General Counsel & CCO

0001020617-21-000006.txt : 20210811 0001020617-21-000006.hdr.sgml : 20210811 20210811131312 ACCESSION NUMBER: 0001020617-21-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210811 DATE AS OF CHANGE: 20210811 EFFECTIVENESS DATE: 20210811 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROOSEVELT INVESTMENT GROUP LLC CENTRAL INDEX KEY: 0001020617 IRS NUMBER: 133592307 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03511 FILM NUMBER: 211162814 BUSINESS ADDRESS: STREET 1: 570 LEXINGTON AVE STREET 2: SUITE 1800 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 6464526700 MAIL ADDRESS: STREET 1: 570 LEXINGTON AVE STREET 2: SUITE 1800 CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: ROOSEVELT INVESTMENT GROUP INC DATE OF NAME CHANGE: 20020807 FORMER COMPANY: FORMER CONFORMED NAME: SHEER ASSET MANAGEMENT INC DATE OF NAME CHANGE: 19990407 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001020617 XXXXXXXX 06-30-2021 06-30-2021 false ROOSEVELT INVESTMENT GROUP LLC

570 LEXINGTON AVE SUITE 1800 New York NY 10022

13F HOLDINGS REPORT 028-03511 N Steven Weiss General Counsel & CCO 646-452-6712 Steven Weiss New York NY 08-11-2021 0 247 1659225 INFORMATION TABLE 2 infotable.xml 3M COMPANY COMMON STOCK 88579Y101 2138 10762 SH SOLE 3229 0 7533 A T & T INC NEW COMMON STOCK 00206R102 1753 60912 SH SOLE 18274 0 42639 ABBOTT LABORATORIES COMMON STOCK 002824100 278 2398 SH SOLE 719 0 1679 ABBVIE INC COMMON STOCK 00287Y109 4044 35900 SH SOLE 10770 0 25130 ALGONQUIN POWER & UTILITIES COMMON STOCK 015857105 157 10565 SH SOLE 3170 0 7396 ALLEGHANY CORP. COMMON STOCK 017175100 2804 4204 SH SOLE 1261 0 2943 ALLIANCEBERNSTEIN HLDG UNIT LTD PARTNERSHI COMMON STOCK 01881G106 297 6385 SH SOLE 1916 0 4470 ALPHABET INC - CLASS A COMMON STOCK 02079K305 38026 15573 SH SOLE 3932 0 10116 ALPHABET INC - CLASS C COMMON STOCK 02079K107 3085 1231 SH SOLE 369 0 862 ALTRIA GROUP INC COMMON STOCK 02209S103 2051 43016 SH SOLE 12905 0 30111 AMAZON COM INC COMMON STOCK 023135106 46950 13648 SH SOLE 3553 0 8993 AMERICAN EXPRESS COMPANY COMMON STOCK 025816109 475 2873 SH SOLE 862 0 2011 AMERIS BANCORP COMMON STOCK 03076K108 528 10422 SH SOLE 3127 0 7295 AMGEN INC COMMON STOCK 031162100 229 940 SH SOLE 282 0 658 APOLLO COMMERCIAL REAL ESTATE FINANCE, INC REAL ESTATE INVESTMENT TRUST (REIT) 03762U105 456 28561 SH SOLE 8568 0 19993 APOLLO GLOBAL MANAGEMENT INC. COMMON STOCK 03768E105 217 3481 SH SOLE 1044 0 2437 APPLE INC COMMON STOCK 037833100 73512 536738 SH SOLE 140519 0 354120 APTIV PLC ORDINARY COMMON STOCK G6095L109 33193 210975 SH SOLE 53198 0 136435 ARES CAP CORP COM BUSINESS DEVELOPMENT COMPANIES 04010L103 640 32675 SH SOLE 9802 0 22872 ASTRAZENECA PLC ADR COMMON STOCK 046353108 3594 60000 SH SOLE 18000 0 42000 AVANTIS U.S. EQUITY ETF EXCHANGE TRADED FUNDS 025072885 434 5855 SH SOLE 1756 0 4098 BABCOCK & WILCOX ENTERPRISES, INC. COMMON STOCK 05614L209 161 20455 SH SOLE 6136 0 14318 BANK OF AMERICA CORP COMMON STOCK 060505104 1389 33679 SH SOLE 10104 0 23575 BERKSHIRE HATHAWAY CL A COMMON STOCK 084670108 1047 2 SH SOLE 1 0 2 BERKSHIRE HATHAWAY CL B COMMON STOCK 084670702 43469 156407 SH SOLE 40194 0 102299 BERRY PLASTICS GROUP INC COMMON STOCK 08579W103 772 11834 SH SOLE 3550 0 8284 BLACKROCK DEBT STRATEGIES FUND, INC. CLOSED END FUNDS-FIXED INCOME 09255R202 388 33880 SH SOLE 10164 0 23716 BLACKROCK TCP CAPITAL CORP. BUSINESS DEVELOPMENT COMPANIES 09259E108 677 48993 SH SOLE 14698 0 34295 BLOCK H & R INC COMMON STOCK 093671105 1996 85000 SH SOLE 25500 0 59500 BLUE OWL CAPITAL INC COMMON STOCK 09581B103 275 21352 SH SOLE 6406 0 14946 BOEING CO COM COMMON STOCK 097023105 364 1519 SH SOLE 456 0 1064 BOOKING HOLDINGS INC COMMON STOCK 09857L108 710 324 SH SOLE 97 0 227 BRISTOL-MYERS SQUIBB CO COMMON STOCK 110122108 398 5952 SH SOLE 1786 0 4167 BROOKFIELD ASSET MGMT F D VTG SHS CL A COMMON STOCK 112585104 805 15790 SH SOLE 4737 0 11053 CANNAE HOLDINGS, INC. COMMON STOCK 13765N107 1079 31820 SH SOLE 9546 0 22274 CANOPY GROWTH CORPORATION COMMON STOCK 138035100 3587 148336 SH SOLE 39164 0 98596 CAPITAL SOUTHWEST CORPORATION BUSINESS DEVELOPMENT COMPANIES 140501107 611 26314 SH SOLE 7894 0 18420 CARRIER GLOBAL CORP COMMON STOCK 14448C104 22858 470333 SH SOLE 118423 0 305351 CEDAR FAIR LP COMMON STOCK 150185106 605 13500 SH SOLE 4050 0 9450 CELANESE CORPORATION COMMON STOCK 150870103 25352 167231 SH SOLE 41975 0 108441 CENTERPOINT ENERGY INC COM COMMON STOCK 15189T107 1106 45100 SH SOLE 13530 0 31570 CHENIERE ENERGY INC COMMON STOCK 16411R208 572 6600 SH SOLE 1980 0 4620 CHEVRON CORPORATION COMMON STOCK 166764100 757 7224 SH SOLE 2167 0 5057 CISCO SYSTEMS INC COMMON STOCK 17275R102 816 15400 SH SOLE 4620 0 10780 CITIGROUP INC COMMON STOCK 172967424 391 5527 SH SOLE 1658 0 3869 CLEARWAY ENERGY, INC CLASS C COMMON COMMON STOCK 18539C204 328 12400 SH SOLE 3720 0 8680 CME GROUP INC COMMON STOCK 12572Q105 1741 8188 SH SOLE 2456 0 5732 COCA COLA CO COMMON STOCK 191216100 1254 23169 SH SOLE 6951 0 16218 COMCAST CORP NEW CL A COMMON STOCK 20030N101 2235 39205 SH SOLE 11762 0 27444 COMPASS MINERALS INTL INC COM COMMON STOCK 20451N101 263 4440 SH SOLE 1332 0 3108 CONAGRA FOODS INC COMMON STOCK 205887102 1698 46674 SH SOLE 14002 0 32672 CONSTELLATION BRANDS COMMON STOCK 21036P108 26213 112073 SH SOLE 27903 0 72342 CORTEVA INC COMMON STOCK 22052L104 875 19719 SH SOLE 5916 0 13803 COSTCO WHSL CORP COMMON STOCK 22160K105 776 1960 SH SOLE 588 0 1372 CROWN CASTLE INTERNATIONAL CORP. COMMON STOCK 22822V101 27089 138848 SH SOLE 35424 0 90216 CVS HEALTH CORP COMMON STOCK 126650100 3484 41755 SH SOLE 12527 0 29229 DANAHER CORP DEL COM COMMON STOCK 235851102 1963 7315 SH SOLE 2194 0 5120 DISCOVER FINANCIAL SVCS COMMON STOCK 254709108 36295 306833 SH SOLE 76411 0 198070 DISNEY WALT CO COMMON STOCK 254687106 1373 7810 SH SOLE 2343 0 5467 DOMINION RESOURCES INC VA COMMON STOCK 25746U109 406 5521 SH SOLE 1656 0 3865 DOW INC COMMON STOCK 260557103 1775 28046 SH SOLE 8414 0 19632 DUKE ENERGY CORP NEW COMMON STOCK 26441C204 2430 24617 SH SOLE 7385 0 17232 DYNEX CAPITAL, INC. REAL ESTATE INVESTMENT TRUST (REIT) 26817Q886 713 38235 SH SOLE 11471 0 26765 EATON CORP PLC COMMON STOCK G29183103 3210 21666 SH SOLE 6500 0 15166 ELI LILLY & CO COMMON STOCK 532457108 9666 42115 SH SOLE 12634 0 29480 EMERSON ELECTRIC CO COMMON STOCK 291011104 568 5904 SH SOLE 1771 0 4133 ENBRIDGE INC COM COMMON STOCK 29250N105 1069 26695 SH SOLE 8008 0 18686 ENERGY TRANSFER LP COMMON STOCK 29273V100 1679 157973 SH SOLE 47392 0 110581 ENPLOYERS HOLDINGS INC COMMON STOCK 292218104 208 4869 SH SOLE 1461 0 3408 ENTERGY CORP NEW COM COMMON STOCK 29364G103 2273 22800 SH SOLE 6840 0 15960 ENTERPRISE PRD PRTNRS LP COMMON STOCK 293792107 2949 122214 SH SOLE 36664 0 85550 ENVIVA PARTNERS LP COMMON STOCK 29414J107 298 5689 SH SOLE 1707 0 3982 EQUINOR ASA-SPON ADR AMERICAN DEPOSITORY 29446M102 651 30693 SH SOLE 9208 0 21485 ERICSSON LM TEL CO ADR AMERICAN DEPOSITORY 294821608 1089 86566 SH SOLE 25970 0 60596 EXXON MOBIL CORPORATION COMMON STOCK 30231G102 488 7737 SH SOLE 2321 0 5416 FACEBOOK INC COMMON STOCK 30303M102 27740 79779 SH SOLE 20241 0 51907 FASTLY, INC-CLASS A COMMON STOCK 31188V100 639 10729 SH SOLE 3219 0 7510 FIRST REPUBLIC BANK/ CA COMMON STOCK 33616C100 28810 153923 SH SOLE 38267 0 99328 FORTIVE CORP COMMON STOCK 34959J108 252 3618 SH SOLE 1085 0 2533 GALLAGHER ARTHUR J & CO COMMON STOCK 363576109 4088 29183 SH SOLE 8755 0 20428 GAMING AND LEISURE PROPERTIES INC COMMON STOCK 36467J108 780 16835 SH SOLE 5051 0 11785 GENERAL ELECTRIC CO (USD) COMMON STOCK 369604103 1240 92098 SH SOLE 27629 0 64468 GENERAL MILLS INC COMMON STOCK 370334104 2559 41991 SH SOLE 12597 0 29394 GENERAL MOTORS CORP COMMON STOCK 37045V100 435 7345 SH SOLE 2203 0 5141 GETTY REALTY CORP NEW COMMON STOCK 374297109 1301 41774 SH SOLE 12532 0 29242 GLOBAL PARTNERS LP COM UNITS COMMON STOCK 37946r109 446 17200 SH SOLE 5160 0 12040 GLOBAL X U.S. PREFERRED ETF FIXED INCOME ETF 37954Y657 1279 48881 SH SOLE 14664 0 34217 GOLDMAN SACHS ACTIVEBETA US SMALL CAP EQTY EXCHANGE TRADED FUNDS 381430602 22640 348212 SH SOLE 104464 0 243748 GOLDMAN SACHS BDC INC COMMON STOCK 38147U107 467 23807 SH SOLE 7142 0 16665 HCA HEALTHCARE INC COMMON STOCK 40412C101 1044 5050 SH SOLE 1515 0 3535 HOLLY ENERGY PARTNERS COMMON STOCK 435763107 536 23703 SH SOLE 7111 0 16592 HOME DEPOT INC COM COMMON STOCK 437076102 25678 80524 SH SOLE 20366 0 52330 HONEYWELL INTERNATIONAL INC COM COMMON STOCK 438516106 27685 126212 SH SOLE 31841 0 81800 INSIGHT ENTERPRISES, INC COMMON STOCK 45765U103 698 6983 SH SOLE 2095 0 4888 INTEL CORP COMMON STOCK 458140100 3842 68435 SH SOLE 20530 0 47904 INTERNATIONAL PAPER CO COMMON STOCK 460146103 880 14352 SH SOLE 4306 0 10046 INTL BUSINESS MACHINES COMMON STOCK 459200101 3794 25883 SH SOLE 7765 0 18118 INTL FLAVORS& FRAGRANCES COMMON STOCK 459506101 1637 10959 SH SOLE 3288 0 7671 INVESCO DYNAMIC CREDIT OPP FIXED INCOME ETF 46132R104 613 51669 SH SOLE 12183 0 28427 INVESCO HIGH INCOME 2024 TARGET TERM FUND CLOSED END FUNDS-FIXED INCOME 46136K105 148 15117 SH SOLE 4535 0 10582 INVESCO VARIABLE RATE PREFERRED ETF FIXED INCOME ETF 46138G870 1273 48387 SH SOLE 14516 0 33871 ISHARES 0-5 YE INV GRADE CORPORATE FIXED INCOME ETF 46434V100 306 5901 SH SOLE 1770 0 4131 ISHARES 1-5 YEAR INV GRADE CORP BD FIXED INCOME ETF 464288646 357 6508 SH SOLE 1952 0 4556 ISHARES CORE MSCI EAFE ETF EXCHANGE TRADED FUNDS 46432F842 115621 1544496 SH SOLE 463349 0 1081147 ISHARES EDGE MSCI MIN VOL EAFE ETF EXCHANGE TRADED FUNDS 46429B689 335 4440 SH SOLE 1332 0 3108 ISHARES GOLD TRUST COMMON STOCK 464285204 257 7638 SH SOLE 2291 0 5347 ISHARES INTERMEDIATE CREDIT BOND ET FIXED INCOME ETF 464288638 255 4220 SH SOLE 1266 0 2954 ISHARES MSCI EAFE ETF EXCHANGE TRADED FUNDS 464287465 497 6301 SH SOLE 1890 0 4411 ISHARES S&P PREFERRED STOCK INDEX F FIXED INCOME ETF 464288687 760 19324 SH SOLE 5797 0 13527 ISHARES TR US TIPS BD FD FIXED INCOME ETF 464287176 309 2410 SH SOLE 723 0 1687 ISHARES TRUST CORE S&P TTL STK ETF EXCHANGE TRADED FUNDS 464287150 597 6040 SH SOLE 1812 0 4228 ISHARES TRUST RUS MDCP VAL ETF EXCHANGE TRADED FUNDS 464287473 5714 49692 SH SOLE 14907 0 34784 ISHARES U.S. FALLEN ANGELS USD BOND FIXED INCOME ETF 46435G474 512 17091 SH SOLE 5127 0 11964 ISHARES US DIVIDEND AND BUYBACK ETF EXCHANGE TRADED FUNDS 46435U861 25640 652914 SH SOLE 195874 0 457040 JAZZ PHARMACEUTICALS PLC COMMON STOCK G50871105 257 1449 SH SOLE 434 0 1012 JEFFERIES FINANCIAL GRP INC COMMON STOCK 47233W109 738 21581 SH SOLE 6474 0 15107 JOHNSON & JOHNSON COMMON STOCK 478160104 6093 36988 SH SOLE 11055 0 25795 JPMORGAN BETABUILDERS CANADA ETF EXCHANGE TRADED FUNDS 46641Q225 15547 240250 SH SOLE 72075 0 168175 JPMORGAN CHASE & CO COMMON STOCK 46625H100 33925 218108 SH SOLE 54940 0 141043 JPMORGAN US VALUE FACTOR ETF EXCHANGE TRADED FUNDS 46641Q753 288 7958 SH SOLE 2387 0 5571 KAR AUCTION SERVICES INC COMMON STOCK 48238T109 345 19664 SH SOLE 5899 0 13765 KEYSIGHT TECHNOLOGIES INC COMMON STOCK 49338L103 32978 213576 SH SOLE 53713 0 138376 KINDER MORGAN INC COMMON STOCK 49456B101 1453 79680 SH SOLE 23904 0 55776 KKR & CO INC CL-A COMMON STOCK 48251W104 2849 48100 SH SOLE 14430 0 33670 KRAFT HEINZ CO COMMON STOCK 500754106 1522 37317 SH SOLE 11195 0 26122 LAMB WESTON HOLDINGS, INC. COMMON STOCK 513272104 19682 244016 SH SOLE 62086 0 158726 LAZARD LTD COMMON STOCK G54050102 1394 30796 SH SOLE 9239 0 21557 LIBERTY BROADBAND-A COMMON STOCK 530307107 937 5571 SH SOLE 1671 0 3900 LINDE PUBLIC LIMITED COMPANY COMMON STOCK G5494J103 14600 50503 SH SOLE 12452 0 32505 LKQ CORPORATION COM COMMON STOCK 501889208 1680 34141 SH SOLE 10242 0 23899 LOCKHEED MARTIN CORP COMMON STOCK 539830109 20547 54306 SH SOLE 14431 0 36012 LYONDELLBASELL INDS F CLASS A COMMON STOCK N53745100 208 2022 SH SOLE 607 0 1415 MAIN STREET CAPITAL CORP BUSINESS DEVELOPMENT COMPANIES 56035L104 319 7756 SH SOLE 2327 0 5429 MARKETAXESS HLDGS INC COM COMMON STOCK 57060D108 13839 29853 SH SOLE 7449 0 19321 MARRIOTT INTERNATIONAL INC NEW CL A COMMON STOCK 571903202 14681 107535 SH SOLE 26652 0 69243 MARSH & MC LENNAN CO INC COMMON STOCK 571748102 1350 9594 SH SOLE 2878 0 6716 MARVELL TECHONOLOGY INC COMMON STOCK 573874104 27031 463407 SH SOLE 114759 0 298718 MASTERCARD INC COMMON STOCK 57636Q104 21590 59137 SH SOLE 16561 0 40067 MAXIMUS, INC COMMON STOCK 577933104 419 4761 SH SOLE 1428 0 3333 MC DONALDS CORP COMMON STOCK 580135101 887 3838 SH SOLE 1151 0 2687 MDC HOLDINGS INC COMMON STOCK 552676108 1749 34560 SH SOLE 10368 0 24192 MERCK & CO INC NEW COMMON STOCK 58933Y105 926 11904 SH SOLE 3571 0 8333 MEREDITH CORP COMMON STOCK 589433101 1175 27042 SH SOLE 8113 0 18929 MERITAGE HOMES CORP COM COMMON STOCK 59001A102 534 5673 SH SOLE 1702 0 3971 MFA MORTGAGE INVESTMENT REAL ESTATE INVESTMENT TRUST (REIT) 55272X102 152 33218 SH SOLE 9965 0 23253 MGM RESORTS INTERNATIONAL COMMON STOCK 552953101 419 9818 SH SOLE 2945 0 6872 MICROCHIP TECHNOLOGY INC COMMON STOCK 595017104 37723 251925 SH SOLE 64128 0 163562 MICROSOFT CORP COMMON STOCK 594918104 68883 254273 SH SOLE 66775 0 167924 MONDELEZ INTERNATIONAL INC COMMON STOCK 609207105 367 5880 SH SOLE 1764 0 4116 NETFLIX INC COM COMMON STOCK 64110L106 781 1479 SH SOLE 444 0 1035 NEW MOUNTAIN FINANCE CORPORATION BUSINESS DEVELOPMENT COMPANIES 647551100 336 25489 SH SOLE 7647 0 17842 NEW YORK COMMUNITY BANCORP INC COMMON STOCK 649445103 147 13357 SH SOLE 4007 0 9350 NEXTERA ENERGY INC COMMON STOCK 65339F101 26193 357443 SH SOLE 91979 0 234068 NEXTERA ENERGY PTNRS COM UNIT PART IN COMMON STOCK 65341B106 6519 85366 SH SOLE 25610 0 59756 NIKE INC CLASS B COMMON STOCK 654106103 219 1420 SH SOLE 426 0 994 NOVO-NORDISK A-S ADR AMERICAN DEPOSITORY 670100205 304 3628 SH SOLE 1088 1 2540 NUVEEN AMT-FREE MUNICIPAL INC FD FIXED INCOME ETF 670657105 401 25539 SH SOLE 7662 0 17877 NUVEEN PFD & CV INC FD COM SHS CLOSED END FUNDS-FIXED INCOME 67073D102 73 10860 SH SOLE 3258 0 7602 NUVEEN REAL ASSET INCOME AND GROWTH FUND CLOSED END FUNDS-EQUITY 67074Y105 416 25911 SH SOLE 7773 0 18138 NVIDIA CORP COMMON STOCK 67066G104 17301 21624 SH SOLE 5428 0 13982 OLD DOMINION FREIGHT LNS COMMON STOCK 679580100 40367 159049 SH SOLE 39619 0 102584 ONE LIBERTY PROPERTIES REIT COMMON STOCK 682406103 360 12690 SH SOLE 3807 0 8883 ONEOK INC NEW COMMON STOCK 682680103 262 4715 SH SOLE 1414 0 3300 OUTFRONT MEDIA INC COMMON STOCK 69007J106 2784 115875 SH SOLE 34762 0 81112 PAYPAL HOLDINGS INC COMMON STOCK 70450Y103 428 1469 SH SOLE 441 0 1028 PENNANTPARK FLOATING RATE CAPITAL LTD. BUSINESS DEVELOPMENT COMPANIES 70806A106 1086 85372 SH SOLE 25611 0 59760 PEPSICO INC COMMON STOCK 713448108 1067 7199 SH SOLE 2160 0 5039 PFIZER INC COMMON STOCK 717081103 3628 92642 SH SOLE 26648 0 62179 PHILIP MORRIS INTL INC COMMON STOCK 718172109 2614 26380 SH SOLE 7914 0 18466 PLAINS ALL AMER PIPELINE LP COMMON STOCK 726503105 139 12200 SH SOLE 3660 0 8540 PNC FINANCIAL SERVICES GROUP COMMON STOCK 693475105 387 2029 SH SOLE 609 0 1420 POTLATCH CORPORATION NEW COMMON STOCK 737630103 2551 48000 SH SOLE 14400 0 33600 PRINCIPAL FINANCIAL GP COM COMMON STOCK 74251V102 417 6594 SH SOLE 1978 0 4616 PROCTER & GAMBLE COMMON STOCK 742718109 4549 33713 SH SOLE 10114 0 23599 PROLOGIS INC COMMON STOCK 74340W103 16994 142170 SH SOLE 35658 0 91753 PUB SVC ENT GROUP INC COMMON STOCK 744573106 1249 20914 SH SOLE 6274 0 14640 PVH CORP COMMON STOCK 693656100 19992 185814 SH SOLE 46735 0 120254 QURATE RETAIL, INC. COMMON STOCK 74915M100 986 75362 SH SOLE 22609 0 52753 RAYONIER INC WITH STOCK SPLIT SHARES REIT COMMON STOCK 754907103 1776 49425 SH SOLE 14828 0 34598 RAYTHEON TECHNOLOGIES CORP COMMON STOCK 75513E101 2470 28955 SH SOLE 8686 0 20268 READY CAPITAL CORPORATION REAL ESTATE INVESTMENT TRUST (REIT) 75574U101 178 11225 SH SOLE 3368 0 7858 REALTY INCOME CORP COM COMMON STOCK 756109104 827 12391 SH SOLE 3717 0 8674 REGIONS FINANCIAL CORP COM COMMON STOCK 7591EP100 504 25000 SH SOLE 7500 0 17500 ROSS STORES INC COM COMMON STOCK 778296103 23785 191815 SH SOLE 47785 0 123595 ROYAL DUTCH SHELL CL A ADR COMMON STOCK 780259206 830 20550 SH SOLE 6165 0 14385 S&P GLOBAL INC COMMON STOCK 78409V104 19767 48159 SH SOLE 12226 0 31336 SALESFORCE.COM INC COM STK COMMON STOCK 79466L302 10447 42770 SH SOLE 10785 0 27754 SCHLUMBERGER LTD COMMON STOCK 806857108 1604 50104 SH SOLE 15031 0 35073 SELECT SECTOR SPDR TRUST SBI HEALTHCARE ET EXCHANGE TRADED FUNDS 81369Y209 644 5116 SH SOLE 1535 0 3581 SHOPIFY INC - CLASS A COMMON STOCK 82509L107 805 551 SH SOLE 165 0 386 SIGNATURE BK NEW YORK COM COMMON STOCK 82669G104 246 1000 SH SOLE 300 0 700 SIX FLAGS ENTERTAINMENT CORP COMMON STOCK 83001A102 692 16000 SH SOLE 4800 0 11200 SIXTH STREET SPECIALTY LENDING, INC. BUSINESS DEVELOPMENT COMPANIES 83012A109 569 25653 SH SOLE 7696 0 17957 SPDR BBG BARC IG FLOATING RT FIXED INCOME ETF 78468R200 972 31715 SH SOLE 9514 0 22200 SPDR PORTFOLIO INTERMED TERM CORP B FIXED INCOME ETF 78464A375 4252 115865 SH SOLE 34759 0 81105 SPDR PORTFOLIO LARGE CAP ETF EXCHANGE TRADED FUNDS 78464A854 19205 381579 SH SOLE 114474 0 267105 SPDR PORTFOLIO S&P EMERGING MARKETS ETF EXCHANGE TRADED FUNDS 78463X509 1948 42817 SH SOLE 12845 0 29972 SPDR PORTFOLIO SHORT TERM CORP BOND FIXED INCOME ETF 78464A474 395 12606 SH SOLE 3782 0 8824 SPDR S&P500 ETF TRUST TR UNIT ETF EXCHANGE TRADED FUNDS 78462F103 3023 7062 SH SOLE 2119 0 4943 SPROUTS FARMERS MARKETS INC COMMON STOCK 85208M102 460 18495 SH SOLE 5548 0 12946 STRYKER CORP COMMON STOCK 863667101 15204 58538 SH SOLE 14427 0 37632 SYNCHRONY FINANCIAL COMMON STOCK 87165B103 973 20053 SH SOLE 6016 0 14037 TARGET CORP COMMON STOCK 87612E106 1916 7928 SH SOLE 2378 0 5549 TC ENERGY CORP COMMON STOCK 87807B107 230 4638 SH SOLE 1391 0 3247 TCG BDC, INC. BUSINESS DEVELOPMENT COMPANIES 872280102 279 21086 SH SOLE 6326 0 14760 TECHNIPFMC PLC COMMON STOCK G87110105 598 66127 SH SOLE 19838 0 46289 TELEFLEX INC COM COMMON STOCK 879369106 624 1554 SH SOLE 466 0 1088 TESLA MOTORS INC COMMON STOCK 88160R101 1826 2687 SH SOLE 806 0 1881 TEXAS INSTRUMENTS INC COMMON STOCK 882508104 341 1775 SH SOLE 532 0 1242 THE FIDELITY LOW VOLATILITY FACTOR ETF EXCHANGE TRADED FUNDS 316092824 15228 322962 SH SOLE 96889 0 226073 THE INVESCO VARIABLE RATE INV. GRAD FIXED INCOME ETF 46090A879 728 28992 SH SOLE 8698 0 20294 THE MACERICH COMPANY REAL ESTATE INVESTMENT TRUST (REIT) 554382101 259 14165 SH SOLE 4249 0 9915 THE SOUTHERN COMPANY COMMON STOCK 842587107 2417 39944 SH SOLE 11983 0 27961 THE TRADE DESK, INC. - CLASS A COMMON STOCK 88339J105 569 7360 SH SOLE 2208 0 5152 THERMO FISHER SCIENTIFIC INC COMMON STOCK 883556102 15133 29998 SH SOLE 7615 0 19575 TILRAY INC--CONVERTIBLE to TLRY US CONVERTIBLE BONDS 88688TAB6 98 100000 SH SOLE 30000 5 70000 TIMKEN CO COM COMMON STOCK 887389104 218 2700 SH SOLE 810 0 1890 TOLL BROTHERS INC COMMON STOCK 889478103 22828 394884 SH SOLE 98869 0 255834 TRACTOR SUPPLY CO COMMON STOCK 892356106 2419 13000 SH SOLE 3900 0 9100 Transalta Corp COMMON STOCK 89346D107 733 73431 SH SOLE 22029 0 51402 ULTRA FINANCIALS PROSHARES COMMON STOCK 74347X633 477 7715 SH SOLE 2315 0 5401 UNILEVER PLC SPON ADR NEW AMERICAN DEPOSITORY 904767704 1702 29088 SH SOLE 8726 4 20362 UNION PACIFIC CORP COMMON STOCK 907818108 18932 86080 SH SOLE 21595 0 55814 UNITEDHEALTH GROUP INC COMMON STOCK 91324P102 26325 65740 SH SOLE 16467 0 42552 UNIVERSAL DISPLAY CORP COMMON STOCK 91347P105 270 1215 SH SOLE 359 0 838 US BANCORP COMMON STOCK 902973304 211 3712 SH SOLE 1114 0 2598 VANGUARD DIV APP ETF EXCHANGE TRADED FUNDS 921908844 3521 22748 SH SOLE 6824 0 15923 VANGUARD FTSE DEV MKT ETF EXCHANGE TRADED FUNDS 921943858 5189 100719 SH SOLE 30216 0 70503 VANGUARD HIGH DIV YLD ETF EXCHANGE TRADED FUNDS 921946406 2469 23571 SH SOLE 7071 0 16499 VANGUARD INT-TERM CORPORATE FIXED INCOME ETF 92206C870 251 2637 SH SOLE 791 0 1846 VANGUARD S&P 500 ETF EXCHANGE TRADED FUNDS 922908363 3211 8159 SH SOLE 2448 0 5711 VANGUARD VALUE ETF EXCHANGE TRADED FUNDS 922908744 43621 317336 SH SOLE 95201 0 222135 VEREIT, INC. REAL ESTATE INVESTMENT TRUST (REIT) 92339V308 945 20567 SH SOLE 6170 0 14397 VERITEX HOLDINGS INC. COMMON STOCK 923451108 318 8990 SH SOLE 2697 0 6293 VERIZON COMMUNICATIONS COMMON STOCK 92343V104 3456 61677 SH SOLE 18443 0 43034 VERTEX PHARMACEUTICALS COMMON STOCK 92532F100 19561 97012 SH SOLE 23834 0 62244 VERTIV HOLDINGS LLC COMMON STOCK 92537N108 18165 665371 SH SOLE 166996 0 431017 VIATRIS INC COMMON STOCK 92556V106 432 30218 SH SOLE 8933 0 20843 VISA INC CL A COMMON STOCK 92826C839 13173 56340 SH SOLE 11688 0 33835 WAL-MART STORES INC COMMON STOCK 931142103 212 1504 SH SOLE 451 0 1053 WEYERHAEUSER CO COMMON STOCK 962166104 3322 96514 SH SOLE 28954 0 67560 WILLIAMS COS INC COM COMMON STOCK 969457100 1594 60045 SH SOLE 18014 0 42032 WISDOMTREE BARCLAYS YIELD EN FIXED INCOME ETF 97717X511 3089 59174 SH SOLE 17752 0 41422 WISDOMTREE EMG MKTS HY EQ EXCHANGE TRADED FUNDS 97717W315 9094 199090 SH SOLE 59727 0 139363 WISDOMTREE EMRGNG MKTS EX-STATE OWNED ENT EXCHANGE TRADED FUNDS 97717X578 28862 686055 SH SOLE 205816 0 480238 XCEL ENERGY INC COM COMMON STOCK 98389B100 920 13958 SH SOLE 4187 0 9771 ZUMIEZ INC COMMON STOCK 989817101 477 9729 SH SOLE 2919 0 6810