0001085146-19-001640.txt : 20190515 0001085146-19-001640.hdr.sgml : 20190515 20190515144051 ACCESSION NUMBER: 0001085146-19-001640 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190515 DATE AS OF CHANGE: 20190515 EFFECTIVENESS DATE: 20190515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Apriem Advisors CENTRAL INDEX KEY: 0001425165 IRS NUMBER: 330188030 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12756 FILM NUMBER: 19827215 BUSINESS ADDRESS: STREET 1: 19200 VON KARMAN AVE STREET 2: #1050 CITY: IRVINE STATE: CA ZIP: 92612 BUSINESS PHONE: 949-253-8888 MAIL ADDRESS: STREET 1: 19200 VON KARMAN AVE STREET 2: #1050 CITY: IRVINE STATE: CA ZIP: 92612 FORMER COMPANY: FORMER CONFORMED NAME: Iwamoto, Kong & Co., Inc. DATE OF NAME CHANGE: 20080125 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001425165 XXXXXXXX 03-31-2019 03-31-2019 false Apriem Advisors

19200 VON KARMAN AVE #1050 IRVINE CA 92612

13F HOLDINGS REPORT 028-12756 N Benjamin C. Lau 949-253-8888 /s/Benjamin C. Lau IRVINE CA 05-08-2019 0 128 377841 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBOTT LABS COM 002824100 290 3631 SH SOLE 3631 0 0 ABBVIE INC COM 00287Y109 7031 87240 SH SOLE 76730 0 10510 ABERDEEN ASIA PACIFIC INCOM COM 003009107 156 36800 SH SOLE 36800 0 0 ABERDEEN STD GOLD ETF TR PHYSCL SWISS GLD 00326A104 250 2005 SH SOLE 1705 0 300 ADVANCED MICRO DEVICES INC COM 007903107 506 19812 SH SOLE 19412 0 400 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 650 3565 SH SOLE 3560 0 5 ALLERGAN PLC SHS G0177J108 415 2834 SH SOLE 2834 0 0 ALPHABET INC CAP STK CL A 02079K305 9820 8344 SH SOLE 7621 0 723 ALPS ETF TR ALERIAN MLP 00162Q866 2256 224935 SH SOLE 163165 0 61770 ALTAIR ENGR INC COM CL A 021369103 1012 27500 SH SOLE 27500 0 0 AMAZON COM INC COM 023135106 8934 5017 SH SOLE 4615 0 402 AMGEN INC COM 031162100 479 2519 SH SOLE 2519 0 0 ANNALY CAP MGMT INC COM 035710409 1568 156980 SH SOLE 118030 0 38950 APPLE INC COM 037833100 13212 69554 SH SOLE 64174 0 5380 AT&T INC COM 00206R102 11649 371453 SH SOLE 324348 0 47105 BAIDU INC SPON ADR REP A 056752108 206 1252 SH SOLE 1252 0 0 BANK AMER CORP COM 060505104 6814 246969 SH SOLE 223174 0 23795 BERKSHIRE HATHAWAY INC DEL CL A 084670108 301 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2288 11388 SH SOLE 7738 0 3650 BLACKROCK CR ALLCTN INC TR COM 092508100 3608 290720 SH SOLE 273095 0 17625 BLACKROCK FLOAT RATE OME STR COM 09255X100 890 71200 SH SOLE 68700 0 2500 BLACKROCK MULTI-SECTOR INC T COM 09258A107 964 58100 SH SOLE 50875 0 7225 BLACKROCK MUNIYIELD CALI QLT COM 09254N103 726 53885 SH SOLE 46218 0 7667 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 193 14400 SH SOLE 14400 0 0 BOEING CO COM 097023105 779 2042 SH SOLE 2042 0 0 BROADCOM INC COM 11135F101 249 828 SH SOLE 678 0 150 BROWN FORMAN CORP CL B 115637209 3974 75295 SH SOLE 72280 0 3015 CAPRICOR THERAPEUTICS INC COM 14070B101 23 50000 SH SOLE 50000 0 0 CENTURYLINK INC COM 156700106 121 10105 SH SOLE 10105 0 0 CHEVRON CORP NEW COM 166764100 789 6407 SH SOLE 5651 0 756 CISCO SYS INC COM 17275R102 10984 203450 SH SOLE 185699 0 17751 CITIGROUP INC COM NEW 172967424 378 6071 SH SOLE 6071 0 0 CLOROX CO DEL COM 189054109 6803 42399 SH SOLE 38497 0 3902 COHEN & STEERS INFRASTRUCTUR COM 19248A109 5036 205377 SH SOLE 182252 0 23125 COMMERCE BANCSHARES INC COM 200525103 250 4312 SH SOLE 4312 0 0 CONSOLIDATED EDISON INC COM 209115104 8452 99657 SH SOLE 87692 0 11965 COSTCO WHSL CORP NEW COM 22160K105 363 1498 SH SOLE 1498 0 0 CVB FINL CORP COM 126600105 966 45912 SH SOLE 45912 0 0 DISNEY WALT CO COM DISNEY 254687106 495 4462 SH SOLE 4457 0 5 DNP SELECT INCOME FD COM 23325P104 297 25800 SH SOLE 25800 0 0 DOUBLELINE OPPORTUNISTIC CR COM 258623107 330 16350 SH SOLE 15650 0 700 DOWDUPONT INC COM 26078J100 723 13560 SH SOLE 13560 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 288 3200 SH SOLE 3200 0 0 EATON CORP PLC SHS G29183103 8265 102596 SH SOLE 89607 0 12989 EATON VANCE LTD DUR INCOME F COM 27828H105 8990 710644 SH SOLE 663515 0 47129 EATON VANCE TAX ADVT DIV INC COM 27828G107 1173 52640 SH SOLE 47940 0 4700 EMERSON ELEC CO COM 291011104 3957 57792 SH SOLE 50477 0 7315 ENTERPRISE PRODS PARTNERS L COM 293792107 361 12398 SH SOLE 12398 0 0 EXXON MOBIL CORP COM 30231G102 15417 190802 SH SOLE 180027 0 10775 FACEBOOK INC CL A 30303M102 859 5152 SH SOLE 4577 0 575 FIRST FNDTN INC COM 32026V104 271 20000 SH SOLE 20000 0 0 FUELCELL ENERGY INC COM NEW 35952H502 4 15000 SH SOLE 15000 0 0 GENERAL ELECTRIC CO COM 369604103 254 25389 SH SOLE 25143 0 246 GENERAL MLS INC COM 370334104 325 6280 SH SOLE 6280 0 0 GERON CORP COM 374163103 17 10000 SH SOLE 10000 0 0 GILEAD SCIENCES INC COM 375558103 213 3275 SH SOLE 3125 0 150 HOME DEPOT INC COM 437076102 596 3103 SH SOLE 3003 0 100 HONEYWELL INTL INC COM 438516106 463 2912 SH SOLE 2912 0 0 INTEL CORP COM 458140100 362 6735 SH SOLE 6735 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 325 2303 SH SOLE 2303 0 0 INVESCO CALIF VALUE MUN INC COM 46132H106 601 22814 SH SOLE 21564 0 1250 INVESCO EXCH TRD SLF IDX FD BULSHS 2019 CB 46138J304 514 24375 SH SOLE 24375 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 46137V282 1208 7100 SH SOLE 100 0 7000 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 5879 405466 SH SOLE 354181 0 51285 INVESCO QQQ TR UNIT SER 1 46090E103 1975 10991 SH SOLE 4780 0 6211 ISHARES TR CORE S&P500 ETF 464287200 312 1097 SH SOLE 1097 0 0 ISHARES TR NASDAQ BIOTECH 464287556 664 5935 SH SOLE 2935 0 3000 ISHARES TR US HLTHCARE ETF 464287762 1126 5812 SH SOLE 1712 0 4100 ISHARES TR INTRM TR CRP ETF 464288638 1022 18540 SH SOLE 14940 0 3600 ISHARES TR US AER DEF ETF 464288760 1425 7140 SH SOLE 140 0 7000 JOHNSON & JOHNSON COM 478160104 378 2707 SH SOLE 2707 0 0 JPMORGAN CHASE & CO COM 46625H100 7969 78721 SH SOLE 70031 0 8690 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 265 10400 SH SOLE 9750 0 650 KIMBERLY CLARK CORP COM 494368103 248 2000 SH SOLE 1675 0 325 KONINKLIJKE PHILIPS N V NY REG SH NEW 500472303 5827 142616 SH SOLE 128559 0 14057 LAM RESEARCH CORP COM 512807108 220 1230 SH SOLE 1230 0 0 LOWES COS INC COM 548661107 680 6215 SH SOLE 6065 0 150 MERCK & CO INC COM 58933Y105 974 11705 SH SOLE 11505 0 200 MICRON TECHNOLOGY INC COM 595112103 367 8889 SH SOLE 8889 0 0 MICROSOFT CORP COM 594918104 432 3665 SH SOLE 3665 0 0 NAVIOS MARITIME HLDGS INC COM Y62197119 29 12000 SH SOLE 12000 0 0 NETFLIX INC COM 64110L106 1003 2812 SH SOLE 2632 0 180 NIO INC SPON ADS 62914V106 51 10000 SH SOLE 10000 0 0 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 2514 182447 SH SOLE 169897 0 12550 NUVEEN CALIFORNIA AMT QLT MU COM 670651108 2113 151814 SH SOLE 143114 0 8700 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 1997 151259 SH SOLE 118359 0 32900 NVIDIA CORP COM 67066G104 334 1861 SH SOLE 1861 0 0 PALO ALTO NETWORKS INC COM 697435105 262 1080 SH SOLE 880 0 200 PAYPAL HLDGS INC COM 70450Y103 601 5785 SH SOLE 5785 0 0 PFIZER INC COM 717081103 8671 204175 SH SOLE 182425 0 21750 PHILLIPS 66 COM 718546104 229 2406 SH SOLE 2406 0 0 PPG INDS INC COM 693506107 350 3100 SH SOLE 3100 0 0 PROCTER AND GAMBLE CO COM 742718109 668 6420 SH SOLE 6270 0 150 QUALCOMM INC COM 747525103 481 8427 SH SOLE 8427 0 0 ROKU INC COM CL A 77543R102 342 5300 SH SOLE 5300 0 0 SBA COMMUNICATIONS CORP NEW CL A 78410G104 619 3100 SH SOLE 3100 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 7165 105288 SH SOLE 102764 0 2524 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 74472 1101491 SH SOLE 1063832 0 37659 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 914 11503 SH SOLE 11482 0 21 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 1853 33855 SH SOLE 13855 0 20000 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 292 4170 SH SOLE 4148 0 22 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 14830 570183 SH SOLE 539104 0 31079 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 1767 33805 SH SOLE 7805 0 26000 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 896 28631 SH SOLE 27781 0 850 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 38647 744938 SH SOLE 687894 0 57044 SELECT SECTOR SPDR TR ENERGY 81369Y506 1118 16905 SH SOLE 5255 0 11650 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1988 77333 SH SOLE 16908 0 60425 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 426 5674 SH SOLE 5524 0 150 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 2664 45800 SH SOLE 1000 0 44800 SIRIUS XM HLDGS INC COM 82968B103 315 55640 SH SOLE 55640 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1167 4505 SH SOLE 505 0 4000 SPDR GOLD TRUST GOLD SHS 78463V107 232 1900 SH SOLE 1900 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 3941 13952 SH SOLE 5452 0 8500 SQUARE INC CL A 852234103 240 3200 SH SOLE 3200 0 0 STARBUCKS CORP COM 855244109 1348 18126 SH SOLE 17676 0 450 TESLA INC COM 88160R101 994 3551 SH SOLE 1264 0 2287 THE CHARLES SCHWAB CORPORATI COM 808513105 328 7664 SH SOLE 7664 0 0 TWILIO INC CL A 90138F102 426 3300 SH SOLE 3300 0 0 UNION PACIFIC CORP COM 907818108 498 2979 SH SOLE 2979 0 0 UNITED TECHNOLOGIES CORP COM 913017109 6855 53184 SH SOLE 49154 0 4030 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1170 52200 SH SOLE 2200 0 50000 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 487 25075 SH SOLE 24275 0 800 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 311 1200 SH SOLE 1200 0 0 VENTAS INC COM 92276F100 381 5974 SH SOLE 5524 0 450 VERIZON COMMUNICATIONS INC COM 92343V104 1625 27484 SH SOLE 27484 0 0 WELLS FARGO CO NEW COM 949746101 263 5450 SH SOLE 5450 0 0 XILINX INC COM 983919101 289 2280 SH SOLE 2280 0 0 YUM BRANDS INC COM 988498101 219 2196 SH SOLE 2196 0 0