0001214659-19-000850.txt : 20190207
0001214659-19-000850.hdr.sgml : 20190207
20190206173913
ACCESSION NUMBER: 0001214659-19-000850
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20181231
FILED AS OF DATE: 20190207
DATE AS OF CHANGE: 20190206
EFFECTIVENESS DATE: 20190207
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: 19572836
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
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0001388076
XXXXXXXX
12-31-2018
12-31-2018
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
02-05-2019
1
158
147749
1
0001418204
028-12624
FIRST REPUBLIC INVESTMENT MANAGEMENT, INC.
INFORMATION TABLE
2
infotable.xml
Abb Ltd Sponsored Adr
SPONSORED ADR
000375204
1628
85640
SH
SOLE
0
0
0
AbbVie Inc
COM
00287Y109
15
161
SH
SOLE
0
0
0
Adams Express Company
COM
006212104
70
5510
SH
SOLE
0
0
0
Advanced Micro Devices Inc
COM
007903107
1
45
SH
SOLE
0
0
0
Advansix Inc Com
COM
00773T101
1
46
SH
SOLE
0
0
0
Aflac Inc
COM
001055102
11
240
SH
SOLE
0
0
0
Agco Corp
COM
001084102
1197
21503
SH
SOLE
0
0
0
Alaska Air Group Inc
COM
011659109
57
930
SH
SOLE
0
0
0
Alcoa Inc
COM
013872106
25
932
SH
SOLE
0
0
0
Alexander & Baldwin Inc
COM
014491104
6
307
SH
SOLE
0
0
0
Alibaba Group Hldg Ltd
SPONSORED ADS
01609W102
2
15
SH
SOLE
0
0
0
Allstate Corp
COM
020002101
2892
34994
SH
DFND
1
3900
0
0
Amazon Com Inc
COM
023135106
68
45
SH
SOLE
0
0
0
American Electric
COM
025537101
6
82
SH
SOLE
0
0
0
Amgen Inc
COM
031162100
51
260
SH
SOLE
0
0
0
Aon Plc Com Usd0.01 Cl A
SHS CL A
G0408V102
183
1257
SH
SOLE
0
0
0
Apple Inc
COM
037833100
902
5719
SH
SOLE
0
0
0
Archer Daniels Midland Co
COM
039483102
4932
120382
SH
DFND
1
6400
0
0
Arcosa Inc Com
COM
039653100
20
730
SH
SOLE
0
0
0
Astrazeneca Plc
SPONSORED ADR
046353108
5
125
SH
SOLE
0
0
0
AT&T Inc
COM
00206R102
3937
137936
SH
SOLE
0
0
0
Auburn Natl Bancorp Com
COM
050473107
32
1000
SH
SOLE
0
0
0
Baozun Inc Adr Each Repr 3 Ord Cl A Spon
SPONSORED ADR
06684L103
15
515
SH
SOLE
0
0
0
Becton Dickinson Co
COM
075887109
3774
16750
SH
SOLE
0
0
0
Berkley W R Corp
COM
084423102
3382
45759
SH
SOLE
0
0
0
Berkshire Hathaway Inc - B
CL B NEW
084670702
37
180
SH
SOLE
0
0
0
Bgc Partners Inc Cl A
CL A
05541T101
7
1450
SH
SOLE
0
0
0
Boeing Co
COM
097023105
4
11
SH
SOLE
0
0
0
Boston Scientific
COM
101137107
227
6425
SH
SOLE
0
0
0
Bristol Myers Squibb Co
COM
110122108
228
4395
SH
SOLE
0
0
0
Brown Forman Corp Cl B
CL B
115637209
150
3144
SH
SOLE
0
0
0
Chevron Corp
COM
166764100
28
254
SH
SOLE
0
0
0
Chubb Limited
COM
H1467J104
37
286
SH
SOLE
0
0
0
Church & Dwight Co
COM
171340102
6591
100235
SH
SOLE
0
0
0
Cisco Systems Inc
COM
17275R102
2110
48697
SH
DFND
1
6700
0
0
Citigroup Inc
COM NEW
172967424
2
36
SH
SOLE
0
0
0
Citizens Holding Co
COM
174715102
138
6580
SH
SOLE
0
0
0
Coca Cola Co
COM
191216100
4
82
SH
SOLE
0
0
0
Csx Corporation
COM
126408103
9014
145080
SH
SOLE
0
0
0
CVS Caremark Corp
COM
126650100
1796
27404
SH
SOLE
0
0
0
Cyber-Ark Software Ltd Com Ils0.01
SHS
M2682V108
708
9550
SH
SOLE
0
0
0
Dave &Busters Entmt Inc Com
COM
238337109
1
30
SH
SOLE
0
0
0
Dominion Res Inc Va
COM
25746U109
2506
35065
SH
SOLE
0
0
0
Domtar Corp Com New
COM NEW
257559203
31
881
SH
SOLE
0
0
0
Dowdupont Inc Com
COM
26078J100
2803
52604
SH
DFND
1
2200
0
0
Dr Horton Inc
COM
23331A109
2824
81466
SH
SOLE
0
0
0
Eagle Materials Inc
COM
26969P108
146
2395
SH
DFND
1
2200
0
0
Eaton Corp
SHS
G29183103
196
2850
SH
SOLE
0
0
0
Edwards Lifesciences
COM
28176E108
438
2860
SH
SOLE
0
0
0
Elbit Systems Ltd
ORD
M3760D101
3020
26491
SH
SOLE
0
0
0
Exelon Corp
COM
30161N101
21
461
SH
SOLE
0
0
0
Exxon Mobil Corp
COM
30231G102
3198
46904
SH
SOLE
0
0
0
Facebook Inc
CL A
30303M102
419
3199
SH
SOLE
0
0
0
Firstenergy Corp
COM
337932107
22
589
SH
SOLE
0
0
0
Garrett Motion Inc Com Usd0.001
COM
366505105
1
115
SH
SOLE
0
0
0
General Dynamics
COM
369550108
1131
7197
SH
SOLE
0
0
0
Gilead Sciences Inc
COM
375558103
2626
41982
SH
DFND
1
2900
0
0
Glaxosmithkline Plc ADR
SPONSORED ADR
37733W105
1654
43292
SH
SOLE
0
0
0
Google Inc Cl A
CAP STK CL A
02079K305
13
12
SH
SOLE
0
0
0
Google Inc Cl C
CAP STK CL C
02079K107
74
71
SH
SOLE
0
0
0
Gorman Rupp Co
COM
383082104
28
850
SH
SOLE
0
0
0
Grubhub Inc Com Usd0.0001
COM
400110102
0
6
SH
SOLE
0
0
0
Hd Supply Hldgs Inc Com
COM
40416M105
1536
40930
SH
SOLE
0
0
0
Home Depot Inc
COM
437076102
31
180
SH
SOLE
0
0
0
Honeywell International Inc
COM
438516106
154
1165
SH
SOLE
0
0
0
Illinois Tool Works
COM
452308109
2
15
SH
SOLE
0
0
0
Intel Corp
COM
458140100
53
1124
SH
SOLE
0
0
0
Ishares TRUST Ishares Core High Dividend
CORE HIGH DV ETF
46429B663
96
1139
SH
SOLE
0
0
0
iShares Trust S&P Smallcap 600 Index
CORE S&P SCP ETF
464287804
148
2140
SH
SOLE
0
0
0
Jacobs Engineering
COM
469814107
32
555
SH
SOLE
0
0
0
Johnson & Johnson
COM
478160104
97
753
SH
SOLE
0
0
0
Jp Morgan Chase & Co
COM
46625H100
5
56
SH
SOLE
0
0
0
Kaman Corp Com Formerly Cl A To 10/11/20
COM
483548103
965
17207
SH
SOLE
0
0
0
Kansas City Southern
COM NEW
485170302
50
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
74
1725
SH
SOLE
0
0
0
Lgi Homes Inc Com
COM
50187T106
1138
25160
SH
SOLE
0
0
0
Liberty Broadband Corp Com Usd0.01 Cl A(
COM SER A
530307107
48
666
SH
SOLE
0
0
0
Limoneira Co Com Isin #Us5327461043 Sedo
COM
532746104
82
4170
SH
SOLE
0
0
0
Lions Gate Entertainment Corp Voting Sha
CL A VTG
535919401
534
33145
SH
SOLE
0
0
0
Lockheed Martin Corp
COM
539830109
5
19
SH
SOLE
0
0
0
Loews Corporation
COM
540424108
2
43
SH
SOLE
0
0
0
Madden Steven Ltd
COM
556269108
2
55
SH
SOLE
0
0
0
Marathon Oil Corp
COM
565849106
8
528
SH
SOLE
0
0
0
Maui Ld &Pineapple Inc Com
COM
577345101
20
2000
SH
SOLE
0
0
0
McdonaldS Corp
COM
580135101
3
18
SH
SOLE
0
0
0
Medtronic Inc
SHS
G5960L103
25
271
SH
SOLE
0
0
0
Merck & Co Inc
COM
58933Y105
254
3329
SH
SOLE
0
0
0
Microsoft Corp
COM
594918104
209
2061
SH
SOLE
0
0
0
Mondelez Intl Inc
CL A
609207105
2283
57035
SH
SOLE
0
0
0
Moog Inc
CL A
615394202
1915
24714
SH
SOLE
0
0
0
Mueller Water Products Inc
COM SER A
624758108
2057
226011
SH
SOLE
0
0
0
Netflix Com Inc
COM
64110L106
83
310
SH
SOLE
0
0
0
Newmark Group Inc Cl A
CL A
65158N102
5
672
SH
SOLE
0
0
0
Nextera Energy Inc
COM
65339F101
5374
30915
SH
DFND
1
2120
0
0
Norfolk Southern Corp
COM
655844108
5717
38231
SH
SOLE
0
0
0
Nuveen Calif Mun
COM
67066Y105
10
800
SH
SOLE
0
0
0
Occidental Petroleum Corp
COM
674599105
4
60
SH
SOLE
0
0
0
Oil-Dri Corp Of Amer
COM
677864100
56
2095
SH
SOLE
0
0
0
Pacific Mercantile Bancorp
COM
694552100
14
2000
SH
SOLE
0
0
0
Paypal Hldgs Inc Com
COM
70450Y103
13381
159133
SH
DFND
1
5500
0
0
PepsiCo
COM
713448108
354
3200
SH
DFND
1
3200
0
0
Pfizer Inc
COM
717081103
1477
33831
SH
SOLE
0
0
0
Phibro Animal Health Corp Cl A Com
CL A COM
71742Q106
487
15155
SH
SOLE
0
0
0
Polaris Industries
COM
731068102
70
910
SH
SOLE
0
0
0
Potlatch Corp
COM
737630103
4097
129484
SH
DFND
1
14795
0
0
Ppl Corp
COM
69351T106
91
3202
SH
SOLE
0
0
0
Procter & Gamble Co
COM
742718109
63
683
SH
SOLE
0
0
0
Prudential Finl Inc
COM
744320102
4
45
SH
SOLE
0
0
0
Rayonier Advanced Materials Inc Com Npv
COM
75508B104
8
790
SH
SOLE
0
0
0
Rayonier Inc
COM
754907103
2204
79581
SH
SOLE
0
0
0
Raytheon Co
COM NEW
755111507
4
25
SH
SOLE
0
0
0
Republic Services Inc Com
COM
760759100
482
6685
SH
SOLE
0
0
0
Resideo Technologies Inc Com
COM
76118Y104
4
194
SH
SOLE
0
0
0
Royal Dutch Shell
SPONS ADR A
780259206
20
337
SH
SOLE
0
0
0
Royal Dutch Shell Plc ADR
SPON ADR B
780259107
864
14416
SH
DFND
1
3300
0
0
Royal Gold Inc
COM
780287108
428
5000
SH
SOLE
0
0
0
S&P 500 Depository Receipt
TR UNIT
78462F103
55
220
SH
SOLE
0
0
0
Sanofi-Aventis Sa ADR
SPONSORED ADR
80105N105
7
172
SH
SOLE
0
0
0
Schlumberger Limited
COM
806857108
1
16
SH
SOLE
0
0
0
Scotts MiracleGro Co
CL A
810186106
142
2315
SH
SOLE
0
0
0
Seaboard Corp
COM
811543107
364
103
SH
SOLE
0
0
0
Sensient Technologies Corp
COM
81725T100
363
6500
SH
DFND
1
6500
0
0
Sirius Xm Radio Inc
COM
82968B103
20
3500
SH
SOLE
0
0
0
Southern Mo Bancorp Inc Com
COM
843380106
34
1000
SH
SOLE
0
0
0
Starbucks Corp Com
COM
855244109
109
1700
SH
SOLE
0
0
0
Sun Life Financial Inc Com Npv Isin #Ca8
COM
866796105
31
920
SH
SOLE
0
0
0
Sysco Corp
COM
871829107
5177
82628
SH
SOLE
0
0
0
Target Corp
COM
87612E106
2
34
SH
SOLE
0
0
0
Tesla Motors Inc Com Usd0.001
COM
88160R101
15
45
SH
SOLE
0
0
0
Textron Inc
COM
883203101
362
7875
SH
DFND
1
2000
0
0
Thermo Fisher Scientific Inc.
COM
883556102
25
110
SH
SOLE
0
0
0
Tootsie Roll Industries
COM
890516107
265
7938
SH
SOLE
0
0
0
Total Sa
SPONSORED ADR
89151E109
2579
49427
SH
DFND
1
2500
0
0
Trinity Industries Inc
COM
896522109
45
2200
SH
SOLE
0
0
0
Union Pacific Corp
COM
907818108
152
1102
SH
SOLE
0
0
0
US Foods Hldg Corp Com
COM
912008109
44
1390
SH
SOLE
0
0
0
Us SPDR S&P Dividend ETF
S&P DIVID ETF
78464A763
24
269
SH
SOLE
0
0
0
Vanguard Index Fds Formerly Vanguard Ind
S&P 500 ETF SHS
922908363
2
8
SH
SOLE
0
0
0
Vanguard Scottsdale Fds Intermediate Ter
INT-TERM CORP
92206C870
42
509
SH
SOLE
0
0
0
Veeva Systems Inc Com Usd0.00001 Cl A
CL A COM
922475108
128
1430
SH
SOLE
0
0
0
Ventas Inc Com
COM
92276F100
21
360
SH
SOLE
0
0
0
Verizon Communications
COM
92343V104
70
1248
SH
SOLE
0
0
0
Viacom Inc - B
CL B
92553P201
1571
61117
SH
SOLE
0
0
0
Visa Inc
COM CL A
92826C839
2
15
SH
SOLE
0
0
0
Vodafone Group Plc
SPONSORED ADR
92857W308
0
0
SH
SOLE
0
0
0
Walt Disney Co
COM DISNEY
254687106
40
365
SH
SOLE
0
0
0
Washington Fed Inc Com Isin #Us938824109
COM
938824109
58
2155
SH
SOLE
0
0
0
Weyerhaeuser Co
COM
962166104
5219
238754
SH
DFND
1
14592
0
0
Wiley John & Sons
CL A
968223206
59
1250
SH
DFND
1
1250
0
0
Xylem Inc
COM
98419M100
1098
16460
SH
DFND
1
3915
0
0
Zoetis Inc Com Usd0.01 Cl A
CL A
98978V103
268
3130
SH
SOLE
0
0
0
SPDR Gold Trust
GOLD SHS
78463V107
2523
20809
SH
SOLE
0
0
0
Call (snap) Snap Inc Cl A Jan 18 19 $18
CALL
833034901
0
2000
SH
Call
SOLE
0
0
0
iShares Barclays Tips Bond Fd
TIPS BD ETF
464287176
56
512
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
Nuveen Municipal Value Fund
COM
670928100
4928
531603
SH
SOLE
0
0
0
Western Asset Claymore Inflation Linked
COM
95766R104
9075
894114
SH
SOLE
0
0
0