The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Estimated average burden
hours per response: 23.8
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
3M CO COM 88579Y101 585 2,776 SH   DFND 1 2,776 0 0
ACCENTURE PLC IRELAND SHS CLASS A G1151C101 269 1,581 SH   DFND 1 1,581 0 0
ADOBE SYS INC COM 00724F101 476 1,764 SH   DFND 1 1,764 0 0
AKAMAI TECHNOLOGIES INC COM 00971T101 213 2,915 SH   DFND 1 2,915 0 0
ALCENTRA CAP CORP COM 01374T102 61 10,144 SH   DFND 1 10,144 0 0
ALPHABET INC CAP STK CL A 02079K305 438 363 SH   DFND 1 363 0 0
AMAZON COM INC COM 023135106 1,044 521 SH   DFND 1 521 0 0
AMGEN INC COM 031162100 612 2,950 SH   DFND 1 2,950 0 0
ANALOG DEVICES INC COM 032654105 322 3,485 SH   DFND 1 3,485 0 0
APOLLO INVT CORP COM 03761U106 258 47,473 SH   DFND 1 47,473 0 0
APPLE INC COM 037833100 854 3,783 SH   DFND 1 3,783 0 0
ARES CAP CORP COM 04010L103 1,051 61,153 SH   DFND 1 61,153 0 0
ASTRAZENECA PLC SPONSORED ADR 046353108 595 15,040 SH   DFND 1 15,040 0 0
AT&T INC COM 00206R102 212 6,321 SH   DFND 1 6,321 0 0
BLACKROCK CAPITAL INVESTMENT COM 092533108 354 59,932 SH   DFND 1 59,932 0 0
BLACKROCK INC COM 09247X101 566 1,201 SH   DFND 1 1,201 0 0
BLACKROCK TCP CAP CORP COM 09259E108 245 17,244 SH   DFND 1 17,244 0 0
BLACKSTONE MTG TR INC COM CL A 09257W100 216 6,448 SH   DFND 1 6,448 0 0
BOEING CO COM 097023105 440 1,184 SH   DFND 1 1,184 0 0
BOOKING HLDGS INC COM 09857L108 548 276 SH   DFND 1 276 0 0
BROWN FORMAN CORP CL B 115637209 269 5,314 SH   DFND 1 5,314 0 0
C H ROBINSON WORLDWIDE INC COM NEW 12541W209 254 2,592 SH   DFND 1 2,592 0 0
CAPITAL ONE FINL CORP COM 14040H105 208 2,195 SH   DFND 1 2,195 0 0
CAPITALA FIN CORP COM 14054R106 104 11,906 SH   DFND 1 11,906 0 0
CERNER CORP COM 156782104 247 3,828 SH   DFND 1 3,828 0 0
CHEVRON CORP NEW COM 166764100 584 4,779 SH   DFND 1 4,779 0 0
CHIPOTLE MEXICAN GRILL INC COM 169656105 228 501 SH   DFND 1 501 0 0
CINTAS CORP COM 172908105 323 1,634 SH   DFND 1 1,634 0 0
CISCO SYS INC COM 17275R102 1,151 23,660 SH   DFND 1 23,660 0 0
CM FIN INC COM 12574Q103 203 23,552 SH   DFND 1 23,552 0 0
COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 264 3,422 SH   DFND 1 3,422 0 0
COLONY CAP INC NEW CL A COM 19626G108 74 12,198 SH   DFND 1 12,198 0 0
COSTCO WHSL CORP NEW COM 22160K105 674 2,869 SH   DFND 1 2,869 0 0
CVR PARTNERS LP COM 126633106 51 13,464 SH   DFND 1 13,464 0 0
CVS HEALTH CORP COM 126650100 321 4,073 SH   DFND 1 4,073 0 0
CYPRESS SEMICONDUCTOR CORP COM 232806109 191 13,181 SH   DFND 1 13,181 0 0
DISNEY WALT CO COM DISNEY 254687106 334 2,859 SH   DFND 1 2,859 0 0
DRIVE SHACK INC COM 262077100 68 11,391 SH   DFND 1 11,391 0 0
EDWARDS LIFESCIENCES CORP COM 28176E108 363 2,085 SH   DFND 1 2,085 0 0
ERICSSON ADR B SEK 10 294821608 112 12,752 SH   DFND 1 12,752 0 0
EXPEDITORS INTL WASH INC COM 302130109 263 3,572 SH   DFND 1 3,572 0 0
EXXON MOBIL CORP COM 30231G102 587 6,904 SH   DFND 1 6,904 0 0
F5 NETWORKS INC COM 315616102 265 1,330 SH   DFND 1 1,330 0 0
FACEBOOK INC CL A 30303M102 840 5,110 SH   DFND 1 5,110 0 0
FASTENAL CO COM 311900104 231 3,978 SH   DFND 1 3,978 0 0
FIDUS INVT CORP COM 316500107 151 10,335 SH   DFND 1 10,335 0 0
GARRISON CAP INC COM 366554103 266 32,122 SH   DFND 1 32,122 0 0
GLADSTONE CAPITAL CORP COM 376535100 321 33,740 SH   DFND 1 33,740 0 0
GLADSTONE INVT CORP COM 376546107 171 14,978 SH   DFND 1 14,978 0 0
GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 978 24,358 SH   DFND 1 24,358 0 0
GOLDMAN SACHS BDC INC SHS 38147U107 222 10,017 SH   DFND 1 10,017 0 0
GOLUB CAP BDC INC COM 38173M102 294 15,683 SH   DFND 1 15,683 0 0
HELMERICH & PAYNE INC COM 423452101 248 3,609 SH   DFND 1 3,609 0 0
HERCULES CAPITAL INC COM 427096508 314 23,858 SH   DFND 1 23,858 0 0
HOLOGIC INC COM 436440101 481 11,738 SH   DFND 1 11,738 0 0
HONEYWELL INTL INC COM 438516106 672 4,040 SH   DFND 1 4,040 0 0
HORIZON TECHNOLOGY FIN CORP COM 44045A102 418 36,638 SH   DFND 1 36,638 0 0
HORMEL FOODS CORP COM 440452100 221 5,612 SH   DFND 1 5,612 0 0
ILLINOIS TOOL WKS INC COM 452308109 324 2,294 SH   DFND 1 2,294 0 0
ILLUMINA INC COM 452327109 772 2,102 SH   DFND 1 2,102 0 0
ING GROEP N V SPONSORED ADR 456837103 327 25,186 SH   DFND 1 25,186 0 0
INTEL CORP COM 458140100 451 9,536 SH   DFND 1 9,536 0 0
INTERNATIONAL FLAVORS&FRAGRA COM 459506101 224 1,611 SH   DFND 1 1,611 0 0
INTUIT COM 461202103 372 1,634 SH   DFND 1 1,634 0 0
INTUITIVE SURGICAL INC COM NEW 46120E602 467 813 SH   DFND 1 813 0 0
JOHNSON & JOHNSON COM 478160104 765 5,535 SH   DFND 1 5,535 0 0
LAUDER ESTEE COS INC CL A 518439104 358 2,466 SH   DFND 1 2,466 0 0
LOCKHEED MARTIN CORP COM 539830109 230 666 SH   DFND 1 666 0 0
MARRIOTT INTL INC NEW CL A 571903202 297 2,246 SH   DFND 1 2,246 0 0
MASTERCARD INCORPORATED CL A 57636Q104 408 1,833 SH   DFND 1 1,833 0 0
MCDONALDS CORP COM 580135101 228 1,364 SH   DFND 1 1,364 0 0
MEDLEY CAP CORP COM 58503F106 198 51,818 SH   DFND 1 51,818 0 0
MERCK & CO INC COM 58933Y105 400 5,638 SH   DFND 1 5,638 0 0
METTLER TOLEDO INTERNATIONAL COM 592688105 259 426 SH   DFND 1 426 0 0
MGM GROWTH PPTYS LLC CL A COM 55303A105 868 29,430 SH   DFND 1 29,430 0 0
MICHAEL KORS HLDGS LTD SHS G60754101 318 4,641 SH   DFND 1 4,641 0 0
MICROSOFT CORP COM 594918104 271 2,373 SH   DFND 1 2,373 0 0
MONROE CAP CORP COM 610335101 242 17,842 SH   DFND 1 17,842 0 0
MONSTER BEVERAGE CORP NEW COM 61174X109 594 10,188 SH   DFND 1 10,188 0 0
NATIONAL CINEMEDIA INC COM 635309107 228 21,501 SH   DFND 1 21,501 0 0
NEW MTN FIN CORP COM 647551100 273 20,205 SH   DFND 1 20,205 0 0
NEXTERA ENERGY INC UNIT 09/01/2019 65339F820 1 15,003 PRN   DFND 1 15,003 0 0
NIKE INC CL B 654106103 314 3,703 SH   DFND 1 3,703 0 0
NOVARTIS A G SPONSORED ADR 66987V109 208 2,412 SH   DFND 1 2,412 0 0
NVIDIA CORP COM 67066G104 1,383 4,920 SH   DFND 1 4,920 0 0
OAKTREE SPECIALTY LENDING CO COM 67401P108 151 30,541 SH   DFND 1 30,541 0 0
OAKTREE STRATEGIC INCOME COR COM 67402D104 162 18,689 SH   DFND 1 18,689 0 0
ORACLE CORP COM 68389X105 277 5,374 SH   DFND 1 5,374 0 0
PAYCHEX INC COM 704326107 230 3,124 SH   DFND 1 3,124 0 0
PENNANTPARK FLOATING RATE CA COM 70806A106 283 21,510 SH   DFND 1 21,510 0 0
PHILLIPS 66 COM 718546104 226 2,008 SH   DFND 1 2,008 0 0
PPG INDS INC COM 693506107 395 3,622 SH   DFND 1 3,622 0 0
PROCTER AND GAMBLE CO COM 742718109 491 5,903 SH   DFND 1 5,903 0 0
RAYTHEON CO COM NEW 755111507 437 2,116 SH   DFND 1 2,116 0 0
REGENERON PHARMACEUTICALS COM 75886F107 381 942 SH   DFND 1 942 0 0
ROBERT HALF INTL INC COM 770323103 281 3,999 SH   DFND 1 3,999 0 0
ROSS STORES INC COM 778296103 286 2,890 SH   DFND 1 2,890 0 0
SCHWAB CHARLES CORP NEW COM 808513105 615 12,521 SH   DFND 1 12,521 0 0
SHERWIN WILLIAMS CO COM 824348106 319 701 SH   DFND 1 701 0 0
SKYWORKS SOLUTIONS INC COM 83088M102 217 2,393 SH   DFND 1 2,393 0 0
STARBUCKS CORP COM 855244109 357 6,272 SH   DFND 1 6,272 0 0
STELLUS CAP INVT CORP COM 858568108 310 22,757 SH   DFND 1 22,757 0 0
SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 109 13,537 SH   DFND 1 13,537 0 0
SYNCHRONY FINL COM 87165B103 391 12,587 SH   DFND 1 12,587 0 0
TEXAS INSTRS INC COM 882508104 430 4,010 SH   DFND 1 4,010 0 0
THL CR INC COM 872438106 360 44,552 SH   DFND 1 44,552 0 0
TRACTOR SUPPLY CO COM 892356106 237 2,611 SH   DFND 1 2,611 0 0
TRIPLEPOINT VENTURE GROWTH B COM 89677Y100 480 35,347 SH   DFND 1 35,347 0 0
ULTA BEAUTY INC COM 90384S303 205 727 SH   DFND 1 727 0 0
UNILEVER PLC SPON ADR NEW 904767704 201 3,657 SH   DFND 1 3,657 0 0
UNION PAC CORP COM 907818108 242 1,487 SH   DFND 1 1,487 0 0
UNITED PARCEL SERVICE INC CL B 911312106 248 2,120 SH   DFND 1 2,120 0 0
VALERO ENERGY CORP NEW COM 91913Y100 524 4,605 SH   DFND 1 4,605 0 0
VECTOR GROUP LTD COM 92240M108 441 31,975 SH   DFND 1 31,975 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 768 14,380 SH   DFND 1 14,380 0 0
VISA INC COM CL A 92826C839 834 5,559 SH   DFND 1 5,559 0 0
WATERS CORP COM 941848103 269 1,382 SH   DFND 1 1,382 0 0
WELLS FARGO CO NEW COM 949746101 485 9,225 SH   DFND 1 9,225 0 0
WHITEHORSE FIN INC COM 96524V106 259 18,602 SH   DFND 1 18,602 0 0