13F-HR filed by SlateStone Wealth, LLC
SlateStone Wealth, LLC filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-10-28, with 170 holding rows worth $436,764,000.
- Accession
- 0001764049-21-000004
- Filer
- CIK 1764049
- Filed
- 2021-10-28
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 187 entries on the cover page, a total value of $436,764,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $436,766,000 with VALUE read as thousands by filing date, 13F file number 028-19177. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerVan Hulzen Asset Management, LLC028-15895
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 |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 120,972 | $51,914,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 84,009 | $30,072,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 177,444 | $25,109,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 129,633 | $13,398,000 | thousands by filing date | |
| KRANESHARES QUADRATIC INTEREST RATE VOLATILITY AND INFLATION HEDGE ETF | 500767736 | ETF | 467,626 | $13,033,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416102 | HARTFORD MLT ETF | 400,529 | $12,056,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 3,986 | $10,657,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 21,180 | $10,185,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 3,709 | $9,886,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 64,029 | $9,631,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 2,868 | $9,421,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 66,246 | $8,968,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 30,495 | $7,495,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 93,194 | $6,825,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 28,318 | $6,308,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 20,163 | $5,685,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 31,578 | $5,342,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 18,801 | $5,152,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 241,733 | $4,914,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 43,983 | $4,861,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 18,269 | $4,754,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 33,542 | $4,675,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 10,392 | $4,669,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 33,583 | $4,424,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 18,315 | $4,393,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 10,490 | $4,099,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 25,275 | $4,086,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 76,883 | $3,873,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 23,054 | $3,774,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 21,375 | $3,618,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 25,191 | $3,561,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 11,000 | $3,447,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 17,376 | $3,373,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 10,186 | $3,344,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 9,644 | $3,074,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 3,502 | $2,937,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 53,216 | $2,827,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 13,189 | $2,800,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 8,309 | $2,530,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 11,515 | $2,525,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 23,220 | $2,505,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 9,844 | $2,433,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 15,449 | $2,418,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 23,690 | $2,403,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 18,136 | $2,280,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 9,423 | $2,272,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 33,526 | $2,212,000 | thousands by filing date | |
| UPSTARTHLDGSINC | 91680M107 | STOK | 6,969 | $2,205,000 | thousands by filing date | |
| iShares Gold Trust | 464285204 | COM | 63,637 | $2,126,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 41,850 | $2,093,000 | thousands by filing date | |
| GRAYSCALE BITCOIN TRUST ETF | 389637109 | SHS REP COM UT | 61,542 | $2,083,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 34,345 | $2,039,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 41,339 | $2,007,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 83,129 | $1,929,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 11,164 | $1,889,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 58,105 | $1,734,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 33,578 | $1,703,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 6,119 | $1,670,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 45,653 | $1,653,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 22,044 | $1,647,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 95,500 | $1,638,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 21,712 | $1,631,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 8,140 | $1,627,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V266 | S&P500 PUR GWT | 8,424 | $1,622,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 4,675 | $1,587,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 14,100 | $1,558,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 2,688 | $1,548,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 52,419 | $1,545,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 7,346 | $1,522,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 31,808 | $1,498,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 8,950 | $1,445,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 11,156 | $1,439,000 | thousands by filing date | |
| SNOWFLAKE INC COM SHS | 833445109 | Stock | 4,610 | $1,394,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 31,477 | $1,339,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 15,144 | $1,302,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 11,284 | $1,300,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 10,408 | $1,230,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 11,732 | $1,201,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 19,099 | $1,153,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 14,393 | $1,130,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 8,320 | $1,124,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 7,789 | $1,089,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 18,202 | $1,082,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 3,009 | $1,046,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 7,189 | $1,044,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 19,933 | $1,038,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 23,753 | $1,008,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 39,752 | $970,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 8,592 | $948,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 1,953 | $947,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 16,876 | $944,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 5,576 | $916,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 2,448 | $859,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 33,000 | $843,000 | thousands by filing date | |
| PINTEREST INC CL A | 72352L106 | Stock | 15,538 | $792,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 8,645 | $791,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 1,226 | $763,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 5,962 | $747,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 6,942 | $714,000 | thousands by filing date | |
| Booking Holdings Inc. | 09857L108 | COM | 300 | $712,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 27,914 | $709,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G870 | VAR RATE PFD | 25,611 | $672,000 | thousands by filing date | |
| DESKTOP METAL INC | 25058X105 | COM CL A | 92,500 | $663,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 19,547 | $651,000 | thousands by filing date | |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 26,950 | $648,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 2,759 | $637,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 7,126 | $631,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,894 | $615,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 1,513 | $612,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 19,647 | $584,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 10,993 | $583,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 8,503 | $574,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 21,510 | $563,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 21,914 | $561,000 | thousands by filing date | |
| VTI | 922908769 | COM | 2,472 | $549,000 | thousands by filing date | |
| ZOOMINFO TECHNOLOGIES INC COMMON STOCK | 98980F104 | Stock | 8,000 | $490,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 1,240 | $489,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 1,126 | $485,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 4,300 | $484,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 8,515 | $460,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 6,450 | $459,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 3,562 | $455,000 | thousands by filing date | |
| SSGA SPDR ETFS Europe I PLC UC | g8t03h146 | ETF | 1,000 | $437,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 6,190 | $434,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 5,837 | $429,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 6,773 | $401,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 49,733 | $379,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 6,362 | $374,000 | thousands by filing date | |
| NESTLE SA ADR | 641069406 | COM | 3,092 | $372,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 6,680 | $364,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 13,075 | $353,000 | thousands by filing date | |
| ETFS GOLD TR | 00326A104 | PHYSCL GOLD SHS | 20,180 | $340,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 1,614 | $337,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 7,587 | $326,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 1,000 | $319,000 | thousands by filing date | |
| CARRIER GLOBAL CORPORATION COM | 14448C104 | Stock | 5,989 | $310,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 898 | $301,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 5,628 | $300,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 7,825 | $300,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 8,164 | $298,000 | thousands by filing date | |
| IJH | 464287507 | COM | 1,130 | $297,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 1,271 | $291,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 5,400 | $282,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 1,842 | $275,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 970 | $263,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 2,916 | $254,000 | thousands by filing date | |
| OTIS WORLDWIDE CORP COM | 68902V107 | Stock | 2,976 | $245,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 315 | $244,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 20,375 | $241,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 495 | $237,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 2,000 | $228,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 6,027 | $226,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 1,711 | $220,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 1,134 | $219,000 | thousands by filing date | |
| COINBASE GLOBAL INC COM CL A | 19260Q107 | Stock | 956 | $217,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,291 | $215,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 1,824 | $210,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 7,519 | $210,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 982 | $207,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 1,176 | $206,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,388 | $205,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 789 | $201,000 | thousands by filing date | |
| DIMENSIONAL ETF TRUST | 25434V708 | US CORE EQUITY 2 | 7,561 | $201,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 54,000 | $167,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 11,964 | $105,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 15,770 | $58,000 | thousands by filing date | |
| Rightscorp Inc | 76658a102 | COM | 200,000 | $8,000 | thousands by filing date | |
| Ethema Health Corporation | 29764P109 | COM | 1,500,000 | $3,000 | thousands by filing date | |
| Slang Worldwide Inc | 831006200 | COM | 10,000 | $1,000 | thousands by filing date | |
| Royal Mines & Minerals Corp | 78033p101 | COM | 50,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001764049-21-000004 | this filing | 2021-10-28 | acceptance time not in the bulk data set |