13F-HR filed by Apriem Advisors
Apriem Advisors filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-14, with 164 holding rows worth $456,845,000.
- Accession
- 0001567619-18-006166
- Filer
- CIK 1425165
- Filed
- 2018-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 164 entries on the cover page, a total value of $456,845,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $456,845,000 with VALUE read as thousands by filing date, 13F file number 028-12756. 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 |
|---|---|---|---|---|---|---|
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 1,234,560 | $85,876,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 1,709,486 | $32,087,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 304,894 | $23,224,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 458,446 | $22,702,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 351,835 | $20,350,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 242,361 | $19,878,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 167,527 | $14,243,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 56,316 | $12,713,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 93,370 | $9,973,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 189,996 | $9,243,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 31,638 | $9,198,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 262,433 | $8,812,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 188,552 | $8,309,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 94,726 | $8,216,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 600,414 | $7,613,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 63,721 | $7,190,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 5,679 | $6,855,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 70,873 | $6,703,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 95,579 | $6,630,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 3,217 | $6,444,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 38,991 | $6,412,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 211,211 | $6,222,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 81,044 | $6,175,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 426,714 | $6,111,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 102,382 | $4,659,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 32,550 | $4,551,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 182,832 | $4,046,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 75,497 | $4,031,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 23,738 | $3,570,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 271,390 | $2,898,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 189,294 | $2,720,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 206,340 | $2,526,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 192,597 | $2,492,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 11,447 | $2,451,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 45,800 | $2,411,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 79,839 | $2,202,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 169,672 | $2,184,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 29,559 | $2,081,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 203,055 | $2,077,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 34,670 | $1,838,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 72,840 | $1,786,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 109,221 | $1,786,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 30,222 | $1,695,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 22,120 | $1,675,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 38,300 | $1,664,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E362 | S&P500 HDL VOL | 39,050 | $1,617,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 10,142 | $1,582,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 7,140 | $1,545,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 5,927 | $1,203,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V282 | S&P500 EQL TEC | 7,100 | $1,195,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 86,550 | $1,194,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 21,640 | $1,149,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 20,062 | $1,140,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 33,926 | $1,138,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 4,150 | $1,097,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 160,700 | $1,020,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 8,337 | $1,019,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 15,900 | $999,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 2,587 | $968,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 55,450 | $938,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 2,428 | $903,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 44,280 | $894,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 13,560 | $872,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 11,076 | $786,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 6,320 | $726,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 32,275 | $720,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 5,895 | $719,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 3,260 | $675,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 52,404 | $671,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 3,992 | $658,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 33,825 | $657,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 3,900 | $626,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 19,842 | $613,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 3,173 | $604,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 2,113 | $594,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 31,600 | $585,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 1,647 | $570,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 3,496 | $569,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 6,385 | $561,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 6,319 | $526,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 2,939 | $489,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 23,600 | $485,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 6,702 | $481,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E206 | CALIF AMT MUN | 18,806 | $480,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 16,900 | $464,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J106 | BULSHS2018 COR | 21,550 | $456,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 1,665 | $445,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 55,514 | $442,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,104 | $436,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 3,075 | $435,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 6,013 | $433,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 3,095 | $428,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 3,444 | $403,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 1,692 | $397,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 3,474 | $397,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 4,900 | $384,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 3,491 | $381,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 5,250 | $347,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 12,024 | $345,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 29,521 | $333,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 4,237 | $327,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 6,864 | $325,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 15,237 | $323,000 | thousands by filing date | |
| 1/100 Berkshire Hath A | 084990175 | BRKA | 1 | $320,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 7,350 | $318,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 20,000 | $312,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 4,056 | $298,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 6,875 | $295,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 5,550 | $292,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 4,603 | $286,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 2,440 | $281,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 4,775 | $280,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 1,750 | $277,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 930 | $272,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 3,279 | $271,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 2,375 | $268,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,175 | $265,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 11,410 | $264,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 41,240 | $261,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 10,108 | $260,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 1,220 | $252,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 2,225 | $251,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 3,050 | $244,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 4,425 | $241,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 21,800 | $241,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 2,100 | $239,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 2,516 | $236,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 1,547 | $234,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 1,002 | $229,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 191 | $228,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 2,925 | $226,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 2,250 | $223,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 703 | $223,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 52,000 | $215,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 803 | $213,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 2,306 | $210,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 2,701 | $207,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 3,048 | $206,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 13,661 | $97,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 15,698 | $95,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 11,441 | $95,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 10,000 | $95,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 120,000 | $85,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 50,000 | $53,000 | thousands by filing date | |
| LEO MOTORS INC | 526362108 | cs | 610,100 | $50,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 10,000 | $18,000 | thousands by filing date | |
| NFUSZ INC | 65342D101 | cs | 25,000 | $10,000 | thousands by filing date | |
| MCIG INC COM | 55279L101 | Stock | 25,000 | $6,000 | thousands by filing date | |
| CALL SPDR CNSMR STAPLES | 004596122 | cl | 13 | $6,000 | thousands by filing date | call |
| 5BARZ INTL INC COM | 33833F100 | COM | 50,000 | $4,000 | thousands by filing date | |
| HEALTHMED SVCS LTD | 422246306 | cs | 489,700 | $2,000 | thousands by filing date | |
| CREATIVE EDGE NUTRITION INC | 22528W205 | COMMON STOCK | 150,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHANCELLOR GROUP INC | 15883D101 | COM | 70,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Hemp Inc | 423703206 | COM | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY STAR URANIUM & METAL | 53123T206 | COM | 616,600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| USA URANIUM CORP XXX | 91154T109 | cs | 400,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Solaris Power Cells Inc (NV) | 83416X101 | COM | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NanoTech Entertainment Inc | 63009y203 | CS | 19,921 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Fresh Promise Foods | 302999271 | Stock | 150,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALL NORDIC AMERN TANK | 004636832 | cl | 40 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ANGEL ACQUISITION CORXXX | 03462P109 | cs | 10,999,983 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XENONICS HOLDINGS | 984117101 | cs | 16,553 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MOTORS 7.70XXX | 370ESCAU9 | oa | 25,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY ALL STAR 18RTS | 529900888 | wt | 147,612 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-18-006166 | this filing | 2018-11-14 | acceptance time not in the bulk data set |