0001730293-19-000002.txt : 20190304
0001730293-19-000002.hdr.sgml : 20190304
20190301200527
ACCESSION NUMBER: 0001730293-19-000002
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20181231
FILED AS OF DATE: 20190304
DATE AS OF CHANGE: 20190301
EFFECTIVENESS DATE: 20190304
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Financial Advocates Investment Management
CENTRAL INDEX KEY: 0001730293
IRS NUMBER: 270434466
STATE OF INCORPORATION: WA
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-18619
FILM NUMBER: 19651486
BUSINESS ADDRESS:
STREET 1: 1601 COOPER POINT ROAD NW
CITY: OLYMPIA
STATE: WA
ZIP: 98502
BUSINESS PHONE: 3608662345
MAIL ADDRESS:
STREET 1: 1601 COOPER POINT ROAD NW
CITY: OLYMPIA
STATE: WA
ZIP: 98502
13F-HR/A
1
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13F-HR/A
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0001730293
XXXXXXXX
12-31-2018
12-31-2018
true
1
RESTATEMENT
Financial Advocates Investment Management
1601 COOPER POINT ROAD NW
OLYMPIA
WA
98502
13F HOLDINGS REPORT
028-18619
N
Doug Whittle
Chief Compliance Officer
360 866-2345 ext 468
Doug Whittle
Olympia
WA
03-01-2019
0
253
397847
false
INFORMATION TABLE
2
FAINC13F12312018AMEND.xml
AGNC INVT CORP
COM
00123Q104
480
27394
SH
SOLE
0
0
27394
AK STL HLDG CORP
COM
001547108
34
15025
SH
SOLE
0
0
15025
AT&T INC
COM
00206R102
3026
105995
SH
SOLE
0
0
105995
ABBOTT LABS
COM
002824100
337
4655
SH
SOLE
0
0
4655
ABBVIE INC
COM
00287Y109
880
9543
SH
SOLE
0
0
9543
ADOBE INC
COM
00724F101
607
2680
SH
SOLE
0
0
2680
AKOUSTIS TECHNOLOGIES INC
COM
00973N102
1097
220650
SH
SOLE
0
0
220650
ALASKA AIR GROUP INC
COM
011659109
410
6744
SH
SOLE
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6744
ALIBABA GROUP HLDG LTD
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01609W102
898
6551
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SOLE
0
0
6551
ALLIANCE DATA SYSTEMS CORP
COM
018581108
225
11532
SH
SOLE
0
0
11532
ALLIANT ENERGY CORP
COM
018802108
420
9897
SH
SOLE
0
0
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ALPHABET INC
CAP STK CL C
02079K107
606
585
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SOLE
0
0
585
ALPHABET INC
CAP STK CL A
02079K305
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1042
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SOLE
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1042
ALTRIA GROUP INC
COM
02209S103
731
14795
SH
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0
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14795
AMARIN CORP PLC
SPONS ADR NEW
023111206
395
29000
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AMAZON COM INC
COM
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9616
6402
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AMERICAN ELEC PWR INC
COM
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353
5031
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AMERICAN EXPRESS CO
COM
025816109
376
5393
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SOLE
0
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5393
AMERICAN TOWER CORP NEW
COM
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490
3096
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SOLE
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AMGEN INC
COM
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878
4511
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APPLE INC
COM
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87295
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ASBURY AUTOMOTIVE GROUP INC
COM
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176522
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ASHLAND GLOBAL HLDGS INC
COM
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4972
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ASPEN TECHNOLOGY INC
COM
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150458
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ASTRAZENECA PLC
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AVEO PHARMACEUTICALS INC
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15000
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AXON ENTERPRISE INC
COM
05464C101
653
14915
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SPON ADR REP A
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213
1342
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BANK AMER CORP
COM
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49617
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BANK HAWAII CORP
COM
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636
21950
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21950
BANK OF MARIN BANCORP
COM
063425102
255
8536
SH
SOLE
0
0
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BAXTER INTL INC
COM
071813109
263
8612
SH
SOLE
0
0
8612
BERKSHIRE HATHAWAY INC DEL
CL A
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396
4050
SH
SOLE
0
0
4050
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
3175
19716
SH
SOLE
0
0
19716
BLACKROCK INC
COM
09247X101
206
525
SH
SOLE
0
0
525
BOEING CO
COM
097023105
5589
17331
SH
SOLE
0
0
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BOOKING HLDGS INC
COM
09857L108
269
156
SH
SOLE
0
0
156
BRISTOL MYERS SQUIBB CO
COM
110122108
315
6313
SH
SOLE
0
0
6313
BROADCOM INC
COM
11135F101
613
2410
SH
SOLE
0
0
2410
CIGNA CORP NEW
COM
125523100
385
3708
SH
SOLE
0
0
3708
CVS HEALTH CORP
COM
126650100
442
6738
SH
SOLE
0
0
6738
CATERPILLAR INC DEL
COM
149123101
895
7240
SH
SOLE
0
0
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CHEVRON CORP NEW
COM
166764100
4484
41598
SH
SOLE
0
0
41598
CISCO SYS INC
COM
17275R102
1883
43460
SH
SOLE
0
0
43460
CITIGROUP INC
COM NEW
172967424
206
3958
SH
SOLE
0
0
3958
CLEAN ENERGY FUELS CORP
COM
184499101
2821
64318
SH
SOLE
0
0
64318
CLEVELAND CLIFFS INC
COM
185899101
534
12314
SH
SOLE
0
0
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CLOROX CO DEL
COM
189054109
619
9446
SH
SOLE
0
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COCA COLA CO
COM
191216100
1354
28596
SH
SOLE
0
0
28596
COLGATE PALMOLIVE CO
COM
194162103
1931
20449
SH
SOLE
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0
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COLONY CR REAL ESTATE INC
COM CL A
19625T101
240
15225
SH
SOLE
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0
15225
COLUMBIA SPORTSWEAR CO
COM
198516106
434
25534
SH
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CL A
20030N101
632
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SH
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COMERICA INC
COM
200340107
452
38577
SH
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CONOCOPHILLIPS
COM
20825C104
514
8248
SH
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CONSOLIDATED EDISON INC
COM
209115104
257
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SH
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COSTCO WHSL CORP NEW
COM
22160K105
2386
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SH
SOLE
0
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CROWN CASTLE INTL CORP NEW
COM
22822V101
282
2600
SH
SOLE
0
0
2600
DEERE & CO
COM
244199105
449
3008
SH
SOLE
0
0
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DELTA AIR LINES INC DEL
COM NEW
247361702
292
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SH
SOLE
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DIAGEO P L C
SPON ADR NEW
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244
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DISNEY WALT CO
COM DISNEY
254687106
3426
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SH
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0
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31250
DOCUSIGN INC
COM
256163106
429
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SH
SOLE
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DOMINION ENERGY INC
COM
25746U109
792
11081
SH
SOLE
0
0
11081
DOWDUPONT INC
COM
26078J100
330
6168
SH
SOLE
0
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EATON VANCE CORP
COM NON VTG
278265103
13137
250797
SH
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0
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EBAY INC
COM
278642103
12997
180344
SH
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0
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ECOLAB INC
COM
278865100
4882
73021
SH
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EDISON INTL
COM
281020107
310
5463
SH
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EDITAS MEDICINE INC
COM
28106W103
301
13250
SH
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ELECTRONIC ARTS INC
COM
285512109
340
7305
SH
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EMERSON ELEC CO
COM
291011104
1110
18567
SH
SOLE
0
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EVERSOURCE ENERGY
COM
30040W108
240
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SH
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0
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EXXON MOBIL CORP
COM
30231G102
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SH
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FACEBOOK INC
CL A
30303M102
1998
15239
SH
SOLE
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FEDEX CORP
COM
31428X106
307
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SH
SOLE
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FORD MTR CO DEL
COM PAR $0.01
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463
60532
SH
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GENERAL DYNAMICS CORP
COM
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393
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GENERAL ELECTRIC CO
COM
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592
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SH
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GENERAL MLS INC
COM
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GILEAD SCIENCES INC
COM
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GLACIER BANCORP INC NEW
COM
37637Q105
234
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SH
SOLE
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HSBC HLDGS PLC
SPON ADR NEW
404280406
286
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SH
SOLE
0
0
35785
HACKETT GROUP INC
COM
404609109
202
9008
SH
SOLE
0
0
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HECLA MNG CO
COM
422704106
72
28867
SH
SOLE
0
0
28867
HOME DEPOT INC
COM
437076102
2340
14012
SH
SOLE
0
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HONDA MOTOR LTD
AMERN SHS
438128308
979
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SH
SOLE
0
0
35245
HONEYWELL INTL INC
COM
438516106
1179
16241
SH
SOLE
0
0
16241
HUNTSMAN CORP
COM
447011107
224
24049
SH
SOLE
0
0
24049
ICAHN ENTERPRISES LP
DEPOSITARY UNIT
451100101
406
7745
SH
SOLE
0
0
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INTEL CORP
COM
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3184
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SH
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INTERNATIONAL BUSINESS MACHS
COM
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INTERNATIONAL FLAVORS&FRAGRA
COM
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INVESCO QQQ TR
UNIT SER 1
46090E103
387
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SH
SOLE
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IQIYI INC
SPONSORED ADS
46267X108
650
43740
SH
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ISHARES GOLD TRUST
ISHARES
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ISHARES TR
TIPS BD ETF
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12095
ISHARES TR
CORE S&P500 ETF
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2635
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ISHARES TR
MSCI EMG MKT ETF
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ISHARES TR
IBOXX INV CP ETF
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ISHARES TR
S&P 500 GRWT ETF
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ISHARES TR
S&P 500 VAL ETF
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1441
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ISHARES TR
20 YR TR BD ETF
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2529
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ISHARES TR
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388
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ISHARES TR
MSCI EAFE ETF
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2623
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ISHARES TR
CORE S&P MCP ETF
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1413
8511
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8511
ISHARES TR
NASDAQ BIOTECH
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410
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COHEN STEER REIT
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898
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ISHARES TR
RUSSELL 2000 ETF
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1191
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ISHARES TR
CORE S&P SCP ETF
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963
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ISHARES TR
JPMORGAN USD EMG
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291
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ISHARES TR
IBOXX HI YD ETF
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224
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ISHARES TR
INTRM TR CRP ETF
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515
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ISHARES TR
S&P US PFD STK
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203
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SH
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5940
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ISHARES
46428Q109
1546
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ISHARES TR
FLTG RATE NT ETF
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387
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ISHARES TR
MIN VOL USA ETF
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SHT MAT BD ETF
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586
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ISHARES TR
EDGE MSCI USA VL
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1114
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15350
ISHARES TR
USA MOMENTUM FCT
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351
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ISHARES TR
CORE MSCI EAFE
46432F842
643
11698
SH
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ISHARES INC
CORE MSCI EMKT
46434G103
283
6012
SH
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0
0
6012
JPMORGAN CHASE & CO
COM
46625H100
1837
18819
SH
SOLE
0
0
18819
JABIL INC
COM
466313103
3049
30288
SH
SOLE
0
0
30288
JACOBS ENGR GROUP INC DEL
COM
469814107
290
5455
SH
SOLE
0
0
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JD COM INC
SPON ADR CL A
47215P106
264
12612
SH
SOLE
0
0
12612
JOHNSON & JOHNSON
COM
478160104
4220
32697
SH
SOLE
0
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KIMBERLY CLARK CORP
COM
494368103
1067
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SH
SOLE
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KINDER MORGAN INC DEL
COM
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226
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SH
SOLE
0
0
14678
KROGER CO
COM
501044101
398
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SH
SOLE
0
0
19895
L3 TECHNOLOGIES INC
COM
502413107
347
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SH
SOLE
0
0
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LADDER CAP CORP
CL A
505743104
1239
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SH
SOLE
0
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53077
LAM RESEARCH CORP
COM
512807108
499
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SH
SOLE
0
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LEGGETT & PLATT INC
COM
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2248
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SH
SOLE
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LENNAR CORP
CL B
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8710
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SH
SOLE
0
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174515
LENNOX INTL INC
COM
526107107
9094
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SH
SOLE
0
0
151628
LILLY ELI & CO
COM
532457108
521
5049
SH
SOLE
0
0
5049
LITTELFUSE INC
COM
537008104
201
3170
SH
SOLE
0
0
3170
LOCKHEED MARTIN CORP
COM
539830109
1820
17673
SH
SOLE
0
0
17673
LOUISIANA PAC CORP
COM
546347105
1395
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SH
SOLE
0
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118053
LOWES COS INC
COM
548661107
1902
72698
SH
SOLE
0
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LOXO ONCOLOGY INC
COM
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2807
32381
SH
SOLE
0
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32381
LULULEMON ATHLETICA INC
COM
550021109
1201
18242
SH
SOLE
0
0
18242
MASTERCARD INCORPORATED
CL A
57636Q104
815
4319
SH
SOLE
0
0
4319
MCCORMICK & CO INC
COM NON VTG
579780206
1827
67984
SH
SOLE
0
0
67984
MCDERMOTT INTL INC
COM
580037703
422
19753
SH
SOLE
0
0
19753
MCDONALDS CORP
COM
580135101
1791
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SH
SOLE
0
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19304
MERCK & CO INC
COM
58933Y105
1493
19547
SH
SOLE
0
0
19547
MICRO FOCUS INTERNATIONAL PL
SPON ADR NEW
594837304
246
5643
SH
SOLE
0
0
5643
MICROSOFT CORP
COM
594918104
10523
103827
SH
SOLE
0
0
103827
MICRON TECHNOLOGY INC
COM
595112103
300
9640
SH
SOLE
0
0
9640
MONDELEZ INTL INC
CL A
609207105
329
8221
SH
SOLE
0
0
8221
NATIONAL FUEL GAS CO N J
COM
636180101
938
66020
SH
SOLE
0
0
66020
NATIONAL GRID PLC
SPONSORED ADR NE
636274409
374
6860
SH
SOLE
0
0
6860
NATIONAL OILWELL VARCO INC
COM
637071101
304
5634
SH
SOLE
0
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5634
NATIONAL RETAIL PPTYS INC
COM
637417106
213
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SH
SOLE
0
0
6548
NETFLIX INC
COM
64110L106
2545
9509
SH
SOLE
0
0
9509
NEXTERA ENERGY INC
COM
65339F101
2242
12896
SH
SOLE
0
0
12896
NIKE INC
CL B
654106103
4178
56341
SH
SOLE
0
0
56341
NORDSON CORP
COM
655663102
6378
166493
SH
SOLE
0
0
166493
NORDSTROM INC
COM
655664100
4867
130591
SH
SOLE
0
0
130591
NORFOLK SOUTHERN CORP
COM
655844108
1717
35417
SH
SOLE
0
0
35417
NORTHROP GRUMMAN CORP
COM
666807102
593
2425
SH
SOLE
0
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2425
NOVARTIS A G
SPONSORED ADR
66987V109
1224
14261
SH
SOLE
0
0
14261
NOVO-NORDISK A S
ADR
670100205
280
6069
SH
SOLE
0
0
6069
NVIDIA CORP
COM
67066G104
807
6044
SH
SOLE
0
0
6044
OGE ENERGY CORP
COM
670837103
2765
32682
SH
SOLE
0
0
32682
OAKTREE CAP GROUP LLC
UNIT CL A
674001201
4635
35275
SH
SOLE
0
0
35275
OCCIDENTAL PETE CORP DEL
COM
674599105
2787
24060
SH
SOLE
0
0
24060
OKTA INC
CL A
679295105
701
13515
SH
SOLE
0
0
13515
OLD DOMINION FGHT LINES INC
COM
679580100
373
7024
SH
SOLE
0
0
7024
OLD REP INTL CORP
COM
680223104
2270
30532
SH
SOLE
0
0
30532
OWENS CORNING NEW
COM
690742101
5678
94498
SH
SOLE
0
0
94498
PACCAR INC
COM
693718108
2960
39431
SH
SOLE
0
0
39431
PACWEST BANCORP DEL
COM
695263103
468
6108
SH
SOLE
0
0
6108
PAN AMERICAN SILVER CORP
COM
697900108
4660
36408
SH
SOLE
0
0
36408
PAPA MURPHYS HLDGS INC
COM
698814100
1453
14269
SH
SOLE
0
0
14269
PARKER HANNIFIN CORP
COM
701094104
14541
183540
SH
SOLE
0
0
183540
PARSLEY ENERGY INC
CL A
701877102
11467
90111
SH
SOLE
0
0
90111
PATRICK INDS INC
COM
703343103
2632
55762
SH
SOLE
0
0
55762
PAYPAL HLDGS INC
COM
70450Y103
576
6847
SH
SOLE
0
0
6847
PEPSICO INC
COM
713448108
518
5146
SH
SOLE
0
0
5146
PFIZER INC
COM
717081103
3640
104148
SH
SOLE
0
0
104148
PHILIP MORRIS INTL INC
COM
718172109
460
7648
SH
SOLE
0
0
7648
PHILLIPS 66
COM
718546104
761
9909
SH
SOLE
0
0
9909
PINNACLE WEST CAP CORP
COM
723484101
2250
58442
SH
SOLE
0
0
58442
PITNEY BOWES INC
COM
724479100
2145
25456
SH
SOLE
0
0
25456
PORTLAND GEN ELEC CO
COM NEW
736508847
257
5508
SH
SOLE
0
0
5508
PROCTER AND GAMBLE CO
COM
742718109
2887
31409
SH
SOLE
0
0
31409
PUBLIC STORAGE
COM
74460D109
265
1308
SH
SOLE
0
0
1308
QUALCOMM INC
COM
747525103
588
10333
SH
SOLE
0
0
10333
RAVEN INDS INC
COM
754212108
282
2010
SH
SOLE
0
0
2010
RAYTHEON CO
COM NEW
755111507
262
1709
SH
SOLE
0
0
1709
REALTY INCOME CORP
COM
756109104
305
4825
SH
SOLE
0
0
4825
RING ENERGY INC
COM
76680V108
2790
549215
SH
SOLE
0
0
549215
ROYAL DUTCH SHELL PLC
SPON ADR B
780259107
370
6163
SH
SOLE
0
0
6163
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
336
5763
SH
SOLE
0
0
5763
SBA COMMUNICATIONS CORP NEW
CL A
78410G104
214
1322
SH
SOLE
0
0
1322
SPDR S&P 500 ETF TR
TR UNIT
78462F103
4619
18483
SH
SOLE
0
0
18483
SPDR GOLD TRUST
GOLD SHS
78463V107
7151
58974
SH
SOLE
0
0
58974
SPDR SERIES TRUST
DJ REIT ETF
78464A607
560
6514
SH
SOLE
0
0
6514
SPDR DOW JONES INDL AVRG ETF
UT SER 1
78467X109
354
1520
SH
SOLE
0
0
1520
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
1044
3450
SH
SOLE
0
0
3450
SAILPOINT TECHNLGIES HLDGS I
COM
78781P105
238
10150
SH
SOLE
0
0
10150
SALESFORCE COM INC
COM
79466L302
350
2552
SH
SOLE
0
0
2552
SAP SE
SPON ADR
803054204
541
5430
SH
SOLE
0
0
5430
SCHWAB STRATEGIC TR
SHT TM US TRES
808524862
1669
33446
SH
SOLE
0
0
33446
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
291
12197
SH
SOLE
0
0
12197
SEMPRA ENERGY
COM
816851109
256
2370
SH
SOLE
0
0
2370
SERVICENOW INC
COM
81762P102
371
2082
SH
SOLE
0
0
2082
SHOPIFY INC
CL A
82509L107
536
3873
SH
SOLE
0
0
3873
SIRIUS XM HLDGS INC
COM
82968B103
86
14980
SH
SOLE
0
0
14980
SOUTHERN CO
COM
842587107
500
11364
SH
SOLE
0
0
11364
STARBUCKS CORP
COM
855244109
4652
72233
SH
SOLE
0
0
72233
STRYKER CORP
COM
863667101
339
2164
SH
SOLE
0
0
2164
TARGET CORP
COM
87612E106
329
4975
SH
SOLE
0
0
4975
TELADOC HEALTH INC
COM
87918A105
411
8284
SH
SOLE
0
0
8284
TESLA INC
COM
88160R101
641
1926
SH
SOLE
0
0
1926
TEXAS INSTRS INC
COM
882508104
265
2797
SH
SOLE
0
0
2797
THERMO FISHER SCIENTIFIC INC
COM
883556102
371
1657
SH
SOLE
0
0
1657
3M CO
COM
88579Y101
614
3224
SH
SOLE
0
0
3224
TWILIO INC
CL A
90138F102
368
4125
SH
SOLE
0
0
4125
US BANCORP DEL
COM NEW
902973304
657
14363
SH
SOLE
0
0
14363
UNDER ARMOUR INC
CL C
904311206
385
23807
SH
SOLE
0
0
23807
UNION PAC CORP
COM
907818108
1070
7740
SH
SOLE
0
0
7740
UNITED TECHNOLOGIES CORP
COM
913017109
1635
15349
SH
SOLE
0
0
15349
UNITEDHEALTH GROUP INC
COM
91324P102
417
1671
SH
SOLE
0
0
1671
UPWORK INC
COM
91688F104
232
12825
SH
SOLE
0
0
12825
V F CORP
COM
918204108
1050
14718
SH
SOLE
0
0
14718
VANGUARD GROUP
DIV APP ETF
921908844
2173
22182
SH
SOLE
0
0
22182
VANGUARD BD INDEX FD INC
SHORT TRM BOND
921937827
298
3798
SH
SOLE
0
0
3798
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
1379
17411
SH
SOLE
0
0
17411
VANGUARD SCOTTSDALE FDS
LG-TERM COR BD
92206C813
270
3168
SH
SOLE
0
0
3168
VANGUARD SCOTTSDALE FDS
INT-TERM CORP
92206C870
279
3368
SH
SOLE
0
0
3368
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
213
925
SH
SOLE
0
0
925
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
2591
20298
SH
SOLE
0
0
20298
VEREIT INC
COM
92339V100
84
11749
SH
SOLE
0
0
11749
VERIZON COMMUNICATIONS INC
COM
92343V104
2372
42191
SH
SOLE
0
0
42191
VISA INC
COM CL A
92826C839
3230
24477
SH
SOLE
0
0
24477
VISTAGEN THERAPEUTICS INC
COM NEW
92840H202
35
23097
SH
SOLE
0
0
23097
WALMART INC
COM
931142103
845
9074
SH
SOLE
0
0
9074
WELLS FARGO CO NEW
COM
949746101
1009
21881
SH
SOLE
0
0
21881
WESTAMERICA BANCORPORATION
COM
957090103
344
6177
SH
SOLE
0
0
6177
WEYERHAEUSER CO
COM
962166104
218
9980
SH
SOLE
0
0
9980
WINTRUST FINL CORP
COM
97650W108
765
11512
SH
SOLE
0
0
11512
WISDOMTREE TR
US MIDCAP DIVID
97717W505
545
17240
SH
SOLE
0
0
17240
WISDOMTREE TR
US SMALLCAP DIVD
97717W604
291
11864
SH
SOLE
0
0
11864
MARVELL TECHNOLOGY GROUP LTD
ORD
G5876H105
313
19360
SH
SOLE
0
0
19360
MEDTRONIC PLC
SHS
G5960L103
269
2955
SH
SOLE
0
0
2955
CHUBB LIMITED
COM
H1467J104
1211
9380
SH
SOLE
0
0
9380
GARMIN LTD
SHS
H2906T109
311
4914
SH
SOLE
0
0
4914