Chief Compliance Officer

0001214659-17-002897.txt : 20170502 0001214659-17-002897.hdr.sgml : 20170502 20170502115817 ACCESSION NUMBER: 0001214659-17-002897 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170502 DATE AS OF CHANGE: 20170502 EFFECTIVENESS DATE: 20170502 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Stevens First Principles Investment Advisors CENTRAL INDEX KEY: 0001388076 IRS NUMBER: 330140970 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12317 FILM NUMBER: 17803744 BUSINESS ADDRESS: STREET 1: 4100 NEWPORT PLACE DRIVE, SUITE 250 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: (949) 251-9333 MAIL ADDRESS: STREET 1: 4100 NEWPORT PLACE DRIVE, SUITE 250 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001388076 XXXXXXXX 03-31-2017 03-31-2017 false Stevens First Principles Investment Advisors

4100 NEWPORT PLACE DRIVE, SUITE 250 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-12317 N Steven Lee Yamshon Chief Compliance Officer 949-251-9333 /s/ Steven Lee Yamshon Newport Beach CA 04-28-2017 1 162 157285 1 0001418204 028-12624 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. INFORMATION TABLE 2 infotable.xml Alcoa Inc COM 013872106 34 984 SH SOLE 0 0 0 Apple Inc COM 037833100 1246 8671 SH SOLE 0 0 0 AbbVie Inc COM 00287Y109 6 95 SH SOLE 0 0 0 Archer Daniels Midland Co COM 039483102 5288 114846 SH DFND 1 6400 0 0 Aflac Inc COM 001055102 9 120 SH SOLE 0 0 0 Agco Corp COM 001084102 1296 21531 SH SOLE 0 0 0 Allergan Inc. SHS G0177J108 4 17 SH SOLE 0 0 0 Alexander & Baldwin Inc COM 014491104 2562 57547 SH SOLE 0 0 0 Alaska Air Group Inc COM 011659109 90 980 SH SOLE 0 0 0 Allstate Corp COM 020002101 2648 32490 SH DFND 1 3900 0 0 Amgen Inc COM 031162100 98 600 SH SOLE 0 0 0 Aon Plc Com Usd0.01 Cl A SHS CL A G0408V102 151 1270 SH SOLE 0 0 0 Arconic Inc Com COM 03965L100 78 2957 SH SOLE 0 0 0 Advansix Inc Com COM 00773T101 1 47 SH SOLE 0 0 0 Avista Corp COM 05379B107 148 3790 SH SOLE 0 0 0 Baxter International COM 071813109 6 120 SH SOLE 0 0 0 Becton Dickinson Co COM 075887109 3271 17830 SH SOLE 0 0 0 Bgc Partners Inc Cl A CL A 05541T101 45 3950 SH SOLE 0 0 0 Bristol Myers Squibb Co COM 110122108 42 777 SH SOLE 0 0 0 Berkshire Hathaway Inc - B CL B NEW 084670702 30 180 SH SOLE 0 0 0 Conagra Foods Inc COM 205887102 5 130 SH SOLE 0 0 0 Cardinal Health Inc COM 14149Y108 2602 31910 SH DFND 1 3000 0 0 Chubb Limited COM H1467J104 98 721 SH SOLE 0 0 0 Celanese Corp COM SER A 150870103 123 1365 SH SOLE 0 0 0 Celgene Corp COM 151020104 7 55 SH SOLE 0 0 0 Church & Dwight Co COM 171340102 5161 103485 SH SOLE 0 0 0 Check Point Softwaretech Ltd ORD M22465104 263 2565 SH SOLE 0 0 0 China Fd Inc COM 169373107 1 65 SH SOLE 0 0 0 First Tr Exchange Traded Fd II Nasdaq Cy NASDAQ CYB ETF 33734X846 903 41580 SH SOLE 0 0 0 Citizens Holding Co COM 174715102 162 6580 SH SOLE 0 0 0 Ckx Lds Inc Com COM 12562N104 78 6560 SH SOLE 0 0 0 Chipotle Mexican Grill Inc Com Isin #Us1 COM 169656105 33 75 SH SOLE 0 0 0 Costco Wholesale Corp COM 22160K105 36 213 SH SOLE 0 0 0 Cisco Systems Inc COM 17275R102 825 24420 SH DFND 1 6700 0 0 Cst Brands Inc Com COM 12646R105 72 1500 SH SOLE 0 0 0 Csx Corporation COM 126408103 7294 156682 SH SOLE 0 0 0 CVS Caremark Corp COM 126650100 3097 39446 SH SOLE 0 0 0 Chevron Corp COM 166764100 27 254 SH SOLE 0 0 0 Cyber-Ark Software Ltd Com Ils0.01 SHS M2682V108 352 6925 SH SOLE 0 0 0 Ei Du Pont De Nemours & Co COM 263534109 1705 21220 SH SOLE 0 0 0 Diageo Plc SPON ADR NEW 25243Q205 6 50 SH SOLE 0 0 0 Dr Horton Inc COM 23331A109 984 29550 SH SOLE 0 0 0 Walt Disney Co COM DISNEY 254687106 167 1473 SH SOLE 0 0 0 Dow Chemical Co COM 260543103 1754 27608 SH DFND 1 2000 0 0 Wisdomtree Trust Japan Hedge Eqt JAPN HEDGE EQT 97717W851 6432 127065 SH SOLE 0 0 0 Elbit Systems Ltd ORD M3760D101 3205 28204 SH SOLE 0 0 0 Express Scripts Inc COM 30219G108 16 238 SH SOLE 0 0 0 Eaton Corp SHS G29183103 1838 24785 SH SOLE 0 0 0 Edwards Lifesciences COM 28176E108 275 2926 SH SOLE 0 0 0 Exelon Corp COM 30161N101 14 400 SH SOLE 0 0 0 Eagle Materials Inc COM 26969P108 148 1525 SH SOLE 0 0 0 Facebook Inc CL A 30303M102 433 3050 SH SOLE 0 0 0 General Amer Invstrs Co COM 368802104 65 1930 SH SOLE 0 0 0 General Dynamics COM 369550108 1390 7425 SH SOLE 0 0 0 General Electric Co COM 369604103 2590 86911 SH DFND 1 4885 0 0 Gilead Sciences Inc COM 375558103 3408 50175 SH DFND 1 2900 0 0 Google Inc Cl C CAP STK CL C 02079K107 10 12 SH SOLE 0 0 0 Google Inc Cl A CAP STK CL A 02079K305 20 24 SH SOLE 0 0 0 Glaxosmithkline Plc ADR SPONSORED ADR 37733W105 1645 39013 SH DFND 1 2000 0 0 Hasbro Inc COM 418056107 740 7416 SH SOLE 0 0 0 Home Depot Inc COM 437076102 37 254 SH SOLE 0 0 0 Ishares TRUST Ishares Core High Dividend CORE HIGH DIV ETF 46429B663 121 1441 SH SOLE 0 0 0 Wisdomtree Tr Europe Hedged Eq EUROPE HEDGED EQ 97717X701 1974 31433 SH SOLE 0 0 0 Hollyfrontier Corporation COM 436106108 11 387 SH SOLE 0 0 0 Honeywell International Inc COM 438516106 155 1242 SH SOLE 0 0 0 Hershey Foods Corp COM 427866108 3 25 SH SOLE 0 0 0 Ishares Inc Core Msci Emerging Mkts Etf CORE MSCI EMKT 46434G103 1 15 SH SOLE 0 0 0 iShares Trust S&P Smallcap 600 Index CORE S&P SCP ETF 464287804 172 2480 SH SOLE 0 0 0 Imperial Oil Ltd COM NEW 453038408 166 5450 SH DFND 1 4900 0 0 SPDR Ser Tr Barclays Cap Tips ETF BLOMBRG BRC TIPS 78464A656 17 300 SH SOLE 0 0 0 Jacobs Engineering COM 469814107 22 390 SH SOLE 0 0 0 Johnson & Johnson COM 478160104 24 191 SH SOLE 0 0 0 Juniper Networks Inc COM 48203R104 139 5000 SH SOLE 0 0 0 Kaman Corp Com Formerly Cl A To 10/11/20 COM 483548103 828 17205 SH SOLE 0 0 0 Kb Home Com COM 48666K109 161 8080 SH SOLE 0 0 0 Coca Cola Co COM 191216100 826 19466 SH SOLE 0 0 0 Kimberly Clark Corp. COM 494368103 211 1600 SH DFND 1 1600 0 0 Lennar Corp Cl A Com CL A 526057104 832 16250 SH SOLE 0 0 0 Limoneira Co Com Isin #Us5327461043 Sedo COM 532746104 87 4170 SH SOLE 0 0 0 Lockheed Martin Corp COM 539830109 12 44 SH SOLE 0 0 0 Lamb Weston Hldgs Inc Com COM 513272104 2 43 SH SOLE 0 0 0 Mckesson Corp COM 58155Q103 525 3540 SH DFND 1 1600 0 0 Mondelez Intl Inc CL A 609207105 2162 50185 SH SOLE 0 0 0 Medtronic Inc SHS G5960L103 223 2771 SH DFND 1 2500 0 0 Metlife Inc COM 59156R108 24 460 SH SOLE 0 0 0 Moog Inc CL A 615394202 1703 25284 SH SOLE 0 0 0 Monsanto Co New Com COM 61166W101 566 5000 SH SOLE 0 0 0 Merck & Co Inc COM 58933Y105 61 960 SH SOLE 0 0 0 Marathon Oil Corp COM 565849106 11 688 SH SOLE 0 0 0 Microsoft Corp COM 594918104 116 1755 SH SOLE 0 0 0 Mueller Water Products Inc COM SER A 624758108 612 51780 SH SOLE 0 0 0 Nuveen Calif Mun COM 67066Y105 12 800 SH SOLE 0 0 0 Nextera Energy Inc COM 65339F101 4196 32684 SH DFND 1 2120 0 0 Netflix Com Inc COM 64110L106 30 200 SH SOLE 0 0 0 Nike Inc CL B 654106103 11 200 SH SOLE 0 0 0 Northrop Grumman Corp COM 666807102 5 19 SH SOLE 0 0 0 National-Oilwell Varco Inc COM 637071101 9 215 SH SOLE 0 0 0 Norfolk Southern Corp COM 655844108 4472 39936 SH SOLE 0 0 0 Nuveen Municipal Value Fund COM 670928100 2413 246705 SH DFND 1 21200 0 0 Novartis Ag ADR SPONSORED ADR 66987V109 3221 43371 SH SOLE 0 0 0 Newell Rubbermaid COM 651229106 3 59 SH SOLE 0 0 0 Oil-Dri Corp Of Amer COM 677864100 99 2655 SH SOLE 0 0 0 Occidental Petroleum Corp COM 674599105 22 345 SH SOLE 0 0 0 Potlatch Corp COM 737630103 5640 123418 SH DFND 1 13500 0 0 Pepsico Inc COM 713448108 2469 22075 SH DFND 1 3200 0 0 Pfizer Inc COM 717081103 978 28584 SH SOLE 0 0 0 Procter & Gamble Co COM 742718109 929 10341 SH SOLE 0 0 0 Pultegroup Inc Formerly Pulte Corp To 05 COM 745867101 4427 187965 SH SOLE 0 0 0 Photomedex Inc Com Par $0.01 COM PAR NEW 719358400 0 210 SH SOLE 0 0 0 Pacific Mercantile Bancorp COM 694552100 15 2000 SH SOLE 0 0 0 Ppl Corp COM 69351T106 70 1865 SH SOLE 0 0 0 Paypal Hldgs Inc Com COM 70450Y103 7277 169150 SH DFND 1 5500 0 0 Royal Dutch Shell SPON ADR A 780259206 18 335 SH SOLE 0 0 0 Royal Dutch Shell Plc ADR SPON ADR B 780259107 841 15070 SH DFND 1 3300 0 0 Royal Gold Inc COM 780287108 350 5000 SH SOLE 0 0 0 Ross Stores Inc COM 778296103 145 2200 SH SOLE 0 0 0 Republic Services Inc Com COM 760759100 451 7185 SH SOLE 0 0 0 Market Vectors Trust Russia ETF RUSSIA ETF 92189F403 189 9125 SH SOLE 0 0 0 Rayonier Inc COM 754907103 2219 78314 SH SOLE 0 0 0 Starbucks Corp Com COM 855244109 99 1700 SH SOLE 0 0 0 Us SPDR S&P Dividend ETF S&P DIVID ETF 78464A763 31 354 SH SOLE 0 0 0 Seaboard Corp COM 811543107 471 113 SH SOLE 0 0 0 Sensient Technologies Corp SPONSORED ADR 81725T100 515 6500 SH DFND 1 6500 0 0 Madden Steven Ltd COM 556269108 1 37 SH SOLE 0 0 0 Shire Plc Sponsored Adr SPONSORED ADR 82481R106 3 19 SH SOLE 0 0 0 Sherwin Williams Co COM 824348106 4 14 SH SOLE 0 0 0 iShares Lehman 1-3 Year Treasury Bond Fund 1-3 YR TR BD ETF 464287457 20 239 SH SOLE 0 0 0 Sirius Xm Radio Inc COM 82968B103 18 3500 SH SOLE 0 0 0 Sun Life Financial Inc Com Npv Isin #Ca8 COM 866796105 54 1480 SH SOLE 0 0 0 Southern Mo Bancorp Inc Com COM 843380106 36 1000 SH SOLE 0 0 0 Scotts MiracleGro Co CL A 810186106 223 2390 SH SOLE 0 0 0 Snap-On Tools Corp COM 833034101 4 22 SH SOLE 0 0 0 Scripps Networks Interactive Inc Cl A CL A COM 811065101 44 560 SH SOLE 0 0 0 Southern Co COM 842587107 25 500 SH SOLE 0 0 0 S&P 500 Depository Receipt TR UNIT 78462F103 1107 4695 SH SOLE 0 0 0 Square Inc Cl A CL A 852234103 149 8600 SH SOLE 0 0 0 Sempra Energy COM 816851109 33 300 SH SOLE 0 0 0 Syngenta AG ADR SPONSORED ADR 87160A100 164 1850 SH DFND 1 1850 0 0 Sysco Corp COM 871829107 4343 83656 SH SOLE 0 0 0 AT&T Inc COM 00206R102 18 429 SH SOLE 0 0 0 iShares Barclays Tips Bond Fd TIPS BD ETF 464287176 54 475 SH SOLE 0 0 0 Thermo Electron Corp COM 883556102 15 100 SH SOLE 0 0 0 Toll Bros Inc COM 889478103 4 100 SH SOLE 0 0 0 Total Sa SPOSNORED ADR 89151E109 2229 44207 SH DFND 1 3700 0 0 Tootsie Roll Industries COM 890516107 271 7262 SH SOLE 0 0 0 Trinity Industries Inc COM 896522109 51 1910 SH SOLE 0 0 0 Time Warner Inc COM NEW 887317303 208 2127 SH SOLE 0 0 0 Textron Inc COM 883203101 79 1650 SH SOLE 0 0 0 Union Pacific Corp COM 907818108 114 1080 SH SOLE 0 0 0 Visa Inc COM CL A 92826C839 10 108 SH SOLE 0 0 0 Viacom Inc - B CL B 92553P201 3166 67915 SH SOLE 0 0 0 Vodafone Group Plc SPONSORED ADR 92857W308 3782 143082 SH DFND 1 2217 0 0 Vanguard Index Fds Formerly Vanguard Ind S&P 500 ETF SHS 922908363 2 10 SH SOLE 0 0 0 Vanguard Value ETF VALUE ETF 922908744 5 50 SH SOLE 0 0 0 Washington Fed Inc Com Isin #Us938824109 COM 938824109 61 1855 SH SOLE 0 0 0 Western Asset Claymore Inflation Linked COM 95766R104 5781 517581 SH SOLE 0 0 0 Wiley John & Sons CL A 968223206 143 2650 SH DFND 1 2650 0 0 Vca Antech Inc COM 918194101 774 8460 SH SOLE 0 0 0 Berkley W R Corp COM 084423102 3296 46670 SH SOLE 0 0 0 Weyerhaeuser Co COM 962166104 8288 243900 SH DFND 1 14592 0 0 Exxon Mobil Corp COM 30231G102 3465 42251 SH SOLE 0 0 0 Xylem Inc COM 98419M100 773 15385 SH DFND 1 3915 0 0