Chief Compliance Officer

0001214659-18-006903.txt : 20181106 0001214659-18-006903.hdr.sgml : 20181106 20181105195105 ACCESSION NUMBER: 0001214659-18-006903 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181106 DATE AS OF CHANGE: 20181105 EFFECTIVENESS DATE: 20181106 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: 181161227 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 09-30-2018 09-30-2018 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 11-02-2018 1 168 174103 1 0001418204 028-12624 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. INFORMATION TABLE 2 infotable.xml Abb Ltd Sponsored Adr SPONSORED ADR 000375204 2482 105030 SH SOLE 0 0 0 AbbVie Inc COM 00287Y109 15 161 SH SOLE 0 0 0 Activision Inc (New) COM 00507V109 0 5 SH SOLE 0 0 0 Adams Express Company COM 006212104 97 5800 SH SOLE 0 0 0 Advanced Micro Devices Inc COM 007903107 1 45 SH SOLE 0 0 0 Advansix Inc Com COM 00773T101 2 47 SH SOLE 0 0 0 Aflac Inc COM 001055102 11 240 SH SOLE 0 0 0 Agco Corp COM 001084102 1307 21503 SH SOLE 0 0 0 Alaska Air Group Inc COM 011659109 64 930 SH SOLE 0 0 0 Alcoa Inc COM 013872106 38 932 SH SOLE 0 0 0 Alexander & Baldwin Inc COM 014491104 2053 90459 SH SOLE 0 0 0 Alibaba Group Hldg Ltd SPONSORED ADS 01609W102 2 15 SH SOLE 0 0 0 Alkermes Inc SHS G01767105 3 70 SH SOLE 0 0 0 Allstate Corp COM 020002101 3485 35304 SH DFND 1 3900 0 0 Amazon Com Inc COM 023135106 90 45 SH SOLE 0 0 0 American Electric COM 025537101 6 82 SH SOLE 0 0 0 Amgen Inc COM 031162100 54 260 SH SOLE 0 0 0 Aon Plc Com Usd0.01 Cl A SHS CL A G0408V102 203 1317 SH SOLE 0 0 0 Apple Inc COM 037833100 1103 4885 SH SOLE 0 0 0 Archer Daniels Midland Co COM 039483102 6086 121057 SH DFND 1 6400 0 0 Astrazeneca Plc SPONSORED ADR 046353108 5 125 SH SOLE 0 0 0 AT&T Inc COM 00206R102 5836 173804 SH SOLE 0 0 0 Auburn Natl Bancorp Com COM 050473107 38 1000 SH SOLE 0 0 0 Avid Technology Inc COM 05367P100 42 7000 SH SOLE 0 0 0 Axalta Coating Systems Ltd Com Usd1.00 COM G0750C108 87 3000 SH SOLE 0 0 0 Banco Bilbao Vizcaya Argentaria Sa Ads E SPONSORED ADR 05946K101 1112 176535 SH SOLE 0 0 0 Baozun Inc Adr Each Repr 3 Ord Cl A Spon SPONSORED ADR 06684L103 25 515 SH SOLE 0 0 0 Becton Dickinson Co COM 075887109 4437 17000 SH SOLE 0 0 0 Berkley W R Corp COM 084423102 3691 46184 SH SOLE 0 0 0 Berkshire Hathaway Inc - B CL B NEW 084670702 39 180 SH SOLE 0 0 0 Bgc Partners Inc Cl A CL A 05541T101 23 1975 SH SOLE 0 0 0 Boeing Co COM 097023105 4 11 SH SOLE 0 0 0 Boston Scientific COM 101137107 247 6425 SH SOLE 0 0 0 Bristol Myers Squibb Co COM 110122108 278 4472 SH SOLE 0 0 0 Brown Forman Corp Cl B CL B 115637209 159 3144 SH SOLE 0 0 0 Call (snap) Snap Inc Cl A Jan 18 19 $18 CALL 3174789II 0 20000 SH Call SOLE 0 0 0 Cerner Corp COM 156782104 4 55 SH SOLE 0 0 0 Chevron Corp COM 166764100 31 254 SH SOLE 0 0 0 Chubb Limited COM H1467J104 38 286 SH SOLE 0 0 0 Church & Dwight Co COM 171340102 6033 101610 SH SOLE 0 0 0 Cisco Systems Inc COM 17275R102 2374 48794 SH DFND 1 6700 0 0 Citigroup Inc COM NEW 172967424 3 36 SH SOLE 0 0 0 Citizens Holding Co COM 174715102 155 6580 SH SOLE 0 0 0 Ckx Lds Inc Com COM 12562N104 107 10565 SH SOLE 0 0 0 Coca Cola Co COM 191216100 4 82 SH SOLE 0 0 0 Csx Corporation COM 126408103 10984 148337 SH SOLE 0 0 0 CVS Caremark Corp COM 126650100 3254 41340 SH SOLE 0 0 0 Cyber-Ark Software Ltd Com Ils0.01 SHS M2682V108 762 9550 SH SOLE 0 0 0 Dominion Res Inc Va COM 25746U109 2814 40040 SH SOLE 0 0 0 Dowdupont Inc Com COM 26078J100 3383 52607 SH DFND 1 2000 0 0 Dr Horton Inc COM 23331A109 4793 113621 SH SOLE 0 0 0 Eagle Materials Inc COM 26969P108 204 2395 SH DFND 1 2200 0 0 Eaton Corp SHS G29183103 643 7415 SH SOLE 0 0 0 Edwards Lifesciences COM 28176E108 510 2929 SH SOLE 0 0 0 Elbit Systems Ltd ORD M3760D101 3375 26891 SH SOLE 0 0 0 Emerson Electric Co COM 291011104 3 43 SH SOLE 0 0 0 Etf Managers Tr Purefunds Ise Cy PRIME CYBR SCRTY 26924G201 319 7960 SH SOLE 0 0 0 Exelon Corp COM 30161N101 20 461 SH SOLE 0 0 0 Exxon Mobil Corp COM 30231G102 4018 47264 SH SOLE 0 0 0 Facebook Inc CL A 30303M102 497 3022 SH SOLE 0 0 0 First Tr Exchange Traded Fd II Nasdaq Cy NASDAQ CYB ETF 33734X846 1187 41635 SH SOLE 0 0 0 General Dynamics COM 369550108 1505 7352 SH SOLE 0 0 0 Gilead Sciences Inc COM 375558103 3997 51767 SH DFND 1 2900 0 0 Glaxosmithkline Plc ADR SPONSORED ADR 37733W105 1703 42392 SH SOLE 0 0 0 Google Inc Cl A CAP STK CL A 02079K305 29 24 SH SOLE 0 0 0 Google Inc Cl C CAP STK CL C 02079K107 104 87 SH SOLE 0 0 0 Gorman Rupp Co COM 383082104 31 850 SH SOLE 0 0 0 Grubhub Inc Com Usd0.0001 COM 400110102 1 6 SH SOLE 0 0 0 Hasbro Inc COM 418056107 752 7150 SH SOLE 0 0 0 Home Depot Inc COM 437076102 53 254 SH SOLE 0 0 0 Honeywell International Inc COM 438516106 203 1217 SH SOLE 0 0 0 Illinois Tool Works COM 452308109 2 15 SH SOLE 0 0 0 iShares Ftse China 25 Index Fund CHINA LG-CAP ETF 464287184 24 570 SH SOLE 0 0 0 Ishares TRUST Ishares Core High Dividend CORE HIGH DV ETF 46429B663 114 1254 SH SOLE 0 0 0 iShares Trust S&P Smallcap 600 Index CORE S&P SCP ETF 464287804 191 2193 SH SOLE 0 0 0 Jacobs Engineering COM 469814107 42 555 SH SOLE 0 0 0 Johnson & Johnson COM 478160104 26 191 SH SOLE 0 0 0 Jp Morgan Chase & Co COM 46625H100 6 56 SH SOLE 0 0 0 Kaman Corp Com Formerly Cl A To 10/11/20 COM 483548103 1149 17207 SH SOLE 0 0 0 Kansas City Southern COM NEW 485170302 59 520 SH SOLE 0 0 0 Kimberly Clark Corp COM 494368103 182 1600 SH DFND 1 1600 0 0 Kraft Heinz Co Com COM 500754106 95 1725 SH SOLE 0 0 0 Lgi Homes Inc Com COM 50187T106 1268 26730 SH SOLE 0 0 0 Liberty Media Corp Delaware Com A Sirius COM A SIRIUSXM 531229409 43 1000 SH SOLE 0 0 0 Limoneira Co Com Isin #Us5327461043 Sedo COM 532746104 109 4170 SH SOLE 0 0 0 Lions Gate Entertainment Corp Voting Sha CL A VTG 535919401 953 39060 SH SOLE 0 0 0 Lockheed Martin Corp COM 539830109 22 63 SH SOLE 0 0 0 Loews Corporation COM 540424108 2 43 SH SOLE 0 0 0 Madden Steven Ltd COM 556269108 2 37 SH SOLE 0 0 0 Marathon Oil Corp COM 565849106 12 528 SH SOLE 0 0 0 Mastercard Inc Cl A CL A 57636Q104 0 2 SH SOLE 0 0 0 Maui Ld &Pineapple Inc Com COM 577345101 26 2000 SH SOLE 0 0 0 Maxar Technologies Ltd Com Npv Isin #ca5 COM 57778L103 7 210 SH SOLE 0 0 0 McdonaldS Corp COM 580135101 3 18 SH SOLE 0 0 0 Medtronic Inc SHS G5960L103 27 271 SH SOLE 0 0 0 Merck & Co Inc COM 58933Y105 182 2562 SH SOLE 0 0 0 Microsoft Corp COM 594918104 200 1753 SH SOLE 0 0 0 Momo Inc Adr Each Repr 2 Cl A Ord ADR 60879B107 0 5 SH SOLE 0 0 0 Mondelez Intl Inc CL A 609207105 2461 57295 SH SOLE 0 0 0 Moog Inc CL A 615394202 2157 25089 SH SOLE 0 0 0 Mueller Water Products Inc COM SER A 624758108 2875 249776 SH SOLE 0 0 0 Netflix Com Inc COM 64110L106 116 310 SH SOLE 0 0 0 Nextera Energy Inc COM 65339F101 5204 31051 SH DFND 1 2120 0 0 Norfolk Southern Corp COM 655844108 6932 38406 SH SOLE 0 0 0 Northrop Grumman Corp COM 666807102 6 19 SH SOLE 0 0 0 Nuveen Calif Mun COM 67066Y105 10 800 SH SOLE 0 0 0 Nuveen Municipal Value Fund COM 670928100 5212 556868 SH DFND 1 20400 0 0 Occidental Petroleum Corp COM 674599105 5 60 SH SOLE 0 0 0 Oil-Dri Corp Of Amer COM 677864100 81 2095 SH SOLE 0 0 0 Pacific Mercantile Bancorp COM 694552100 19 2000 SH SOLE 0 0 0 Paypal Hldgs Inc Com COM 70450Y103 14419 164156 SH DFND 1 5500 0 0 PepsiCo Inc COM 713448108 358 3200 SH DFND 1 3200 0 0 Pfizer Inc COM 717081103 1456 33041 SH SOLE 0 0 0 Phibro Animal Health Corp Cl A Com CL A COM 71742Q106 760 17715 SH SOLE 0 0 0 Polaris Industries COM 731068102 339 3360 SH SOLE 0 0 0 Potlatch Corp COM 737630103 4962 121178 SH DFND 1 13500 0 0 Ppl Corp COM 69351T106 52 1786 SH SOLE 0 0 0 Procter & Gamble Co COM 742718109 17 201 SH SOLE 0 0 0 Prudential Finl Inc COM 744320102 5 45 SH SOLE 0 0 0 Pultegroup Inc Formerly Pulte Corp To 05 COM 745867101 1 30 SH SOLE 0 0 0 Rayonier Advanced Materials Inc Com Npv COM 75508B104 15 790 SH SOLE 0 0 0 Rayonier Inc COM 754907103 2706 80041 SH SOLE 0 0 0 Raytheon Co COM NEW 755111507 5 25 SH SOLE 0 0 0 Redfin Corp Com COM 75737F108 19 1000 SH SOLE 0 0 0 Republic Services Inc Com COM 760759100 516 7105 SH SOLE 0 0 0 Royal Dutch Shell Plc ADR SPON ADR B 780259107 1046 14741 SH DFND 1 3300 0 0 Royal Gold Inc COM 780287108 385 5000 SH SOLE 0 0 0 S&P 500 Depository Receipt TR UNIT 78462F103 64 220 SH SOLE 0 0 0 Sanofi-Aventis Sa ADR SPONSORED ADR 80105N105 8 172 SH SOLE 0 0 0 Schlumberger Limited COM 806857108 1 16 SH SOLE 0 0 0 Scotts MiracleGro Co CL A 810186106 182 2315 SH SOLE 0 0 0 Seaboard Corp COM 811543107 419 113 SH SOLE 0 0 0 Sensient Technologies Corp COM 81725T100 497 6500 SH DFND 1 6500 0 0 Sirius Xm Radio Inc COM 82968B103 22 3500 SH SOLE 0 0 0 Snap Inc Cl A CL A 83304A106 34 3975 SH SOLE 0 0 0 Sociedad Quimica Minera De Chile S A SPON ADR SER B 833635105 1 20 SH SOLE 0 0 0 Southern Mo Bancorp Inc Com COM 843380106 37 1000 SH SOLE 0 0 0 SPDR Gold Trust GOLD SHS 78463V107 2362 20949 SH SOLE 0 0 0 Spdr Ser Tr S&P Retail Etf S&P RETAIL ETF 78464A714 1 15 SH SOLE 0 0 0 Starbucks Corp Com COM 855244109 97 1700 SH SOLE 0 0 0 Sun Life Financial Inc Com Npv Isin #Ca8 COM 866796105 62 1565 SH SOLE 0 0 0 Sysco Corp COM 871829107 6066 82818 SH SOLE 0 0 0 Target Corp COM 87612E106 3 34 SH SOLE 0 0 0 Tesla Motors Inc Com Usd0.001 COM 88160R101 12 45 SH SOLE 0 0 0 Textron Inc COM 883203101 566 6125 SH DFND 1 200 0 0 Thermo Fisher Scientific Inc. COM 883556102 27 110 SH SOLE 0 0 0 Tootsie Roll Industries COM 890516107 232 7938 SH SOLE 0 0 0 Total Sa SPONSORED ADR 89151E109 3210 49857 SH DFND 1 2500 0 0 Trinity Industries Inc COM 896522109 81 2200 SH SOLE 0 0 0 Union Pacific Corp COM 907818108 179 1102 SH SOLE 0 0 0 US Foods Hldg Corp Com COM 912008109 43 1390 SH SOLE 0 0 0 Us SPDR S&P Dividend ETF S&P DIVID ETF 78464A763 31 316 SH SOLE 0 0 0 Vanguard Index Fds Formerly Vanguard Ind S&P 500 ETF SHS 922908363 2 8 SH SOLE 0 0 0 Veeva Systems Inc Com Usd0.00001 Cl A CL A COM 922475108 156 1430 SH SOLE 0 0 0 Ventas Inc Com COM 92276F100 20 360 SH SOLE 0 0 0 Verizon Communications COM 92343V104 8 148 SH SOLE 0 0 0 Viacom Inc - B CL B 92553P201 2603 77117 SH SOLE 0 0 0 Visa Inc COM CL A 92826C839 2 15 SH SOLE 0 0 0 Vodafone Group Plc SPONSORED ADR 92857W308 3175 146305 SH SOLE 0 0 0 Walt Disney Co COM DISNEY 254687106 51 435 SH SOLE 0 0 0 Washington Fed Inc Com Isin #Us938824109 COM 938824109 69 2155 SH SOLE 0 0 0 Weyerhaeuser Co COM 962166104 7960 246667 SH DFND 1 14592 0 0 Wiley John & Sons CL A 968223206 161 2650 SH DFND 1 2650 0 0 Xylem Inc COM 98419M100 1315 16460 SH DFND 1 3915 0 0 Zoetis Inc Com Usd0.01 Cl A CL A 98978V103 344 3755 SH SOLE 0 0 0 iShares Barclays Tips Bond Fd TIPS BD ETF 464287176 57 516 SH SOLE 0 0 0 iShares Lehman 1-3 Year Treasury Bond Fund 1 3 YR TREAS BD 464287457 17 203 SH SOLE 0 0 0 Royal Dutch Shell SPONS ADR A 780259206 23 337 SH SOLE 0 0 0