Chief Compliance Officer

0001811480-20-000008.txt : 20201013 0001811480-20-000008.hdr.sgml : 20201013 20201009190345 ACCESSION NUMBER: 0001811480-20-000008 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20201013 DATE AS OF CHANGE: 20201009 EFFECTIVENESS DATE: 20201013 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SIGNATURE ESTATE & INVESTMENT ADVISORS LLC CENTRAL INDEX KEY: 0001079935 IRS NUMBER: 954603559 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-15248 FILM NUMBER: 201234230 BUSINESS ADDRESS: STREET 1: 2121 AVENUE OF THE STARS STREET 2: SUITE 1600 CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 8007235115 MAIL ADDRESS: STREET 1: 2121 AVENUE OF THE STARS STREET 2: SUITE 1600 CITY: LOS ANGELES STATE: CA ZIP: 90067 FORMER COMPANY: FORMER CONFORMED NAME: SIGNATURE ESTATE & INVESTMENT ADVISORS INC /ADV DATE OF NAME CHANGE: 20000717 FORMER COMPANY: FORMER CONFORMED NAME: SIGNATURE ESTATE & INVESTMENT ADVISORS LLC /ADV DATE OF NAME CHANGE: 19990217 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001079935 XXXXXXXX 03-31-2019 03-31-2019 true 1 RESTATEMENT SIGNATURE ESTATE & INVESTMENT ADVISORS LLC

2121 AVENUE OF THE STARS SUITE 1600 LOS ANGELES CA 90067

13F HOLDINGS REPORT 028-15248 N Eric Rosen Chief Compliance Officer 3107122363 Eric Rosen Los Angeles CA 10-09-2020 1 290 1326663 false 1 0001811480 028-20237 SIGNATURE INVESTMENT ADVISORS LLC INFORMATION TABLE 2 seia13fq119.xml AES CORP COM 00130H105 777 43001 SH DFND 1 0 0 43001 AES CORP COM 00130H105 443 24512 SH SOLE 0 0 24512 AT&T INC COM 00206R102 38 1209 SH SOLE 0 0 1209 AT&T INC COM 00206R102 181 5779 SH DFND 1 0 0 5779 ADOBE INC COM 00724F101 361 1354 SH DFND 1 0 0 1354 ALEXION PHARMACEUTICALS INC COM 015351109 16241 120147 SH DFND 1 0 0 120147 ALEXION PHARMACEUTICALS INC COM 015351109 6215 45975 SH SOLE 0 0 45975 ALPHABET INC CAP STK CL A 02079K305 6487 5512 SH SOLE 0 0 5512 ALPHABET INC CAP STK CL A 02079K305 16591 14097 SH DFND 1 0 0 14097 AMARIN CORP PLC SPONS ADR NEW 023111206 206 9920 SH DFND 1 0 0 9920 AMAZON COM INC COM 023135106 17304 9717 SH DFND 1 0 0 9717 AMAZON COM INC COM 023135106 6518 3660 SH SOLE 0 0 3660 ANTHEM INC COM 036752103 7 25 SH SOLE 0 0 25 ANTHEM INC COM 036752103 393 1371 SH DFND 1 0 0 1371 APPLE INC COM 037833100 18718 98542 SH DFND 1 0 0 98542 APPLE INC COM 037833100 7806 41093 SH SOLE 0 0 41093 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 1075 65977 SH DFND 1 0 0 65977 BB&T CORP COM 054937107 346 7439 SH DFND 1 0 0 7439 BANK AMER CORP COM 060505104 122 4422 SH DFND 1 0 0 4422 BANK AMER CORP COM 060505104 137 4963 SH SOLE 0 0 4963 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 55 275 SH SOLE 0 0 275 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 336 1675 SH DFND 1 0 0 1675 BLACKROCK ENH CAP & INC FD I COM 09256A109 3142 199211 SH DFND 1 0 0 199211 BLACKROCK ENH CAP & INC FD I COM 09256A109 603 38261 SH SOLE 0 0 38261 BOEING CO COM 097023105 43 113 SH SOLE 0 0 113 BOEING CO COM 097023105 295 773 SH DFND 1 0 0 773 CDW CORP COM 12514G108 822 8526 SH DFND 1 0 0 8526 CDW CORP COM 12514G108 471 4883 SH SOLE 0 0 4883 CATERPILLAR INC DEL COM 149123101 241 1781 SH SOLE 0 0 1781 CATERPILLAR INC DEL COM 149123101 456 3368 SH DFND 1 0 0 3368 CHEVRON CORP NEW COM 166764100 16410 133223 SH DFND 1 0 0 133223 CHEVRON CORP NEW COM 166764100 6273 50929 SH SOLE 0 0 50929 CISCO SYS INC COM 17275R102 7233 133961 SH SOLE 0 0 133961 CISCO SYS INC COM 17275R102 18383 340497 SH DFND 1 0 0 340497 CLEARBRIDGE MLP AND MIDSTRM COM 184692101 11541 911574 SH DFND 1 0 0 911574 CLEARBRIDGE MLP AND MIDSTRM COM 184692101 3676 290395 SH SOLE 0 0 290395 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 1780 185263 SH SOLE 0 0 185263 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 5465 568684 SH DFND 1 0 0 568684 CONOCOPHILLIPS COM 20825C104 745 11166 SH DFND 1 0 0 11166 CONOCOPHILLIPS COM 20825C104 422 6321 SH SOLE 0 0 6321 DISNEY WALT CO COM DISNEY 254687106 6396 57602 SH SOLE 0 0 57602 DISNEY WALT CO COM DISNEY 254687106 16483 148451 SH DFND 1 0 0 148451 DISCOVERY INC COM SER A 25470F104 767 28403 SH DFND 1 0 0 28403 DISCOVERY INC COM SER A 25470F104 433 16030 SH SOLE 0 0 16030 EOG RES INC COM 26875P101 126 1325 SH SOLE 0 0 1325 EOG RES INC COM 26875P101 275 2888 SH DFND 1 0 0 2888 EAST WEST BANCORP INC COM 27579R104 955 19913 SH SOLE 0 0 19913 EPAM SYS INC COM 29414B104 477 2820 SH SOLE 0 0 2820 EPAM SYS INC COM 29414B104 847 5009 SH DFND 1 0 0 5009 EXELON CORP COM 30161N101 16905 337224 SH DFND 1 0 0 337224 EXELON CORP COM 30161N101 6487 129396 SH SOLE 0 0 129396 EXXON MOBIL CORP COM 30231G102 68 847 SH SOLE 0 0 847 EXXON MOBIL CORP COM 30231G102 451 5584 SH DFND 1 0 0 5584 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 1832 38890 SH DFND 1 0 0 38890 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 154 3266 SH SOLE 0 0 3266 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 902 47316 SH SOLE 0 0 47316 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 2048 107441 SH DFND 1 0 0 107441 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 1865 98101 SH DFND 1 0 0 98101 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 996 52383 SH SOLE 0 0 52383 FISERV INC COM 337738108 6489 73505 SH SOLE 0 0 73505 FISERV INC COM 337738108 16792 190208 SH DFND 1 0 0 190208 GALLAGHER ARTHUR J & CO COM 363576109 12 150 SH DFND 1 0 0 150 GALLAGHER ARTHUR J & CO COM 363576109 218 2787 SH SOLE 0 0 2787 GARRETT MOTION INC COM 366505105 144 9752 SH SOLE 0 0 9752 GARRETT MOTION INC COM 366505105 119 8075 SH DFND 1 0 0 8075 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 177 5430 SH DFND 1 0 0 5430 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 219 6727 SH SOLE 0 0 6727 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 24321 427962 SH SOLE 0 0 427962 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 68750 1209751 SH DFND 1 0 0 1209751 HOME DEPOT INC COM 437076102 218 1137 SH DFND 1 0 0 1137 HOME DEPOT INC COM 437076102 47 244 SH SOLE 0 0 244 HONEYWELL INTL INC COM 438516106 6764 42561 SH SOLE 0 0 42561 HONEYWELL INTL INC COM 438516106 17737 111612 SH DFND 1 0 0 111612 INCYTE CORP COM 45337C102 732 8508 SH DFND 1 0 0 8508 INCYTE CORP COM 45337C102 425 4937 SH SOLE 0 0 4937 INTERCONTINENTAL EXCHANGE IN COM 45866F104 6478 85086 SH SOLE 0 0 85086 INTERCONTINENTAL EXCHANGE IN COM 45866F104 16580 217756 SH DFND 1 0 0 217756 INTERNATIONAL BUSINESS MACHS COM 459200101 276 1958 SH DFND 1 0 0 1958 INVESCO EXCHANGE TRADED FD T S&P SML600 GWT 46137V175 610 5391 SH DFND 1 0 0 5391 INVESCO EXCHANGE TRADED FD T S&P SML600 GWT 46137V175 318 2806 SH SOLE 0 0 2806 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 26389 228045 SH SOLE 0 0 228045 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 80856 698719 SH DFND 1 0 0 698719 INVESCO EXCHANGE TRADED FD T RUSSEL 200 GWT 46137V431 211 3946 SH DFND 1 0 0 3946 INVESCO EXCHANGE TRADED FD T RUSSEL 200 GWT 46137V431 21 393 SH SOLE 0 0 393 INVESCO EXCHANGE TRADED FD T INTL DIVI ACHI 46137V548 171 10748 SH SOLE 0 0 10748 INVESCO EXCHANGE TRADED FD T INTL DIVI ACHI 46137V548 901 56721 SH DFND 1 0 0 56721 INVESCO EXCHNG TRADED FD TR FTSE RAFI DEV 46138E743 813 20054 SH DFND 1 0 0 20054 INVESCO EXCHNG TRADED FD TR FTSE RAFI DEV 46138E743 631 15562 SH SOLE 0 0 15562 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 9306 386457 SH SOLE 0 0 386457 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 24461 1015811 SH DFND 1 0 0 1015811 ISHARES GOLD TRUST ISHARES 464285105 192 15513 SH SOLE 0 0 15513 ISHARES INC EM MKTS DIV ETF 464286319 2033 50569 SH SOLE 0 0 50569 ISHARES INC EM MKTS DIV ETF 464286319 7857 195400 SH DFND 1 0 0 195400 ISHARES TR CORE S&P500 ETF 464287200 1017 3575 SH DFND 1 0 0 3575 ISHARES TR CORE S&P500 ETF 464287200 123 432 SH SOLE 0 0 432 ISHARES TR MSCI EMG MKT ETF 464287234 68 1587 SH SOLE 0 0 1587 ISHARES TR MSCI EMG MKT ETF 464287234 405 9438 SH DFND 1 0 0 9438 ISHARES TR S&P 500 GRWT ETF 464287309 2897 16806 SH DFND 1 0 0 16806 ISHARES TR S&P 500 GRWT ETF 464287309 1939 11249 SH SOLE 0 0 11249 ISHARES TR S&P 500 VAL ETF 464287408 1654 14670 SH SOLE 0 0 14670 ISHARES TR S&P 500 VAL ETF 464287408 1516 13451 SH DFND 1 0 0 13451 ISHARES TR MSCI EAFE ETF 464287465 189 2909 SH DFND 1 0 0 2909 ISHARES TR MSCI EAFE ETF 464287465 76 1171 SH SOLE 0 0 1171 ISHARES TR EXPND TEC SC ETF 464287549 11503 55785 SH SOLE 0 0 55785 ISHARES TR EXPND TEC SC ETF 464287549 28282 137150 SH DFND 1 0 0 137150 ISHARES TR S&P MC 400GR ETF 464287606 830 3788 SH DFND 1 0 0 3788 ISHARES TR S&P MC 400GR ETF 464287606 868 3962 SH SOLE 0 0 3962 ISHARES TR S&P MC 400VL ETF 464287705 865 5512 SH SOLE 0 0 5512 ISHARES TR S&P MC 400VL ETF 464287705 813 5180 SH DFND 1 0 0 5180 ISHARES TR CORE S&P SCP ETF 464287804 1714 22222 SH DFND 1 0 0 22222 ISHARES TR CORE S&P SCP ETF 464287804 157 2038 SH SOLE 0 0 2038 ISHARES TR SP SMCP600VL ETF 464287879 517 3502 SH SOLE 0 0 3502 ISHARES TR SP SMCP600VL ETF 464287879 552 3738 SH DFND 1 0 0 3738 ISHARES TR S&P SML 600 GWT 464287887 3207 17971 SH DFND 1 0 0 17971 ISHARES TR S&P SML 600 GWT 464287887 1130 6330 SH SOLE 0 0 6330 ISHARES TR INTL SEL DIV ETF 464288448 2849 92325 SH SOLE 0 0 92325 ISHARES TR INTL SEL DIV ETF 464288448 11009 356736 SH DFND 1 0 0 356736 ISHARES TR FLTG RATE NT ETF 46429B655 375 7373 SH DFND 1 0 0 7373 ISHARES TR MIN VOL USA ETF 46429B697 30716 522387 SH DFND 1 0 0 522387 ISHARES TR MIN VOL USA ETF 46429B697 11970 203574 SH SOLE 0 0 203574 ISHARES TR CORE MSCI EAFE 46432F842 938 15435 SH SOLE 0 0 15435 ISHARES TR CORE MSCI EAFE 46432F842 2184 35939 SH DFND 1 0 0 35939 ISHARES TR IBONDS SEP2020 46434V571 213 8355 SH DFND 1 0 0 8355 ISHARES TR IBONDS SEP2020 46434V571 48 1869 SH SOLE 0 0 1869 ISHARES TR IBONDS DEC2023 46435G318 1043 40949 SH SOLE 0 0 40949 ISHARES TR IBONDS DEC2023 46435G318 4446 174585 SH DFND 1 0 0 174585 ISHARES TR CORE MSCI INTL 46435G326 4116 76003 SH DFND 1 0 0 76003 ISHARES TR CORE MSCI INTL 46435G326 3622 66888 SH SOLE 0 0 66888 ISHARES TR ESG MSCI USA ETF 46435G425 152 2441 SH SOLE 0 0 2441 ISHARES TR ESG MSCI USA ETF 46435G425 113 1811 SH DFND 1 0 0 1811 ISHARES TR IBONDS DEC 46435U697 1042 40140 SH DFND 1 0 0 40140 ISHARES TR IBONDS DEC 46435U697 241 9279 SH SOLE 0 0 9279 JPMORGAN CHASE & CO COM 46625H100 1435 14176 SH SOLE 0 0 14176 JPMORGAN CHASE & CO COM 46625H100 2961 29254 SH DFND 1 0 0 29254 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 5825 228348 SH DFND 1 0 0 228348 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 1495 58613 SH SOLE 0 0 58613 JACOBS ENGR GROUP INC COM 469814107 499 6643 SH SOLE 0 0 6643 JACOBS ENGR GROUP INC COM 469814107 871 11584 SH DFND 1 0 0 11584 JOHN HANCOCK ETF TRUST MULTIFACTOR MI 47804J206 1085 30874 SH DFND 1 0 0 30874 JOHN HANCOCK ETF TRUST MULTIFACTOR MI 47804J206 482 13713 SH SOLE 0 0 13713 JOHN HANCOCK ETF TRUST MULTI INTL ETF 47804J859 238 8470 SH SOLE 0 0 8470 JOHN HANCOCK ETF TRUST MULTI INTL ETF 47804J859 229 8164 SH DFND 1 0 0 8164 JOHNSON & JOHNSON COM 478160104 319 2279 SH DFND 1 0 0 2279 JOHNSON & JOHNSON COM 478160104 29 210 SH SOLE 0 0 210 KAYNE ANDERSN MLP MIDS INVT COM 486606106 5067 316068 SH SOLE 0 0 316068 KAYNE ANDERSN MLP MIDS INVT COM 486606106 8035 501247 SH DFND 1 0 0 501247 LPL FINL HLDGS INC COM 50212V100 709 10178 SH DFND 1 0 0 10178 LPL FINL HLDGS INC COM 50212V100 413 5936 SH SOLE 0 0 5936 MASTERCARD INC CL A 57636Q104 7053 29957 SH SOLE 0 0 29957 MASTERCARD INC CL A 57636Q104 18246 77492 SH DFND 1 0 0 77492 MCDONALDS CORP COM 580135101 16330 85992 SH DFND 1 0 0 85992 MCDONALDS CORP COM 580135101 6358 33483 SH SOLE 0 0 33483 MICROSOFT CORP COM 594918104 1963 16646 SH SOLE 0 0 16646 MICROSOFT CORP COM 594918104 3452 29267 SH DFND 1 0 0 29267 NEXTERA ENERGY INC COM 65339F101 2818 14574 SH DFND 1 0 0 14574 NEXTERA ENERGY INC COM 65339F101 1516 7842 SH SOLE 0 0 7842 NIKE INC CL B 654106103 1473 17490 SH SOLE 0 0 17490 NIKE INC CL B 654106103 2721 32317 SH DFND 1 0 0 32317 PNC FINL SVCS GROUP INC COM 693475105 194 1582 SH DFND 1 0 0 1582 PNC FINL SVCS GROUP INC COM 693475105 25 200 SH SOLE 0 0 200 PFIZER INC COM 717081103 12 273 SH SOLE 0 0 273 PFIZER INC COM 717081103 213 5011 SH DFND 1 0 0 5011 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 1378 13812 SH DFND 1 0 0 13812 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 107 1075 SH SOLE 0 0 1075 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 421 4142 SH SOLE 0 0 4142 PIMCO ETF TR INTER MUN BD ACT 72201R866 232 4305 SH DFND 1 0 0 4305 POST HLDGS INC COM 737446104 862 7877 SH DFND 1 0 0 7877 POST HLDGS INC COM 737446104 491 4489 SH SOLE 0 0 4489 PROLOGIS INC COM 74340W103 6804 94564 SH SOLE 0 0 94564 PROLOGIS INC COM 74340W103 17588 244454 SH DFND 1 0 0 244454 RAYTHEON CO COM NEW 755111507 80 441 SH DFND 1 0 0 441 RAYTHEON CO COM NEW 755111507 124 680 SH SOLE 0 0 680 SPDR S&P 500 ETF TR TR UNIT 78462F103 25 87 SH SOLE 0 0 87 SPDR S&P 500 ETF TR TR UNIT 78462F103 900 3185 SH DFND 1 0 0 3185 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 11432 319690 SH DFND 1 0 0 319690 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 7719 215860 SH SOLE 0 0 215860 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 508 16057 SH SOLE 0 0 16057 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 1412 44625 SH DFND 1 0 0 44625 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 748 19680 SH DFND 1 0 0 19680 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 546 14359 SH SOLE 0 0 14359 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 6184 211693 SH SOLE 0 0 211693 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 18117 620229 SH DFND 1 0 0 620229 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 10114 169411 SH DFND 1 0 0 169411 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 3928 65792 SH SOLE 0 0 65792 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 1658 27496 SH SOLE 0 0 27496 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 1904 31581 SH DFND 1 0 0 31581 SPDR SERIES TRUST AEROSPACE DEF 78464A631 724 7884 SH DFND 1 0 0 7884 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 1576 55208 SH DFND 1 0 0 55208 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 127 4450 SH SOLE 0 0 4450 SPDR SERIES TRUST S&P DIVID ETF 78464A763 565 5684 SH SOLE 0 0 5684 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1110 11161 SH DFND 1 0 0 11161 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 1614 30715 SH DFND 1 0 0 30715 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 1966 37405 SH SOLE 0 0 37405 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 2118 42046 SH SOLE 0 0 42046 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 2365 46945 SH DFND 1 0 0 46945 SPDR SERIES TRUST S&P BIOTECH 78464A870 247 2733 SH DFND 1 0 0 2733 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 4026 83270 SH DFND 1 0 0 83270 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 478 9888 SH SOLE 0 0 9888 SPDR SER TR BLOMBERG BRC INV 78468R200 505 16463 SH SOLE 0 0 16463 SPDR SER TR BLOMBERG BRC INV 78468R200 102 3311 SH DFND 1 0 0 3311 SPDR SER TR MSCI USA STRTGIC 78468R812 1928 23183 SH DFND 1 0 0 23183 SPDR SER TR MSCI USA STRTGIC 78468R812 920 11070 SH SOLE 0 0 11070 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 115 1694 SH SOLE 0 0 1694 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 140 2065 SH DFND 1 0 0 2065 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 31309 341246 SH DFND 1 0 0 341246 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 11788 128475 SH SOLE 0 0 128475 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 10527 140299 SH SOLE 0 0 140299 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 27452 365880 SH DFND 1 0 0 365880 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 884 11950 SH DFND 1 0 0 11950 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 54 734 SH SOLE 0 0 734 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 313 8644 SH DFND 1 0 0 8644 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 258 4429 SH DFND 1 0 0 4429 SEMTECH CORP COM 816850101 741 14546 SH DFND 1 0 0 14546 SEMTECH CORP COM 816850101 426 8358 SH SOLE 0 0 8358 STORE CAP CORP COM 862121100 472 14085 SH SOLE 0 0 14085 STORE CAP CORP COM 862121100 832 24830 SH DFND 1 0 0 24830 STRYKER CORP COM 863667101 2946 14912 SH DFND 1 0 0 14912 STRYKER CORP COM 863667101 1571 7956 SH SOLE 0 0 7956 SYNEOS HEALTH INC CL A 87166B102 505 9747 SH SOLE 0 0 9747 SYNEOS HEALTH INC CL A 87166B102 897 17327 SH DFND 1 0 0 17327 SYSCO CORP COM 871829107 196 2939 SH DFND 1 0 0 2939 SYSCO CORP COM 871829107 115 1718 SH SOLE 0 0 1718 THERMO FISHER SCIENTIFIC INC COM 883556102 7123 26025 SH SOLE 0 0 26025 THERMO FISHER SCIENTIFIC INC COM 883556102 18321 66932 SH DFND 1 0 0 66932 TOWNEBANK PORTSMOUTH VA COM 89214P109 200 8097 SH DFND 1 0 0 8097 UBS AG JERSEY BRH ALERIAN INFRST 902641646 13718 603772 SH DFND 1 0 0 603772 UBS AG JERSEY BRH ALERIAN INFRST 902641646 4853 213583 SH SOLE 0 0 213583 ULTA BEAUTY INC COM 90384S303 510 1463 SH SOLE 0 0 1463 ULTA BEAUTY INC COM 90384S303 867 2487 SH DFND 1 0 0 2487 UNITEDHEALTH GROUP INC COM 91324P102 635 2570 SH DFND 1 0 0 2570 UNITEDHEALTH GROUP INC COM 91324P102 306 1237 SH SOLE 0 0 1237 VANGUARD ADMIRAL FDS INC SMLCP 600 GRTH 921932794 36 233 SH SOLE 0 0 233 VANGUARD ADMIRAL FDS INC SMLCP 600 GRTH 921932794 306 1995 SH DFND 1 0 0 1995 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 113 1416 SH DFND 1 0 0 1416 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 197 2470 SH SOLE 0 0 2470 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 14006 342698 SH SOLE 0 0 342698 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 43332 1060235 SH DFND 1 0 0 1060235 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 3126 36496 SH DFND 1 0 0 36496 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 639 7458 SH SOLE 0 0 7458 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 557 11114 SH SOLE 0 0 11114 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 441 8803 SH DFND 1 0 0 8803 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 4200 98829 SH DFND 1 0 0 98829 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3731 87784 SH SOLE 0 0 87784 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 82 1278 SH SOLE 0 0 1278 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 307 4752 SH DFND 1 0 0 4752 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 547 3913 SH DFND 1 0 0 3913 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 606 4333 SH SOLE 0 0 4333 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 328 3579 SH SOLE 0 0 3579 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1035 11307 SH DFND 1 0 0 11307 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1074 9958 SH DFND 1 0 0 9958 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 801 7428 SH SOLE 0 0 7428 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1067 7476 SH SOLE 0 0 7476 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1714 12005 SH DFND 1 0 0 12005 VANGUARD INDEX FDS SML CP GRW ETF 922908595 1570 8733 SH DFND 1 0 0 8733 VANGUARD INDEX FDS SML CP GRW ETF 922908595 619 3443 SH SOLE 0 0 3443 VANGUARD INDEX FDS SM CP VAL ETF 922908611 386 2995 SH SOLE 0 0 2995 VANGUARD INDEX FDS SM CP VAL ETF 922908611 504 3915 SH DFND 1 0 0 3915 VANGUARD INDEX FDS MID CAP ETF 922908629 482 3000 SH DFND 1 0 0 3000 VANGUARD INDEX FDS MID CAP ETF 922908629 30 184 SH SOLE 0 0 184 VANGUARD INDEX FDS LARGE CAP ETF 922908637 617 4750 SH DFND 1 0 0 4750 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 350 3031 SH DFND 1 0 0 3031 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 46 399 SH SOLE 0 0 399 VANGUARD INDEX FDS GROWTH ETF 922908736 6991 44693 SH SOLE 0 0 44693 VANGUARD INDEX FDS GROWTH ETF 922908736 7287 46587 SH DFND 1 0 0 46587 VANGUARD INDEX FDS VALUE ETF 922908744 8102 75280 SH DFND 1 0 0 75280 VANGUARD INDEX FDS VALUE ETF 922908744 7531 69974 SH SOLE 0 0 69974 VANGUARD INDEX FDS SMALL CP ETF 922908751 119 778 SH SOLE 0 0 778 VANGUARD INDEX FDS SMALL CP ETF 922908751 1215 7951 SH DFND 1 0 0 7951 VERIZON COMMUNICATIONS INC COM 92343V104 206 3485 SH DFND 1 0 0 3485 VERIZON COMMUNICATIONS INC COM 92343V104 82 1395 SH SOLE 0 0 1395 VISA INC COM CL A 92826C839 19 120 SH SOLE 0 0 120 VISA INC COM CL A 92826C839 422 2701 SH DFND 1 0 0 2701 WALMART INC COM 931142103 16368 167828 SH DFND 1 0 0 167828 WALMART INC COM 931142103 6394 65562 SH SOLE 0 0 65562 WASTE CONNECTIONS INC COM 94106B101 486 5482 SH SOLE 0 0 5482 WASTE CONNECTIONS INC COM 94106B101 863 9743 SH DFND 1 0 0 9743 WELLS FARGO CO NEW COM 949746101 211 4371 SH DFND 1 0 0 4371 WELLS FARGO CO NEW COM 949746101 38 787 SH SOLE 0 0 787 WISDOMTREE TR US MIDCAP DIVID 97717W505 1427 39866 SH SOLE 0 0 39866 WISDOMTREE TR US MIDCAP DIVID 97717W505 6692 186975 SH DFND 1 0 0 186975 WISDOMTREE TR US SMALLCAP DIVD 97717W604 3332 121005 SH DFND 1 0 0 121005 WISDOMTREE TR US SMALLCAP DIVD 97717W604 907 32949 SH SOLE 0 0 32949 WISDOMTREE TR INTL EQUITY FD 97717W703 11624 229593 SH SOLE 0 0 229593 WISDOMTREE TR INTL EQUITY FD 97717W703 21135 417431 SH DFND 1 0 0 417431 WISDOMTREE TR INTL LRGCAP DV 97717W794 1889 40737 SH DFND 1 0 0 40737 WISDOMTREE TR INTL LRGCAP DV 97717W794 814 17548 SH SOLE 0 0 17548 WISDOMTREE TR FLOATNG RAT TREA 97717X628 30057 1198444 SH SOLE 0 0 1198444 WISDOMTREE TR FLOATNG RAT TREA 97717X628 68376 2726296 SH DFND 1 0 0 2726296 INGERSOLL-RAND PLC SHS G47791101 2499 23148 SH DFND 1 0 0 23148 INGERSOLL-RAND PLC SHS G47791101 1443 13371 SH SOLE 0 0 13371