13F-HR filed by Essex LLC
Essex LLC filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-10-21, with 168 holding rows worth $360,732,000.
- Accession
- 0001889147-21-000002
- Filer
- CIK 1889147
- Filed
- 2021-10-21
- 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, 169 entries on the cover page, a total value of $360,732,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $360,732,000 with VALUE read as thousands by filing date, 13F file number 028-21382. 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 |
|---|---|---|---|---|---|---|
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 673,347 | $18,443,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y293 | GLB X MLP ENRG I | 404,079 | $14,502,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 686,361 | $14,173,000 | thousands by filing date | |
| KRANESHARES QUADRATIC INTEREST RATE VOLATILITY AND INFLATION HEDGE ETF | 500767736 | ETF | 496,852 | $13,847,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 25,888 | $9,786,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 289,595 | $9,571,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 374,410 | $8,136,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 72,801 | $7,287,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 25,944 | $6,751,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 47,132 | $6,669,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 170,583 | $6,602,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 121,698 | $6,173,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 58,656 | $6,102,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 78,383 | $6,009,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 29,247 | $5,996,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 57,585 | $5,831,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 805,384 | $5,799,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 108,107 | $5,468,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 31,932 | $5,402,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 14,767 | $4,948,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 240,318 | $4,936,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 30,437 | $4,916,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 29,427 | $4,817,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 99,439 | $4,775,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 39,474 | $4,354,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 86,586 | $4,173,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y384 | CYBRSCURTY ETF | 131,451 | $4,011,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 15,256 | $3,927,000 | thousands by filing date | |
| BXP INC COM | 101121101 | REIT | 34,781 | $3,769,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 17,086 | $3,627,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 1,341 | $3,574,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 25,267 | $3,532,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 12,581 | $3,471,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 23,009 | $3,461,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 66,636 | $3,231,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 58,620 | $3,191,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 36,653 | $2,893,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 9,845 | $2,888,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 34,750 | $2,864,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 30,049 | $2,831,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 58,132 | $2,810,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 18,178 | $2,753,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 31,970 | $2,748,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 13,921 | $2,729,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 21,604 | $2,716,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 48,231 | $2,605,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 24,067 | $2,500,000 | thousands by filing date | |
| General Electric Company | 369604301 | COM | 23,950 | $2,468,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 29,130 | $2,405,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 1,484,583 | $2,268,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 36,796 | $2,206,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 20,550 | $2,202,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R648 | SP KENSHO NEWEC | 35,080 | $2,136,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 4,763 | $2,052,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 33,072 | $2,049,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 27,006 | $2,028,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 19,584 | $2,015,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 13,210 | $1,973,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 10,947 | $1,966,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 19,022 | $1,960,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 44,788 | $1,926,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 112,715 | $1,886,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 36,246 | $1,813,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 30,466 | $1,803,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 6,318 | $1,788,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 528 | $1,735,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 21,742 | $1,578,000 | thousands by filing date | |
| PINTEREST INC CL A | 72352L106 | Stock | 29,918 | $1,524,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 7,428 | $1,333,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 10,660 | $1,328,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 21,848 | $1,285,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 3,781 | $1,283,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 10,022 | $1,276,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 334,663 | $1,268,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 27,394 | $1,252,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 12,785 | $1,251,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 4,366 | $1,231,000 | thousands by filing date | |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 25,427 | $1,216,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 44,126 | $1,192,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 15,872 | $1,156,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 16,725 | $1,137,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 6,929 | $1,030,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 27,033 | $1,015,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 6,598 | $985,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 18,103 | $943,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 6,218 | $921,000 | thousands by filing date | |
| DOW HLDGS INC COM | 260557103 | Stock | 15,679 | $902,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 3,035 | $828,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 13,284 | $825,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 5,802 | $806,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 301 | $805,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 24,393 | $786,000 | thousands by filing date | |
| TRANE TECHNOLOGIES PLC SHS | G8994E103 | Stock | 4,459 | $770,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 9,518 | $762,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 14,515 | $733,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 4,528 | $732,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 3,447 | $714,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 14,528 | $711,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 9,760 | $672,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 7,765 | $659,000 | thousands by filing date | |
| CORTEVA INC COM | 22052L104 | Stock | 15,469 | $651,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 1,119 | $644,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 9,447 | $640,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 2,311 | $627,000 | thousands by filing date | |
| ASANA INC | 04342Y104 | CL A | 5,647 | $586,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 2,927 | $574,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 26,943 | $572,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 15,800 | $562,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 2,375 | $549,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 6,812 | $539,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 909 | $519,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 3,980 | $518,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 4,401 | $512,000 | thousands by filing date | |
| UPSTARTHLDGSINC | 91680M107 | STOK | 1,600 | $506,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 789 | $482,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 4,450 | $480,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 1,373 | $477,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 7,612 | $477,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 5,451 | $474,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 8,706 | $464,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 6,970 | $446,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 1,989 | $443,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 561 | $435,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 5,260 | $431,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 938 | $421,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 2,866 | $416,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 961 | $412,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 2,339 | $410,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 4,667 | $408,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 1,682 | $406,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 21,245 | $403,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 5,500 | $388,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 1,500 | $384,000 | thousands by filing date | |
| ANNOVIS BIO INC | 03615A108 | COM | 11,962 | $380,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 5,654 | $361,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 10,000 | $355,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 5,265 | $355,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 10,685 | $347,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 1,438 | $345,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 7,494 | $326,000 | thousands by filing date | |
| AON PLC SHS CL A | G0403H108 | Stock | 1,135 | $324,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 1,774 | $323,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 5,734 | $321,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y442 | CLOUD COMPUTNG | 10,505 | $308,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 2,770 | $299,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 10,016 | $296,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 3,004 | $285,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 2,950 | $283,000 | thousands by filing date | |
| VTI | 922908769 | COM | 1,268 | $281,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 2,900 | $277,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 10,675 | $275,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 4,117 | $272,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 883 | $233,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 592 | $231,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 2,986 | $231,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 3,000 | $227,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 687 | $226,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 630 | $226,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 555 | $225,000 | thousands by filing date | |
| INGERSOLL RAND INC COM | 45687V106 | Stock | 4,321 | $218,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 5,078 | $216,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 536 | $211,000 | thousands by filing date | |
| AVANTOR INC COM | 05352A100 | Stock | 5,147 | $211,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 1,565 | $206,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 150 | $203,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 7,108 | $201,000 | thousands by filing date | |
| VIATRIS INC COM | 92556V106 | Stock | 10,389 | $141,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 19,300 | $72,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001889147-21-000002 | this filing | 2021-10-21 | acceptance time not in the bulk data set |