousands by filing date
VWO922042858SHS28,840$1,247,000thousands by filing date
Tesla Motors, Inc88160R101COM2,861$1,227,000thousands by filing date
BLACKROCK CALIFORNIA MUNICIPAL09248E102SH BEN INT89,591$1,182,000thousands by filing date
Vanguard Growth922908736COM5,139$1,170,000thousands by filing date
Chevron Corporation166764100COM15,730$1,133,000thousands by filing date
Alphabet Inc. Reg. Shares C02079K107COM754$1,108,000thousands by filing date
Walt Disney Co254687106COM7,609$944,000thousands by filing date
INVESCO CALIF VALUE MUNI INCOM46132H106COM72,756$909,000thousands by filing date
PIMCO CALIFORNIA MUNICIPAL INC72201C109COM82,479$878,000thousands by filing date
iShares Gold Trust464285105ISHARES48,455$872,000thousands by filing date
Visa Inc92826C839COM4,300$860,000thousands by filing dateput
Johnson & Johnson478160104COM5,763$858,000thousands by filing date
ISHARES MICRO-CAP ETF464288869ETF9,438$854,000thousands by filing date
Vanguard Short-Term Bond ETF921937827SHS10,212$848,000thousands by filing date
Salesforce.com, Inc79466L302COM3,372$847,000thousands by filing date
NVIDIA Corp67066G104COM1,560$845,000thousands by filing date
PAYPALHLDGSINC70450Y103STOK4,255$838,000thousands by filing date
MasterCard, Inc57636Q104COM2,409$815,000thousands by filing date
JPMorgan Chase & Co46625H100COM8,336$802,000thousands by filing date
NORTHROP GRUMMAN CORP COM666807102Stock2,475$781,000thousands by filing date
FIRST TR EXCHANGE-TRADED FD33733E302DJ INTERNT IDX4,108$774,000thousands by filing date
INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF46138E735ETF24,560$730,000thousands by filing date
Costco Wholesale Corporation22160K105COM2,052$728,000thousands by filing date
INVESCO QQQ TR46090E103COM2,600$722,000thousands by filing dateput
MAGELLAN MIDSTREAM PARTNERS, L559080106COM UNIT RP LP20,970$717,000thousands by filing date
Microsoft Corp594918104COM3,400$714,000thousands by filing dateput
ALIBABA GROUP HLDG LTD01609W102SPONSORED ADS2,417$711,000thousands by filing date
Danaher Corporation235851102COM3,282$707,000thousands by filing date
Verizon Communications Inc92343V104COM11,758$699,000thousands by filing date
ISHARES TR464287465MSCI EAFE ETF10,988$699,000thousands by filing date
BARCLAYS BANK PLC06738C778DJUBS CMDT ETN3635,857$698,000thousands by filing date
ISHARES TR464287689RUSSELL 3000 ETF3,518$689,000thousands by filing date
Texas Instruments Incorporated882508104COM4,711$673,000thousands by filing date
ZOOM COMMUNICATIONS INC CL A98980L101Stock1,400$658,000thousands by filing date
Qualcomm Incorporated747525103COM5,207$613,000thousands by filing date
DISCOVER FINL SVCS254709108COM10,394$601,000thousands by filing date
TIDAL ETF TR886364603RPAR RISK PARI27,029$600,000thousands by filing date
NIKE,Inc. Class B654106103COM4,709$591,000thousands by filing date
Vanguard S&P 500 ETF922908363COM1,899$584,000thousands by filing date
STARWOOD PPTY TR INC COM85571B105REIT37,618$568,000thousands by filing date
UnitedHealth Group Inc91324P102COM1,751$546,000thousands by filing date
Home Depot, Inc437076102COM1,960$544,000thousands by filing date
VANGUARD STAR FDS921909768COM10,078$526,000thousands by filing date
Bristol-Myers Squibb Company110122108COM8,682$523,000thousands by filing date
iShares Core S&P Total U.S. Stock Market ETF464287150SHS6,925$523,000thousands by filing date
ENTERPRISE PRODS PARTNERS L293792107COM31,811$502,000thousands by filing date
ISHARES TR46428743220 YR TR BD ETF2,954$482,000thousands by filing date
Procter & Gamble Co742718109COM3,345$465,000thousands by filing date
THETRADEDESKINCCLASSCLASSA88339J105STOK896$465,000thousands by filing date
Comcast Corp20030N101COM10,040$464,000thousands by filing date
METLIFE INC COM59156R108Stock12,343$459,000thousands by filing date
ARES CAPITAL CORP04010L103COM32,777$457,000thousands by filing date
EATON VANCE CALIFORNIA MUNICIP27826F101SH BEN INT33,600$447,000thousands by filing date
Oracle Corporation68389X105COM7,474$446,000thousands by filing date
SPDR SERIES TRUST78464A649ST STR AGGRE ETF14,469$446,000thousands by filing date
PepsiCo,Inc.713448108COM3,161$438,000thousands by filing date
RITHM CAPITAL CORP COM NEW64828T201REIT55,100$438,000thousands by filing date
Starbucks Corporation855244109COM5,075$436,000thousands by filing date
Merck & Co.,Inc.58933Y105COM5,146$427,000thousands by filing date
STATE STR SPDR DOW JONES IND78467X109UT SER 11,484$412,000thousands by filing date
AIR PRODS & CHEMS INC009158106COM1,363$406,000thousands by filing date
ISHARES TR464287234MSCI EMG MKT ETF9,210$406,000thousands by filing date
Cisco Systems,Inc.17275R102COM9,963$392,000thousands by filing date
NUVEEN CALIF MUNICPAL VALU F6706EB106COM25,000$391,000thousands by filing date
ISHARES RUSSELL MID-CAP GROWTH ETF464287481ETF2,235$386,000thousands by filing date
Adobe Inc00724F101COM766$376,000thousands by filing date
ISHARES TR464288414NATIONAL MUN ETF3,243$376,000thousands by filing date
AbbVie,Inc.00287Y109COM4,224$370,000thousands by filing date
BLOCK INC CL A852234103Stock2,253$367,000thousands by filing date
INVESCO ACTIVELY MANAGED EXC46090A887ULTRA SHRT DUR7,120$360,000thousands by filing date
Walmart Inc.931142103COM2,531$354,000thousands by filing date
SPDR GOLD TR78463V107GOLD SHS2,000$354,000thousands by filing datecall
ARISTA NETWORKS INC040413106COM1,699$352,000thousands by filing date
L3HARRIS TECHNOLOGIES INC COM502431109Stock2,006$341,000thousands by filing date
Medtronic PlcG5960L103COM3,251$338,000thousands by filing date
MCKESSON CORP COM58155Q103Stock2,271$338,000thousands by filing date
VERISIGN INC COM92343E102Stock1,640$336,000thousands by filing date
BLUE OWL CAPITAL CORPORATION COM69121K104CEF27,089$327,000thousands by filing date
BERKSHIRE HATHAWAY INC DEL084670108CL A1$320,000thousands by filing date
Intel Corp458140100COM6,134$318,000thousands by filing date
NORTHROP GRUMMAN CORP COM666807102Stock1,000$316,000thousands by filing dateput
Amazon.com, Inc023135106COM100$315,000thousands by filing dateput
ISHARES TR464287648RUS 2000 GRW ETF1,414$313,000thousands by filing date
DOVER CORP COM260003108Stock2,883$312,000thousands by filing date
YUM BRANDS INC COM988498101Stock3,393$310,000thousands by filing date
Broadcom Inc.11135F101COM835$304,000thousands by filing date
AUTODESK INC COM052769106Stock1,298$300,000thousands by filing date
Verizon Communications Inc92343V104COM5,000$297,000thousands by filing datecall
TARGET CORP COM87612E106Stock1,887$297,000thousands by filing date
Qualcomm Incorporated747525103COM2,500$294,000thousands by filing dateput
Booking Holdings Inc.09857L108COM170$291,000thousands by filing date
iShares Core MSCI EAFE ETF46432F842SHS4,788$289,000thousands by filing date
Texas Instruments Incorporated882508104COM2,000$286,000thousands by filing dateput
SHOPIFY INC82509L107CL A SUB VTG SHS280$286,000thousands by filing date
ALLISON TRANSMISSION HLDGS I01973R101COM8,098$285,000thousands by filing date
Gilead Sciences,Inc.375558103COM4,494$284,000thousands by filing date
Netflix, Inc64110L106COM560$280,000thousands by filing date
Honeywell Technologies438516106COM1,681$277,000thousands by filing date
BANK OF NY MELLON CORP COM064058100Stock8,035$276,000thousands by filing date
Amgen Inc.031162100COM1,083$275,000thousands by filing date
iShares Russell Midcap ETF464287499SHS4,764$273,000thousands by filing date
Pfizer Inc.717081103COM7,387$271,000thousands by filing date
ILLINOIS TOOL WKS INC452308109COM1,383$267,000thousands by filing date
Applied Materials,Inc.038222105COM4,466$266,000thousands by filing date
Vanguard Dividend Appreciation ETF921908844SHS2,066$266,000thousands by filing date
NORTHWESTERN ENERGY GROUP INC COM NEW668074305Stock5,460$266,000thousands by filing date
iShares MSCI ACWI Low Carbon Target ETF46434V464SHS2,007$263,000thousands by filing date
TYSON FOODS INC CL A902494103Stock4,370$260,000thousands by filing date
iShares Core US Aggregate Bond ETF464287226SHS2,197$259,000thousands by filing date
Advanced Micro Devices,Inc.007903107COM3,147$258,000thousands by filing date
PRINCIPAL EXCHANGE TRADED FD74255Y409PRIN HLTHCRE INV5,400$257,000thousands by filing date
SPDR SER TR78464A508PRTFLO S&P500 VL8,444$255,000thousands by filing date
SPDR SERIES TRUST78468R747ST STR MSCI GEN3,332$255,000thousands by filing date
Abbott Laboratories002824100COM2,332$254,000thousands by filing date
Cyber Security ETF26924G201Common5,458$254,000thousands by filing date
PNC FINL SVCS GROUP INC COM693475105Stock2,284$251,000thousands by filing date
RENAISSANCE CAP GREENWICH FD759937204IPO ETF4,800$251,000thousands by filing date
GLOBAL X FDS37954Y723EDUCATION ETF15,200$248,000thousands by filing date
TAIWAN SEMICONDUCTOR MFG874039100SPONSORED ADS3,036$246,000thousands by filing date
ServiceNow,Inc.81762P102COM503$244,000thousands by filing date
ISHARES TR4642874407-10 YR TRSY BD1,999$244,000thousands by filing date
ISHARES INC MSCI EURZONE ETF464286608MSCI EURZONE ETF6,421$243,000thousands by filing date
ISHARES TR464287457COM2,802$242,000thousands by filing date
Vanguard Mid-Cap ETF922908629SHS1,353$238,000thousands by filing date
International Business Machines Corporation459200101COM1,944$237,000thousands by filing date
META PLATFORMS INC CL A30303M102COM900$236,000thousands by filing dateput
ALASKA AIR GROUP INC COM011659109Stock6,452$236,000thousands by filing date
Bank of America Corp060505104COM9,736$235,000thousands by filing date
PVH CORPORATION COM693656100Stock3,882$232,000thousands by filing date
WATERS CORP COM941848103Stock1,183$231,000thousands by filing date
LAUDER ESTEE COS INC CL A518439104Stock1,058$231,000thousands by filing date
ISHARES INC464286632MSCI ISRAEL ETF4,357$228,000thousands by filing date
TWITTER INC90184L102COM5,001$223,000thousands by filing date
Caterpillar Inc.149123101COM1,488$222,000thousands by filing date
Lockheed Martin Corporation539830109COM575$220,000thousands by filing date
DRAFTKINGS INC26142R104COM CL A3,734$220,000thousands by filing date
USBANCORPDEL902973304COM NEW6,004$215,000thousands by filing date
KIMBERLY-CLARK CORP COM494368103Stock1,430$211,000thousands by filing date
PRUDENTIAL FINL INC COM744320102Stock3,303$210,000thousands by filing date
NASDAQ INC COM631103108Stock1,684$207,000thousands by filing date
VERISK ANALYTICS INC COM92345Y106Stock1,109$206,000thousands by filing date
ENERGY TRANSFER L P29273V100COM UT LTD PTN37,329$202,000thousands by filing date
WISDOMTREE TR97717W307US LARGECAP DIVD2,058$200,000thousands by filing date
GOLDMAN SACHS PHYSICAL GOLD ETF715426102UNIT10,500$197,000thousands by filing date
Boeing Company097023105COM1,150$190,000thousands by filing date
U.S. GLOBAL JETS ETF26922A842ETF10,550$178,000thousands by filing date
DIREXION DAILY REAL ESTATE BEAR 3X SHARES25460E141ETF12,185$174,000thousands by filing date
AT&T Inc00206R102COM5,955$170,000thousands by filing date
CONNECTONE BANCORP INC20786W107COMMON STOCK11,406$160,000thousands by filing date
Alphabet Inc. Reg. Shares A02079K305COM100$147,000thousands by filing dateput
Alphabet Inc. Reg. Shares C02079K107COM100$147,000thousands by filing dateput
Bristol-Myers Squibb Company110122108COM2,000$121,000thousands by filing datecall
ALIBABA GROUP HLDG LTD01609W102SPONSORED ADS400$118,000thousands by filing dateput
AMARIN CORP PLC023111206SPONS ADR NEW27,400$115,000thousands by filing date
ASCENDANT DIGITAL ACQUISITIOG05155125UNIT 99/99/999910,000$105,000thousands by filing date
BOWX ACQUISITION CORP103085205UNIT 08/03/202510,000$103,000thousands by filing date
AMERICA FIRST MULTIFAMILY IN02364V107BEN UNIT CTF25,000$101,000thousands by filing date
FAST ACQUISITION CORP311875207UNIT 99/99/999910,000$100,000thousands by filing date
NEW SR INVT GROUP INC648691103COM20,650$83,000thousands by filing date
SPY78462F103SHS200$66,000thousands by filing datecall
AT&T Inc00206R102COM2,000$58,000thousands by filing datecall
NVIDIA Corp67066G104COM100$54,000thousands by filing datecall
Boeing Company097023105COM100$17,000thousands by filing datecall
DRIVE SHACK INC262077100COM14,482$16,000thousands by filing date
Pfizer Inc.717081103COM300$11,000thousands by filing datecall

Amendment chain

FilingRoleFiledAcceptedIngested
13F-HR 0001172661-20-002046this filing2020-10-30acceptance time not in the bulk data set