0001085146-21-003174.txt : 20211112 0001085146-21-003174.hdr.sgml : 20211112 20211112103953 ACCESSION NUMBER: 0001085146-21-003174 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211112 DATE AS OF CHANGE: 20211112 EFFECTIVENESS DATE: 20211112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TIEDEMANN ADVISORS, LLC CENTRAL INDEX KEY: 0001483232 IRS NUMBER: 261518088 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13688 FILM NUMBER: 211401233 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-396-5900 MAIL ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: TIEDEMANN WEALTH MANAGEMENT, LLC DATE OF NAME CHANGE: 20100203 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001483232 XXXXXXXX 09-30-2021 09-30-2021 false TIEDEMANN ADVISORS, LLC

520 MADISON AVENUE 26TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-13688 N Kevin Moran 212-396-5910 /s/ Kevin Moran New York NY 11-12-2021 1 296 1876727 false 1 0001432976 028-13689 Tiedemann Wealth Management Holdings, LLC INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 1LIFE HEALTHCARE INC COM 68269G107 1378 68019 SH DFND 1 32708 0 35311 2U INC COM 90214J101 403 12000 SH DFND 1 0 0 12000 3M CO COM 88579Y101 726 4143 SH DFND 1 4143 0 0 ABBOTT LABS COM 002824100 1225 10377 SH DFND 1 6861 0 3516 ABBVIE INC COM 00287Y109 1616 15010 SH DFND 1 6574 0 8436 ADITXT INC COM 007025109 17 10000 SH DFND 1 10000 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 1985 3448 SH DFND 1 3448 0 0 AFFIRM HLDGS INC COM CL A 00827B106 1603 13454 SH DFND 1 13454 0 0 AFLAC INC COM 001055102 391 7500 SH DFND 1 3500 0 4000 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 677 4578 SH DFND 1 4442 0 136 ALICO INC COM 016230104 1340 38571 SH DFND 1 38571 0 0 ALLSTATE CORP COM 020002101 399 3120 SH DFND 1 3120 0 0 ALPHABET INC CAP STK CL A 02079K305 27717 10368 SH DFND 1 1623 0 8745 ALPHABET INC CAP STK CL C 02079K107 15584 5846 SH DFND 1 1779 0 4067 ALTRIA GROUP INC COM 02209S103 324 6967 SH DFND 1 6867 0 100 AMAZON COM INC COM 023135106 9548 2907 SH DFND 1 2576 0 331 AMERICAN EXPRESS CO COM 025816109 204 1215 SH DFND 1 1215 0 0 AMPLIFY ETF TR BLACKSWAN GRWT 032108888 685 20000 SH DFND 1 0 0 20000 APPLE INC COM 037833100 24044 169918 SH DFND 1 131204 0 38714 ASANA INC CL A 04342Y104 11851 114124 SH DFND 1 114124 0 0 AT&T INC COM 00206R102 1857 68737 SH DFND 1 66289 0 2448 ATLANTIC UN BANKSHARES CORP COM 04911A107 330 8951 SH DFND 1 8951 0 0 ATRICURE INC COM 04963C209 505 7263 SH DFND 1 7263 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 1857 9239 SH DFND 1 5059 0 4180 AUTOZONE INC COM 053332102 403 237 SH DFND 1 7 0 230 AVALARA INC COM 05338G106 2440 13962 SH DFND 1 13962 0 0 B2GOLD CORP COM 11777Q209 51 15000 SH DFND 1 0 0 15000 BERKSHIRE HATHAWAY INC DEL CL A 084670108 4114 10 SH DFND 1 10 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3167 11602 SH DFND 1 7653 0 3949 BEYOND MEAT INC COM 08862E109 641 6093 SH DFND 1 6093 0 0 BLACKROCK INC COM 09247X101 255 305 SH DFND 1 165 0 140 BOEING CO COM 097023105 241 1095 SH DFND 1 724 0 371 BP PLC SPONSORED ADR 055622104 242 8871 SH DFND 1 8871 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 347 5795 SH DFND 1 4084 0 1711 BRIXMOR PPTY GROUP INC COM 11120U105 609 27537 SH DFND 1 27537 0 0 BROADSTONE NET LEASE INC COM 11135E203 15528 625860 SH DFND 1 625860 0 0 CAMDEN PPTY TR SH BEN INT 133131102 284 1914 SH DFND 1 1914 0 0 CARRIER GLOBAL CORPORATION COM 14448C104 295 5716 SH DFND 1 3334 0 2382 CATERPILLAR INC COM 149123101 584 3042 SH DFND 1 3042 0 0 CHARTER COMMUNICATIONS INC N CL A 16119P108 487 671 SH DFND 1 653 0 18 CHENIERE ENERGY PARTNERS LP COM UNIT 16411Q101 996 24480 SH DFND 1 0 0 24480 CHEVRON CORP NEW COM 166764100 875 8623 SH DFND 1 8223 0 400 CIGNA CORP NEW COM 125523100 532 2659 SH DFND 1 2659 0 0 CISCO SYS INC COM 17275R102 3582 65808 SH DFND 1 2108 0 63700 CITIGROUP INC COM NEW 172967424 506 7196 SH DFND 1 776 0 6420 CITIZENS FINL GROUP INC COM 174610105 1318 28033 SH DFND 1 3033 0 25000 CLOUDERA INC COM 18914U100 1551 97134 SH DFND 1 97134 0 0 CME GROUP INC COM 12572Q105 5346 27643 SH DFND 1 143 0 27500 COASTAL FINL CORP WA COM NEW 19046P209 232 7270 SH DFND 1 0 0 7270 COCA COLA CO COM 191216100 697 13170 SH DFND 1 12107 0 1063 COGENT COMMUNICATIONS HLDGS COM NEW 19239V302 588 8298 SH DFND 1 8298 0 0 COINBASE GLOBAL INC COM CL A 19260Q107 1226 5384 SH DFND 1 4114 0 1270 COLGATE PALMOLIVE CO COM 194162103 255 3375 SH DFND 1 3073 0 302 COMCAST CORP NEW CL A 20030N101 2804 50146 SH DFND 1 50146 0 0 CONOCOPHILLIPS COM 20825C104 1096 16171 SH DFND 1 15971 0 200 CONTEXTLOGIC INC COM CL A 21077C107 152 27771 SH DFND 1 27771 0 0 CORTEVA INC COM 22052L104 1058 25149 SH DFND 1 5347 0 19802 COUPANG INC CL A 22266T109 368 13219 SH DFND 1 0 0 13219 CSX CORP COM 126408103 293 9868 SH DFND 1 9868 0 0 CUMMINS INC COM 231021106 229 1021 SH DFND 1 1021 0 0 DANAHER CORPORATION COM 235851102 452 1483 SH DFND 1 1483 0 0 DESPEGAR COM CORP ORD SHS G27358103 142 11793 SH DFND 1 11793 0 0 DIAGEO PLC SPON ADR NEW 25243Q205 975 4984 SH DFND 1 4735 0 249 DIMENSIONAL ETF TRUST US EQUITY ETF 25434V401 355 7519 SH DFND 1 7519 0 0 DISCOVERY INC COM SER C 25470F302 205 8466 SH DFND 1 8466 0 0 DISNEY WALT CO COM 254687106 1662 9824 SH DFND 1 8019 0 1805 DOW INC COM 260557103 1521 26437 SH DFND 1 6585 0 19852 DTE ENERGY CO COM 233331107 494 4390 SH DFND 1 210 0 4180 DUKE ENERGY CORP NEW COM NEW 26441C204 242 2491 SH DFND 1 148 0 2343 DUPONT DE NEMOURS INC COM 26614N102 1715 25231 SH DFND 1 5429 0 19802 EATON CORP PLC SHS G29183103 246 1648 SH DFND 1 1648 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 556 4904 SH DFND 1 4190 0 714 ENBRIDGE INC COM 29250N105 1381 34702 SH DFND 1 0 0 34702 ENCOMPASS HEALTH CORP COM 29261A100 226 3000 SH DFND 1 3000 0 0 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 166 17320 SH DFND 1 0 0 17320 ENTERPRISE PRODS PARTNERS L COM 293792107 4479 207005 SH DFND 1 16514 0 190491 ENTERPRISE PRODS PARTNERS L COM 293792107 17 3330000 SH Call DFND 1 3330000 0 0 EXPEDIA GROUP INC COM NEW 30212P303 266 1625 SH DFND 1 0 0 1625 EXXON MOBIL CORP COM 30231G102 16005 272099 SH DFND 1 271999 0 100 FACEBOOK INC CL A 30303M102 4267 12572 SH DFND 1 12121 0 451 FACTSET RESH SYS INC COM 303075105 237 600 SH DFND 1 600 0 0 FEDERAL RLTY INVT TR SH BEN INT NEW 313747206 2575 21628 SH DFND 1 21628 0 0 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 85348 3605590 SH DFND 1 2191326 0 1414264 FIRST TR MLP & ENERGY INCOM COM 33739B104 1547 214896 SH DFND 1 159496 0 55400 FLEXSHARES TR MORNSTAR UPSTR 33939L407 1767 48275 SH DFND 1 48275 0 0 FLOTEK INDS INC DEL COM 343389102 101 80000 SH DFND 1 0 0 80000 GABELLI EQUITY TR INC COM 362397101 872 131080 SH DFND 1 131080 0 0 GCP APPLIED TECHNOLOGIES INC COM 36164Y101 848 38687 SH DFND 1 38687 0 0 GENERAL ELECTRIC CO COM NEW 369604301 362 3512 SH DFND 1 2806 0 706 GLOBAL X FDS GLBX MSCI NORW 37950E747 446 30769 SH DFND 1 30769 0 0 GLOBE LIFE INC COM 37959E102 361 4050 SH DFND 1 0 0 4050 GOLDMAN SACHS GROUP INC COM 38141G104 9870 26109 SH DFND 1 285 0 25824 GXO LOGISTICS INCORPORATED COMMON STOCK 36262G101 206 2630 SH DFND 1 2630 0 0 HERITAGE COMM CORP COM 426927109 7203 619348 SH DFND 1 619348 0 0 HOLLY ENERGY PARTNERS L P COM UT LTD PTN 435763107 1025 55913 SH DFND 1 0 0 55913 HOME DEPOT INC COM 437076102 298 909 SH DFND 1 829 0 80 HONEYWELL INTL INC COM 438516106 657 3094 SH DFND 1 2694 0 400 I3 VERTICALS INC COM CL A 46571Y107 1223 50513 SH DFND 1 50513 0 0 INTEL CORP COM 458140100 370 6945 SH DFND 1 5292 0 1653 INTERCONTINENTAL EXCHANGE IN COM 45866F104 1823 15880 SH DFND 1 70 0 15810 INTERNATIONAL GAME TECHNOLOG SHS USD G4863A108 1178 44738 SH DFND 1 0 0 44738 INTUIT COM 461202103 238 440 SH DFND 1 440 0 0 INVESCO EXCH TRADED FD TR II FTSE RAFI DEV 46138E743 742 15850 SH DFND 1 15850 0 0 INVESCO EXCH TRADED FD TR II KBW BK ETF 46138E628 866 12913 SH DFND 1 12913 0 0 INVESCO EXCHANGE TRADED FD T DYNMC LRG VALU 46137V738 598 13448 SH DFND 1 13448 0 0 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 986 6229 SH DFND 1 4327 0 1902 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1909 12735 SH DFND 1 0 0 12735 INVESCO QQQ TR UNIT SER 1 46090E103 6083 16975 SH DFND 1 5187 0 11788 ISHARES GOLD TR ISHARES NEW 464285204 71748 2147524 SH DFND 1 1647095 0 500429 ISHARES INC CORE MSCI EMKT 46434G103 335 5426 SH DFND 1 5426 0 0 ISHARES INC ESG AWR MSCI EM 46434G863 1271 30654 SH DFND 1 30654 0 0 ISHARES INC MSCI EM ASIA ETF 464286426 243 2883 SH DFND 1 0 0 2883 ISHARES INC MSCI GERMANY ETF 464286806 791 24032 SH DFND 1 0 0 24032 ISHARES INC MSCI SWITZERLAND 464286749 812 17429 SH DFND 1 0 0 17429 ISHARES INC MSCI TAIWAN ETF 46434G772 577 9310 SH DFND 1 0 0 9310 ISHARES INC MSCI WORLD ETF 464286392 782 6191 SH DFND 1 6191 0 0 ISHARES TR COHEN STEER REIT 464287564 470 7188 SH DFND 1 7188 0 0 ISHARES TR CORE MSCI PAC 46434V696 462 6890 SH DFND 1 6890 0 0 ISHARES TR CORE MSCI TOTAL 46432F834 467 6572 SH DFND 1 6572 0 0 ISHARES TR CORE S&P MCP ETF 464287507 235668 895865 SH DFND 1 659666 0 236199 ISHARES TR CORE S&P SCP ETF 464287804 2240 20523 SH DFND 1 20523 0 0 ISHARES TR CORE S&P TTL STK 464287150 158122 1607156 SH DFND 1 1076036 0 531120 ISHARES TR CORE S&P500 ETF 464287200 19378 44988 SH DFND 1 10246 0 34742 ISHARES TR EAFE VALUE ETF 464288877 617 12144 SH DFND 1 5109 0 7035 ISHARES TR ESG AW MSCI EAFE 46435G516 3396 43328 SH DFND 1 37591 0 5737 ISHARES TR ESG AWR MSCI USA 46435G425 5928 60214 SH DFND 1 60214 0 0 ISHARES TR EXPND TEC SC ETF 464287549 870 2153 SH DFND 1 491 0 1662 ISHARES TR GRWT ALLOCAT ETF 464289867 292 5274 SH DFND 1 5274 0 0 ISHARES TR INTL SEL DIV ETF 464288448 215 7073 SH DFND 1 7073 0 0 ISHARES TR MODERT ALLOC ETF 464289875 68912 1540276 SH DFND 1 1217755 0 322521 ISHARES TR MSCI ACWI ETF 464288257 6940 69455 SH DFND 1 67590 0 1865 ISHARES TR MSCI EAFE ETF 464287465 16249 208278 SH DFND 1 202479 0 5799 ISHARES TR MSCI EMG MKT ETF 464287234 291 5783 SH DFND 1 994 0 4789 ISHARES TR MSCI INTL QUALTY 46434V456 913 24101 SH DFND 1 8076 0 16025 ISHARES TR MSCI KLD400 SOC 464288570 375 4508 SH DFND 1 0 0 4508 ISHARES TR MSCI LW CRB TG 46434V464 14576 88737 SH DFND 1 87247 0 1490 ISHARES TR NATIONAL MUN ETF 464288414 3458 29764 SH DFND 1 16016 0 13748 ISHARES TR NEW ZEALAND ETF 464289123 950 15385 SH DFND 1 15385 0 0 ISHARES TR RUS 1000 ETF 464287622 10174 42094 SH DFND 1 41330 0 764 ISHARES TR RUS 1000 GRW ETF 464287614 9440 34452 SH DFND 1 34051 0 401 ISHARES TR RUS 1000 VAL ETF 464287598 2408 15390 SH DFND 1 15390 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 1095 3729 SH DFND 1 1321 0 2408 ISHARES TR RUS MD CP GR ETF 464287481 1424 12701 SH DFND 1 12701 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 605 5342 SH DFND 1 0 0 5342 ISHARES TR RUS MID CAP ETF 464287499 2099 26833 SH DFND 1 26833 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 7576 34628 SH DFND 1 14717 0 19911 ISHARES TR RUSSELL 3000 ETF 464287689 16513 64791 SH DFND 1 57670 0 7121 ISHARES TR S&P 100 ETF 464287101 408 2065 SH DFND 1 2065 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 4774 64570 SH DFND 1 64570 0 0 ISHARES TR S&P MC 400GR ETF 464287606 13125 165781 SH DFND 1 138754 0 27027 ISHARES TR U.S. TECH ETF 464287721 474 4680 SH DFND 1 4680 0 0 ISHARES TR US AER DEF ETF 464288760 236 2273 SH DFND 1 1405 0 868 JANUS HENDERSON GROUP PLC ORD SHS G4474Y214 1027 24844 SH DFND 1 943 0 23901 JD.COM INC SPON ADR CL A 47215P106 1057 14632 SH DFND 1 14632 0 0 JOHNSON & JOHNSON COM 478160104 1259 7811 SH DFND 1 6785 0 1026 JPMORGAN CHASE & CO COM 46625H100 4264 26038 SH DFND 1 22538 0 3500 KANSAS CITY SOUTHERN COM NEW 485170302 2273 8380 SH DFND 1 4080 0 4300 KINDER MORGAN INC DEL COM 49456B101 505 30200 SH DFND 1 1625 0 28575 KINDER MORGAN INC DEL COM 49456B101 16 3800000 SH Call DFND 1 3800000 0 0 KRANESHARES TR QUADRTC INT RT 500767736 398 14265 SH DFND 1 14265 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 438 1555 SH DFND 1 1555 0 0 LAUDER ESTEE COS INC CL A 518439104 204 687 SH DFND 1 572 0 115 LIBERTY BROADBAND CORP COM SER C 530307305 13980 80949 SH DFND 1 80949 0 0 LIBERTY GLOBAL PLC SHS CL A G5480U104 204 6847 SH DFND 1 6847 0 0 LIBERTY GLOBAL PLC SHS CL C G5480U120 233 7894 SH DFND 1 7894 0 0 LIBERTY MEDIA CORP DEL COM A SIRIUSXM 531229409 3779 80105 SH DFND 1 80105 0 0 LIBERTY MEDIA CORP DEL COM C SIRIUSXM 531229607 4651 97970 SH DFND 1 97970 0 0 LILIUM N V CLASS A ORD SHS N52586109 526 50000 SH DFND 1 50000 0 0 LIONS GATE ENTMNT CORP CL A VTG 535919401 182 12857 SH DFND 1 12857 0 0 LIONS GATE ENTMNT CORP CL B NON VTG 535919500 366 28121 SH DFND 1 28121 0 0 LOUISIANA PAC CORP COM 546347105 204 3316 SH DFND 1 3316 0 0 LOWES COS INC COM 548661107 1246 6137 SH DFND 1 5937 0 200 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 4475 98180 SH DFND 1 4255 0 93925 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 3 1400000 SH Call DFND 1 1400000 0 0 MARRIOTT INTL INC NEW CL A 571903202 790 5335 SH DFND 1 5335 0 0 MASTERCARD INCORPORATED CL A 57636Q104 2186 6285 SH DFND 1 5993 0 292 MCDONALDS CORP COM 580135101 1075 4461 SH DFND 1 4461 0 0 MERCK & CO INC COM 58933Y105 412 5441 SH DFND 1 3575 0 1866 MICROSOFT CORP COM 594918104 10469 37124 SH DFND 1 22243 0 14881 MONDELEZ INTL INC CL A 609207105 378 6440 SH DFND 1 6235 0 205 MORGAN STANLEY COM NEW 617446448 352 3621 SH DFND 1 3621 0 0 NETFLIX INC COM 64110L106 270 442 SH DFND 1 199 0 243 NEWMONT CORP COM 651639106 276 5065 SH DFND 1 0 0 5065 NEXTERA ENERGY INC COM 65339F101 1235 15727 SH DFND 1 5547 0 10180 NEXTERA ENERGY PARTNERS LP COM UNIT PART IN 65341B106 3118 41377 SH DFND 1 2687 0 38690 NIKE INC CL B 654106103 615 4226 SH DFND 1 3963 0 263 NOVO-NORDISK A S ADR 670100205 506 5275 SH DFND 1 5275 0 0 NUSHARES ETF TR NUVEEN ESG MIDCP 67092P409 26621 489512 SH DFND 1 458155 0 31357 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 526 33514 SH DFND 1 33514 0 0 NVIDIA CORPORATION COM 67066G104 1891 9136 SH DFND 1 8183 0 953 NXP SEMICONDUCTORS N V COM N6596X109 2985 15200 SH DFND 1 15200 0 0 ON24 INC COM 68339B104 207 10379 SH DFND 1 10379 0 0 ONEOK INC NEW COM 682680103 1703 29366 SH DFND 1 2561 0 26805 ONEOK INC NEW COM 682680103 252 1800000 SH Call DFND 1 1800000 0 0 OPENDOOR TECHNOLOGIES INC COM 683712103 215 10463 SH DFND 1 0 0 10463 ORACLE CORP COM 68389X105 9942 114113 SH DFND 1 114113 0 0 OTIS WORLDWIDE CORP COM 68902V107 236 2857 SH DFND 1 1666 0 1191 PAYPAL HLDGS INC COM 70450Y103 451 1732 SH DFND 1 1406 0 326 PELOTON INTERACTIVE INC CL A COM 70614W100 348 3991 SH DFND 1 3405 0 586 PENUMBRA INC COM 70975L107 2992 11227 SH DFND 1 11227 0 0 PEPSICO INC COM 713448108 1811 12048 SH DFND 1 8412 0 3636 PFIZER INC COM 717081103 986 22880 SH DFND 1 17828 0 5052 PHILIP MORRIS INTL INC COM 718172109 884 9225 SH DFND 1 9225 0 0 PHILLIPS 66 COM 718546104 642 9156 SH DFND 1 8956 0 200 PHILLIPS 66 PARTNERS LP COM UNIT REP INT 718549207 573 15985 SH DFND 1 0 0 15985 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 1631 160388 SH DFND 1 0 0 160388 PRICE T ROWE GROUP INC COM 74144T108 393 2000 SH DFND 1 2000 0 0 PROCTER AND GAMBLE CO COM 742718109 365 2615 SH DFND 1 1773 0 842 PROLOGIS INC. COM 74340W103 29733 237047 SH DFND 1 237047 0 0 PRUDENTIAL FINL INC COM 744320102 245 2324 SH DFND 1 2324 0 0 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 1805 29622 SH DFND 1 5242 0 24380 QUALCOMM INC COM 747525103 13221 102509 SH DFND 1 102509 0 0 RALPH LAUREN CORP CL A 751212101 644 5763 SH DFND 1 5763 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 792 9198 SH DFND 1 3415 0 5783 REGENERON PHARMACEUTICALS COM 75886F107 230 380 SH DFND 1 380 0 0 RICHMOND MUT BANCORPORATION COM 76525P100 404 25630 SH DFND 1 25630 0 0 ROBLOX CORP CL A 771049103 1025 13566 SH DFND 1 13566 0 0 ROCKWELL AUTOMATION INC COM 773903109 1869 6356 SH DFND 1 8 0 6348 SALESFORCE COM INC COM 79466L302 5440 20060 SH DFND 1 19488 0 572 SCHWAB CHARLES CORP COM 808513105 335 4595 SH DFND 1 4595 0 0 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 6227 115445 SH DFND 1 33637 0 81808 SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 539 10229 SH DFND 1 0 0 10229 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1280 12302 SH DFND 1 12302 0 0 SEI INVTS CO COM 784117103 1187 20022 SH DFND 1 18721 0 1301 SELECT SECTOR SPDR TR ENERGY 81369Y506 3637 69825 SH DFND 1 69825 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 530 10000000 SH Call DFND 1 10000000 0 0 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 268 7155 SH DFND 1 2368 0 4787 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 802 11638 SH DFND 1 11638 0 0 SEMPRA COM 816851109 999 7830 SH DFND 1 0 0 7830 SHELL MIDSTREAM PARTNERS L P UNIT LTD INT 822634101 421 35730 SH DFND 1 0 0 35730 SHOCKWAVE MED INC COM 82489T104 2916 14166 SH DFND 1 14166 0 0 SIGNIFY HEALTH INC CL A COM 82671G100 558 31230 SH DFND 1 0 0 31230 SNOWFLAKE INC CL A 833445109 6286 20782 SH DFND 1 19327 0 1455 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 424 1251 SH DFND 1 463 0 788 SPDR GOLD TR GOLD SHS 78463V107 3495 21291 SH DFND 1 16030 0 5261 SPDR S&P 500 ETF TR TR UNIT 78462F103 61057 141800 SH DFND 1 79279 0 62521 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1172 2431 SH DFND 1 0 0 2431 SPDR SER TR PORTFOLIO S&P400 78464A847 322319 6982753 SH DFND 1 4112918 0 2869835 SPDR SER TR S&P BIOTECH 78464A870 961 7643 SH DFND 1 1239 0 6404 SPDR SER TR S&P DIVID ETF 78464A763 7379 62774 SH DFND 1 58260 0 4514 SPDR SER TR S&P OILGAS EXP 78468R556 389 4019 SH DFND 1 4019 0 0 SQUARE INC CL A 852234103 705 2941 SH DFND 1 2140 0 801 SSGA ACTIVE ETF TR BLACKSTONE SENR 78467V608 1174 25500 SH DFND 1 0 0 25500 STARBUCKS CORP COM 855244109 3555 32225 SH DFND 1 28882 0 3343 STITCH FIX INC COM CL A 860897107 1998 50000 SH DFND 1 50000 0 0 STONECASTLE FINL CORP COM 861780104 262 11863 SH DFND 1 11863 0 0 STRYKER CORPORATION COM 863667101 224 845 SH DFND 1 845 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 395 3514 SH DFND 1 3214 0 300 TC ENERGY CORP COM 87807B107 4358 90563 SH DFND 1 4364 0 86199 TEMPUR SEALY INTL INC COM 88023U101 347 7472 SH DFND 1 7472 0 0 TESLA INC COM 88160R101 3973 5124 SH DFND 1 4347 0 777 THERMO FISHER SCIENTIFIC INC COM 883556102 369 645 SH DFND 1 545 0 100 TWITTER INC COM 90184L102 242 4000 SH DFND 1 4000 0 0 UBER TECHNOLOGIES INC COM 90353T100 31729 708230 SH DFND 1 705325 0 2905 UDR INC COM 902653104 286 5403 SH DFND 1 5403 0 0 UNION PAC CORP COM 907818108 821 4186 SH DFND 1 4186 0 0 UNITED PARCEL SERVICE INC CL B 911312106 215 1182 SH DFND 1 1182 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1309 3353 SH DFND 1 3183 0 170 VANECK ETF TRUST SEMICONDUCTR ETF 92189F676 1003 3915 SH DFND 1 310 0 3605 VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 92203J407 438 7693 SH DFND 1 7693 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 312 1712 SH DFND 1 708 0 1004 VANGUARD INDEX FDS GROWTH ETF 922908736 3381 11658 SH DFND 1 6839 0 4819 VANGUARD INDEX FDS LARGE CAP ETF 922908637 11491 57188 SH DFND 1 57188 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 1512 6389 SH DFND 1 5339 0 1050 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 26765 263016 SH DFND 1 171834 0 91182 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1465 3703 SH DFND 1 1486 0 2217 VANGUARD INDEX FDS SMALL CP ETF 922908751 2859 13071 SH DFND 1 12126 0 945 VANGUARD INDEX FDS TOTAL STK MKT 922908769 108446 488307 SH DFND 1 355422 0 132885 VANGUARD INDEX FDS VALUE ETF 922908744 1750 12923 SH DFND 1 7009 0 5914 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1481 29570 SH DFND 1 29508 0 62 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 4766 46804 SH DFND 1 37556 0 9248 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 259 2748 SH DFND 1 2748 0 0 VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 92206C771 1348 25298 SH DFND 1 25298 0 0 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 7346 119622 SH DFND 1 119622 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 599 3904 SH DFND 1 3354 0 550 VANGUARD STAR FDS VG TL INTL STK F 921909768 3497 55270 SH DFND 1 55270 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 6357 125906 SH DFND 1 123781 0 2125 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1548 14979 SH DFND 1 14979 0 0 VANGUARD WORLD FDS COMM SRVC ETF 92204A884 611 4331 SH DFND 1 0 0 4331 VANGUARD WORLD FDS INF TECH ETF 92204A702 2146 5337 SH DFND 1 429 0 4908 VERIZON COMMUNICATIONS INC COM 92343V104 12204 225956 SH DFND 1 220533 0 5423 VIACOMCBS INC CL B 92556H206 259 6531 SH DFND 1 1173 0 5358 VINTAGE WINE ESTATES INC COM 92747V106 102 10000 SH DFND 1 0 0 10000 VISA INC COM CL A 92826C839 3614 16227 SH DFND 1 14755 0 1472 WAITR HLDGS INC COM 930752100 26 28969 SH DFND 1 28969 0 0 WALMART INC COM 931142103 2648 19006 SH DFND 1 1375 0 17631 WEC ENERGY GROUP INC COM 92939U106 543 6160 SH DFND 1 0 0 6160 WELLS FARGO CO NEW COM 949746101 307 6604 SH DFND 1 3654 0 2950 WESTLAKE CHEM PARTNERS LP COM UNIT RP LP 960417103 971 39895 SH DFND 1 0 0 39895 WHEELS UP EXPERIENCE INC COM CL A 96328L106 277 42078 SH DFND 1 42078 0 0 WILLIAMS COS INC COM 969457100 1210 46653 SH DFND 1 1607 0 45046 WILLIS TOWERS WATSON PLC LTD SHS G96629103 754 3234 SH DFND 1 0 0 3234 WYNN RESORTS LTD COM 983134107 1584 18693 SH DFND 1 0 0 18693 YUM BRANDS INC COM 988498101 278 2279 SH DFND 1 1549 0 730 YUM CHINA HLDGS INC COM 98850P109 221 3788 SH DFND 1 2708 0 1080 ZENDESK INC COM 98936J101 704 6052 SH DFND 1 6052 0 0