0001020617-21-000008.txt : 20211105
0001020617-21-000008.hdr.sgml : 20211105
20211105142117
ACCESSION NUMBER: 0001020617-21-000008
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210930
FILED AS OF DATE: 20211105
DATE AS OF CHANGE: 20211105
EFFECTIVENESS DATE: 20211105
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: 211383906
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
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0001020617
XXXXXXXX
09-30-2021
09-30-2021
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
11-05-2021
0
247
1614583
INFORMATION TABLE
2
infotable.xml
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COM
88579Y101
1888
10762
SH
SOLE
3229
0
7533
ABBOTT LABS
COM
002824100
226
1914
SH
SOLE
574
0
1340
ABBVIE INC
COM
00287Y109
3873
35900
SH
SOLE
10770
0
25130
ALGONQUIN PWR UTILS CORP
COM
015857105
155
10565
SH
SOLE
3170
0
7396
ALLEGHANY CORP MD
COM
017175100
2621
4198
SH
SOLE
1259
0
2939
ALLIANCEBERNSTEIN HLDG L P
UNIT LTD PARTN
01881G106
317
6385
SH
SOLE
1916
0
4470
ALPHABET INC
CAP STK CL C
02079K107
3276
1229
SH
SOLE
369
0
860
ALPHABET INC
CAP STK CL A
02079K305
40511
15153
SH
SOLE
3823
1456
9874
ALTRIA GROUP INC
COM
02209S103
1925
42294
SH
SOLE
12688
0
29606
AMAZON COM INC
COM
023135106
44170
13446
SH
SOLE
3504
1057
8884
AMERICAN CENTY ETF TR
US EQT ETF
025072885
462
6273
SH
SOLE
1882
0
4391
AMERICAN EXPRESS CO
COM
025816109
481
2873
SH
SOLE
862
0
2011
AMERICAN INTL GROUP INC
COM NEW
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324
5900
SH
SOLE
1770
0
4130
AMERIS BANCORP
COM
03076K108
541
10422
SH
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0
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APOLLO COML REAL EST FIN INC
COM
03762U105
422
28424
SH
SOLE
8527
0
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APOLLO GLOBAL MGMT INC
COM CL A
03768E105
214
3481
SH
SOLE
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0
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APPLE INC
COM
037833100
74330
525303
SH
SOLE
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40292
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SHS
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30920
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SOLE
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ARES CAPITAL CORP
COM
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3604
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SOLE
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COM
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1665
61631
SH
SOLE
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0
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BERKSHIRE HATHAWAY INC DEL
CL B NEW
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42063
154111
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13341
101130
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
1028
2
SH
SOLE
1
0
2
BERRY GLOBAL GROUP INC
COM
08579W103
720
11834
SH
SOLE
3550
0
8284
BK OF AMERICA CORP
COM
060505104
1429
33670
SH
SOLE
10101
0
23569
BLACKROCK DEBT STRATEGIES FD
COM NEW
09255R202
387
33531
SH
SOLE
10059
0
23472
BLACKROCK TCP CAPITAL CORP
COM
09259E108
643
47390
SH
SOLE
14217
0
33173
BLOCK H & R INC
COM
093671105
2125
85000
SH
SOLE
25500
0
59500
BLUE OWL CAPITAL INC
COM CL A
09581B103
332
21352
SH
SOLE
6406
0
14946
BOEING CO
COM
097023105
334
1519
SH
SOLE
456
0
1064
BOOKING HOLDINGS INC
COM
09857L108
720
304
SH
SOLE
91
0
212
BRISTOL-MYERS SQUIBB CO
COM
110122108
358
6052
SH
SOLE
1816
0
4237
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
845
15790
SH
SOLE
4737
0
11053
CANNAE HLDGS INC
COM
13765N107
1084
34839
SH
SOLE
10452
0
24387
CANOPY GROWTH CORP
COM
138035100
293
21128
SH
SOLE
6147
638
14343
CAPITAL SOUTHWEST CORP
COM
140501107
663
26314
SH
SOLE
7894
0
18420
CARRIER GLOBAL CORPORATION
COM
14448C104
23425
452563
SH
SOLE
113575
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294504
CEDAR FAIR L P
DEPOSITRY UNIT
150185106
626
13500
SH
SOLE
4050
0
9450
CELANESE CORP DEL
COM
150870103
25137
166866
SH
SOLE
42044
16068
108754
CENTERPOINT ENERGY INC
COM
15189T107
1109
45100
SH
SOLE
13530
0
31570
CHENIERE ENERGY INC
COM NEW
16411R208
645
6600
SH
SOLE
1980
0
4620
CHEVRON CORP NEW
COM
166764100
731
7205
SH
SOLE
2162
0
5044
CISCO SYS INC
COM
17275R102
1195
21958
SH
SOLE
6587
0
15370
CITIGROUP INC
COM NEW
172967424
360
5127
SH
SOLE
1538
0
3589
CLEARWAY ENERGY INC
CL C
18539C204
375
12400
SH
SOLE
3720
0
8680
CME GROUP INC
COM
12572Q105
1515
7836
SH
SOLE
2351
0
5485
COCA COLA CO
COM
191216100
1321
25179
SH
SOLE
7554
0
17625
COMCAST CORP NEW
CL A
20030N101
2215
39599
SH
SOLE
11880
0
27719
COMPASS MINERALS INTL INC
COM
20451N101
449
6975
SH
SOLE
2092
0
4882
CONAGRA BRANDS INC
COM
205887102
1564
46175
SH
SOLE
13852
0
32322
CONSTELLATION BRANDS INC
CL A
21036P108
23419
111153
SH
SOLE
27741
11335
72077
CORESITE RLTY CORP
COM
21870Q105
204
1475
SH
SOLE
442
0
1032
CORTEVA INC
COM
22052L104
773
18365
SH
SOLE
5510
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COSTCO WHSL CORP NEW
COM
22160K105
881
1960
SH
SOLE
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CROWN CASTLE INTL CORP NEW
COM
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SH
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CVS HEALTH CORP
COM
126650100
3543
41755
SH
SOLE
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29229
DANAHER CORPORATION
COM
235851102
2227
7315
SH
SOLE
2194
0
5120
DIREXION SHS ETF TR
20YR TRES BEAR
25460G849
404
6486
SH
SOLE
1946
0
4540
DISCOVER FINL SVCS
COM
254709108
36748
299127
SH
SOLE
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30944
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DISNEY WALT CO
COM
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1320
7803
SH
SOLE
2341
0
5462
DOMINION ENERGY INC
COM
25746U109
400
5483
SH
SOLE
1645
0
3838
DOW INC
COM
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1614
28046
SH
SOLE
8414
0
19632
DUKE ENERGY CORP NEW
COM NEW
26441C204
2402
24617
SH
SOLE
7385
0
17232
DYNEX CAP INC
COM
26817Q886
661
38235
SH
SOLE
11471
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26765
EATON CORP PLC
SHS
G29183103
3353
22459
SH
SOLE
6738
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15721
EMERSON ELEC CO
COM
291011104
838
8896
SH
SOLE
2669
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6227
ENBRIDGE INC
COM
29250N105
1062
26695
SH
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ENERGY TRANSFER L P
COM UT LTD PTN
29273V100
1513
157973
SH
SOLE
47392
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ENTERGY CORP NEW
COM
29364G103
2264
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SH
SOLE
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ENTERPRISE PRODS PARTNERS L
COM
293792107
2539
117349
SH
SOLE
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ENVIVA PARTNERS LP
COM UNIT
29414J107
406
7514
SH
SOLE
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EQUINOR ASA
SPONSORED ADR
29446M102
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30354
SH
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ERICSSON
ADR B SEK 10
294821608
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SH
SOLE
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EXXON MOBIL CORP
COM
30231G102
401
6815
SH
SOLE
2044
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4770
FACEBOOK INC
CL A
30303M102
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59327
SH
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FASTLY INC
CL A
31188V100
434
10729
SH
SOLE
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FIDELITY COVINGTON TRUST
LOW VOLITY ETF
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15194
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FIRST REP BK SAN FRANCISCO C
COM
33616C100
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SH
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FORD MTR CO DEL
COM
345370860
186
13143
SH
SOLE
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FORTIVE CORP
COM
34959J108
255
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SH
SOLE
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GALLAGHER ARTHUR J & CO
COM
363576109
4338
29183
SH
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0
20428
GAMING & LEISURE PPTYS INC
COM
36467J108
780
16835
SH
SOLE
5051
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11785
GENERAL ELECTRIC CO
COM NEW
369604301
1194
11589
SH
SOLE
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GENERAL MLS INC
COM
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41991
SH
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29394
GENERAL MTRS CO
COM
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387
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SH
SOLE
2203
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5141
GETTY RLTY CORP NEW
COM
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1224
41774
SH
SOLE
12532
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29242
GILEAD SCIENCES INC
COM
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293
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SH
SOLE
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GLOBAL PARTNERS LP
COM UNITS
37946R109
364
17200
SH
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GLOBAL X FDS
US PFD ETF
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1268
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SH
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SHS
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SH
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ACTIVEBETA US
381430602
21886
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COM
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SH
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COM UT LTD PTN
435763107
434
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SH
SOLE
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HOME DEPOT INC
COM
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79323
SH
SOLE
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HONEYWELL INTL INC
COM
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SH
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ICL GROUP LTD
SHS
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SH
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INSIGHT ENTERPRISES INC
COM
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SH
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COM
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COM
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COM
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VAR RATE INVT
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CORE MSCI EAFE
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COM
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COM
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KEYSIGHT TECHNOLOGIES INC
COM
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COM
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COM
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COM
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SH
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COM
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SH
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LAZARD LTD
SHS A
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SH
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COM SER A
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COM
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SHS
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CL A VTG
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COM
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SH
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COM
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SH
SOLE
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M D C HLDGS INC
COM
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SH
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MACERICH CO
COM
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SH
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MAIN STR CAP CORP
COM
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MARKETAXESS HLDGS INC
COM
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SH
SOLE
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MARRIOTT INTL INC NEW
CL A
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108590
SH
SOLE
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MARSH & MCLENNAN COS INC
COM
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1538
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SH
SOLE
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COM
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SH
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CL A
57636Q104
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MAXIMUS INC
COM
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396
4758
SH
SOLE
1427
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3331
MCDONALDS CORP
COM
580135101
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SH
SOLE
1136
0
2652
MERCK & CO INC
COM
58933Y105
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SH
SOLE
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MEREDITH CORP
COM
589433101
1396
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SH
SOLE
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MERITAGE HOMES CORP
COM
59001A102
550
5669
SH
SOLE
1701
0
3968
MFA FINL INC
COM
55272X102
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SH
SOLE
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MGM RESORTS INTERNATIONAL
COM
552953101
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SH
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MICROCHIP TECHNOLOGY INC.
COM
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SH
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MICROSOFT CORP
COM
594918104
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SH
SOLE
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MONDELEZ INTL INC
CL A
609207105
326
5602
SH
SOLE
1681
0
3921
NETFLIX INC
COM
64110L106
903
1479
SH
SOLE
444
0
1035
NEW MTN FIN CORP
COM
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337
25356
SH
SOLE
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NEW YORK CMNTY BANCORP INC
COM
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172
13357
SH
SOLE
4007
0
9350
NEXTERA ENERGY INC
COM
65339F101
27249
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SH
SOLE
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NEXTERA ENERGY PARTNERS LP
COM UNIT PART IN
65341B106
6431
85341
SH
SOLE
25602
0
59739
NIKE INC
CL B
654106103
206
1420
SH
SOLE
426
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994
NOVO-NORDISK A S
ADR
670100205
348
3628
SH
SOLE
1088
0
2540
NUTRIEN LTD
COM
67077M108
207
3198
SH
SOLE
959
0
2239
NUVEEN AMT FREE QLTY MUN INC
COM
670657105
386
25386
SH
SOLE
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0
17770
NUVEEN CR STRATEGIES INCOME
COM SHS
67073D102
72
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SH
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7632
NUVEEN REAL ASSET INCOME & G
COM
67074Y105
395
25911
SH
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0
18138
NVIDIA CORPORATION
COM
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SH
SOLE
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8481
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OLD DOMINION FREIGHT LINE IN
COM
679580100
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SH
SOLE
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ONE LIBERTY PPTYS INC
COM
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387
12690
SH
SOLE
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ONEOK INC NEW
COM
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SH
SOLE
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3300
OUTFRONT MEDIA INC
COM
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SH
SOLE
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0
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OWENS CORNING NEW
COM
690742101
473
5532
SH
SOLE
1660
0
3872
PAYPAL HLDGS INC
COM
70450Y103
354
1362
SH
SOLE
409
0
953
PENNANTPARK FLOATING RATE CA
COM
70806A106
901
70470
SH
SOLE
21141
0
49329
PEPSICO INC
COM
713448108
1104
7339
SH
SOLE
2202
0
5137
PFIZER INC
COM
717081103
4081
94894
SH
SOLE
27341
3757
63796
PHILIP MORRIS INTL INC
COM
718172109
2560
27005
SH
SOLE
8101
0
18903
PLAINS ALL AMERN PIPELINE L
UNIT LTD PARTN
726503105
124
12200
SH
SOLE
3660
0
8540
PNC FINL SVCS GROUP INC
COM
693475105
397
2029
SH
SOLE
609
0
1420
POTLATCHDELTIC CORPORATION
COM
737630103
2476
48000
SH
SOLE
14400
0
33600
PRINCIPAL FINANCIAL GROUP IN
COM
74251V102
425
6594
SH
SOLE
1978
0
4616
PROCTER AND GAMBLE CO
COM
742718109
4713
33713
SH
SOLE
10114
0
23599
PROLOGIS INC.
COM
74340W103
17469
139276
SH
SOLE
34944
14117
90215
PROSHARES TR
ULTRA FNCLS NEW
74347X633
489
7715
SH
SOLE
2315
0
5401
PUBLIC SVC ENTERPRISE GRP IN
COM
744573106
1274
20914
SH
SOLE
6274
0
14640
PVH CORPORATION
COM
693656100
18754
182446
SH
SOLE
45911
18014
118521
QURATE RETAIL INC
COM SER A
74915M100
755
74058
SH
SOLE
22217
0
51841
RAYONIER INC
COM
754907103
1763
49425
SH
SOLE
14828
0
34598
RAYTHEON TECHNOLOGIES CORP
COM
75513E101
2489
28955
SH
SOLE
8686
0
20268
READY CAPITAL CORP
COM
75574U101
157
10901
SH
SOLE
3270
0
7631
REALTY INCOME CORP
COM
756109104
804
12391
SH
SOLE
3717
0
8674
REGIONS FINANCIAL CORP NEW
COM
7591EP100
533
25000
SH
SOLE
7500
0
17500
ROSS STORES INC
COM
778296103
20343
186888
SH
SOLE
46492
19640
120756
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
916
20550
SH
SOLE
6165
0
14385
S&P GLOBAL INC
COM
78409V104
20013
47102
SH
SOLE
11956
4398
30748
SALESFORCE COM INC
COM
79466L302
16828
62044
SH
SOLE
15392
6383
40269
SCHLUMBERGER LTD
COM STK
806857108
1381
46586
SH
SOLE
13976
0
32610
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
651
5116
SH
SOLE
1535
0
3581
SHOPIFY INC
CL A
82509L107
747
551
SH
SOLE
165
0
386
SIGNATURE BK NEW YORK N Y
COM
82669G104
272
1000
SH
SOLE
300
0
700
SIX FLAGS ENTMT CORP NEW
COM
83001A102
680
16000
SH
SOLE
4800
0
11200
SIXTH STREET SPECIALTY LENDN
COM
83012A109
570
25653
SH
SOLE
7696
0
17957
SOUTHERN CO
COM
842587107
2475
39944
SH
SOLE
11983
0
27961
SPDR INDEX SHS FDS
PORTFOLIO EMG MK
78463X509
1804
42408
SH
SOLE
12722
0
29686
SPDR S&P 500 ETF TR
TR UNIT
78462F103
2773
6462
SH
SOLE
1939
0
4523
SPDR SER TR
BLOMBERG BRC INV
78468R200
966
31517
SH
SOLE
9455
0
22062
SPDR SER TR
PORTFOLIO SHORT
78464A474
394
12606
SH
SOLE
3782
0
8824
SPDR SER TR
PORTFOLIO INTRMD
78464A375
4196
114908
SH
SOLE
34472
0
80435
SPDR SER TR
PORTFOLIO S&P500
78464A854
18781
372198
SH
SOLE
111659
0
260539
SPROUTS FMRS MKT INC
COM
85208M102
448
19322
SH
SOLE
5797
0
13525
STRYKER CORPORATION
COM
863667101
15139
57406
SH
SOLE
14154
6194
37057
SYNCHRONY FINANCIAL
COM
87165B103
980
20053
SH
SOLE
6016
0
14037
TARGET CORP
COM
87612E106
1814
7928
SH
SOLE
2378
0
5549
TC ENERGY CORP
COM
87807B107
223
4638
SH
SOLE
1391
0
3247
TCG BDC INC
COM
872280102
268
20009
SH
SOLE
6003
0
14006
TECHNIPFMC PLC
COM
G87110105
438
58131
SH
SOLE
17439
0
40692
TELEFLEX INCORPORATED
COM
879369106
585
1554
SH
SOLE
466
0
1088
TESLA INC
COM
88160R101
2055
2650
SH
SOLE
795
0
1855
TEXAS INSTRS INC
COM
882508104
341
1775
SH
SOLE
532
0
1242
THE TRADE DESK INC
COM CL A
88339J105
517
7360
SH
SOLE
2208
0
5152
THERMO FISHER SCIENTIFIC INC
COM
883556102
16763
29341
SH
SOLE
7447
2688
19206
TILRAY INC
NOTE 5.000%10/0
88688TAB6
98
100000
SH
SOLE
30000
0
70000
TOLL BROTHERS INC
COM
889478103
21536
389518
SH
SOLE
97674
38424
253420
TRACTOR SUPPLY CO
COM
892356106
2634
13000
SH
SOLE
3900
0
9100
TRANSALTA CORP
COM
89346D107
775
73431
SH
SOLE
22029
0
51402
UNILEVER PLC
SPON ADR NEW
904767704
1577
29088
SH
SOLE
8726
0
20362
UNION PAC CORP
COM
907818108
16614
84761
SH
SOLE
21282
8312
55167
UNITEDHEALTH GROUP INC
COM
91324P102
25133
64320
SH
SOLE
16107
6442
41772
US BANCORP DEL
COM NEW
902973304
221
3712
SH
SOLE
1114
0
2598
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
3218
8159
SH
SOLE
2448
0
5711
VANGUARD INDEX FDS
VALUE ETF
922908744
42722
315597
SH
SOLE
94679
0
220918
VANGUARD SCOTTSDALE FDS
INT-TERM CORP
92206C870
242
2560
SH
SOLE
768
0
1792
VANGUARD SPECIALIZED FUNDS
DIV APP ETF
921908844
3512
22866
SH
SOLE
6860
0
16007
VANGUARD TAX-MANAGED INTL FD
FTSE DEV MKT ETF
921943858
4804
95143
SH
SOLE
28543
0
66600
VANGUARD WHITEHALL FDS
HIGH DIV YLD
921946406
2378
23010
SH
SOLE
6903
0
16107
VEREIT INC
COM
92339V308
603
13341
SH
SOLE
4002
0
9339
VERITEX HLDGS INC
COM
923451108
354
8990
SH
SOLE
2697
0
6293
VERIZON COMMUNICATIONS INC
COM
92343V104
3254
60243
SH
SOLE
18034
131
42079
VERTEX PHARMACEUTICALS INC
COM
92532F100
17317
95467
SH
SOLE
23473
10496
61499
VERTIV HOLDINGS CO
COM CL A
92537N108
15883
659315
SH
SOLE
165831
64499
428985
VIATRIS INC
COM
92556V106
409
30182
SH
SOLE
8925
433
20824
VICTORIAS SECRET AND CO
COMMON STOCK
926400102
10130
183322
SH
SOLE
46121
18047
119154
VISA INC
COM CL A
92826C839
12015
53939
SH
SOLE
11163
10097
32679
WALMART INC
COM
931142103
205
1474
SH
SOLE
442
0
1032
WEYERHAEUSER CO MTN BE
COM NEW
962166104
3433
96514
SH
SOLE
28954
0
67560
WILLIAMS COS INC
COM
969457100
1558
60045
SH
SOLE
18014
0
42032
WISDOMTREE TR
EMER MKT HIGH FD
97717W315
8664
198581
SH
SOLE
59574
0
139007
WISDOMTREE TR
EM EX ST-OWNED
97717X578
25467
682407
SH
SOLE
204722
0
477685
WISDOMTREE TR
YIELD ENHANCD US
97717X511
3077
59271
SH
SOLE
17781
0
41489
XCEL ENERGY INC
COM
98389B100
872
13958
SH
SOLE
4187
0
9771
ZUMIEZ INC
COM
989817101
387
9729
SH
SOLE
2919
0
6810