0001085146-19-002830.txt : 20191112 0001085146-19-002830.hdr.sgml : 20191112 20191112093330 ACCESSION NUMBER: 0001085146-19-002830 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191112 DATE AS OF CHANGE: 20191112 EFFECTIVENESS DATE: 20191112 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: 191206653 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 false false 0001425165 XXXXXXXX 09-30-2019 09-30-2019 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 11-11-2019 0 127 451119 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 9680 58883 SH SOLE 52319 0 6564 ABBOTT LABS COM 002824100 260 3106 SH SOLE 3106 0 0 ABBVIE INC COM 00287Y109 805 10626 SH SOLE 9401 0 1225 ABERDEEN ASIA PACIFIC INCOM COM 003009107 156 37300 SH SOLE 37300 0 0 ABERDEEN STD GOLD ETF TR PHYSCL GOLD SHS 00326A104 214 1505 SH SOLE 805 0 700 ADVANCED MICRO DEVICES INC COM 007903107 643 22182 SH SOLE 21702 0 480 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 215 1285 SH SOLE 1285 0 0 ALLERGAN PLC SHS G0177J108 438 2600 SH SOLE 2600 0 0 ALPHABET INC CAP STK CL A 02079K305 11269 9228 SH SOLE 8403 0 825 ALPHABET INC CAP STK CL C 02079K107 324 266 SH SOLE 266 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 1746 190986 SH SOLE 130961 0 60025 ALTAIR ENGR INC COM CL A 021369103 589 17000 SH SOLE 17000 0 0 AMAZON COM INC COM 023135106 8515 4905 SH SOLE 4466 0 439 AMGEN INC COM 031162100 494 2552 SH SOLE 2552 0 0 ANNALY CAP MGMT INC COM 035710409 1127 128060 SH SOLE 91110 0 36950 APPLE INC COM 037833100 14684 65562 SH SOLE 59501 0 6061 AT&T INC COM 00206R102 14484 382770 SH SOLE 333594 0 49175 BANK AMER CORP COM 060505104 7093 243154 SH SOLE 217489 0 25666 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2242 10776 SH SOLE 7126 0 3650 BIOGEN INC COM 09062X103 11614 49883 SH SOLE 44990 0 4893 BLACKROCK CR ALLCTN INC TR COM 092508100 3516 258162 SH SOLE 238862 0 19300 BLACKROCK FLOAT RATE OME STR COM 09255X100 719 57000 SH SOLE 54500 0 2500 BLACKROCK MULTI-SECTOR INC T COM 09258A107 837 48800 SH SOLE 42325 0 6475 BLACKROCK MUNIYIELD CALI QLT COM 09254N103 661 45960 SH SOLE 38868 0 7092 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 207 14400 SH SOLE 14400 0 0 BOEING CO COM 097023105 4190 11012 SH SOLE 11012 0 0 BROWN FORMAN CORP CL B 115637209 4750 75666 SH SOLE 72011 0 3655 CHEVRON CORP NEW COM 166764100 1059 8930 SH SOLE 7924 0 1006 CISCO SYS INC COM 17275R102 9153 185242 SH SOLE 166240 0 19002 CITIGROUP INC COM NEW 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VANCE LTD DUR INCOME F COM 27828H105 7890 631180 SH SOLE 584708 0 46472 EATON VANCE TAX ADVT DIV INC COM 27828G107 1184 48175 SH SOLE 44175 0 4000 EDISON INTL COM 281020107 230 3048 SH SOLE 2623 0 425 EMERSON ELEC CO COM 291011104 3965 59309 SH SOLE 51909 0 7400 EXXON MOBIL CORP COM 30231G102 14092 199570 SH SOLE 189400 0 10170 FACEBOOK INC CL A 30303M102 684 3841 SH SOLE 3491 0 350 FIRST FNDTN INC COM 32026V104 306 20000 SH SOLE 20000 0 0 FIRST TR SR FLG RTE INCM FD COM 33733U108 294 24500 SH SOLE 24500 0 0 GENERAL ELECTRIC CO COM 369604103 206 23024 SH SOLE 22545 0 479 GENERAL MLS INC COM 370334104 1442 26158 SH SOLE 23433 0 2725 HOME DEPOT INC COM 437076102 613 2642 SH SOLE 2405 0 237 HONEYWELL INTL INC COM 438516106 493 2912 SH SOLE 2912 0 0 INTEL CORP COM 458140100 423 8206 SH SOLE 8206 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 369 2538 SH SOLE 2413 0 125 INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 46137V282 1270 7100 SH SOLE 100 0 7000 INVESCO EXCHNG TRADED FD TR CALIF AMT MUN 46138E206 629 22984 SH SOLE 17734 0 5250 INVESCO EXCHNG TRADED FD TR CHINA TECHNLGY 46138E800 212 4635 SH SOLE 4635 0 0 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 5615 373808 SH SOLE 322423 0 51385 INVESCO QQQ TR UNIT SER 1 46090E103 2046 10837 SH SOLE 4625 0 6212 ISHARES TR CORE S&P500 ETF 464287200 316 1057 SH SOLE 1057 0 0 ISHARES TR INTRM TR CRP ETF 464288638 1056 18240 SH SOLE 14640 0 3600 ISHARES TR MSCI EAFE ETF 464287465 208 3189 SH SOLE 3189 0 0 ISHARES TR NASDAQ BIOTECH 464287556 598 6015 SH SOLE 2715 0 3300 ISHARES TR RUS 1000 GRW ETF 464287614 1596 10000 SH SOLE 0 0 10000 ISHARES TR US HLTHCARE ETF 464287762 1048 5542 SH SOLE 1492 0 4050 JOHNSON & JOHNSON COM 478160104 10728 82919 SH SOLE 74547 0 8371 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 299 12850 SH SOLE 12200 0 650 JPMORGAN CHASE & CO COM 46625H100 8983 76324 SH SOLE 67104 0 9220 KIMBERLY CLARK CORP COM 494368103 259 1825 SH SOLE 1350 0 475 KLA CORPORATION COM NEW 482480100 7333 45988 SH SOLE 38803 0 7185 KRANESHARES TR CSI CHI INTERNET 500767306 218 5275 SH SOLE 5275 0 0 LAM RESEARCH CORP COM 512807108 321 1390 SH SOLE 1390 0 0 LOWES COS INC COM 548661107 10236 93093 SH SOLE 82656 0 10437 LULULEMON ATHLETICA INC COM 550021109 202 1050 SH SOLE 1050 0 0 MERCK & CO INC COM 58933Y105 914 10855 SH SOLE 10655 0 200 MICROSOFT CORP COM 594918104 559 4017 SH SOLE 4017 0 0 NAVIOS MARITIME HLDGS INC COM Y62197119 87 18000 SH SOLE 18000 0 0 NETFLIX INC COM 64110L106 563 2103 SH SOLE 1923 0 180 NIO INC SPON ADS 62914V106 16 10000 SH SOLE 10000 0 0 NUVEEN ALL CAP ENE MLP OPPO COM 67075E108 288 50514 SH SOLE 75 0 50439 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 2123 141656 SH SOLE 127606 0 14050 NUVEEN CALIFORNIA AMT QLT MU COM 670651108 1934 127901 SH SOLE 116201 0 11700 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 1632 124866 SH SOLE 88966 0 35900 NVIDIA CORP COM 67066G104 363 2086 SH SOLE 2086 0 0 PALO ALTO NETWORKS INC COM 697435105 327 1605 SH SOLE 1405 0 200 PARKER HANNIFIN CORP COM 701094104 216 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ETF 808524201 99519 1403063 SH SOLE 1344853 0 58210 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 267 3831 SH SOLE 3809 0 22 SELECT SECTOR SPDR TR ENERGY 81369Y506 877 14820 SH SOLE 3245 0 11575 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2163 77262 SH SOLE 16837 0 60425 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 324 4170 SH SOLE 4020 0 150 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 3030 46800 SH SOLE 2000 0 44800 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1117 4150 SH SOLE 150 0 4000 SPDR GOLD TRUST GOLD SHS 78463V107 264 1900 SH SOLE 1900 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 9473 31921 SH SOLE 31921 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 202 1966 SH SOLE 1165 0 801 STARBUCKS CORP COM 855244109 1158 13091 SH SOLE 12491 0 600 TESLA INC COM 88160R101 855 3551 SH SOLE 1364 0 2187 THE CHARLES SCHWAB CORPORATI COM 808513105 449 10742 SH SOLE 10742 0 0 UNION PACIFIC CORP COM 907818108 421 2596 SH SOLE 2596 0 0 UNITED TECHNOLOGIES CORP COM 913017109 7695 56368 SH SOLE 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