13F-HR filed by Ellevest, Inc.
Ellevest, Inc. filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-01-25, with 532 holding rows worth $196,938,000.
- Accession
- 0001387131-19-000462
- Filer
- CIK 1644128
- Filed
- 2019-01-25
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 532 entries on the cover page, a total value of $196,938,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $196,938,000 with VALUE read as thousands by filing date, 13F file number 028-18979. 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 |
|---|---|---|---|---|---|---|
| VTI | 922908769 | COM | 344,881 | $43,627,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 647,191 | $23,968,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 259,560 | $13,251,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 317,240 | $12,104,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 166,315 | $7,996,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 73,437 | $5,804,000 | thousands by filing date | |
| SCHWAB CA MUNI MONEY FD | 808508204 | OTHER ASSETS | 5,517,809 | $5,518,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 34,324 | $4,700,000 | thousands by filing date | |
| ISHARES TR | 46435G516 | COM | 80,798 | $4,623,000 | thousands by filing date | |
| SCHWAB NY MUNICIPAL MONEY INV | 808508303 | SWYXX | 3,369,964 | $3,370,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 103,194 | $3,172,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 32,426 | $3,147,000 | thousands by filing date | |
| SCHWAB CHARLES FAMILY FUND MUN MONEY ULTRA | 808515753 | Money Market Fund | 3,117,729 | $3,118,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 22,688 | $2,971,000 | thousands by filing date | |
| PAX ELLEVATE GLOBAL WOMEN'S LEADERSHIP FD INSTL CL N/L | 70422T109 | Mutual Fund (Open End) - No Load | 120,597 | $2,654,000 | thousands by filing date | |
| VanEck High Yield Muni ETF | 92189H409 | SHS | 43,250 | $2,645,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 19,662 | $2,578,000 | thousands by filing date | |
| SCHWAB FUNDS VALUE ADV | 808515696 | SNAXX | 2,302,611 | $2,303,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 28,483 | $2,236,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 7,408 | $1,851,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 27,815 | $1,758,000 | thousands by filing date | |
| ACCESS CAPITAL COMMUNITY | 74926P761 | Mutual Fund | 192,590 | $1,674,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 17,607 | $1,665,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 13,048 | $1,479,000 | thousands by filing date | |
| SCHWAB FUNDS VALUE ADV | 808515605 | SWVXX | 1,465,701 | $1,466,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 41,984 | $1,408,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H300 | JP MRGAN EM LOC | 40,126 | $1,324,000 | thousands by filing date | |
| VANGUARD CA INTERM-TERM TAX-EXEMPT ADM | 922021407 | BOND | 107,484 | $1,248,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 7,441 | $1,174,000 | thousands by filing date | |
| SCHWAB GOVERNMENT MONEY INV | 808515613 | SCHWAB NON-SWEEP MMF | 1,169,263 | $1,169,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 15,257 | $1,135,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 8,677 | $899,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 14,502 | $759,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 13,460 | $716,000 | thousands by filing date | |
| Schwab Muni Money Fund | 808508105 | Money Market Fund | 552,552 | $553,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 5,046 | $513,000 | thousands by filing date | |
| SILA REALTY TRUST INC CLASS I | 146280300 | RET | 55,135 | $510,000 | thousands by filing date | |
| GS SHORT DURATION INCOME FUND CLASS P | 38150B384 | Mutual Fund | 52,561 | $506,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 3,554 | $476,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 458 | $474,000 | thousands by filing date | |
| PHILLIPS EDISON GROCERY CENT | 71844V102 | COM | 42,305 | $467,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 3,284 | $455,000 | thousands by filing date | |
| SCHWAB FUNDS TREAS OBLI | 808515621 | SNOXX | 442,000 | $442,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 14,399 | $377,000 | thousands by filing date | |
| ADVISERS INVT TR | 00770G847 | JOHCM INTL SL I | 17,988 | $366,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 5,252 | $320,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 6,714 | $315,000 | thousands by filing date | |
| SANTA MONICA-MALIBU UNI SCH DI 4percent 08012035 | 802498RZ0 | Municipal Bond | 275,000 | $294,000 | thousands by filing date | principal |
| CALIFORNIA ST 5percent 08012032 | 13063CPS3 | Municipal Bond | 250,000 | $287,000 | thousands by filing date | principal |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 2,152 | $281,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 243 | $254,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 168 | $252,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 5,728 | $250,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 5,070 | $238,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 3,476 | $229,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 3,881 | $218,000 | thousands by filing date | |
| VANGUARD MID CAP ADM | 922908645 | MFD | 1,257 | $215,000 | thousands by filing date | |
| CALIFORNIA ST 4percent 09012035 | 13063CZZ6 | Municipal Bond | 200,000 | $214,000 | thousands by filing date | principal |
| Merck & Co.,Inc. | 58933Y105 | COM | 2,773 | $213,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 2,258 | $208,000 | thousands by filing date | |
| SAN DIEGO CALIF PUB FACS FING 5percent 08012019 | 79730CEM2 | Municipal Bond | 200,000 | $208,000 | thousands by filing date | principal |
| BUSINESS DEV CORP OF AMER COM | 001386904 | Common Stock | 24,293 | $199,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 1,778 | $197,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 1,082 | $192,000 | thousands by filing date | |
| VANGUARD SMALL CAP INDEX | 922908686 | MFD | 2,996 | $189,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 1,684 | $187,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS IN 4.06percent 05032027 | 17324CHQ2 | Corporate Bond | 200,000 | $186,000 | thousands by filing date | principal |
| Lockheed Martin Corporation | 539830109 | COM | 705 | $185,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 3,029 | $183,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 3,003 | $177,000 | thousands by filing date | |
| CALIFORNIA ST 5percent 08012031 | 13063CSX9 | Municipal Bond | 150,000 | $174,000 | thousands by filing date | principal |
| SCHWAB CA TAX FREE BOND FUND | 808517304 | Mutual Fund | 14,833 | $173,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 1,837 | $172,000 | thousands by filing date | |
| CALIFORNIA ST, GO BDS | 13063CGB0 | General Obligations - non-taxable | 150,000 | $169,000 | thousands by filing date | principal |
| CALIFORNIA ST 5percent 11012031 | 13063CGC8 | Municipal Bond | 150,000 | $169,000 | thousands by filing date | principal |
| LOS ANGELES CALIF UNI SCH DIST 5percent 07012021 | 5446464F6 | Municipal Bond | 150,000 | $166,000 | thousands by filing date | principal |
| CUCAMONGA VY CALIF WTR DIST WT 5.375percent 09012035 | 22972TCL6 | Municipal Bond | 150,000 | $166,000 | thousands by filing date | principal |
| UNIVERSITY CALIF REVS 4percent 05152034 | 91412GYT6 | Municipal Bond | 155,000 | $165,000 | thousands by filing date | principal |
| OAK GROVE CALIF SCH DIST 4percent 08012031 | 671205V25 | Municipal Bond | 150,000 | $165,000 | thousands by filing date | principal |
| LAS VIRGENES CALIF UNI SCH DIS 4percent 08012035 | 518021XC9 | Municipal Bond | 150,000 | $164,000 | thousands by filing date | principal |
| WASHINGTON SUBN SAN DIST MD 4percent 06012032 | 940157VL1 | Municipal Bond | 150,000 | $163,000 | thousands by filing date | principal |
| CALIFORNIA ST 4percent 11012033 | 13063DCC0 | Municipal Bond | 150,000 | $162,000 | thousands by filing date | principal |
| FOLSOM CORDOVA CALIF UNI SCH D 4percent 10012035 | 34440VCJ5 | Municipal Bond | 150,000 | $162,000 | thousands by filing date | principal |
| UNIVERSITY CALIF REVS 4percent 05152035 | 91412G3R4 | Municipal Bond | 150,000 | $160,000 | thousands by filing date | principal |
| SOUTHERN CALIF PUB PWR AUTH RE 5percent 07012028 | 84247PDC2 | Municipal Bond | 150,000 | $160,000 | thousands by filing date | principal |
| TULARE CALIF WTR REV 4percent 12012033 | 899138AR2 | Municipal Bond | 150,000 | $160,000 | thousands by filing date | principal |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 1,381 | $159,000 | thousands by filing date | |
| CALIFORNIA ST 4.5percent 08012020 | 13063DHE1 | Municipal Bond | 150,000 | $159,000 | thousands by filing date | principal |
| LONG BEACH CALIF CMNTY COLLEGE 4percent 08012035 | 542411GD9 | Municipal Bond | 150,000 | $157,000 | thousands by filing date | principal |
| SAN FRANCISCO CALIF CITY & CNT 4percent 06152034 | 797646ZT6 | Municipal Bond | 150,000 | $157,000 | thousands by filing date | principal |
| UNIVERSITY ILL UNIV REVS 5percent 04012021 | 914353WM5 | Municipal Bond | 150,000 | $157,000 | thousands by filing date | principal |
| LOS ANGELES CALIF UNI SCH DIST 5percent 01012034 | 544646SS2 | Municipal Bond | 150,000 | $156,000 | thousands by filing date | principal |
| CALIFORNIA ST UNIV REV 5percent 11012019 | 13077DAC6 | Municipal Bond | 150,000 | $156,000 | thousands by filing date | principal |
| SANTA MARIA CALIF WTR & WASTEW 4percent 02012032 | 80234TAM8 | Municipal Bond | 150,000 | $155,000 | thousands by filing date | principal |
| FIDELITY OTC PORTFOLIO | 316389105 | Common, Large Cap Growth | 15,374 | $153,000 | thousands by filing date | |
| RHODE IS ST HEALTH & EDL BLDG 4percent 05152022 | 762244EK3 | Municipal Bond | 140,000 | $149,000 | thousands by filing date | principal |
| S&P Global,Inc. | 78409V104 | COM | 812 | $138,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 915 | $136,000 | thousands by filing date | |
| SIGNET JEWELERS LIMITE F | 797272PY1 | SIG | 125,000 | $136,000 | thousands by filing date | principal |
| RHODE ISLAND ST & PROVIDENCE P 5percent 05012022 | 76222RTM4 | Municipal Bond | 120,000 | $133,000 | thousands by filing date | principal |
| TULSA CNTY OKLA INDPT SCH DIST 2percent 03012019 | 899525ST7 | Municipal Bond | 130,000 | $131,000 | thousands by filing date | principal |
| SAN FRANCISCO CALIF CITY & CNT 5percent 10012035 | 79768HEP9 | Municipal Bond | 100,000 | $118,000 | thousands by filing date | principal |
| ORLANDO FLA CONTRACT TOURIST D 5.25percent 11012032 | 686432AS4 | Municipal Bond | 100,000 | $117,000 | thousands by filing date | principal |
| Johnson & Johnson | 478160104 | COM | 900 | $116,000 | thousands by filing date | |
| CALIFORNIA ST UNIV REV 5percent 11012033 | 13077CM27 | Municipal Bond | 100,000 | $115,000 | thousands by filing date | principal |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 1,951 | $111,000 | thousands by filing date | |
| GEORGIA MUN ELEC AUTH PWR REV 5percent 01012022 | 3735415M9 | Municipal Bond | 100,000 | $110,000 | thousands by filing date | principal |
| WASHINGTON ST 5percent 07012021 | 93974DDD7 | Municipal Bond | 100,000 | $110,000 | thousands by filing date | principal |
| MARYLAND ST DEPT TRANSN CONS T 5percent 09012023 | 574204H22 | Municipal Bond | 95,000 | $109,000 | thousands by filing date | principal |
| CARLISLE COS INC COM | 142339100 | Stock | 1,075 | $108,000 | thousands by filing date | |
| CALIFORNIA ST 4percent 09012034 | 13063CD98 | Municipal Bond | 100,000 | $108,000 | thousands by filing date | principal |
| NYLI MACKAY HIGH YIELD MUNI | 56063U521 | Tax-Exempt, High Yield, Unknown Term | 8,636 | $107,000 | thousands by filing date | |
| COAST CMNTY COLLEGE DIST CALIF 4percent 08012032 | 190335FL8 | Municipal Bond | 100,000 | $107,000 | thousands by filing date | principal |
| DFA TAX MANAGED US EQUITY PORTFOLIO | 233203447 | COM | 3,946 | $106,000 | thousands by filing date | |
| JPMORGAN GLBL RESRCH ENHANCED INDEX R6 | 48129C207 | Mutual Fund | 5,704 | $105,000 | thousands by filing date | |
| OXNARD CALIF UN HIGH SCH DIST 4percent 08012020 | 692039PU8 | Municipal Bond | 100,000 | $105,000 | thousands by filing date | principal |
| UNIVERSITY CALIF REVS 4percent 05152035 | 91412GUD5 | Municipal Bond | 100,000 | $105,000 | thousands by filing date | principal |
| WISCONSIN ST 5percent 05012020 | 97705MAH8 | Municipal Bond | 100,000 | $105,000 | thousands by filing date | principal |
| AON PLC | G0408V102 | SHS CL A | 713 | $104,000 | thousands by filing date | |
| Invesco S&P MidCap Momentum ETF | 46137V464 | SHS | 2,272 | $102,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 1,680 | $101,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 2,112 | $99,000 | thousands by filing date | |
| T. ROWE PRICE CALIFORNIA TAX FREE BOND INVESTOR CL N/L | 77954J102 | Non-Taxable Mutual Fund - No Load | 8,671 | $98,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 500 | $95,000 | thousands by filing date | |
| MONTEREY CNTY CALIF FING AUTH 5percent 09012034 | 612454BJ6 | Municipal Bond | 75,000 | $91,000 | thousands by filing date | principal |
| OREGON ST DEPT TRANSN HWY USER 5percent 11152021 | 68607DTJ4 | Municipal Bond | 80,000 | $88,000 | thousands by filing date | principal |
| WILLIAM BLAIR INTERNATIONAL SM CAP GR I | 093001188 | Mutual Fund | 8,289 | $87,000 | thousands by filing date | |
| CALIFORNIA ST 4percent 09012035 | 13063CE22 | Municipal Bond | 80,000 | $86,000 | thousands by filing date | principal |
| ST LOUIS CNTY MINN INDPT SCH D 4percent 02012021 | 791240CX0 | Municipal Bond | 80,000 | $85,000 | thousands by filing date | principal |
| ARIZONA WTR INFRASTRUCTURE FIN 5percent 10012019 | 040688NQ2 | Municipal Bond | 80,000 | $83,000 | thousands by filing date | principal |
| RHODE ISLAND HEALTH & EDL BLDG 5percent 09012021 | 762197KC4 | Municipal Bond | 75,000 | $82,000 | thousands by filing date | principal |
| SACRAMENTO CALIF CITY UNI SCH 5percent 07012020 | 785870SX5 | Municipal Bond | 75,000 | $81,000 | thousands by filing date | principal |
| SAN BERNARDINO CALIF CMNTY COL 4percent 08012031 | 796720HZ6 | Municipal Bond | 75,000 | $81,000 | thousands by filing date | principal |
| CELGENE CORP | 151020104 | COM | 1,250 | $80,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 1,488 | $80,000 | thousands by filing date | |
| SAN FRANCISCO CALIF CITY & CNT 4.25percent 11012031 | 79765RUM9 | Municipal Bond | 75,000 | $80,000 | thousands by filing date | principal |
| IMPERIAL CALIF IRR DIST ELEC R 4percent 11012034 | 452650KH6 | Municipal Bond | 75,000 | $80,000 | thousands by filing date | principal |
| ALABAMA ST PUB SCH & COLLEGE A 5percent 09012020 | 0106087C5 | Municipal Bond | 75,000 | $80,000 | thousands by filing date | principal |
| COOK CNTY ILL CMNTY CONS SCH D 0percent 12012019 | 213309JP3 | Municipal Bond | 80,000 | $79,000 | thousands by filing date | principal |
| EAST BAY CALIF MUN UTIL DIST W 4percent 06012035 | 271014ZX3 | Municipal Bond | 75,000 | $79,000 | thousands by filing date | principal |
| RHODE IS ST ECONOMIC DEV CORP 5.25percent 06152019 | 762236DG9 | Municipal Bond | 75,000 | $76,000 | thousands by filing date | principal |
| Vanguard Growth | 922908736 | COM | 552 | $74,000 | thousands by filing date | |
| ILLINOIS FIN AUTH REV 7percent 08152044 | 45200FXY0 | Municipal Bond | 70,000 | $74,000 | thousands by filing date | principal |
| Coca-Cola Company | 191216100 | COM | 1,550 | $73,000 | thousands by filing date | |
| NEW HAMPSHIRE MUN BD BK 5percent 08152024 | 64465P4J4 | Municipal Bond | 60,000 | $71,000 | thousands by filing date | principal |
| iShares Russell Midcap ETF | 464287499 | SHS | 1,468 | $68,000 | thousands by filing date | |
| COLUMBIA MID CAP INDEX A | 19765J509 | NTF EQUITY FUNDS | 5,078 | $68,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 1,015 | $67,000 | thousands by filing date | |
| CLARK CNTY NEV SCH DIST 5percent 06152023 | 181059UV6 | Municipal Bond | 60,000 | $67,000 | thousands by filing date | principal |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 1,203 | $65,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 413 | $64,000 | thousands by filing date | |
| NBRGR BRMN GNSIS INST | 641233200 | MUTUAL | 1,319 | $63,000 | thousands by filing date | |
| MFS INTERNATIONAL INTRINSIC VALUE R6 | 552746349 | Com | 1,680 | $63,000 | thousands by filing date | |
| COLUMBUS OHIO 5percent 08152023 | 199492LJ6 | Municipal Bond | 55,000 | $63,000 | thousands by filing date | principal |
| VANGUARD SHORT-TERM INVESTMENT-GRADE ADM | 922031836 | BOND FUNDS | 5,819 | $61,000 | thousands by filing date | |
| mfus45070a206 | 45070a206 | MUTUAL FUND | 3,793 | $60,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 1,251 | $58,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 230 | $57,000 | thousands by filing date | |
| INVESCO TR II ETF S&P INTL DEV LOW LOW VOLATILITY | 46138E230 | ETF | 1,860 | $56,000 | thousands by filing date | |
| LONG ISLAND PWR AUTH N Y ELEC 5.5percent 05012033 | 542690N32 | Municipal Bond | 55,000 | $56,000 | thousands by filing date | principal |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 1,157 | $55,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 1,759 | $55,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 836 | $55,000 | thousands by filing date | |
| NEW YORK ST DORM AUTH REVS NON 5percent 10012041 | 649906BB9 | Municipal Bond | 50,000 | $54,000 | thousands by filing date | principal |
| CUCAMONGA VY CALIF WTR DIST FI 4percent 09012033 | 22972PBY7 | Municipal Bond | 50,000 | $54,000 | thousands by filing date | principal |
| MASSACHUSETTS ST 4percent 04012033 | 57582RJF4 | Municipal Bond | 50,000 | $53,000 | thousands by filing date | principal |
| CAPE COD MASS REGL TECHNICAL H 4percent 11152035 | 139342BN8 | Municipal Bond | 50,000 | $53,000 | thousands by filing date | principal |
| INDIANAPOLIS IND LOC PUB IMPT 5percent 01012020 | 45528UJQ5 | Municipal Bond | 50,000 | $53,000 | thousands by filing date | principal |
| MARYLAND ST 5percent 08012019 | 574193FZ6 | Municipal Bond | 50,000 | $52,000 | thousands by filing date | principal |
| MASSACHUSETTS BAY TRANSN AUTH 5.5percent 07012019 | 575579GF8 | Municipal Bond | 50,000 | $52,000 | thousands by filing date | principal |
| MASSACHUSETTS ST 4percent 08012032 | 57582PR44 | Municipal Bond | 50,000 | $52,000 | thousands by filing date | principal |
| MASSACHUSETTS ST TRANSN FD REV 5percent 06012020 | 57604TDL7 | Municipal Bond | 50,000 | $52,000 | thousands by filing date | principal |
| SAN FRANCISCO CALIF CITY & CNT 4percent 06152033 | 797646WK8 | Municipal Bond | 50,000 | $52,000 | thousands by filing date | principal |
| SCHOOL ADMINISTRATIVE DIST NO 5percent 05012024 | 80784PAF5 | Municipal Bond | 45,000 | $52,000 | thousands by filing date | principal |
| ALASKA ST HSG FIN CORP 5percent 12012024 | 011839NF0 | Municipal Bond | 45,000 | $52,000 | thousands by filing date | principal |
| WASHINGTON FED HWY GRNT ANTIC 5percent 09012019 | 938823AP6 | Municipal Bond | 50,000 | $52,000 | thousands by filing date | principal |
| LAKE ZURICH ILL 3percent 12152020 | 511444PY1 | Municipal Bond | 50,000 | $51,000 | thousands by filing date | principal |
| GOLDMAN SACHS GROUP INC 2.625percent 01312019 | 38145XAA1 | Corporate Bond | 50,000 | $51,000 | thousands by filing date | principal |
| PENNSYLVANIA ST 5percent 01152022 | 70914PG71 | Municipal Bond | 45,000 | $50,000 | thousands by filing date | principal |
| AT&T INC 2.3percent 03112019 | 00206RCC4 | Corporate Bond | 50,000 | $50,000 | thousands by filing date | principal |
| Cisco Systems,Inc. | 17275R102 | COM | 1,134 | $49,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 700 | $49,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 352 | $49,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 654 | $49,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 200 | $49,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 235 | $48,000 | thousands by filing date | |
| IJH | 464287507 | COM | 287 | $48,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 650 | $47,000 | thousands by filing date | |
| VANGUARD WINDSOR-ADM | 922018403 | ETF | 766 | $47,000 | thousands by filing date | |
| NEUBERGER BERMAN EQUITY FDS | 641224654 | COM | 1,457 | $47,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 346 | $46,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 875 | $44,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 600 | $44,000 | thousands by filing date | |
| UNIVERSITY ILL UNIV REVS 5.5percent 04012021 | 914353RZ2 | Municipal Bond | 40,000 | $44,000 | thousands by filing date | principal |
| BROWN FORMAN CORP | 115637100 | CL A | 900 | $43,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 529 | $41,000 | thousands by filing date | |
| Diamond Hill Long Short Fund | 25264S833 | Mutual Fund | 1,777 | $41,000 | thousands by filing date | |
| NORTH BERGEN MUN UTILS AUTH N 5percent 12152019 | 65761CAG0 | Municipal Bond | 40,000 | $41,000 | thousands by filing date | principal |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 647 | $39,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 2,192 | $39,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 349 | $38,000 | thousands by filing date | |
| VIRGINIA COMWLTH TRANSN BRD 5percent 09152021 | 927790DX0 | Municipal Bond | 35,000 | $38,000 | thousands by filing date | principal |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 657 | $37,000 | thousands by filing date | |
| WEST CONTRA COSTA CALIF UNI SC 5.75percent 08012025 | 952347GR7 | Municipal Bond | 30,000 | $36,000 | thousands by filing date | principal |
| BECTON DICKINSON & CO | 075887109 | COM | 155 | $35,000 | thousands by filing date | |
| Vanguard Inflation Protected Securities Fund | 922031737 | Mutual Fund | 1,431 | $35,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 504 | $34,000 | thousands by filing date | |
| FIDELITY 500 INDEX | 315911750 | MFD | 392 | $34,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2019 HIGH | 46138J403 | BULSHS 2019 HY | 1,378 | $33,000 | thousands by filing date | |
| DELAWARE ST 5percent 02012021 | 246381CP0 | Municipal Bond | 30,000 | $33,000 | thousands by filing date | principal |
| EAST AMWELL TWP N J 4percent 03012023 | 270505EQ9 | Municipal Bond | 30,000 | $33,000 | thousands by filing date | principal |
| CORNING INC | 219350105 | COM | 1,070 | $32,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 200 | $32,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2021 HIGH | 46138J809 | BULSHS 2021 HY | 1,347 | $32,000 | thousands by filing date | |
| INVESCO | 46138J874 | EXCHANGE TRADED | 1,358 | $32,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J601 | BULSHS 2020 HY | 1,374 | $32,000 | thousands by filing date | |
| LOUISVILLE & JEFFERSON CNTY KY 4percent 05152030 | 546589YB2 | Municipal Bond | 30,000 | $32,000 | thousands by filing date | principal |
| GOLDMAN SACHS GRP INC MTN BE 5percent 02152023 | 38141E2R9 | Corporate Bond | 30,000 | $32,000 | thousands by filing date | principal |
| AT&T Inc | 00206R102 | COM | 1,078 | $31,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 150 | $31,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 210 | $31,000 | thousands by filing date | |
| VANGUARD 500 INDEX FD ADMIRAL | 922908710 | Equity Mutual Fu | 133 | $31,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 1,329 | $31,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J817 | BULSHS 2025 HY | 1,375 | $31,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J833 | BULSHS 2024 HY | 1,342 | $31,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J858 | BULSHS 2023 HY | 1,277 | $31,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 310 | $30,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 622 | $30,000 | thousands by filing date | |
| JEFFERSON CNTY KY SCH DIST FIN 5percent 08012029 | 4729048E4 | Municipal Bond | 25,000 | $30,000 | thousands by filing date | principal |
| NEW CASTLE CNTY DEL 5percent 10012027 | 64327TDN5 | Municipal Bond | 25,000 | $30,000 | thousands by filing date | principal |
| LOUISVILLE & JEFFERSON CNTY KY 5percent 05152026 | 546589VJ8 | Municipal Bond | 25,000 | $29,000 | thousands by filing date | principal |
| NEW JERSEY ST EDL FACS AUTH RE 5percent 07012033 | 646066HP8 | Municipal Bond | 25,000 | $29,000 | thousands by filing date | principal |
| NEW YORK N Y 5percent 08012025 | 64966K3Y7 | Municipal Bond | 25,000 | $29,000 | thousands by filing date | principal |
| NEW YORK ST DORM AUTH ST PERS 5percent 02152033 | 64990EVB0 | Municipal Bond | 25,000 | $29,000 | thousands by filing date | principal |
| DELAWARE ST 5percent 01012024 | 246381KP1 | Municipal Bond | 25,000 | $29,000 | thousands by filing date | principal |
| TJX Companies Inc | 872540109 | COM | 630 | $28,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 460 | $28,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 2,275 | $28,000 | thousands by filing date | |
| TCW Emerging Markets Income Fu | 87234N765 | MF | 3,609 | $28,000 | thousands by filing date | |
| NEW JERSEY ENVIRONMENTAL INFRASTRUCTURE TR, REF BDS | 645791CX0 | Revenue Supported Bonds - non-taxable | 25,000 | $28,000 | thousands by filing date | principal |
| KENTUCKY ST TPKE AUTH ECONOMIC DEV RD REV, REV BDS, REVITALIZATION PROJS | 491552ZN8 | Revenue Supported Bonds - non-taxable | 25,000 | $28,000 | thousands by filing date | principal |
| KENTUCKY ASSN OF CNTYS FIN COR 4percent 02012026 | 491196RJ2 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| LOUISVILLE & JEFFERSON CNTY KY 5percent 05152023 | 546589J45 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| LOUISVILLE & JEFFERSON CNTY KY 5percent 11152022 | 54659RDF5 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| METROPOLITAN TRANSN AUTH N Y R 5percent 11152032 | 59259Y2C2 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| MORRIS CNTY N J IMPT AUTH SCH 5percent 10012025 | 618029BH4 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| CHRISTIAN CNTY KY 4percent 12012025 | 170687CE5 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| UNIVERSITY DEL REV 5percent 11012026 | 91425MDL8 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| NEW YORK N Y CITY TRANSITIONAL 5percent 07152030 | 64972HTU6 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| NEW YORK N Y CITY TRANSITIONAL 5percent 11012026 | 64971QXR9 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| NEW YORK ST ENVIRONMENTAL FACS 5percent 06152024 | 64986AU90 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| NEW YORK ST URBAN DEV CORP REV 5percent 03152026 | 650035YY8 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| NEW YORK ST URBAN DEV CORP REV 5percent 03152030 | 650035ZC5 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| DELAWARE ST 4percent 07012031 | 246381HX8 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| NORTHERN KY WTR DIST REV 5percent 02012025 | 665306LJ3 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| WINCHESTER KY UTIL SYS REV 4percent 07012024 | 972836BA7 | Municipal Bond | 25,000 | $28,000 | thousands by filing date | principal |
| Automatic Data Processing,Inc. | 053015103 | COM | 205 | $27,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 4,245 | $27,000 | thousands by filing date | |
| TEMPLETON GLOBAL BOND ADV | 880208400 | NTF BOND FUNDS | 2,430 | $27,000 | thousands by filing date | |
| LOS ANGELES CALIF CMNTY COLLEG 4percent 08012033 | 54438CTH5 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| MONMOUTH CNTY N J IMPT AUTH RE 4percent 01152031 | 60956PSC7 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| CALIFORNIA ST 4percent 08012034 | 13063C6P0 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| CALIFORNIA ST 4.5percent 10012026 | 13063BQB1 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| CALIFORNIA ST DEPT WTR RES CEN 4percent 12012034 | 13067WCY6 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| PASSAIC VALLEY N J WTR COMMN W 5percent 12152021 | 702845JW9 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| SACRAMENTO CALIF CITY UNI SCH 4percent 08012035 | 785870XT8 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| SAN FRANCISCO CALIF BAY AREA R 4percent 08012035 | 797661VS1 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| SAN FRANCISCO CALIF CITY & CNT 4.5percent 11012035 | 79765RUR8 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| SAN MATEO CALIF SWR REV 4.5percent 08012026 | 799016EN6 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| SANTA MONICA CALIF CMNTY COLLE 4percent 08012035 | 802385QN7 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| UNIVERSITY KY GEN RCPTS 4percent 10012030 | 914378MC5 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| UTILITY DEBT SECURITIZATION AU 5percent 12152022 | 91802RCQ0 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| GROSSMONT CALIF UN HIGH SCH DI 4percent 08012033 | 399262LB8 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| NEW YORK N Y CITY TRANSITIONAL 4percent 05012030 | 64971WN22 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| SOUTHERN CALIF PUB PWR AUTH RE 5percent 07012020 | 84247PFM8 | Municipal Bond | 25,000 | $27,000 | thousands by filing date | principal |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 339 | $26,000 | thousands by filing date | |
| DODGE & COX INT'L | 256206103 | IFD | 709 | $26,000 | thousands by filing date | |
| LOUISVILLE & JEFFERSON CNTY KY 4.125percent 05152032 | 546589RV6 | Municipal Bond | 25,000 | $26,000 | thousands by filing date | principal |
| NEW BEDFORD MASS 4percent 12012032 | 642170EK6 | Municipal Bond | 25,000 | $26,000 | thousands by filing date | principal |
| CALIFORNIA ST 4percent 12012032 | 13063CJB7 | Municipal Bond | 25,000 | $26,000 | thousands by filing date | principal |
| CALIFORNIA ST 4.25percent 04012035 | 13063BVX7 | Municipal Bond | 25,000 | $26,000 | thousands by filing date | principal |
| CALIFORNIA ST DEPT WTR RES CEN 4percent 12012034 | 13066K4Q9 | Municipal Bond | 25,000 | $26,000 | thousands by filing date | principal |
| READINGTON TWP N J BRD ED 4percent 01012020 | 755672FM9 | Municipal Bond | 25,000 | $26,000 | thousands by filing date | principal |
| SAN FRANCISCO CALIF CITY & CNT 4percent 06152033 | 797646VP8 | Municipal Bond | 25,000 | $26,000 | thousands by filing date | principal |
| SAN FRANCISCO CALIF CITY & CNT 4percent 06152035 | 797646W51 | Municipal Bond | 25,000 | $26,000 | thousands by filing date | principal |
| SAN FRANCISCO CALIF CITY & CNT 4percent 10012033 | 79768HCB2 | Municipal Bond | 25,000 | $26,000 | thousands by filing date | principal |
| GOLDMAN SACHS GRP INC MTN BE 7.5percent 02152019 | 38141EA25 | Corporate Bond | 25,000 | $26,000 | thousands by filing date | principal |
| IMPERIAL CALIF IRR DIST ELEC R 5percent 11012019 | 452650JS4 | Municipal Bond | 25,000 | $26,000 | thousands by filing date | principal |
| NORTH HEMPSTEAD N Y 5percent 02012020 | 659666NY3 | Municipal Bond | 25,000 | $26,000 | thousands by filing date | principal |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 1,018 | $25,000 | thousands by filing date | |
| EUPAC FD | 298706102 | International Equities, EAFE, Large Cap Growth | 558 | $25,000 | thousands by filing date | |
| JPMORGAN CHASE & CO DEP SHS 1/ | 48127R461 | PREFERR | 1,000 | $25,000 | thousands by filing date | |
| JPMORGAN CHASE & CO DEPOSITARY | 481246700 | PFD | 1,000 | $25,000 | thousands by filing date | |
| RENSSELAER CNTY N Y 2percent 08012023 | 759897XM8 | Municipal Bond | 25,000 | $25,000 | thousands by filing date | principal |
| VOYA GLOBAL REAL ESTATE CL I | 92914A885 | Mutual Fund | 1,867 | $25,000 | thousands by filing date | |
| GE CAPITAL INTERNOTES 5.5percent 03152023 | 36966R6B7 | Corporate Bond | 25,000 | $25,000 | thousands by filing date | principal |
| HEMPSTEAD TOWN N Y 2.25percent 12152025 | 424672VX8 | Municipal Bond | 25,000 | $25,000 | thousands by filing date | principal |
| WASHINGTON TR CO WESTERLY R I 2percent 2019 | 940637JW2 | Certificate of Deposit | 25,000 | $25,000 | thousands by filing date | principal |
| AbbVie,Inc. | 00287Y109 | COM | 256 | $24,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 150 | $24,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 506 | $24,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 413 | $24,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 500 | $23,000 | thousands by filing date | |
| MORENO VALLEY CALIF UNI SCH DI 0percent 08012022 | 616871HP7 | Municipal Bond | 25,000 | $23,000 | thousands by filing date | principal |
| BAXTER INTL INC | 071813109 | COM | 335 | $22,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 295 | $22,000 | thousands by filing date | |
| US BANCORP DEL DEP $1.625 PFD Ser F | 902973833 | PREFERRED | 800 | $22,000 | thousands by filing date | |
| DFA TAX MGD US MKTWIDE VAL FD | 233203561 | FUND | 847 | $22,000 | thousands by filing date | |
| TRIBOROUGH BRDG & TUNL AUTH N 5percent 11152027 | 89602NZJ6 | Municipal Bond | 20,000 | $22,000 | thousands by filing date | principal |
| Netflix, Inc | 64110L106 | COM | 77 | $21,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 248 | $21,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 89 | $21,000 | thousands by filing date | |
| MONTROSE MICH CMNTY SCHS 6.2percent 05012026 | 615182AY8 | Municipal Bond | 20,000 | $21,000 | thousands by filing date | principal |
| ARIZONA WTR INFRASTRUCTURE FIN 5percent 10012019 | 040688NN9 | Municipal Bond | 20,000 | $21,000 | thousands by filing date | principal |
| COOK CNTY ILL SCH DIST NO 144 5.25percent 12012033 | 215021NU6 | Municipal Bond | 20,000 | $21,000 | thousands by filing date | principal |
| TECHNIPFMC PLC COM | G87110105 | Stock | 1,030 | $20,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 780 | $20,000 | thousands by filing date | |
| Fidelity Small Cap Index Premi | 316146182 | IND | 1,187 | $20,000 | thousands by filing date | |
| CALIFORNIA ST 5.75percent 04012027 | 13063A4S0 | Municipal Bond | 20,000 | $20,000 | thousands by filing date | principal |
| Comcast Corp | 20030N101 | COM | 542 | $18,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 450 | $18,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 380 | $18,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 239 | $18,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 870 | $18,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 52 | $17,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 125 | $17,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 100 | $17,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 150 | $17,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 175 | $17,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 140 | $17,000 | thousands by filing date | |
| NEW YORK N Y 5percent 08012022 | 64966KU76 | Municipal Bond | 15,000 | $17,000 | thousands by filing date | principal |
| CENTENNIAL SCH DIST BUCKS CNTY 4.5percent 12152030 | 151365KP7 | Municipal Bond | 15,000 | $17,000 | thousands by filing date | principal |
| NEW YORK N Y 5percent 08012023 | 64966JL20 | Municipal Bond | 15,000 | $17,000 | thousands by filing date | principal |
| NEW YORK N Y CITY TRANSITIONAL 5percent 02012022 | 64971QTL7 | Municipal Bond | 15,000 | $17,000 | thousands by filing date | principal |
| NEW YORK ST ENVIRONMENTAL FACS 5percent 06152023 | 64986AU82 | Municipal Bond | 15,000 | $17,000 | thousands by filing date | principal |
| TRIBOROUGH BRDG & TUNL AUTH N 5percent 11152024 | 89602NZF4 | Municipal Bond | 15,000 | $17,000 | thousands by filing date | principal |
| ConocoPhillips | 20825C104 | COM | 249 | $16,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 100 | $16,000 | thousands by filing date | |
| PARNASSUS CORE EQUITY INSTITUTIONAL | 701769408 | EQUITY FUNDS | 403 | $16,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 1,101 | $16,000 | thousands by filing date | |
| FIDELITY MULTI-ASSET IND | 31634R109 | EQUITY FUNDS | 392 | $16,000 | thousands by filing date | |
| MANHEIM PA CENT SCH DIST 4percent 05012028 | 563168LC5 | Municipal Bond | 15,000 | $16,000 | thousands by filing date | principal |
| NEW YORK N Y 5percent 04012027 | 64966JE44 | Municipal Bond | 15,000 | $16,000 | thousands by filing date | principal |
| BETHEL PARK PA SCH DIST 4percent 08012032 | 087059MT5 | Municipal Bond | 15,000 | $16,000 | thousands by filing date | principal |
| CALIFORNIA ST 5percent 11012024 | 13063BJU7 | Municipal Bond | 15,000 | $16,000 | thousands by filing date | principal |
| HEMPSTEAD TOWN N Y 3percent 01012023 | 424672VA8 | Municipal Bond | 15,000 | $16,000 | thousands by filing date | principal |
| NEW YORK ST TWY AUTH SECOND GE 5percent 04012021 | 650014UL5 | Municipal Bond | 15,000 | $16,000 | thousands by filing date | principal |
| EAST SIDE UN HIGH SCH DIST CAL 4percent 08012026 | 275282DH1 | Municipal Bond | 15,000 | $16,000 | thousands by filing date | principal |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 136 | $15,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 396 | $15,000 | thousands by filing date | |
| WELLS FARGO CO NEW DEP PFD V 1/1000 | 94988U730 | Preferred | 600 | $15,000 | thousands by filing date | |
| NEUBERGER BERMAN MULTI-CAP OPP I | 64122Q309 | EQUITY FUNDS | 940 | $15,000 | thousands by filing date | |
| WELLS FARGO REAL EST INVT CORP | 94988N207 | PFD | 600 | $15,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 48127A161 | PREFERRED STOCK | 600 | $15,000 | thousands by filing date | |
| ISLIP N Y 2percent 12012019 | 4647227B7 | Municipal Bond | 15,000 | $15,000 | thousands by filing date | principal |
| BROOKHAVEN N Y 3percent 09152025 | 113152RV6 | Municipal Bond | 15,000 | $15,000 | thousands by filing date | principal |
| NEW YORK N Y CITY TRANSITIONAL 5percent 02012019 | 64971QJL8 | Municipal Bond | 15,000 | $15,000 | thousands by filing date | principal |
| MasterCard, Inc | 57636Q104 | COM | 72 | $14,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 235 | $14,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 120 | $13,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 212 | $12,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 200 | $12,000 | thousands by filing date | |
| DFA US TARGETED VALUE I | 233203595 | EQUITY FUNDS | 629 | $12,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 875 | $12,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 50 | $11,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 230 | $11,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 270 | $11,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 393 | $11,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 800 | $11,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 67 | $11,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 101 | $11,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 203 | $11,000 | thousands by filing date | |
| DFA REAL ESTATE SECURITIES I | 233203835 | EQUITY FUNDS | 344 | $11,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 180 | $11,000 | thousands by filing date | |
| FRANKLIN MUTUAL QUEST A | 628380800 | COM | 894 | $11,000 | thousands by filing date | |
| BROOKHAVEN N Y 5percent 05012020 | 113152UP5 | Municipal Bond | 10,000 | $11,000 | thousands by filing date | principal |
| OGLESBY ILL 6.25percent 01012023 | 677024EF4 | Municipal Bond | 10,000 | $11,000 | thousands by filing date | principal |
| TRIBOROUGH BRDG & TUNL AUTH N 5percent 11152021 | 89602NZY3 | Municipal Bond | 10,000 | $11,000 | thousands by filing date | principal |
| CVS Health Corporation | 126650100 | COM | 150 | $10,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 89 | $10,000 | thousands by filing date | |
| NUVEEN HIGH YIELD MUNICIPAL BOND I | 67065Q772 | NTF BOND FUNDS | 607 | $10,000 | thousands by filing date | |
| RHODE ISLAND ST HEALTH & EDL B 8percent 05152029 | 762243Y49 | Municipal Bond | 10,000 | $10,000 | thousands by filing date | principal |
| NORTHERN CALIF TRANSMISSION AG 5percent 05012020 | 664848CF3 | Municipal Bond | 10,000 | $10,000 | thousands by filing date | principal |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 40 | $9,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 100 | $9,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 100 | $9,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 392 | $9,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 100 | $9,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 60 | $8,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 111 | $8,000 | thousands by filing date | |
| AVANOS MED INC | 05350V106 | COM | 171 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J700 | BULSHS 2021 CB | 399 | $8,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2027 CORPORATE BOND ETF | 46138J783 | ETF | 435 | $8,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 441 | $8,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2028 CORPORATE BOND ETF | 46138J643 | ETF | 414 | $8,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2020 CORP | 46138J502 | BULSHS 2020 CB | 393 | $8,000 | thousands by filing date | |
| INVESCO | 46138J825 | EXCHANGE TRADED | 418 | $8,000 | thousands by filing date | |
| INVESCO | 46138J841 | EXCHANGE TRADED | 412 | $8,000 | thousands by filing date | |
| INVESCO | 46138J866 | EXCHANGE TRADED | 410 | $8,000 | thousands by filing date | |
| INVESCO | 46138J882 | EXCHANGE TRADED | 401 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J304 | BULSHS 2019 CB | 392 | $8,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 146 | $7,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 60 | $7,000 | thousands by filing date | |
| WASATCH FRONTIER EMERGING SMALL COUNTRIES FUND | 936793819 | Mutual Fund | 3,071 | $7,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 40 | $6,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 161 | $6,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 150 | $6,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 295 | $6,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 205 | $6,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 315 | $6,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 1,000 | $6,000 | thousands by filing date | |
| DASSAULT SYSTEMES SA ADR | 237545108 | USD | 47 | $6,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 240 | $6,000 | thousands by filing date | |
| VANGUARD 500 INDEX FD INVESTOR CL | 922908108 | COM | 26 | $6,000 | thousands by filing date | |
| KIMCO RLTY CORP $1.5 PFD | 49446R794 | PREFERRED | 261 | $6,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 70 | $6,000 | thousands by filing date | |
| METROPOLITAN TRANSN AUTH N Y R 5percent 11152033 | 59259Y2D0 | Municipal Bond | 5,000 | $6,000 | thousands by filing date | principal |
| NEW YORK N Y 5percent 08012032 | 64966MRZ4 | Municipal Bond | 5,000 | $6,000 | thousands by filing date | principal |
| NEW YORK N Y CITY TRANSITIONAL 5percent 11012032 | 64971WXJ4 | Municipal Bond | 5,000 | $6,000 | thousands by filing date | principal |
| Elevance Health, Inc. | 036752103 | COM | 20 | $5,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 101 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 120 | $5,000 | thousands by filing date | |
| MONOTARO CO LTD UNSPONS ADR | 61022V107 | FOREIGN | 194 | $5,000 | thousands by filing date | |
| FIDELITY BALANCED | 316345206 | EQUITY FUNDS | 260 | $5,000 | thousands by filing date | |
| CALIFORNIA ST | 13063a4n1 | FIXED | 5,000 | $5,000 | thousands by filing date | principal |
| LOS ANGELES CALIF UNI SCH DIST 5percent 07012025 | 544646TL6 | Municipal Bond | 5,000 | $5,000 | thousands by filing date | principal |
| METROPOLITAN TRANSN AUTH N Y R 4percent 11152032 | 59261AQD2 | Municipal Bond | 5,000 | $5,000 | thousands by filing date | principal |
| MISSOURI ST UNIV AUXILIARY ENT 5.375percent 10012023 | 606377BX6 | Municipal Bond | 5,000 | $5,000 | thousands by filing date | principal |
| BOONVILLE MO CTFS PARTN 6.6percent 07152025 | 099348BK9 | Municipal Bond | 5,000 | $5,000 | thousands by filing date | principal |
| UNIVERSITY N C SYS POOL REV 4.625percent 10012027 | 9147208P5 | Municipal Bond | 5,000 | $5,000 | thousands by filing date | principal |
| GNMA PASS-THRU X SINGLE FAMILY 5percent 11152039 | 3620A9V24 | Mortgage Backed Security | 41,408 | $5,000 | thousands by filing date | |
| NEW YORK N Y CITY TRANSITIONAL 4percent 11012030 | 64971Q8G1 | Municipal Bond | 5,000 | $5,000 | thousands by filing date | principal |
| NEW YORK ST ENVIRONMENTAL FACS 4percent 08152033 | 64985HWC7 | Municipal Bond | 5,000 | $5,000 | thousands by filing date | principal |
| NORTH CAROLINA EASTN MUN PWR A 4.7percent 01012026 | 6581962L3 | Municipal Bond | 5,000 | $5,000 | thousands by filing date | principal |
| AUSTINTOWN OHIO LOC SCH DIST 5.327percent 09012027 | 052501FN8 | Municipal Bond | 5,000 | $5,000 | thousands by filing date | principal |
| NORTHERN CALIF TRANSMISSION AG 5percent 05012020 | 664848CR7 | Municipal Bond | 5,000 | $5,000 | thousands by filing date | principal |
| ST JOHNS MICH PUB SCHS 6.5percent 05012027 | 790450EQ9 | Municipal Bond | 5,000 | $5,000 | thousands by filing date | principal |
| TREDYFFRIN-EASTTOWN PA SCH DIS 4percent 02152029 | 894673RC8 | Municipal Bond | 5,000 | $5,000 | thousands by filing date | principal |
| HCA Healthcare Inc | 40412C101 | COM | 33 | $4,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 22 | $4,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 8 | $4,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 14 | $4,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 12 | $4,000 | thousands by filing date | |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 68 | $4,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 12 | $4,000 | thousands by filing date | |
| THOMPSON REUTERS CORP | 884903709 | COM NEW | 90 | $4,000 | thousands by filing date | |
| LVMH MOET HENNESSY LOU FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 502441306 | AMERICAN DEPOSITORY | 68 | $4,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 64 | $4,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 38 | $3,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 20 | $3,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 18 | $3,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 30 | $3,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 312 | $3,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 4 | $3,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 20 | $3,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 26 | $3,000 | thousands by filing date | |
| TRANSDIGM GROUP INC COM | 893641100 | Stock | 10 | $3,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 10 | $3,000 | thousands by filing date | |
| BLACKROCK GLOBAL ALLOCATION INV A | 09251T103 | COM | 185 | $3,000 | thousands by filing date | |
| Vanguard Growth Index | 922908504 | FUND | 41 | $3,000 | thousands by filing date | |
| BLACKROCK EQUITY DIVIDEND - A | 09251m108 | MUT | 151 | $3,000 | thousands by filing date | |
| GNMA PASS-THRU X SINGLE FAMILY 5percent 05152039 | 36297FDL3 | Mortgage Backed Security | 25,000 | $3,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 28 | $2,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 23 | $2,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 10 | $2,000 | thousands by filing date | |
| IDEXX LABS INC COM | 45168D104 | Stock | 10 | $2,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 26 | $2,000 | thousands by filing date | |
| TOTAL SYS SVCS INC | 891906109 | COM | 30 | $2,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC NPV ADR | 594837304 | SPON ADR NEW | 109 | $2,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 12 | $2,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES OPPS INV A | 091937573 | NTF EQUITY FUNDS | 41 | $2,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 26 | $2,000 | thousands by filing date | |
| BLACKROCK TECHNOLOGY OPP | 091929570 | NTF EQUITY FUNDS | 80 | $2,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 7 | $1,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 10 | $1,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 10 | $1,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 18 | $1,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 10 | $1,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 10 | $1,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 10 | $1,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 100 | $1,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 22 | $1,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 4 | $1,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 12 | $1,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 5 | $1,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 8 | $1,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 7 | $1,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 49 | $1,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 20 | $1,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 20 | $1,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 15 | $1,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 9 | $1,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 25 | $1,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 8 | $1,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 25 | $1,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 12 | $1,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 70 | $1,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 130 | $1,000 | thousands by filing date | |
| PERSPECTA INC | 715347100 | COM | 34 | $1,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 16 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001387131-19-000462 | this filing | 2019-01-25 | acceptance time not in the bulk data set |