Chief Compliance Officer

0001214659-19-002878.txt : 20190425 0001214659-19-002878.hdr.sgml : 20190425 20190424181220 ACCESSION NUMBER: 0001214659-19-002878 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190425 DATE AS OF CHANGE: 20190424 EFFECTIVENESS DATE: 20190425 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: 19764860 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 03-31-2019 03-31-2019 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 04-18-2019 1 158 167930 1 0001418204 028-12624 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. INFORMATION TABLE 2 infotable.xml Abb Ltd Sponsored Adr SPONSORED ADR 000375204 1700 90100 SH SOLE 0 0 0 AbbVie Inc COM 00287Y109 13 161 SH SOLE 0 0 0 Adams Express Company COM 006212104 79 5505 SH SOLE 0 0 0 Advanced Micro Devices Inc COM 007903107 1 45 SH SOLE 0 0 0 Advansix Inc Com COM 00773T101 1 44 SH SOLE 0 0 0 Aflac Inc COM 001055102 12 240 SH SOLE 0 0 0 Agco Corp COM 001084102 1475 21203 SH SOLE 0 0 0 Alaska Air Group Inc COM 011659109 52 925 SH SOLE 0 0 0 Alcoa Inc COM 013872106 26 932 SH SOLE 0 0 0 Alibaba Group Hldg Ltd SPONSORED ADS 01609W102 3 15 SH SOLE 0 0 0 Allstate Corp COM 020002101 3266 34679 SH DFND 1 3900 0 0 Amazon Com Inc COM 023135106 80 45 SH SOLE 0 0 0 American Airlines Group Inc Com Usd1 COM 02376R102 11 346 SH SOLE 0 0 0 American Electric COM 025537101 7 82 SH SOLE 0 0 0 Amgen Inc COM 031162100 68 357 SH SOLE 0 0 0 Aon Plc Com Usd0.01 Cl A SHS CL A G0408V102 215 1257 SH SOLE 0 0 0 Apple Inc COM 037833100 1131 5955 SH SOLE 0 0 0 Archer Daniels Midland Co COM 039483102 5195 120457 SH DFND 1 6400 0 0 Arcosa Inc Com COM 039653100 22 730 SH SOLE 0 0 0 Astrazeneca Plc SPONSORED ADR 046353108 5 125 SH SOLE 0 0 0 AT&T Inc COM 00206R102 4628 147563 SH SOLE 0 0 0 Auburn Natl Bancorp Com COM 050473107 83 2110 SH SOLE 0 0 0 Baozun Inc Adr Each Repr 3 Ord Cl A Spon SPONSORED ADR 06684L103 21 515 SH SOLE 0 0 0 Becton Dickinson Co COM 075887109 4085 16356 SH SOLE 0 0 0 Berkley W R Corp COM 084423102 3835 45264 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 8 1450 SH SOLE 0 0 0 Boeing Co COM 097023105 4 11 SH SOLE 0 0 0 Boston Scientific COM 101137107 300 7805 SH SOLE 0 0 0 Bristol Myers Squibb Co COM 110122108 197 4125 SH SOLE 0 0 0 Brown Forman Corp Cl B CL B 115637209 173 3269 SH SOLE 0 0 0 Chevron Corp COM 166764100 31 254 SH SOLE 0 0 0 Chubb Limited COM H1467J104 40 286 SH SOLE 0 0 0 Church & Dwight Co COM 171340102 7008 98380 SH SOLE 0 0 0 Cisco Systems Inc COM 17275R102 3375 62512 SH DFND 1 6700 0 0 Citigroup Inc COM NEW 172967424 2 36 SH SOLE 0 0 0 Citizens Holding Co COM 174715102 144 6580 SH SOLE 0 0 0 Ckx Lds Inc Com COM 12562N104 106 10565 SH SOLE 0 0 0 Coca Cola Co COM 191216100 4 82 SH SOLE 0 0 0 Csx Corporation COM 126408103 10710 143147 SH SOLE 0 0 0 CVS Caremark Corp COM 126650100 1352 25069 SH SOLE 0 0 0 Cyber-Ark Software Ltd Com Ils0.01 SHS M2682V108 1137 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 2844 37097 SH SOLE 0 0 0 Dowdupont Inc Com COM 26078J100 2841 53294 SH DFND 1 2000 0 0 Dr Horton Inc COM 23331A109 3368 81396 SH SOLE 0 0 0 Eagle Materials Inc COM 26969P108 291 3450 SH DFND 1 2200 0 0 Eaton Corp SHS G29183103 244 3025 SH SOLE 0 0 0 Edwards Lifesciences COM 28176E108 547 2860 SH SOLE 0 0 0 Elbit Systems Ltd ORD M3760D101 3248 25176 SH SOLE 0 0 0 Exelon Corp COM 30161N101 23 461 SH SOLE 0 0 0 Exxon Mobil Corp COM 30231G102 3942 48791 SH SOLE 0 0 0 Facebook Inc CL A 30303M102 501 3006 SH SOLE 0 0 0 Firstenergy Corp COM 337932107 25 589 SH SOLE 0 0 0 Fortinet Inc Com Usd0.001 COM 34959E109 0 5 SH SOLE 0 0 0 Garrett Motion Inc Com Usd0.001 COM 366505105 2 110 SH SOLE 0 0 0 General Dynamics COM 369550108 1273 7522 SH SOLE 0 0 0 Gilead Sciences Inc COM 375558103 2659 40908 SH DFND 1 2900 0 0 Glaxosmithkline Plc ADR SPONSORED ADR 37733W105 1689 40425 SH SOLE 0 0 0 Google Inc Cl A CAP STK CL A 02079K305 14 12 SH SOLE 0 0 0 Google Inc Cl C CAP STK CL C 02079K107 29 25 SH SOLE 0 0 0 Gorman Rupp Co COM 383082104 29 850 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 1864 43006 SH SOLE 0 0 0 Home Depot Inc COM 437076102 35 180 SH SOLE 0 0 0 Honeywell International Inc COM 438516106 176 1110 SH SOLE 0 0 0 Illinois Tool Works COM 452308109 2 15 SH SOLE 0 0 0 Intel Corp COM 458140100 60 1124 SH SOLE 0 0 0 Ishares TRUST Ishares Core High Dividend CORE HIGH DV ETF 46429B663 106 1139 SH SOLE 0 0 0 iShares Trust S&P Smallcap 600 Index CORE S&P SCP ETF 464287804 154 1996 SH SOLE 0 0 0 Jacobs Engineering COM 469814107 42 555 SH SOLE 0 0 0 Johnson & Johnson COM 478160104 27 191 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 1006 17207 SH SOLE 0 0 0 Kansas City Southern COM NEW 485170302 60 520 SH SOLE 0 0 0 Kimberly Clark Corp COM 494368103 198 1600 SH DFND 1 1600 0 0 Lam Research Corp COM 512807108 36 200 SH SOLE 0 0 0 Liberty Broadband Corp Com Usd0.01 Cl A( COM SER A 530307107 61 666 SH SOLE 0 0 0 Limoneira Co Com Isin #Us5327461043 Sedo COM 532746104 98 4170 SH SOLE 0 0 0 Lions Gate Entertainment Corp Voting Sha CL A VTG 535919401 797 50946 SH SOLE 0 0 0 Lockheed Martin Corp COM 539830109 6 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 Maui Ld &Pineapple Inc Com COM 577345101 194 17000 SH SOLE 0 0 0 McdonaldS Corp COM 580135101 3 18 SH SOLE 0 0 0 Merck & Co Inc COM 58933Y105 277 3329 SH SOLE 0 0 0 Microsoft Corp COM 594918104 243 2061 SH SOLE 0 0 0 Moog Inc CL A 615394202 2128 24479 SH SOLE 0 0 0 Mueller Water Products Inc COM SER A 624758108 2545 253486 SH SOLE 0 0 0 Netflix Com Inc COM 64110L106 146 410 SH SOLE 0 0 0 Newmark Group Inc Cl A CL A 65158N102 6 672 SH SOLE 0 0 0 Nextera Energy Inc COM 65339F101 5896 30500 SH DFND 1 2120 0 0 Norfolk Southern Corp COM 655844108 7124 38121 SH SOLE 0 0 0 Nuveen Calif Mun COM 67066Y105 11 800 SH SOLE 0 0 0 Nvidia Corp Com COM 67066G104 2615 14563 SH SOLE 0 0 0 Occidental Petroleum Corp COM 674599105 4 60 SH SOLE 0 0 0 Oil-Dri Corp Of Amer COM 677864100 65 2095 SH SOLE 0 0 0 Pacific Mercantile Bancorp COM 694552100 15 2000 SH SOLE 0 0 0 Paypal Hldgs Inc Com COM 70450Y103 16231 156303 SH DFND 1 5500 0 0 PepsiCo Inc. COM 713448108 392 3200 SH DFND 1 3200 0 0 Pfizer Inc COM 717081103 1477 34786 SH SOLE 0 0 0 Phibro Animal Health Corp Cl A Com CL A COM 71742Q106 572 17340 SH SOLE 0 0 0 Pimco Dynmic Credit And Mrt In Com Shs COM SHS 72202D106 5 200 SH SOLE 0 0 0 Polaris Industries COM 731068102 77 910 SH SOLE 0 0 0 Potlatch Corp COM 737630103 4969 131488 SH DFND 1 14795 0 0 Ppl Corp COM 69351T106 195 6147 SH SOLE 0 0 0 Procter & Gamble Co COM 742718109 71 683 SH SOLE 0 0 0 Prudential Finl Inc COM 744320102 4 45 SH SOLE 0 0 0 Quest Diagnostics COM 74834L100 51 565 SH SOLE 0 0 0 Rayonier Advanced Materials Inc Com Npv COM 75508B104 11 790 SH SOLE 0 0 0 Rayonier Inc COM 754907103 2408 76381 SH SOLE 0 0 0 Raytheon Co COM NEW 755111507 5 25 SH SOLE 0 0 0 Republic Services Inc Com COM 760759100 537 6685 SH SOLE 0 0 0 Resideo Technologies Inc Com COM 76118Y104 4 185 SH SOLE 0 0 0 Royal Dutch Shell SPONS ADR A 780259206 21 337 SH SOLE 0 0 0 Royal Dutch Shell Plc ADR SPONS ADR B 780259107 723 11306 SH SOLE 0 0 0 Royal Gold Inc COM 780287108 455 5000 SH SOLE 0 0 0 S&P 500 Depository Receipt TR UNIT 78462F103 62 220 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 81 1030 SH SOLE 0 0 0 Seaboard Corp COM 811543107 441 103 SH SOLE 0 0 0 Sensient Technologies COM 81725T100 441 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 31 1000 SH SOLE 0 0 0 Starbucks Corp Com COM 855244109 126 1700 SH SOLE 0 0 0 Sun Life Financial Inc Com Npv Isin #Ca8 COM 866796105 35 920 SH SOLE 0 0 0 Sysco Corp COM 871829107 5347 80098 SH SOLE 0 0 0 Target Corp COM 87612E106 3 34 SH SOLE 0 0 0 Tesla Motors Inc Com Usd0.001 COM 88160R101 19 67 SH SOLE 0 0 0 Textron Inc COM 883203101 387 7635 SH DFND 1 2000 0 0 The Trade Desk Inc Com Cl A COM CL A 88339J105 1 3 SH SOLE 0 0 0 Thermo Fisher Scientific Inc. COM 883556102 30 110 SH SOLE 0 0 0 Tootsie Roll Industries COM 890516107 296 7938 SH SOLE 0 0 0 Total Sa SPONSORED ADS 89151E109 2948 52967 SH DFND 1 2500 0 0 Trinity Industries Inc COM 896522109 48 2200 SH SOLE 0 0 0 Union Pacific Corp COM 907818108 184 1102 SH SOLE 0 0 0 United Parcel Svc Inc CL B 911312106 11 100 SH SOLE 0 0 0 US Foods Hldg Corp Com COM 912008109 89 2560 SH SOLE 0 0 0 Us SPDR S&P Dividend ETF S&P DIVID ETF 78464A763 27 269 SH SOLE 0 0 0 Vanguard Index Fds Formerly Vanguard Ind S&P 500 ETF SHS 922908363 3 12 SH SOLE 0 0 0 Veeva Systems Inc Com Usd0.00001 Cl A CL A COM 922475108 181 1430 SH SOLE 0 0 0 Ventas Inc Com COM 92276F100 42 655 SH SOLE 0 0 0 Verizon Communications COM 92343V104 80 1348 SH SOLE 0 0 0 Viacom Inc - B CL B 92553P201 2027 72202 SH SOLE 0 0 0 Visa Inc COM CL A 92826C839 2 15 SH SOLE 0 0 0 Walt Disney Co COM DISNEY 254687106 159 1431 SH SOLE 0 0 0 Washington Fed Inc Com Isin #Us938824109 COM 938824109 82 2855 SH SOLE 0 0 0 Weyerhaeuser Co COM 962166104 6346 240927 SH DFND 1 14592 0 0 Xylem Inc COM 98419M100 1285 16255 SH DFND 1 3915 0 0 Zoetis Inc Com Usd0.01 Cl A CL A 98978V103 315 3130 SH SOLE 0 0 0 SPDR Gold Trust GOLD SHS 78463V107 2479 20319 SH SOLE 0 0 0 Vanguard Scottsdale Fds Intermediate Ter INT-TERM CORP 92206C870 309 3561 SH SOLE 0 0 0 iShares Barclays Tips Bond Fd TIPS BD ETF 464287176 55 489 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 5615 561503 SH DFND 1 20400 0 0 Vanguard Bd Index Fd Inc Total Bd Market TOTAL BND MRKT 921937835 279 3441 SH SOLE 0 0 0 Western Asset Claymore Inflation Linked COM 95766R104 9589 893618 SH SOLE 0 0 0