13F-HR filed by Occidental Asset Management, LLC
Occidental Asset Management, LLC filed this 13F-HR for the quarter ended 2023-03-31, filed 2023-05-11, with 205 holding rows worth $400,845,561.
- Accession
- 0001214659-23-006769
- Filer
- CIK 1770994
- Filed
- 2023-05-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2023
A holdings report, 205 entries on the cover page, a total value of $400,845,561 stated on the cover page (in dollars after the unit check, H1), rows summing to $400,845,561 with VALUE read as dollars as filed, 13F file number 028-19444. The quarter's positions are built on this report. 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 |
|---|---|---|---|---|---|---|
| Apple Inc | 037833100 | COM | 130,822 | $21,572,618 | dollars as filed | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 517,649 | $15,337,943 | dollars as filed | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 59,397 | $14,512,438 | dollars as filed | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 436,751 | $14,190,054 | dollars as filed | |
| FLEXSHARES TR | 33939L670 | CRE SLCT BD FD | 617,284 | $13,913,581 | dollars as filed | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 259,215 | $11,923,890 | dollars as filed | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 63,527 | $9,640,906 | dollars as filed | |
| NVIDIA Corp | 67066G104 | COM | 34,583 | $9,606,125 | dollars as filed | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 125,073 | $9,449,240 | dollars as filed | |
| Microsoft Corp | 594918104 | COM | 27,946 | $8,056,696 | dollars as filed | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 344,543 | $8,055,415 | dollars as filed | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 140,167 | $6,861,191 | dollars as filed | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 130,721 | $6,587,026 | dollars as filed | |
| SPDW | 78463X889 | COM | 201,100 | $6,459,319 | dollars as filed | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 60,042 | $6,376,496 | dollars as filed | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 113,727 | $6,295,910 | dollars as filed | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 111,062 | $5,938,485 | dollars as filed | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 61,558 | $5,604,869 | dollars as filed | |
| META PLATFORMS INC CL A | 30303M102 | COM | 24,176 | $5,123,861 | dollars as filed | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 121,154 | $4,933,401 | dollars as filed | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 54,097 | $4,667,503 | dollars as filed | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 42,191 | $4,079,898 | dollars as filed | |
| RELIANCE INC | 759509102 | COM | 13,921 | $3,574,078 | dollars as filed | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 36,685 | $3,402,760 | dollars as filed | |
| OKTAINCCLASSA | 679295105 | STOK | 36,401 | $3,139,222 | dollars as filed | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 31,623 | $3,138,583 | dollars as filed | |
| Home Depot, Inc | 437076102 | COM | 10,603 | $3,129,097 | dollars as filed | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 19,812 | $3,051,186 | dollars as filed | |
| UnitedHealth Group Inc | 91324P102 | COM | 6,429 | $3,038,281 | dollars as filed | |
| VWO | 922042858 | SHS | 75,067 | $3,032,687 | dollars as filed | |
| CENCORA INC COM | 03073E105 | Stock | 17,295 | $2,769,102 | dollars as filed | |
| Morgan Stanley | 617446448 | COM | 31,294 | $2,747,613 | dollars as filed | |
| Qualcomm Incorporated | 747525103 | COM | 20,920 | $2,668,922 | dollars as filed | |
| Walmart Inc. | 931142103 | COM | 17,904 | $2,639,933 | dollars as filed | |
| Visa Inc | 92826C839 | COM | 11,549 | $2,603,837 | dollars as filed | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 97,610 | $2,599,354 | dollars as filed | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 18,089 | $2,559,232 | dollars as filed | |
| HUBBELL INC COM | 443510607 | Stock | 10,466 | $2,546,457 | dollars as filed | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 15,101 | $2,515,071 | dollars as filed | |
| CUMMINS INC COM | 231021106 | Stock | 10,510 | $2,510,629 | dollars as filed | |
| VANECK ETF TRUST | 92189F437 | COM | 87,685 | $2,456,934 | dollars as filed | |
| Amazon.com, Inc | 023135106 | COM | 23,405 | $2,417,502 | dollars as filed | |
| MOSAIC CO COM | 61945C103 | Stock | 52,493 | $2,408,379 | dollars as filed | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 70,450 | $2,404,461 | dollars as filed | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 17,272 | $2,389,408 | dollars as filed | |
| HP INC COM | 40434L105 | Stock | 81,171 | $2,382,383 | dollars as filed | |
| AVNET INC COM | 053807103 | Stock | 52,415 | $2,369,158 | dollars as filed | |
| CLEARWAY ENERGY INC CL C | 18539C204 | Stock | 72,566 | $2,273,493 | dollars as filed | |
| KNIGHT-SWIFT TRANSN HLDGS IN | 499049104 | CL A | 40,145 | $2,271,404 | dollars as filed | |
| TARGET CORP COM | 87612E106 | Stock | 13,674 | $2,264,825 | dollars as filed | |
| SPY | 78462F103 | SHS | 5,509 | $2,255,534 | dollars as filed | |
| Applied Materials,Inc. | 038222105 | COM | 18,085 | $2,221,380 | dollars as filed | |
| JPMorgan Chase & Co | 46625H100 | COM | 16,763 | $2,184,386 | dollars as filed | |
| EMERSON ELEC CO COM | 291011104 | Stock | 25,003 | $2,178,776 | dollars as filed | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 9,502 | $2,146,407 | dollars as filed | |
| Verizon Communications Inc | 92343V104 | COM | 55,090 | $2,142,466 | dollars as filed | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 21,448 | $2,137,050 | dollars as filed | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 14,416 | $2,112,953 | dollars as filed | |
| NETAPP INC COM | 64110D104 | Stock | 32,805 | $2,094,599 | dollars as filed | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 21,731 | $2,033,839 | dollars as filed | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 16,430 | $2,032,520 | dollars as filed | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 19,883 | $2,011,724 | dollars as filed | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 25,739 | $1,962,620 | dollars as filed | |
| NIKE,Inc. Class B | 654106103 | COM | 15,683 | $1,923,363 | dollars as filed | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 23,608 | $1,904,221 | dollars as filed | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 33,585 | $1,869,341 | dollars as filed | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 4 | $1,862,400 | dollars as filed | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 16,339 | $1,844,673 | dollars as filed | |
| DOW HLDGS INC COM | 260557103 | Stock | 33,597 | $1,841,787 | dollars as filed | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 7,774 | $1,763,226 | dollars as filed | |
| T ROWE PRICE EXCHANGE-TRADED | 87283Q800 | CMN | 41,952 | $1,750,636 | dollars as filed | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 21,829 | $1,738,898 | dollars as filed | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 32,543 | $1,714,691 | dollars as filed | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 22,400 | $1,713,376 | dollars as filed | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 15,744 | $1,637,325 | dollars as filed | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 6,657 | $1,620,646 | dollars as filed | |
| Pfizer Inc. | 717081103 | COM | 39,513 | $1,612,145 | dollars as filed | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 23,884 | $1,488,929 | dollars as filed | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 21,925 | $1,470,484 | dollars as filed | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 21,468 | $1,469,276 | dollars as filed | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 22,161 | $1,464,376 | dollars as filed | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 11,838 | $1,425,887 | dollars as filed | |
| WILLIAMS COS INC COM | 969457100 | Stock | 47,409 | $1,415,633 | dollars as filed | |
| REVVITY INC | 714046109 | COM | 10,583 | $1,410,290 | dollars as filed | |
| Berkshire Hathaway Inc | 084670702 | COM | 4,333 | $1,337,900 | dollars as filed | |
| Salesforce.com, Inc | 79466L302 | COM | 6,453 | $1,289,180 | dollars as filed | |
| iShares Russell 2000 ETF | 464287655 | SHS | 7,199 | $1,284,318 | dollars as filed | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 14,458 | $1,278,234 | dollars as filed | |
| NextEra Energy,Inc. | 65339F101 | COM | 16,459 | $1,268,660 | dollars as filed | |
| TIMKEN CO | 887389104 | COM | 14,940 | $1,220,897 | dollars as filed | |
| AGCO CORP | 001084102 | COM | 9,028 | $1,220,586 | dollars as filed | |
| iShares Russell Midcap ETF | 464287499 | SHS | 17,280 | $1,208,218 | dollars as filed | |
| Merck & Co.,Inc. | 58933Y105 | COM | 11,352 | $1,207,739 | dollars as filed | |
| Tesla Motors, Inc | 88160R101 | COM | 5,734 | $1,189,576 | dollars as filed | |
| EAST WEST BANCORP INC COM | 27579R104 | Stock | 21,163 | $1,174,546 | dollars as filed | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 32,572 | $1,174,546 | dollars as filed | |
| Cisco Systems,Inc. | 17275R102 | COM | 21,592 | $1,128,743 | dollars as filed | |
| ISHARES TR | 464287168 | COM | 9,395 | $1,100,906 | dollars as filed | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 8,209 | $1,098,693 | dollars as filed | |
| EXXON MOBIL CORP | 30231G102 | COM | 9,963 | $1,092,597 | dollars as filed | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 31,801 | $1,090,456 | dollars as filed | |
| Charles Schwab Corp | 808513105 | COM | 20,365 | $1,066,719 | dollars as filed | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 21,035 | $1,051,540 | dollars as filed | |
| DIREXION SHARES ETF TRUST | 25460E307 | AUSPCE CMD STG | 32,994 | $1,011,926 | dollars as filed | |
| AbbVie,Inc. | 00287Y109 | COM | 6,321 | $1,007,378 | dollars as filed | |
| INVESCO QQQ TR | 46090E103 | COM | 3,026 | $971,134 | dollars as filed | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 5,190 | $940,324 | dollars as filed | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 4,826 | $936,196 | dollars as filed | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 8,434 | $924,409 | dollars as filed | |
| STRATEGY SHS | 86280R803 | DAY HAGAN SMART | 27,275 | $900,348 | dollars as filed | |
| BEST BUY INC COM | 086516101 | Stock | 10,963 | $858,074 | dollars as filed | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 6,493 | $857,206 | dollars as filed | |
| IJH | 464287507 | COM | 3,357 | $839,725 | dollars as filed | |
| Bristol-Myers Squibb Company | 110122108 | COM | 11,571 | $801,986 | dollars as filed | |
| VANECK ETF TRUST | 92189F387 | SHRT HGH YLD MUN | 34,034 | $758,618 | dollars as filed | |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 7,866 | $730,122 | dollars as filed | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 14,705 | $727,897 | dollars as filed | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 9,371 | $713,896 | dollars as filed | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 9,370 | $691,001 | dollars as filed | |
| FORD MTR CO COM | 345370860 | Stock | 53,601 | $675,367 | dollars as filed | |
| iShares U.S. Technology ETF | 464287721 | SHS | 7,098 | $658,766 | dollars as filed | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 4,008 | $610,258 | dollars as filed | |
| Coca-Cola Company | 191216100 | COM | 9,687 | $600,885 | dollars as filed | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 3,034 | $580,435 | dollars as filed | |
| INVESCO EXCHANGE TRADED FD T | 46137V159 | CMN | 10,000 | $566,070 | dollars as filed | |
| BROWN & BROWN INC COM | 115236101 | Stock | 9,548 | $548,246 | dollars as filed | |
| Chevron Corporation | 166764100 | COM | 3,347 | $546,114 | dollars as filed | |
| Eli Lilly and Company | 532457108 | COM | 1,583 | $543,632 | dollars as filed | |
| HERSHEY CO COM | 427866108 | Stock | 2,125 | $540,587 | dollars as filed | |
| YUM BRANDS INC COM | 988498101 | Stock | 3,834 | $506,395 | dollars as filed | |
| FORGEROCK INC | 34631B101 | CL A | 23,927 | $492,896 | dollars as filed | |
| ISHARES TR | 464288687 | COM | 15,726 | $490,952 | dollars as filed | |
| INVESCO EXCHANGE TRADED FD T | 46137V332 | S&P500 EQL HLT | 1,683 | $490,781 | dollars as filed | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 4,481 | $482,737 | dollars as filed | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 4,620 | $479,233 | dollars as filed | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 3,050 | $460,581 | dollars as filed | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 3,459 | $447,802 | dollars as filed | |
| Oracle Corporation | 68389X105 | COM | 4,617 | $429,012 | dollars as filed | |
| Vanguard Real Estate | 922908553 | SHS | 5,160 | $428,486 | dollars as filed | |
| Johnson & Johnson | 478160104 | COM | 2,742 | $424,999 | dollars as filed | |
| Intel Corp | 458140100 | COM | 12,454 | $406,868 | dollars as filed | |
| ConocoPhillips | 20825C104 | COM | 4,072 | $403,983 | dollars as filed | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 6,821 | $395,401 | dollars as filed | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 7,677 | $391,033 | dollars as filed | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 5,331 | $381,281 | dollars as filed | |
| FIRST TR EXCH TRADED FD III | 33739P830 | SHRT DUR MNG MUN | 19,092 | $379,549 | dollars as filed | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 9,614 | $379,367 | dollars as filed | |
| FIRST TR EXCH TRADED FD III | 33740J104 | ULTRA SHT DUR MU | 18,886 | $377,059 | dollars as filed | |
| Lockheed Martin Corporation | 539830109 | COM | 787 | $372,039 | dollars as filed | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 3,780 | $370,478 | dollars as filed | |
| ILLUMINA INC | 452327109 | COM | 1,575 | $366,266 | dollars as filed | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 3,928 | $361,376 | dollars as filed | |
| Wells Fargo & Company | 949746101 | COM | 9,411 | $351,783 | dollars as filed | |
| Vanguard International Dividend Appreciation ETF | 921946810 | SHS | 4,745 | $349,612 | dollars as filed | |
| ISHARES TR | 46435U184 | IBONDS 24 TRM HG | 14,931 | $345,354 | dollars as filed | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 13,527 | $332,629 | dollars as filed | |
| Procter & Gamble Co | 742718109 | COM | 2,194 | $326,248 | dollars as filed | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 4,411 | $325,664 | dollars as filed | |
| Caterpillar Inc. | 149123101 | COM | 1,420 | $325,059 | dollars as filed | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 4,176 | $318,336 | dollars as filed | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 2,319 | $309,865 | dollars as filed | |
| McDonalds Corporation | 580135101 | COM | 1,094 | $305,780 | dollars as filed | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 6,466 | $292,080 | dollars as filed | |
| CELANESE CORP DEL COM | 150870103 | Stock | 2,674 | $291,172 | dollars as filed | |
| Philip Morris International Inc. | 718172109 | COM | 2,991 | $290,875 | dollars as filed | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 3,803 | $285,795 | dollars as filed | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 7,000 | $285,110 | dollars as filed | |
| PepsiCo,Inc. | 713448108 | COM | 1,553 | $283,111 | dollars as filed | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 7,092 | $282,687 | dollars as filed | |
| Boeing Company | 097023105 | COM | 1,271 | $269,927 | dollars as filed | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 5,150 | $260,899 | dollars as filed | |
| Vanguard Value ETF | 922908744 | SHS | 1,887 | $260,621 | dollars as filed | |
| DIMENSIONAL ETF TRUST | 25434V401 | US EQUI MARK ETF | 5,725 | $254,362 | dollars as filed | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,386 | $253,943 | dollars as filed | |
| RBB FD INC | 74933W452 | US TREAS 3 MNTH | 5,000 | $250,400 | dollars as filed | |
| Netflix, Inc | 64110L106 | COM | 722 | $249,437 | dollars as filed | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 3,323 | $248,239 | dollars as filed | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 4,920 | $246,148 | dollars as filed | |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 7,067 | $240,985 | dollars as filed | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 3,130 | $237,692 | dollars as filed | |
| Stryker Corporation | 863667101 | COM | 830 | $236,940 | dollars as filed | |
| Walt Disney Co | 254687106 | COM | 2,326 | $232,902 | dollars as filed | |
| ISHARES TR | 46436E874 | IBONDS 24 TRM TS | 9,541 | $229,079 | dollars as filed | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 5,691 | $222,709 | dollars as filed | |
| SYSCOCORP | 871829107 | COM | 2,825 | $218,175 | dollars as filed | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 1,555 | $216,172 | dollars as filed | |
| PHATHOM PHARMACEUTICALS INC | 71722W107 | COMMON STOCK | 29,672 | $211,858 | dollars as filed | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 472 | $211,154 | dollars as filed | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 2,900 | $210,221 | dollars as filed | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 3,332 | $208,017 | dollars as filed | |
| Adobe Inc | 00724F101 | COM | 520 | $200,392 | dollars as filed | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 11,678 | $181,593 | dollars as filed | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 13,394 | $175,327 | dollars as filed | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 11,623 | $174,810 | dollars as filed | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 20,963 | $169,381 | dollars as filed | |
| VIRTUS DIVIDEND, INTEREST & PR | 92840R101 | COM | 13,323 | $156,678 | dollars as filed | |
| LYFT INC | 55087P104 | CL A COM | 16,408 | $152,102 | dollars as filed | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 10,227 | $145,428 | dollars as filed | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 10,939 | $121,642 | dollars as filed | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 13,750 | $121,138 | dollars as filed | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 10,257 | $113,442 | dollars as filed | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 13,232 | $67,616 | dollars as filed | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 10,591 | $56,238 | dollars as filed | |
| VIRTUS ALLIANZGI CONVERTIBLE & | 92838U108 | COM | 10,577 | $31,731 | dollars as filed | |
| CEPTON INC | 15673X101 | COM | 36,739 | $17,062 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001214659-23-006769 | this filing | 2023-05-11 | acceptance time not in the bulk data set |