The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
AFLAC INC COM | COM | 001055102 | 1,358 | 25,677 | SH | SOLE | 0 | 0 | 25,677 | ||
AMGEN INC COM | COM | 031162100 | 319 | 1,322 | SH | SOLE | 0 | 0 | 1,322 | ||
APPLE INC COM | COM | 037833100 | 4,299 | 14,639 | SH | SOLE | 0 | 0 | 14,639 | ||
ARES CAPITAL CORP COM | COM | 04010L103 | 536 | 28,720 | SH | SOLE | 0 | 0 | 28,720 | ||
AT&T INC COM | COM | 00206R102 | 456 | 11,679 | SH | SOLE | 0 | 0 | 11,679 | ||
BARCLAYS BANK PLC IPATH B LIVESTCK ETN | IPATH B LIVESTCK ETN | 06746P498 | 414 | 9,036 | SH | SOLE | 0 | 0 | 9,036 | ||
BARCLAYS BANK PLC IPATH SER B GSCI ETN | IPATH SER B GSCI ETN | 06745R693 | 389 | 30,920 | SH | SOLE | 0 | 0 | 30,920 | ||
BERKSHIRE HATHAWAY INC COM CL B | COM CL B | 084670702 | 366 | 1,617 | SH | SOLE | 0 | 0 | 1,617 | ||
BOEING CO COM | COM | 097023105 | 298 | 915 | SH | SOLE | 0 | 0 | 915 | ||
CHEVRON CORPORATION COM | COM | 166764100 | 346 | 2,867 | SH | SOLE | 0 | 0 | 2,867 | ||
COSTCO WHOLESALE CORP COM | COM | 22160K105 | 490 | 1,666 | SH | SOLE | 0 | 0 | 1,666 | ||
CREDIT SUISSE AG LONDON BRANCH NOTE CLBL INDEX LNKD | NOTE CLBL INDEX LNKD | 22552FW65 | 306 | 302 | SH | SOLE | 0 | 0 | 302 | ||
CREDIT SUISSE AG LONDON BRANCH NOTE M/W CLBL INDEX LNKD | NOTE M/W CLBL INDEX LNKD | 22552FH70 | 385 | 382 | SH | SOLE | 0 | 0 | 382 | ||
EMX ROYALTY CORPORATION COM | COM | 26873J107 | 33 | 20,000 | SH | SOLE | 0 | 0 | 20,000 | ||
EVRIM RESOURCES CORP COM | COM | 30051B100 | 3 | 10,000 | SH | SOLE | 0 | 0 | 10,000 | ||
EXXON MOBIL CORPORATION COM | COM | 30231G102 | 430 | 6,156 | SH | SOLE | 0 | 0 | 6,156 | ||
FARMERS & MERCHANTS BANK (CA) COM | COM | 308243104 | 330 | 42 | SH | SOLE | 0 | 0 | 42 | ||
FIRST TRUST EXCHANGE-TRADED FU CAP STRENGTH ETF | CAP STRENGTH ETF | 33733E104 | 479 | 7,940 | SH | SOLE | 0 | 0 | 7,940 | ||
FLAHERTY & CRUMRINE/CLAYMORE P COM | COM | 338478100 | 550 | 25,359 | SH | SOLE | 0 | 0 | 25,359 | ||
GENERAL ELECTRIC CO COM | COM | 369604103 | 182 | 16,315 | SH | SOLE | 0 | 0 | 16,315 | ||
GLOBAL X FDS GLB X SUPERDIV ETF | GLB X SUPERDIV ETF | 37950E549 | 211 | 11,944 | SH | SOLE | 0 | 0 | 11,944 | ||
GOLUB CAPITAL BDC INC COM | COM | 38173M102 | 536 | 29,036 | SH | SOLE | 0 | 0 | 29,036 | ||
HOME DEPOT INC COM | COM | 437076102 | 426 | 1,950 | SH | SOLE | 0 | 0 | 1,950 | ||
INTERNATIONAL BUS MACH CORP COM | COM | 459200101 | 213 | 1,592 | SH | SOLE | 0 | 0 | 1,592 | ||
INVESCO DWA UTILITIES | DWA UTILS MUMT | 46137V795 | 566 | 16,483 | SH | SOLE | 0 | 0 | 16,483 | ||
INVESCO EXCHANGE TRADED FUND T S&P500 LOW VOL ETF | S&P500 LOW VOL ETF | 46138E354 | 325 | 5,574 | SH | SOLE | 0 | 0 | 5,574 | ||
INVESCO EXCHANGE TRADED SELF I DEFENSIVE EQTY ETF | DEFENSIVE EQTY ETF | 46138J775 | 613 | 11,007 | SH | SOLE | 0 | 0 | 11,007 | ||
INVESCO QQQ TRUST UNIT SER 1 ETF | UNIT SER 1 ETF | 46090E103 | 93,779 | 441,085 | SH | SOLE | 0 | 0 | 441,085 | ||
ISHARES INC CORE MSCI EMKT ETF | CORE MSCI EMKT ETF | 46434G103 | 18,171 | 338,011 | SH | SOLE | 0 | 0 | 338,011 | ||
ISHARES SILVER TRUST ISHARES ETF | ISHARES ETF | 46428Q109 | 239 | 14,343 | SH | SOLE | 0 | 0 | 14,343 | ||
ISHARES TRUST 1 3 YR TREAS BD ETF | 1 3 YR TREAS BD ETF | 464287457 | 12,822 | 151,507 | SH | SOLE | 0 | 0 | 151,507 | ||
ISHARES TRUST 20 YR TR BD ETF | 20 YR TR BD ETF | 464287432 | 23,368 | 172,486 | SH | SOLE | 0 | 0 | 172,486 | ||
ISHARES TRUST 3 7 YR TREAS BD ETF | 3 7 YR TREAS BD ETF | 464288661 | 404 | 3,210 | SH | SOLE | 0 | 0 | 3,210 | ||
ISHARES TRUST BARCLAYS 7 10 YR ETF | BARCLAYS 7 10 YR ETF | 464287440 | 2,019 | 18,315 | SH | SOLE | 0 | 0 | 18,315 | ||
ISHARES TRUST CORE MSCI EAFE ETF | CORE MSCI EAFE ETF | 46432F842 | 29,666 | 454,721 | SH | SOLE | 0 | 0 | 454,721 | ||
ISHARES TRUST CORE S&P MCP ETF | CORE S&P MCP ETF | 464287507 | 1,239 | 6,022 | SH | SOLE | 0 | 0 | 6,022 | ||
ISHARES TRUST CORE S&P SCP ETF | CORE S&P SCP ETF | 464287804 | 14,018 | 167,185 | SH | SOLE | 0 | 0 | 167,185 | ||
ISHARES TRUST CORE S&P TTL STK ETF | CORE S&P TTL STK ETF | 464287150 | 7,032 | 96,734 | SH | SOLE | 0 | 0 | 96,734 | ||
ISHARES TRUST CORE S&P500 ETF | CORE S&P500 ETF | 464287200 | 11,149 | 34,491 | SH | SOLE | 0 | 0 | 34,491 | ||
ISHARES TRUST FLTG RATE NT ETF | FLTG RATE NT ETF | 46429B655 | 1,783 | 35,023 | SH | SOLE | 0 | 0 | 35,023 | ||
ISHARES TRUST GLOBAL TECH ETF | GLOBAL TECH ETF | 464287291 | 2,058 | 9,779 | SH | SOLE | 0 | 0 | 9,779 | ||
ISHARES TRUST IBOXX HI YD ETF | IBOXX HI YD ETF | 464288513 | 433 | 4,929 | SH | SOLE | 0 | 0 | 4,929 | ||
ISHARES TRUST IBOXX INV CP ETF | IBOXX INV CP ETF | 464287242 | 46,185 | 360,937 | SH | SOLE | 0 | 0 | 360,937 | ||
ISHARES TRUST INTL SEL DIV ETF | INTL SEL DIV ETF | 464288448 | 264 | 7,850 | SH | SOLE | 0 | 0 | 7,850 | ||
ISHARES TRUST INTRM TR CRP ETF | INTRM TR CRP ETF | 464288638 | 1,321 | 22,792 | PRN | SOLE | 0 | 0 | 22,792 | ||
ISHARES TRUST JPMORGAN USD EMG ETF | JPMORGAN USD EMG ETF | 464288281 | 32,888 | 287,080 | SH | SOLE | 0 | 0 | 287,080 | ||
ISHARES TRUST MBS ETF | MBS ETF | 464288588 | 3,586 | 33,190 | SH | SOLE | 0 | 0 | 33,190 | ||
ISHARES TRUST MIN VOL EAFE ETF | MIN VOL EAFE ETF | 46429B689 | 451 | 6,056 | SH | SOLE | 0 | 0 | 6,056 | ||
ISHARES TRUST MSCI MIN VOL ETF | MSCI MIN VOL ETF | 46429B697 | 2,540 | 38,716 | SH | SOLE | 0 | 0 | 38,716 | ||
ISHARES TRUST TIPS BD ETF | TIPS BD ETF | 464287176 | 486 | 4,169 | PRN | SOLE | 0 | 0 | 4,169 | ||
ISHARES TRUST US TREAS BD ETF | US TREAS BD ETF | 46429B267 | 3,210 | 123,740 | SH | SOLE | 0 | 0 | 123,740 | ||
ISHARES TRUST USA QUALITY FCTR ETF | USA QUALITY FCTR ETF | 46432F339 | 3,353 | 33,196 | SH | SOLE | 0 | 0 | 33,196 | ||
ISHARES TRUST USA SIZE FACTOR ETF | USA SIZE FACTOR ETF | 46432F370 | 1,918 | 19,690 | SH | SOLE | 0 | 0 | 19,690 | ||
ISHARES US ETF TRUST SHT MAT BD ETF | SHT MAT BD ETF | 46431W507 | 1,340 | 26,667 | SH | SOLE | 0 | 0 | 26,667 | ||
JOHN HANCOCK PFD INCOME FUND I COM | COM | 41021P103 | 527 | 27,329 | SH | SOLE | 0 | 0 | 27,329 | ||
JP MORGAN CHASE & CO COM | COM | 46625H100 | 515 | 3,692 | SH | SOLE | 0 | 0 | 3,692 | ||
LARAMIDE RESOURCES COM | COM | 51669T101 | 9 | 60,000 | SH | SOLE | 0 | 0 | 60,000 | ||
MAIN STREET CAP CORP COM | COM | 56035L104 | 535 | 12,418 | PRN | SOLE | 0 | 0 | 12,418 | ||
MARRIOTT INTERNATIONAL INC COM CL A | COM CL A | 571903202 | 245 | 1,615 | SH | SOLE | 0 | 0 | 1,615 | ||
MCDONALD'S CORPORATION COM | COM | 580135101 | 303 | 1,535 | SH | SOLE | 0 | 0 | 1,535 | ||
MICROSOFT CORP COM | COM | 594918104 | 1,213 | 7,689 | SH | SOLE | 0 | 0 | 7,689 | ||
NEUBERGER BERMAN INC COM | COM | 64190A103 | 544 | 97,543 | SH | SOLE | 0 | 0 | 97,543 | ||
NEW MOUNTAIN FINANCE CORP COM | COM | 647551100 | 532 | 38,700 | SH | SOLE | 0 | 0 | 38,700 | ||
OXFORD LANE CAPITAL CORP COM | COM | 691543102 | 157 | 19,275 | SH | SOLE | 0 | 0 | 19,275 | ||
PHILIP MORRIS INTL INC COM | COM | 718172109 | 227 | 2,666 | SH | SOLE | 0 | 0 | 2,666 | ||
PIMCO ETF TRUST ENHAN SHRT MA AC ETF | ENHAN SHRT MA AC ETF | 72201R833 | 1,266 | 12,458 | SH | SOLE | 0 | 0 | 12,458 | ||
PIMCO FUNDS COM | COM | 72200U100 | 558 | 29,195 | SH | SOLE | 0 | 0 | 29,195 | ||
PIMCO INCOME OPPORTUNITY FUND COM | COM | 72202B100 | 548 | 19,721 | SH | SOLE | 0 | 0 | 19,721 | ||
SCHWAB STRATEGIC TR EMRG MKTEQ ETF | EMRG MKTEQ ETF | 808524706 | 1,363 | 49,798 | PRN | SOLE | 0 | 0 | 49,798 | ||
SCHWAB STRATEGIC TR INTL EQTY ETF | INTL EQTY ETF | 808524805 | 1,200 | 35,681 | SH | SOLE | 0 | 0 | 35,681 | ||
SCHWAB STRATEGIC TR SCHWAB FDT US LG ETF | SCHWAB FDT US LG ETF | 808524771 | 239 | 5,595 | SH | SOLE | 0 | 0 | 5,595 | ||
SCHWAB STRATEGIC TR SHT TM US TRES ETF | SHT TM US TRES ETF | 808524862 | 1,147 | 22,720 | SH | SOLE | 0 | 0 | 22,720 | ||
SCHWAB STRATEGIC TR US DIVIDEND EQ ETF | US DIVIDEND EQ ETF | 808524797 | 2,037 | 35,171 | SH | SOLE | 0 | 0 | 35,171 | ||
SCHWAB STRATEGIC TR US LCAP GR ETF | US LCAP GR ETF | 808524300 | 811 | 8,730 | SH | SOLE | 0 | 0 | 8,730 | ||
SCHWAB STRATEGIC TR US LCAP VA ETF | US LCAP VA ETF | 808524409 | 445 | 7,410 | SH | SOLE | 0 | 0 | 7,410 | ||
SCHWAB STRATEGIC TR US LRG CAP ETF | US LRG CAP ETF | 808524201 | 2,213 | 28,817 | SH | SOLE | 0 | 0 | 28,817 | ||
SELECT SECTOR SPDR TRUST COMMUNICATION ETF | COMMUNICATION ETF | 81369Y852 | 5,270 | 98,272 | SH | SOLE | 0 | 0 | 98,272 | ||
SELECT SECTOR SPDR TRUST ENERGY ETF | ENERGY ETF | 81369Y506 | 2,438 | 40,613 | SH | SOLE | 0 | 0 | 40,613 | ||
SELECT SECTOR SPDR TRUST RL EST SEL SEC ETF | RL EST SEL SEC ETF | 81369Y860 | 2,022 | 52,294 | SH | SOLE | 0 | 0 | 52,294 | ||
SELECT SECTOR SPDR TRUST SBI CONS DISCR ETF | SBI CONS DISCR ETF | 81369Y407 | 4,984 | 39,737 | SH | SOLE | 0 | 0 | 39,737 | ||
SELECT SECTOR SPDR TRUST SBI CONS STPLS ETF | SBI CONS STPLS ETF | 81369Y308 | 3,114 | 49,445 | SH | SOLE | 0 | 0 | 49,445 | ||
SELECT SECTOR SPDR TRUST SBI HEALTHCARE ETF | SBI HEALTHCARE ETF | 81369Y209 | 8,613 | 84,562 | SH | SOLE | 0 | 0 | 84,562 | ||
SELECT SECTOR SPDR TRUST SBI INT-FINL ETF | SBI INT-FINL ETF | 81369Y605 | 5,308 | 172,463 | SH | SOLE | 0 | 0 | 172,463 | ||
SELECT SECTOR SPDR TRUST SBI INT-INDS ETF | SBI INT-INDS ETF | 81369Y704 | 4,802 | 58,940 | SH | SOLE | 0 | 0 | 58,940 | ||
SELECT SECTOR SPDR TRUST SBI INT-UTILS ETF | SBI INT-UTILS ETF | 81369Y886 | 1,318 | 20,398 | SH | SOLE | 0 | 0 | 20,398 | ||
SELECT SECTOR SPDR TRUST SBI MATERIALS ETF | SBI MATERIALS ETF | 81369Y100 | 1,029 | 16,752 | SH | SOLE | 0 | 0 | 16,752 | ||
SELECT SECTOR SPDR TRUST TECHNOLOGY ETF | TECHNOLOGY ETF | 81369Y803 | 11,104 | 121,130 | SH | SOLE | 0 | 0 | 121,130 | ||
SOCIETE GENERALE NOTE INDEX LNKD | NOTE INDEX LNKD | 83369FSL2 | 379 | 379 | SH | SOLE | 0 | 0 | 379 | ||
SPDR BLMBRG BRCLY INTL | BLOMBERG INTL TR | 78464A516 | 345 | 11,970 | SH | SOLE | 0 | 0 | 11,970 | ||
SPDR GOLD TRUST GOLD SHS ETF | GOLD SHS ETF | 78463V107 | 1,401 | 9,806 | SH | SOLE | 0 | 0 | 9,806 | ||
SPDR S&P500 ETF TRUST TR UNIT ETF | TR UNIT ETF | 78462F103 | 77,014 | 239,278 | SH | SOLE | 0 | 0 | 239,278 | ||
SPDR SERIES TRUST BLOOMBERG BRCLYS ETF | BLOOMBERG BRCLYS ETF | 78468R622 | 43,490 | 397,023 | SH | SOLE | 0 | 0 | 397,023 | ||
SPDR SERIES TRUST S&P DIVID ETF | S&P DIVID ETF | 78464A763 | 330 | 3,071 | SH | SOLE | 0 | 0 | 3,071 | ||
SPIRIT REALTY CAPITAL INC COM NEW | COM NEW | 84860W300 | 210 | 4,272 | SH | SOLE | 0 | 0 | 4,272 | ||
SYNTHORX INC COM | COM | 87167A103 | 266 | 3,800 | PRN | SOLE | 0 | 0 | 3,800 | ||
VANGUARD DIV APP ETF | DIV APP ETF | 921908844 | 59,301 | 475,698 | SH | SOLE | 0 | 0 | 475,698 | ||
VANGUARD HIGH DIV YLD ETF | HIGH DIV YLD ETF | 921946406 | 258 | 2,750 | SH | SOLE | 0 | 0 | 2,750 | ||
VANGUARD INTL BD IDX ETF | INTL BD IDX ETF | 92203J407 | 4,538 | 80,203 | SH | SOLE | 0 | 0 | 80,203 | ||
VANGUARD REAL ESTATE ETF | REAL ESTATE ETF | 922908553 | 674 | 7,269 | SH | SOLE | 0 | 0 | 7,269 | ||
VANGUARD TOTAL STK MKT ETF | TOTAL STK MKT ETF | 922908769 | 373 | 2,280 | SH | SOLE | 0 | 0 | 2,280 | ||
VANGUARD UTILITIES ETF | UTILITIES ETF | 92204A876 | 823 | 5,763 | SH | SOLE | 0 | 0 | 5,763 | ||
VAPOTHERM INC COM | COM | 922107107 | 243 | 20,000 | SH | SOLE | 0 | 0 | 20,000 | ||
VERIZON COMMUNICATIONS COM | COM | 92343V104 | 459 | 7,478 | SH | SOLE | 0 | 0 | 7,478 | ||
WALT DISNEY CO | COM | 254687106 | 903 | 6,246 | SH | SOLE | 0 | 0 | 6,246 |