Chief Compliance Officer

0001214659-17-005024.txt : 20170814 0001214659-17-005024.hdr.sgml : 20170814 20170811193739 ACCESSION NUMBER: 0001214659-17-005024 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170814 DATE AS OF CHANGE: 20170811 EFFECTIVENESS DATE: 20170814 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: 171026562 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 06-30-2017 06-30-2017 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 08-11-2017 1 187 169485 1 0001418204 028-12624 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. INFORMATION TABLE 2 infotable.xml Alcoa Inc COM 013872106 32 984 SH SOLE 0 0 0 Apple Inc COM 037833100 1249 8674 SH SOLE 0 0 0 AbbVie Inc COM 00287Y109 7 95 SH SOLE 0 0 0 Archer Daniels Midland Co COM 039483102 4792 115811 SH DFND 1 6400 0 0 Aflac Inc COM 001055102 9 120 SH SOLE 0 0 0 Agco Corp COM 001084102 1422 21101 SH SOLE 0 0 0 Ishares Core U.S. Aggregate Bond Etf CORE US AGGBD ETF 464287226 15 133 SH SOLE 0 0 0 Allergan Inc. SHS G0177J108 4 17 SH SOLE 0 0 0 Ishares Tr Agency Bond Etf AGENCY BOND ETF 464288166 3 29 SH SOLE 0 0 0 Alexander & Baldwin Inc COM 014491104 2369 57252 SH SOLE 0 0 0 Alaska Air Group Inc COM 011659109 88 980 SH SOLE 0 0 0 Allstate Corp COM 020002101 2869 32435 SH DFND 1 3900 0 0 Amgen Inc COM 031162100 103 600 SH SOLE 0 0 0 Aon Plc Com Usd0.01 Cl A SHS CL A G0408V102 169 1270 SH SOLE 0 0 0 Arconic Inc Com COM 03965L100 67 2957 SH SOLE 0 0 0 Advansix Inc Com COM 00773T101 1 47 SH SOLE 0 0 0 Auburn Natl Bancorp Com COM 050473107 37 1000 SH SOLE 0 0 0 Avista Corp COM 05379B107 161 3790 SH SOLE 0 0 0 Baxter International COM 071813109 7 120 SH SOLE 0 0 0 Becton Dickinson Co COM 075887109 3438 17620 SH SOLE 0 0 0 Brown Forman Corp Cl B CL B 115637209 96 1980 SH SOLE 0 0 0 Bgc Partners Inc Cl A CL A 05541T101 50 3950 SH SOLE 0 0 0 Bristol Myers Squibb Co COM 110122108 43 777 SH SOLE 0 0 0 Vanguard Bd Index Fd Inc Total Bd Market TOTAL BND MRKT 921937835 2 25 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 2516 32290 SH DFND 1 3000 0 0 Chubb Limited COM H1467J104 105 721 SH SOLE 0 0 0 Celanese Corp COM SER A 150870103 130 1365 SH SOLE 0 0 0 Central Fund Of Canada Ltd CL A 153501101 1801 146055 SH SOLE 0 0 0 Celgene Corp COM 151020104 7 55 SH SOLE 0 0 0 Cerner Corp COM 156782104 495 7450 SH SOLE 0 0 0 Church & Dwight Co COM 171340102 5332 102770 SH SOLE 0 0 0 Check Point Softwaretech Ltd ORD M22465104 280 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 895 41505 SH SOLE 0 0 0 Ishares Tr Interm Cr Bd Etf INTERM CR BD ETF 464288638 4 39 SH SOLE 0 0 0 Citizens Holding Co COM 174715102 171 6580 SH SOLE 0 0 0 Ckx Lds Inc Com COM 12562N104 75 6560 SH SOLE 0 0 0 Chipotle Mexican Grill Inc Com Isin #Us1 COM 169656105 31 75 SH SOLE 0 0 0 Costco Wholesale Corp COM 22160K105 34 213 SH SOLE 0 0 0 Cisco Systems Inc COM 17275R102 764 24420 SH DFND 1 6700 0 0 Ishares Tr 1-3 Yr Cr Bd Etf 1-3 YR CR BD ETF 464288646 2 21 SH SOLE 0 0 0 Csx Corporation COM 126408103 8410 154137 SH SOLE 0 0 0 CVS Caremark Corp COM 126650100 3196 39716 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 346 6925 SH SOLE 0 0 0 Ei Du Pont De Nemours & Co COM 263534109 1703 21105 SH SOLE 0 0 0 Diageo Plc SPON ADR NEW 25243Q205 6 50 SH SOLE 0 0 0 Dr Horton Inc COM 23331A109 1064 30770 SH SOLE 0 0 0 Walt Disney Co COM DISNEY 254687106 142 1338 SH SOLE 0 0 0 Dow Chemical Co COM 260543103 1699 26943 SH DFND 1 2000 0 0 Wisdomtree Trust Japan Hedge Eqt JAPAN HEDGE EQT 97717W851 6605 127013 SH SOLE 0 0 0 Ishares Tr Jp Mor Em Mk Etf JP MOR EM MK ETF 464288281 0 4 SH SOLE 0 0 0 Elbit Systems Ltd ORD M3760D101 3432 27734 SH SOLE 0 0 0 Express Scripts Inc COM 30219G108 15 238 SH SOLE 0 0 0 Eaton Corp SHS G29183103 1924 24725 SH SOLE 0 0 0 Edwards Lifesciences COM 28176e108 346 2926 SH SOLE 0 0 0 Exelon Corp COM 30161N101 14 400 SH SOLE 0 0 0 Eagle Materials Inc COM 26969P108 141 1525 SH SOLE 0 0 0 Facebook Inc CL A 30303M102 460 3050 SH SOLE 0 0 0 General Amer Invstrs Co COM 368802104 64 1850 SH SOLE 0 0 0 General Dynamics COM 369550108 1467 7405 SH SOLE 0 0 0 General Electric Co COM 369604103 2327 86151 SH DFND 1 4885 0 0 Gilead Sciences Inc COM 375558103 3513 49636 SH DFND 1 2900 0 0 SPDR Gold Trust GOLD SHS 78463V107 4451 37713 SH SOLE 0 0 0 Google Inc Cl C CAP STK CL C 02079K107 11 12 SH SOLE 0 0 0 Google Inc Cl A CAP STK CL A 02079K305 22 24 SH SOLE 0 0 0 Glaxosmithkline Plc ADR SPONSORED ADR 37733W105 1671 38753 SH DFND 1 2000 0 0 Etf Managers Tr Purefunds Ise Cy PUREFUNDS ISE CY 26924G201 112 3735 SH SOLE 0 0 0 Hasbro Inc COM 418056107 807 7240 SH SOLE 0 0 0 Home Depot Inc COM 437076102 39 254 SH SOLE 0 0 0 Ishares TRUST Ishares Core High Dividend CORE HIGH DV ETF 46429B663 122 1469 SH SOLE 0 0 0 Wisdomtree Tr Europe Hedged Eq EUROPE HEDGED EQ 97717X701 3027 48560 SH SOLE 0 0 0 Hollyfrontier Corporation COM 436106108 11 387 SH SOLE 0 0 0 Honeywell International Inc COM 438516106 162 1217 SH SOLE 0 0 0 Hershey Foods Corp COM 427866108 3 25 SH SOLE 0 0 0 Ishares Tr Iboxx Hi Yd Etf IBOXX HI YD ETF 464288513 2 17 SH SOLE 0 0 0 iShares Lehman 7-10 Year Treasury Bond Fund 7-10YR TR BD ETF 464287440 1 9 SH SOLE 0 0 0 Ishares Inc Core Msci Emerging Mkts Etf CORE MSCI EMKT 46434G103 1 21 SH SOLE 0 0 0 iShares Core S&P Mid-Cap ETF CORE S&P MCP ETF 464287507 1 6 SH SOLE 0 0 0 iShares Trust S&P Smallcap 600 Index CORE S&P SCP ETF 464287804 181 2583 SH SOLE 0 0 0 Imperial Oil Ltd COM NEW 453038408 16 550 SH SOLE 0 0 0 SPDR Ser Tr Barclays Cap Tips ETF BLOMBRG BRC TIPS 78464A656 17 300 SH SOLE 0 0 0 Ishares Core S&P 500 Etf CORE S&P500 ETF 464287200 1 4 SH SOLE 0 0 0 Jacobs Engineering COM 469814107 21 390 SH SOLE 0 0 0 Johnson & Johnson COM 478160104 25 191 SH SOLE 0 0 0 Juniper Networks Inc COM 48203R104 139 5000 SH SOLE 0 0 0 John Wiley & Sons CL A 968223206 140 2650 SH DFND 1 2650 0 0 Kaman Corp Com Formerly Cl A To 10/11/20 COM 483548103 858 17205 SH SOLE 0 0 0 Kb Home Com COM 48666K109 190 7940 SH SOLE 0 0 0 Keweenaw Land Association Ltd COM NEW 493026108 1402 13352 SH SOLE 0 0 0 Coca Cola Co COM 191216100 857 19111 SH SOLE 0 0 0 Kimberly Clark Corp COM 494368103 97 1600 SH DFND 1 1600 0 0 Kansas City Southern COM NEW 485170302 99 950 SH SOLE 0 0 0 Lennar Corp Cl A Com CL A 526057104 864 16200 SH SOLE 0 0 0 Limoneira Co Com Isin #Us5327461043 Sedo COM 532746104 99 4170 SH SOLE 0 0 0 Lockheed Martin Corp COM 539830109 12 44 SH SOLE 0 0 0 iShares Iboxx $ Investment Grade Corp Bond Fund IBOXX INV CP ETF 464287242 3 22 SH SOLE 0 0 0 Lamb Weston Hldgs Inc Com COM 513272104 2 43 SH SOLE 0 0 0 Ishares Tr Mbs Etf MBS ETF 464288588 4 38 SH SOLE 0 0 0 Mckesson Corp COM 58155Q103 319 1940 SH SOLE 0 0 0 Mondelez Intl Inc CL A 609207105 2151 49795 SH SOLE 0 0 0 Medtronic Inc SHS G5960L103 246 2771 SH DFND 1 2500 0 0 Metlife Inc COM 59156R108 25 460 SH SOLE 0 0 0 Moog Inc CL A 615394202 1824 25429 SH SOLE 0 0 0 Monsanto Co New Com COM 61166W101 592 5000 SH SOLE 0 0 0 Merck & Co Inc COM 58933Y105 62 960 SH SOLE 0 0 0 Marathon Oil Corp COM 565849106 8 688 SH SOLE 0 0 0 Microsoft Corp COM 594918104 121 1755 SH SOLE 0 0 0 Mueller Water Products Inc COM SER A 624758108 605 51780 SH SOLE 0 0 0 Nuveen Calif Mun COM 67066Y105 12 800 SH SOLE 0 0 0 Nextera Energy Inc COM 65339F101 4497 32089 SH DFND 1 2120 0 0 Netflix Com Inc COM 64110L106 30 200 SH SOLE 0 0 0 Nike Inc CL B 654106103 12 200 SH SOLE 0 0 0 Northrop Grumman Corp COM 666807102 5 19 SH SOLE 0 0 0 National-Oilwell Varco Inc COM 637071101 7 215 SH SOLE 0 0 0 Norfolk Southern Corp COM 655844108 4789 39351 SH SOLE 0 0 0 Nuveen Municipal Value Fund COM 670928100 2232 224115 SH SOLE 0 0 0 Novartis Ag ADR SPONSORED ADR 66987V109 3610 43251 SH SOLE 0 0 0 Newell Rubbermaid COM 651229106 3 59 SH SOLE 0 0 0 Oil-Dri Corp Of Amer COM 677864100 112 2655 SH SOLE 0 0 0 Occidental Petroleum Corp COM 674599105 21 345 SH SOLE 0 0 0 Potlatch Corp COM 737630103 5595 122429 SH DFND 1 13500 0 0 Powershares Global Exchange Traded Fd Tr SOVEREIGN DEBT 73936T573 1 31 SH SOLE 0 0 0 Pepsico Inc COM 713448108 2531 21915 SH DFND 1 3200 0 0 Pfizer Inc COM 717081103 987 29394 SH SOLE 0 0 0 Ishares Tr U.S. Pfd Stk Etf U.S. PFD STK ETF 464288687 2 45 SH SOLE 0 0 0 Procter & Gamble Co COM 742718109 901 10341 SH SOLE 0 0 0 Pultegroup Inc Formerly Pulte Corp To 05 COM 745867101 4646 189410 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 18 2000 SH SOLE 0 0 0 Ppl Corp COM 69351T106 72 1865 SH SOLE 0 0 0 Paypal Hldgs Inc Com COM 70450Y103 8988 167475 SH DFND 1 5500 0 0 Royal Dutch Shell SPONS ADR A 780259206 18 335 SH SOLE 0 0 0 Royal Dutch Shell Plc ADR SPON ADR B 780259107 807 14495 SH DFND 1 3300 0 0 Royal Gold Inc COM 780287108 391 5000 SH SOLE 0 0 0 Ross Stores Inc COM 778296103 127 2200 SH SOLE 0 0 0 Republic Services Inc Com COM 760759100 458 7185 SH SOLE 0 0 0 Market Vectors Trust Russia ETF RUSSIA ETF 92189F403 175 9125 SH SOLE 0 0 0 Rayonier Inc COM 754907103 2269 78876 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 30 340 SH SOLE 0 0 0 Seaboard Corp COM 811543107 451 113 SH SOLE 0 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 5 14 SH SOLE 0 0 0 iShares Lehman 1-3 Year Treasury Bond Fund 1-3 YR TR BD ETF 464287457 20 234 SH SOLE 0 0 0 Sirius Xm Radio Inc COM 82968B103 19 3500 SH SOLE 0 0 0 Sun Life Financial Inc Com Npv Isin #Ca8 COM 866796105 53 1480 SH SOLE 0 0 0 Southern Mo Bancorp Inc Com COM 843380106 32 1000 SH SOLE 0 0 0 Scotts MiracleGro Co CL A 810186106 214 2390 SH SOLE 0 0 0 Snap-On Tools Corp COM 833034101 3 22 SH SOLE 0 0 0 Snap Inc Cl A CL A 83304A106 22 1220 SH SOLE 0 0 0 Scripps Networks Interactive Inc Cl A CL A COM 811065101 38 560 SH SOLE 0 0 0 Southern Co COM 842587107 24 500 SH SOLE 0 0 0 S&P 500 Depository Receipt TR UNIT 78462F103 1124 4650 SH SOLE 0 0 0 Square Inc Cl A CL A 852234103 202 8600 SH SOLE 0 0 0 Sempra Energy COM 816851109 34 300 SH SOLE 0 0 0 Schwab Total Bond Market Fund CL A 808517502 1 98 SH SOLE 0 0 0 Sysco Corp COM 871829107 4204 83526 SH SOLE 0 0 0 Sensient Technologies COM 81725T100 523 6500 SH DFND 1 6500 0 0 AT&T Inc COM 00206R102 24 629 SH SOLE 0 0 0 iShares Barclays Tips Bond Fd TIPS BD ETF 464287176 56 493 SH SOLE 0 0 0 Thermo Electron Corp COM 883556102 17 100 SH SOLE 0 0 0 Toll Bros Inc COM 889478103 4 100 SH SOLE 0 0 0 Total Sa SPONSORED ADR 89151e109 1947 39252 SH SOLE 0 0 0 Tootsie Roll Industries COM 890516107 261 7479 SH SOLE 0 0 0 Trinity Industries Inc COM 896522109 54 1910 SH SOLE 0 0 0 Time Warner Inc COM NEW 887317303 9 93 SH SOLE 0 0 0 Textron Inc COM 883203101 78 1650 SH SOLE 0 0 0 Union Pacific Corp COM 907818108 118 1080 SH SOLE 0 0 0 Reaves Util Income Fd Com Sh Ben Int COM SH BEN INT 756158101 1 15 SH SOLE 0 0 0 Visa Inc COM CL A 92826C839 10 108 SH SOLE 0 0 0 Vanguard Ftse Developed Market Etf FTSE DEV MKT ETF 921943858 1 25 SH SOLE 0 0 0 Viacom Inc - B CL B 92553P201 2276 67795 SH SOLE 0 0 0 Vanguard Index Fds Vanguard Reit ETF For REIT ETF 922908553 2 22 SH SOLE 0 0 0 Vodafone Group Plc SPONSORED ADR 92857W308 4013 139685 SH SOLE 0 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 62 1855 SH SOLE 0 0 0 Western Asset Claymore Inflation Linked COM 95766R104 5694 516711 SH SOLE 0 0 0 Vca Antech Inc COM 918194101 778 8430 SH SOLE 0 0 0 Berkley W R Corp COM 084423102 3221 46570 SH SOLE 0 0 0 Weyerhaeuser Co COM 962166104 8159 243547 SH DFND 1 14592 0 0 Exxon Mobil Corp COM 30231G102 3397 42075 SH SOLE 0 0 0 Xylem Inc COM 98419M100 843 15385 SH DFND 1 3915 0 0