13F-HR filed by Sage Capital Advisors,llc
Sage Capital Advisors,llc filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-14, with 246 holding rows worth $166,480,000 by the sum of the rows.
- Accession
- 0001714107-18-000004
- Filer
- CIK 1714107
- 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, 87 entries on the cover page, a total value of $159,999,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $166,480,000 with VALUE read as thousands by filing date, 13F file number 028-18107. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
The cover page states a total of $159,999,000, 4% less than the sum of the rows, $166,480,000. This page uses the sum of the rows.
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 |
|---|---|---|---|---|---|---|
| 3M CO COM | 88579Y101 | Stock | 77,626 | $16,357,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Apple Inc | 037833100 | COM | 39,311 | $8,874,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Johnson & Johnson | 478160104 | COM | 46,454 | $6,419,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Microsoft Corp | 594918104 | COM | 46,236 | $5,288,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Amazon.com, Inc | 023135106 | COM | 2,406 | $4,819,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JPMorgan Chase & Co | 46625H100 | COM | 42,621 | $4,809,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Eaton Corp. Plc | G29183103 | COM | 53,657 | $4,654,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 3,853 | $4,651,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KELLANOVA | 487836108 | COM | 66,170 | $4,633,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AT&T Inc | 00206R102 | COM | 130,858 | $4,394,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Bristol-Myers Squibb Company | 110122108 | COM | 64,539 | $4,007,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Verizon Communications Inc | 92343V104 | COM | 72,080 | $3,848,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EXXON MOBIL CORP | 30231G102 | COM | 44,592 | $3,791,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SMUCKER J M CO | 832696405 | COM NEW | 34,977 | $3,589,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO LTD SHS | G491BT108 | Stock | 155,623 | $3,561,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Altria Group Inc | 02209S103 | COM | 56,907 | $3,432,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Intel Corp | 458140100 | COM | 70,020 | $3,311,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| USBANCORPDEL | 902973304 | COM NEW | 61,959 | $3,272,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Pfizer Inc. | 717081103 | COM | 73,640 | $3,245,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TYSON FOODS INC CL A | 902494103 | Stock | 54,294 | $3,232,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 48,549 | $2,808,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FORD MTR CO COM | 345370860 | Stock | 299,903 | $2,774,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Wells Fargo & Company | 949746101 | COM | 51,009 | $2,681,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Visa Inc | 92826C839 | COM | 17,479 | $2,623,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 20,878 | $2,373,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 31,427 | $2,367,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ILLUMINA INC | 452327109 | COM | 5,837 | $2,143,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TE CONNECTIVITY LTD | H84989104 | SHS | 22,305 | $1,961,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 8,321 | $1,903,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK INC CL A COM | 09247X101 | COM | 3,978 | $1,875,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 6,006 | $1,758,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 21,604 | $1,636,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OWENS CORNING NEW | 690742101 | COM | 29,625 | $1,608,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 17,263 | $1,427,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 6,080 | $1,316,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287192 | US TRSPRTION | 6,380 | $1,305,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Russell 2000 ETF | 464287655 | SHS | 7,229 | $1,218,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EMERSON ELEC CO COM | 291011104 | Stock | 15,000 | $1,149,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 9,335 | $1,138,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Berkshire Hathaway Inc | 084670702 | COM | 5,068 | $1,085,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NORTHERN LTS FD TR IV | 66538H674 | FORMULA FOLIOS | 35,269 | $1,047,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| REALITY SHS ETF TR | 75605A405 | DIVCN LDRS ETF | 30,146 | $1,036,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 12,633 | $987,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares TIPS Bond ETF | 464287176 | SHS | 8,160 | $903,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 32,621 | $886,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AIR PRODS & CHEMS INC | 009158106 | COM | 5,292 | $884,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 26,031 | $880,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 6,836 | $879,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| United Parcel Service,Inc. Class B | 911312106 | COM | 7,442 | $869,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPY | 78462F103 | SHS | 2,949 | $857,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Merck & Co.,Inc. | 58933Y105 | COM | 11,904 | $844,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 13,823 | $728,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Russell Midcap ETF | 464287499 | SHS | 3,127 | $689,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 16,225 | $618,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 83,573 | $613,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INGERSOLL-RAND PLC | G47791101 | SHS | 5,580 | $571,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464288687 | COM | 15,096 | $561,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UGI CORP NEW COM | 902681105 | Stock | 9,743 | $541,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IJH | 464287507 | COM | 2,531 | $509,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Micron Technology,Inc. | 595112103 | COM | 10,347 | $468,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Citigroup Inc. | 172967424 | COM | 5,945 | $427,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 1,611 | $426,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OSHKOSH CORP COM | 688239201 | Stock | 5,165 | $368,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Cisco Systems,Inc. | 17275R102 | COM | 6,750 | $328,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 2,960 | $328,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 2,079 | $324,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287168 | COM | 3,188 | $318,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 4,552 | $309,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 2,861 | $306,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Adobe Inc | 00724F101 | COM | 1,105 | $298,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MasterCard, Inc | 57636Q104 | COM | 1,321 | $294,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GRUBHUB INC | 400110102 | COM | 2,102 | $291,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,743 | $287,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 2,004 | $283,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JANUS DETROIT STR TR | 47103U886 | HENDRSN SHRT ETF | 5,407 | $271,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO QQQ TR | 46090E103 | COM | 1,452 | $270,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VTI | 922908769 | COM | 1,785 | $267,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Gilead Sciences,Inc. | 375558103 | COM | 3,400 | $263,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NVIDIA Corp | 67066G104 | COM | 932 | $262,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 6,068 | $260,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 1,864 | $253,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LULULEMON ATHLETICA INC | 550021109 | COM | 1,340 | $218,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Costco Wholesale Corporation | 22160K105 | COM | 904 | $212,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NIKE,Inc. Class B | 654106103 | COM | 2,322 | $197,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard S&P 500 ETF | 922908363 | COM | 729 | $195,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EDISON INTL COM | 281020107 | Stock | 2,874 | $195,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 2,474 | $194,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 13,693 | $184,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Accenture Plc Class A | G1151C101 | COM | 1,033 | $176,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 2,138 | $165,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UNDER ARMOUR INC | 904311107 | CL A | 7,682 | $163,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 1,055 | $147,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 6,914 | $141,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NASDAQ INC COM | 631103108 | Stock | 1,605 | $138,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 1,146 | $134,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 10,900 | $132,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 4,703 | $130,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Starbucks Corporation | 855244109 | COM | 2,233 | $127,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 579 | $117,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| REALITY SHS ETF TR DIVCN DIVD ETF | 75605A504 | CEF | 4,019 | $114,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 750 | $105,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCHNG TRADED FD VI | 33740F409 | INCOME OPPRTNTES | 4,625 | $102,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 15,971 | $101,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 1,667 | $100,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Chubb Limited | H1467J104 | COM | 744 | $99,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CERNER CORP | 156782104 | COM | 1,522 | $98,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 993 | $94,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 458 | $93,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 1,028 | $92,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 240 | $88,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Qualcomm Incorporated | 747525103 | COM | 1,200 | $86,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| METLIFE INC COM | 59156R108 | Stock | 1,816 | $85,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 778 | $82,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NORTHERN LTS FD TR IV | 66538H567 | FRMLAFLIO SMRT | 2,997 | $81,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Real Estate | 922908553 | SHS | 980 | $79,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 3,850 | $79,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 477 | $78,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Chevron Corporation | 166764100 | COM | 606 | $74,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 5,885 | $74,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287564 | SELECT US REIT | 729 | $73,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LADDER CAP CORP CL A | 505743104 | REIT | 4,030 | $68,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 1,000 | $67,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 4,516 | $67,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 3,039 | $64,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 730 | $57,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 173 | $55,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| American Express Company | 025816109 | COM | 467 | $50,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 4,662 | $50,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 903 | $49,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Walt Disney Co | 254687106 | COM | 390 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PPG INDS INC COM | 693506107 | Stock | 417 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 35 | $42,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 1,746 | $40,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DIREXION SHS ETF TR | 25490K356 | OIL GAS BL 3X SH | 1,000 | $40,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 3,008 | $39,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 691 | $37,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 200 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 1,270 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 156 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 2,500 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RAYTHEON CO | 755111507 | COM NEW | 175 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 1,586 | $35,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 213 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IMMUNOMEDICS INC | 452907108 | COM | 1,625 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KKR & CO INC | 48251W104 | COM | 1,200 | $33,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCH TRADED FD TR II | 46138E206 | CALIF AMT MUN | 1,300 | $33,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 5,456 | $33,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 278 | $32,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 3,800 | $32,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 3,626 | $32,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Small-Cap ETF | 922908751 | SHS | 184 | $30,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Philip Morris International Inc. | 718172109 | COM | 350 | $29,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 169 | $29,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 2,000 | $29,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 1,500 | $27,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 1,200 | $27,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 494 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 302 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 1,200 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 322 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ARES CAPITAL CORP | 04010L103 | COM | 1,500 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 3,829 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Broadcom Inc. | 11135F101 | COM | 100 | $25,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 1,000 | $25,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 871 | $25,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares U.S. Financials ETF | 464287788 | SHS | 200 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WORKIVA INC COM CL A | 98139A105 | Stock | 604 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 269 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 422 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 1,873 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WISDOMTREE DYNAMIC LONG/SHORT | 97717x313 | INDX FD | 681 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Duke Energy Corporation | 26441C204 | COM | 284 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Morgan Stanley | 617446448 | COM | 504 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 575 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 400 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares U.S. Technology ETF | 464287721 | SHS | 115 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 526 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Tesla Motors, Inc | 88160R101 | COM | 78 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 206 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 5,000 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EOG RES INC COM | 26875P101 | Stock | 150 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 250 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCHANGE TRADED FD T | 46137Y500 | ZACKS MULT AST | 846 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 600 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 750 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Procter & Gamble Co | 742718109 | COM | 200 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Lockheed Martin Corporation | 539830109 | COM | 47 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287713 | US TELECOM ETF | 522 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Oracle Corporation | 68389X105 | COM | 300 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ILLUMINA INC | 452327109 | COM | 200 | $15,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Comcast Corp | 20030N101 | COM | 360 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UNITED STATES STL CORP NEW | 912909108 | COM | 428 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Netflix, Inc | 64110L106 | COM | 32 | $12,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 373 | $12,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 130 | $11,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CITRIX SYSTEMS INC | 177376100 | COM | 100 | $11,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 435 | $11,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Home Depot, Inc | 437076102 | COM | 47 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GENERAL ELEC CO | 369604103 | COM | 907 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HUNT J B TRANS SVCS INC COM | 445658107 | Stock | 87 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PAYPALHLDGSINC | 70450Y103 | STOK | 100 | $9,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 500 | $9,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 201 | $9,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SAFETY INCOME & GROWTH INC | 78649D104 | COM | 500 | $9,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| McDonalds Corporation | 580135101 | COM | 50 | $8,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 1,000 | $8,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DURECT CORP | 266605104 | COM | 7,000 | $8,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROCKWELL MED INC | 774374102 | COM | 2,000 | $8,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Union Pacific Corporation | 907818108 | COM | 45 | $7,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NTNLGRIDPLCADRFSPONSOREDADR1ADRREPS5ORDSHS | 636274409 | STOK | 134 | $7,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 67 | $7,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BP PLC SPONSORED ADR | 055622104 | ADR | 128 | $6,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 134 | $6,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 258 | $6,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 126 | $6,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Qualcomm Incorporated | 747525103 | COM | 1,000 | $5,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 429 | $5,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 122 | $5,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RAVEN INDS INC COM | 754212108 | Stock | 100 | $5,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Abbott Laboratories | 002824100 | COM | 51 | $4,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIOGEN INC COM | 09062X103 | Stock | 12 | $4,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 79 | $4,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 1,008 | $4,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 95 | $4,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 25 | $3,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 35 | $3,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 66 | $3,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Coca-Cola Company | 191216100 | COM | 51 | $2,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BCE INC COM NEW | 05534B760 | Stock | 53 | $2,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ABIOMED INC | 003654100 | COM | 4 | $2,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| International Business Machines Corporation | 459200101 | COM | 8 | $1,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Schwab US REIT ETF | 808524847 | SHS | 13 | $1,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 31 | $1,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 42 | $1,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NCR VOYIX CORPORATION | 62886E108 | COM | 24 | $1,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TERADATA CORP DEL | 88076W103 | COM | 24 | $1,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TWITTER INC | 90184L102 | COM | 41 | $1,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GOLDCORP INC NEW | 380956409 | COM | 100 | $1,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios.The filing omitted confidential holdings, a later amendment may add them. |
| Mondelez International,Inc. Class A | 609207105 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios.The filing omitted confidential holdings, a later amendment may add them. |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios.The filing omitted confidential holdings, a later amendment may add them. |
| SNAP INC | 83304A106 | CL A | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios.The filing omitted confidential holdings, a later amendment may add them. |
| CENTURYLINK INC | 156700106 | COM | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios.The filing omitted confidential holdings, a later amendment may add them. |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios.The filing omitted confidential holdings, a later amendment may add them. |
| SANOFI | 80105N113 | COMMON STOCK-FO | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios.The filing omitted confidential holdings, a later amendment may add them. |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios.The filing omitted confidential holdings, a later amendment may add them. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001714107-18-000004 | this filing | 2018-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001714107-19-000007 | base | 2019-07-31 | acceptance time not in the bulk data set |