Chief Compliance Officer

0001214659-18-001026.txt : 20180209 0001214659-18-001026.hdr.sgml : 20180209 20180209134327 ACCESSION NUMBER: 0001214659-18-001026 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180209 DATE AS OF CHANGE: 20180209 EFFECTIVENESS DATE: 20180209 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: 18590486 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 12-31-2017 12-31-2017 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 01-25-2018 1 194 185795 1 0001418204 028-12624 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. INFORMATION TABLE 2 infotable.xml AbbVie Inc COM 00287Y109 9 95 SH SOLE 0 0 0 Adams Express Company COM 006212104 156 10400 SH SOLE 0 0 0 Advanced Micro Devices Inc COM 007903107 0 45 SH SOLE 0 0 0 Advansix Inc Com COM 00773T101 2 47 SH SOLE 0 0 0 Aflac Inc COM 001055102 11 120 SH SOLE 0 0 0 Agco Corp COM 001084102 1507 21101 SH SOLE 0 0 0 Alaska Air Group Inc COM 011659109 72 980 SH SOLE 0 0 0 Alcoa Inc COM 013872106 53 984 SH SOLE 0 0 0 Alexander & Baldwin Inc COM 014491104 1588 57237 SH SOLE 0 0 0 Alibaba Group Hldg Ltd SPONSORED ADS 01609W102 3 15 SH SOLE 0 0 0 Allergan Inc. SHS G0177J108 3 17 SH SOLE 0 0 0 Allstate Corp COM 020002101 3392 32390 SH DFND 1 3900 0 0 Amazon Com Inc COM 023135106 12 10 SH SOLE 0 0 0 American Electric COM 025537101 3 35 SH SOLE 0 0 0 Amgen Inc COM 031162100 104 600 SH SOLE 0 0 0 Aon Plc Com Usd0.01 Cl A SHS CL A G0408V102 170 1270 SH SOLE 0 0 0 Apple Inc COM 037833100 1475 8714 SH SOLE 0 0 0 Archer Daniels Midland Co COM 039483102 4836 120664 SH DFND 1 6400 0 0 AT&T Inc COM 00206R102 176 4535 SH SOLE 0 0 0 Auburn Natl Bancorp Com COM 050473107 39 1000 SH SOLE 0 0 0 Avid Technology Inc COM 05367P100 38 7000 SH SOLE 0 0 0 Avista Corp COM 05379B107 195 3790 SH SOLE 0 0 0 Axalta Coating Systems Ltd Com Usd1.00 COM G0750C108 97 3000 SH SOLE 0 0 0 Banco Bilbao Vizcaya Argentaria Sa Ads E SPONSORED ADR 05946K101 921 108390 SH SOLE 0 0 0 Baxter International COM 071813109 8 120 SH SOLE 0 0 0 Becton Dickinson Co COM 075887109 3737 17460 SH SOLE 0 0 0 Berkley W R Corp COM 084423102 3332 46502 SH SOLE 0 0 0 Berkshire Hathaway Inc - B CL B NEW 084670702 36 180 SH SOLE 0 0 0 Bgc Partners Inc Cl A CL A 05541T101 30 1975 SH SOLE 0 0 0 Biotelemetry Inc Com COM 090672106 4 120 SH SOLE 0 0 0 Brighthouse Finl Inc Com COM 10922N103 2 41 SH SOLE 0 0 0 Bristol Myers Squibb Co COM 110122108 274 4472 SH SOLE 0 0 0 Brown Forman Corp Cl B CL B 115637209 143 2080 SH SOLE 0 0 0 Cardinal Health Inc COM 14149Y108 2013 32855 SH DFND 1 3000 0 0 Celanese Corp COM SER A 150870103 146 1365 SH SOLE 0 0 0 Celgene Corp COM 151020104 6 55 SH SOLE 0 0 0 Cerner Corp COM 156782104 502 7450 SH SOLE 0 0 0 Check Point Softwaretech Ltd ORD M22465104 270 2605 SH SOLE 0 0 0 Chevron Corp COM 166764100 32 254 SH SOLE 0 0 0 China Fd Inc COM 169373107 83 3840 SH SOLE 0 0 0 Chubb Limited COM H1467J104 105 721 SH SOLE 0 0 0 Church & Dwight Co COM 171340102 5143 102512 SH SOLE 0 0 0 Cisco Systems Inc COM 17275R102 1179 30795 SH DFND 1 6700 0 0 Citigroup Inc COM NEW 172967424 3 36 SH SOLE 0 0 0 Citizens Holding Co COM 174715102 152 6580 SH SOLE 0 0 0 Ckx Lds Inc Com COM 12562N104 67 6565 SH SOLE 0 0 0 Coca Cola Co COM 191216100 861 18756 SH SOLE 0 0 0 Conagra Foods Inc COM 205887102 5 130 SH SOLE 0 0 0 Costco Wholesale Corp COM 22160K105 40 213 SH SOLE 0 0 0 Csx Corporation COM 126408103 8432 153279 SH SOLE 0 0 0 CVS Caremark Corp COM 126650100 2922 40302 SH SOLE 0 0 0 Cyber-Ark Software Ltd Com Ils0.01 SHS M2682V108 397 9590 SH SOLE 0 0 0 Diageo Plc SPON ADR NEW 25243Q205 7 50 SH SOLE 0 0 0 Dominion Res Inc Va COM 25746U109 2942 36290 SH SOLE 0 0 0 Dowdupont Inc Com COM 26078J100 3845 53987 SH DFND 1 2000 0 0 Dr Horton Inc COM 23331A109 3080 60315 SH DFND 1 5700 0 0 Eagle Materials Inc COM 26969P108 564 4975 SH DFND 1 2200 0 0 Eaton Corp SHS G29183103 1984 25105 SH SOLE 0 0 0 Edwards Lifesciences CALL 28176E908 330 2926 SH SOLE 0 0 0 Elbit Systems Ltd ORD M3760D101 3647 27359 SH SOLE 0 0 0 Etf Managers Tr Purefunds Ise Cy PRIME CYBR SCRTY 26924G201 252 7960 SH SOLE 0 0 0 Exelon Corp COM 30161N101 16 400 SH SOLE 0 0 0 Express Scripts Inc COM 30219G108 18 238 SH SOLE 0 0 0 Exxon Mobil Corp COM 30231G102 3782 45222 SH SOLE 0 0 0 Facebook Inc CL A 30303M102 537 3042 SH SOLE 0 0 0 Fc Global Rlty Inc Com COM 30258F102 0 210 SH SOLE 0 0 0 First Tr Exchange Traded Fd II Nasdaq Cy NASDAQ CYB ETF 33734X846 982 42435 SH SOLE 0 0 0 Ford Mtr Co Del Com COM PAR $0.01 345370860 0 25 SH SOLE 0 0 0 General Amer Invstrs Co COM 368802104 30 880 SH SOLE 0 0 0 General Dynamics COM 369550108 1507 7405 SH SOLE 0 0 0 General Electric Co COM 369604103 1731 99170 SH DFND 1 4885 0 0 Gilead Sciences Inc COM 375558103 3702 51677 SH DFND 1 2900 0 0 Glaxosmithkline Plc ADR SPONSORED ADR 37733W105 1460 41160 SH DFND 1 2000 0 0 Google Inc Cl A CAP STK CL A 02079K305 25 24 SH SOLE 0 0 0 Google Inc Cl C CAP STK CL C 02079K107 91 87 SH SOLE 0 0 0 Hasbro Inc COM 418056107 658 7240 SH SOLE 0 0 0 Hershey Foods Corp COM 427866108 3 25 SH SOLE 0 0 0 Hollyfrontier Corporation COM 436106108 20 387 SH SOLE 0 0 0 Home Depot Inc COM 437076102 48 254 SH SOLE 0 0 0 Honeywell International Inc COM 438516106 187 1217 SH SOLE 0 0 0 Imperial Oil Ltd COM NEW 453038408 17 550 SH SOLE 0 0 0 iShares Ftse China 25 Index Fund CHINA LG-CAP ETF 464287184 109 2365 SH SOLE 0 0 0 Ishares Inc Core Msci Emerging Mkts Etf CORE MSCI EMKT 46434G103 1 16 SH SOLE 0 0 0 iShares MSCI Emerging Markets Index MSCI EMG MKT ETF 464287234 2 45 SH SOLE 0 0 0 Ishares TRUST Ishares Core High Dividend CORE HIGH DV ETF 46429B663 126 1403 SH SOLE 0 0 0 iShares Trust S&P Smallcap 600 Index CORE S&P SCP ETF 464287804 191 2492 SH SOLE 0 0 0 Itt Inc. COM 45073V108 200 3750 SH SOLE 0 0 0 Jacobs Engineering COM 469814107 68 1030 SH SOLE 0 0 0 Johnson & Johnson COM 478160104 27 191 SH SOLE 0 0 0 Jp Morgan Chase & Co COM 46625H100 3 24 SH SOLE 0 0 0 Juniper Networks Inc COM 48203R104 253 8875 SH SOLE 0 0 0 Kaman Corp Com Formerly Cl A To 10/11/20 COM 483548103 1012 17206 SH SOLE 0 0 0 Kansas City Southern COM NEW 485170302 100 950 SH SOLE 0 0 0 Kb Home Com COM 48666K109 316 9880 SH SOLE 0 0 0 Kimberly Clark Corp COM 494368103 193 1600 SH DFND 1 1600 0 0 Lamb Weston Hldgs Inc Com COM 513272104 2 43 SH SOLE 0 0 0 Lennar Corp Cl A Com CL A 526057104 1026 16225 SH SOLE 0 0 0 Lennar Corp Cl B CL B 526057302 16 308 SH SOLE 0 0 0 Limoneira Co Com Isin #Us5327461043 Sedo COM 532746104 93 4170 SH SOLE 0 0 0 Lockheed Martin Corp COM 539830109 14 44 SH SOLE 0 0 0 Luminex Corp Del Com COM 55027e102 38 1920 SH SOLE 0 0 0 Madden Steven Ltd COM 556269108 2 37 SH SOLE 0 0 0 Marathon Oil Corp COM 565849106 12 688 SH SOLE 0 0 0 Market Vectors Trust Russia ETF RUSSIA ETF 92189F403 194 9125 SH SOLE 0 0 0 Maxar Technologies Ltd Com Npv Isin #ca5 COM 57778L103 673 10470 SH SOLE 0 0 0 Mckesson Corp COM 58155Q103 303 1940 SH SOLE 0 0 0 Medpace Hldgs Inc Com COM 58506Q109 7 190 SH SOLE 0 0 0 Medtronic Inc SHS G5960L103 127 1571 SH DFND 1 1300 0 0 Merck & Co Inc COM 58933Y105 117 2080 SH SOLE 0 0 0 Metlife Inc COM 59156R108 23 460 SH SOLE 0 0 0 Microsoft Corp COM 594918104 159 1855 SH SOLE 0 0 0 Mondelez Intl Inc CL A 609207105 2269 53025 SH SOLE 0 0 0 Moog Inc CL A 615394202 2206 25404 SH SOLE 0 0 0 Mueller Water Products Inc COM SER A 624758108 670 53475 SH SOLE 0 0 0 Nasdaq 100 Trust Unit Ser 1 UNIT SER 1 73935A104 31 200 SH SOLE 0 0 0 National-Oilwell Varco Inc COM 637071101 8 215 SH SOLE 0 0 0 Ncr Corp Com COM 62886E108 67 1985 SH SOLE 0 0 0 Netflix Com Inc COM 64110L106 38 200 SH SOLE 0 0 0 Newell Rubbermaid COM 651229106 2 59 SH SOLE 0 0 0 Nextera Energy Inc COM 65339F101 4986 31925 SH DFND 1 2120 0 0 Nike Inc CL B 654106103 13 200 SH SOLE 0 0 0 Norfolk Southern Corp COM 655844108 5686 39241 SH SOLE 0 0 0 Northrop Grumman Corp COM 666807102 6 19 SH SOLE 0 0 0 Novartis Ag ADR SPONSORED ADR 66987V109 3624 43159 SH SOLE 0 0 0 Nuveen Calif Mun COM 67066Y105 11 800 SH SOLE 0 0 0 Occidental Petroleum Corp COM 674599105 25 345 SH SOLE 0 0 0 Oil-Dri Corp Of Amer COM 677864100 110 2655 SH SOLE 0 0 0 Pacific Mercantile Bancorp COM 694552100 18 2000 SH SOLE 0 0 0 Paypal Hldgs Inc Com COM 70450Y103 12315 167275 SH DFND 1 5500 0 0 Pepsico Inc COM 713448108 2605 21722 SH DFND 1 3200 0 0 Pfizer Inc COM 717081103 1131 31234 SH SOLE 0 0 0 Potlatch Corp COM 737630103 6065 121550 SH DFND 1 13500 0 0 Powershares Exchange Traded Fd Tr Dynami CLEANTECH PORT 73935X278 4 100 SH SOLE 0 0 0 Ppl Corp COM 69351T106 58 1884 SH SOLE 0 0 0 Procter & Gamble Co COM 742718109 957 10411 SH SOLE 0 0 0 Pultegroup Inc Formerly Pulte Corp To 05 COM 745867101 6751 203036 SH SOLE 0 0 0 Rayonier Inc COM 754907103 2535 80141 SH SOLE 0 0 0 Reaves Util Income Fd Com Sh Ben Int COM SH BEN INT 756158101 1 20 SH SOLE 0 0 0 Republic Services Inc Com COM 760759100 483 7150 SH SOLE 0 0 0 Royal Dutch Shell SPONS ADR A 780259206 23 352 SH SOLE 0 0 0 Royal Dutch Shell Plc ADR SPON ADR B 780259107 990 14495 SH DFND 1 3300 0 0 Royal Gold Inc COM 780287108 411 5000 SH SOLE 0 0 0 S&P 500 Depository Receipt TR UNIT 78462F103 1241 4650 SH SOLE 0 0 0 Schlumberger Limited COM 806857108 1 16 SH SOLE 0 0 0 Schwab Charles Corp New COM 808513105 7 131 SH SOLE 0 0 0 Schwab Strategic Tr US Small-Cap Etf US SML CAP ETF 808524607 21 300 SH SOLE 0 0 0 Scotts MiracleGro Co CL A 810186106 256 2390 SH SOLE 0 0 0 Seaboard Corp COM 811543107 498 113 SH SOLE 0 0 0 Sempra Energy COM 816851109 32 300 SH SOLE 0 0 0 Sensient Technologies COM 81725T100 475 6500 SH DFND 1 6500 0 0 Sherwin Williams Co COM 824348106 6 14 SH SOLE 0 0 0 Shire Plc Sponsored Adr SPONSORED ADR 82481R106 3 19 SH SOLE 0 0 0 Sirius Xm Radio Inc COM 82968B103 19 3500 SH SOLE 0 0 0 Snap Inc Cl A CL A 83304A106 65 4430 SH SOLE 0 0 0 Snap-On Tools Corp COM 833034101 4 22 SH SOLE 0 0 0 Southern Co COM 842587107 24 500 SH SOLE 0 0 0 Southern Mo Bancorp Inc Com COM 843380106 38 1000 SH SOLE 0 0 0 Square Inc Cl A CL A 852234103 300 8645 SH SOLE 0 0 0 Starbucks Corp Com COM 855244109 98 1700 SH SOLE 0 0 0 Sun Life Financial Inc Com Npv Isin #Ca8 COM 866796105 61 1480 SH SOLE 0 0 0 Sysco Corp COM 871829107 5073 83529 SH SOLE 0 0 0 Textron Inc COM 883203101 448 7925 SH DFND 1 2000 0 0 Thermo Electron Corp COM 883556102 21 110 SH SOLE 0 0 0 Time Warner Inc COM NEW 887317303 10 111 SH SOLE 0 0 0 Toll Bros Inc COM 889478103 5 100 SH SOLE 0 0 0 Tootsie Roll Industries COM 890516107 272 7479 SH SOLE 0 0 0 Total Sa SPONSORED ADR 89151e109 2513 45462 SH DFND 1 2500 0 0 Trinity Industries Inc COM 896522109 87 2325 SH SOLE 0 0 0 Tyson Foods Inc Cl A Isin #Us9024941034 CL A 902494103 163 2005 SH SOLE 0 0 0 Union Pacific Corp COM 907818108 145 1080 SH SOLE 0 0 0 Us SPDR S&P Dividend ETF S&P DIVID ETF 78464A763 50 529 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 Veeva Systems Inc Com Usd0.00001 Cl A CL A COM 922475108 80 1455 SH SOLE 0 0 0 Verizon Communications COM 92343V104 4 84 SH SOLE 0 0 0 Viacom Inc - B CL B 92553P201 2079 67481 SH SOLE 0 0 0 Visa Inc COM CL A 92826C839 12 108 SH SOLE 0 0 0 Vodafone Group Plc SPONSORED ADR 92857W308 4546 142501 SH SOLE 0 0 0 Walt Disney Co COM DISNEY 254687106 122 1133 SH SOLE 0 0 0 Washington Fed Inc Com Isin #Us938824109 COM 938824109 64 1855 SH SOLE 0 0 0 Weyerhaeuser Co COM 962166104 8672 245948 SH DFND 1 14592 0 0 Wiley John & Sons CL A 968223206 174 2650 SH DFND 1 2650 0 0 Wisdomtree Tr Europe Hedged Eq EUROPE HEDGED EQ 97717X701 3248 50985 SH SOLE 0 0 0 Wisdomtree Trust Japan Hedge Eqt JAPN HEDGE EQ 97717W851 7676 129379 SH SOLE 0 0 0 Xperi Corp Com COM 98421B100 54 2210 SH SOLE 0 0 0 Xylem Inc COM 98419M100 1128 16535 SH DFND 1 3915 0 0 Powershares Db Usd Index Bullish DOLL INDX BULL 73936D107 0 20 SH SOLE 0 0 0 iShares Barclays Tips Bond Fd TIPS BD ETF 464287176 55 484 SH SOLE 0 0 0 Ishares Jp Morgan Em Etf JP MORGAN EM ETF 464286517 0 10 SH SOLE 0 0 0 iShares Lehman 1-3 Year Treasury Bond Fund 1 3 YR TREAS BD 464287457 17 206 SH SOLE 0 0 0 Nuveen Municipal Value Fund COM 670928100 2447 241525 SH DFND 1 20400 0 0 Western Asset Claymore Inflation Linked COM 95766R104 7674 671941 SH SOLE 0 0 0 Put (fxe) Currencyshares Euro Jan 19 18 PUT 23130C958 0 10500 SH Put SOLE 0 0 0 Tivo Corp COM 88870P106 43 2725 SH SOLE 0 0 0