0001793904-20-000004.txt : 20200214 0001793904-20-000004.hdr.sgml : 20200214 20200214080432 ACCESSION NUMBER: 0001793904-20-000004 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 EFFECTIVENESS DATE: 20200214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Wealth Alliance CENTRAL INDEX KEY: 0001793904 IRS NUMBER: 832902030 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-19913 FILM NUMBER: 20613995 BUSINESS ADDRESS: STREET 1: 105 BROADHOLLOW ROAD CITY: MELLVILLE STATE: NY ZIP: 11747 BUSINESS PHONE: 631 670-0682 MAIL ADDRESS: STREET 1: 105 BROADHOLLOW ROAD CITY: MELLVILLE STATE: NY ZIP: 11747 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001793904 XXXXXXXX 12-31-2019 12-31-2019 true 1 RESTATEMENT Wealth Alliance

105 BROADHOLLOW ROAD MELLVILLE NY 11747

13F HOLDINGS REPORT 028-19913 N William Franey (631) 670-0682 William G. Franey Melville NY 02-14-2020 1 87 140689 false 1 028-14921 Atria Investments INFORMATION TABLE 2 13FWealthalliance20191231.xml PARTY CITY HOLDCO INC COM Stock 702149105 24 10375 SH SOLE 0 0 0 10375 EATON VANCE TX MGD DIV EQ INCM COM CEF 27828N102 133 10627 SH SOLE 0 0 0 10627 BANCO SANTANDER SA ADR ADR 05964H105 46 11079 SH SOLE 0 0 0 11079 EATON VANCE TAX MNGD GBL DV EQ COM CEF 27829F108 104 11816 SH SOLE 0 0 0 11816 ENZO BIOCHEM INC COM Stock 294100102 43 16400 SH SOLE 0 0 0 16400 BLACKROCK LIMITED DURATION INCOME TRUST ETF CEF 09249W101 485 29589 SH SOLE 0 0 0 29589 ISHARES 7-10 YEAR TREASURY BOND ETF ETF 464287440 4406 39973 SH SOLE 0 0 0 39973 SPDR DOW JONES INTERNATIONAL REAL ESTATE ETF ETF 78463X863 1697 43755 SH SOLE 0 0 0 43755 INVESCO S&P 500 REVENUE ETF ETF 46138G698 2812 48224 SH SOLE 0 0 0 48224 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 3083 62931 SH SOLE 0 0 0 62931 ALLIANZGI NFJ DIVIDEND INT & PREM FUND CEF 01883A107 842 64770 SH SOLE 0 0 0 64770 FIRST TRUST GLOBAL TACTICAL COMMODITY STRATEGY ETF ETF 33739H101 3592 189858 SH SOLE 0 0 0 189858 ING GROEP N V SPONSORED ADR ADR 456837103 121 10082 SH DFND 1 0 0 10082 AMERICAN INTL GROUP INC COM NEW Stock 026874784 544 10591 SH DFND 1 0 0 10591 BRISTOL MYERS SQUIBB CO COM Stock 110122108 686 10683 SH DFND 1 0 0 10683 ABBOTT LABS COM Stock 002824100 928 10684 SH DFND 1 0 0 10684 GENERAL ELECTRIC CO COM Stock 369604103 122 10926 SH DFND 1 0 0 10926 VANGUARD SMALL-CAP INDEX FUND ETF 922908751 1818 10974 SH DFND 1 0 0 10974 TRUIST FINL CORP COM Stock 89832Q109 618 10975 SH DFND 1 0 0 10975 ABBVIE INC COM Stock 00287Y109 989 11168 SH DFND 1 0 0 11168 GILEAD SCIENCES INC COM Stock 375558103 731 11252 SH DFND 1 0 0 11252 CONOCOPHILLIPS COM Stock 20825C104 734 11287 SH DFND 1 0 0 11287 FIRST FINL BANKSHARES COM Stock 32020R109 398 11345 SH DFND 1 0 0 11345 CVS HEALTH CORP COM Stock 126650100 851 11449 SH DFND 1 0 0 11449 DISNEY WALT CO COM DISNEY Stock 254687106 1657 11458 SH DFND 1 0 0 11458 ISHARES CORE MSCI TOTAL INTERNATIONAL STOCK ETF ETF 46432F834 714 11539 SH DFND 1 0 0 11539 REGIONS FINL CORP NEW COM Stock 7591EP100 200 11669 SH DFND 1 0 0 11669 HALLIBURTON CO COM Stock 406216101 290 11847 SH DFND 1 0 0 11847 THE CHARLES SCHWAB CORPORATION COM Stock 808513105 564 11863 SH DFND 1 0 0 11863 ORACLE CORP COM Stock 68389X105 639 12069 SH DFND 1 0 0 12069 ALTRIA GROUP INC COM Stock 02209S103 608 12180 SH DFND 1 0 0 12180 VANGUARD FINANCIALS INDEX FUND ETF 92204A405 932 12212 SH DFND 1 0 0 12212 MGM GROWTH PPTYS LLC CL A COM REIT 55303A105 381 12315 SH DFND 1 0 0 12315 PEPSICO INC COM Stock 713448108 1688 12352 SH DFND 1 0 0 12352 NATIONAL GRID PLC SPONSORED ADR NE ADR 636274409 777 12406 SH DFND 1 0 0 12406 CONAGRA BRANDS INC COM Stock 205887102 428 12511 SH DFND 1 0 0 12511 VANGUARD TOTAL INTERNATIONAL BOND ETF ETF 92203J407 737 13023 SH DFND 1 0 0 13023 FREEPORT-MCMORAN INC CL B Stock 35671D857 173 13156 SH DFND 1 0 0 13156 ISHARES S&P MID-CAP ETF ETF 464287507 2716 13195 SH DFND 1 0 0 13195 JOHNSON & JOHNSON COM Stock 478160104 1976 13544 SH DFND 1 0 0 13544 ISHARES SHORT TREASURY BOND ETF ETF 464288679 1496 13545 SH DFND 1 0 0 13545 VANGUARD EXTENDED MARKET ETF ETF 922908652 1720 13651 SH DFND 1 0 0 13651 ICICI BK LTD ADR ADR 45104G104 216 14343 SH DFND 1 0 0 14343 INTEL CORP COM Stock 458140100 861 14386 SH DFND 1 0 0 14386 EXXON MOBIL CORP COM Stock 30231G102 1053 15096 SH DFND 1 0 0 15096 ITAU UNIBANCO HLDG SA SPON ADR REP PFD ADR 465562106 139 15173 SH DFND 1 0 0 15173 BCE INC COM NEW Stock 05534B760 708 15269 SH DFND 1 0 0 15269 JPMORGAN CHASE & CO COM Stock 46625H100 2154 15455 SH DFND 1 0 0 15455 CHEVRON CORP NEW COM Stock 166764100 1907 15823 SH DFND 1 0 0 15823 ISHARES S&P 500 GROWTH ETF ETF 464287309 3156 16300 SH DFND 1 0 0 16300 COCA COLA CO COM Stock 191216100 904 16328 SH DFND 1 0 0 16328 ENTERPRISE PRODS PARTNERS L P COM Stock 293792107 510 18096 SH DFND 1 0 0 18096 PHILIP MORRIS INTL INC COM Stock 718172109 1551 18229 SH DFND 1 0 0 18229 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS ADR 874039100 1082 18622 SH DFND 1 0 0 18622 AMCOR PLC ORD Stock G0250X107 204 18803 SH DFND 1 0 0 18803 GLAXOSMITHKLINE PLC SPONSORED ADR ADR 37733W105 888 18906 SH DFND 1 0 0 18906 PPL CORP COM Stock 69351T106 705 19642 SH DFND 1 0 0 19642 GDS HLDGS LTD 2 06/01/2025 Convertible 36165LAB4 24 20000 SH DFND 1 0 0 20000 BP PLC SPONSORED ADR ADR 055622104 756 20021 SH DFND 1 0 0 20021 BANK AMER CORP COM Stock 060505104 714 20264 SH DFND 1 0 0 20264 MONDELEZ INTL INC CL A Stock 609207105 1155 20975 SH DFND 1 0 0 20975 VODAFONE GROUP PLC NEW SPONSORED ADR ADR 92857W308 426 22059 SH DFND 1 0 0 22059 ISHARES EDGE MSCI MIN VOL EMERGING MARKETS ETF ETF 464286533 1295 22073 SH DFND 1 0 0 22073 ENERGY TRANSFER LP COM UT LTD PTN Stock 29273V100 315 24536 SH DFND 1 0 0 24536 ISHARES S&P 500 VALUE ETF ETF 464287408 3318 25507 SH DFND 1 0 0 25507 MARATHON OIL CORP COM Stock 565849106 367 27015 SH DFND 1 0 0 27015 COMCAST CORP NEW CL A Stock 20030N101 1254 27880 SH DFND 1 0 0 27880 MICROSOFT CORP COM Stock 594918104 4408 27950 SH DFND 1 0 0 27950 SPDR S&P 500 ETF ETF 78462F103 9066 28167 SH DFND 1 0 0 28167 ISHARES S&P SMALL-CAP ETF ETF 464287804 2450 29215 SH DFND 1 0 0 29215 VERIZON COMMUNICATIONS INC COM Stock 92343V104 2191 35686 SH DFND 1 0 0 35686 HUNTINGTON BANCSHARES INC COM Stock 446150104 545 36152 SH DFND 1 0 0 36152 CISCO SYS INC COM Stock 17275R102 1813 37812 SH DFND 1 0 0 37812 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 1738 39088 SH DFND 1 0 0 39088 APPLE INC COM Stock 037833100 11727 39935 SH DFND 1 0 0 39935 LLOYDS BANKING GROUP PLC SPONSORED ADR ADR 539439109 138 41826 SH DFND 1 0 0 41826 PFIZER INC COM Stock 717081103 1660 42372 SH DFND 1 0 0 42372 ISHARES MSCI EAFE VALUE ETF ETF 464288877 2175 43554 SH DFND 1 0 0 43554 BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR ADR 05946K101 263 47115 SH DFND 1 0 0 47115 AMBEV SA SPONSORED ADR ADR 02319V103 225 48348 SH DFND 1 0 0 48348 AT&T INC COM Stock 00206R102 2324 59466 SH DFND 1 0 0 59466 VANGUARD REAL ESTATE ETF ETF 922908553 5687 61288 SH DFND 1 0 0 61288 ISHARES U.S. TREASURY BOND ETF ETF 46429B267 2308 88973 SH DFND 1 0 0 88973 ISHARES TIPS BOND ETF ETF 464287176 11641 99860 SH DFND 1 0 0 99860 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 5782 131226 SH DFND 1 0 0 131226 ISHARES COMEX GOLD TRUST ETF 464285105 2501 172489 SH DFND 1 0 0 172489 ALERIAN MLP ETF ETF 00162Q866 2882 339106 SH DFND 1 0 0 339106