0001085146-21-000289.txt : 20210128 0001085146-21-000289.hdr.sgml : 20210128 20210127173236 ACCESSION NUMBER: 0001085146-21-000289 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210128 DATE AS OF CHANGE: 20210127 EFFECTIVENESS DATE: 20210128 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Annex Advisory Services, LLC CENTRAL INDEX KEY: 0001542287 IRS NUMBER: 861130026 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15012 FILM NUMBER: 21561116 BUSINESS ADDRESS: STREET 1: 12700 W. BLUEMOUND ROAD STREET 2: SUITE 200 CITY: ELM GROVE STATE: WI ZIP: 53122 BUSINESS PHONE: 262-786-6363 MAIL ADDRESS: STREET 1: 12700 W. BLUEMOUND ROAD STREET 2: SUITE 200 CITY: ELM GROVE STATE: WI ZIP: 53122 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001542287 XXXXXXXX 12-31-2020 12-31-2020 false Annex Advisory Services, LLC
12700 W. BLUEMOUND ROAD SUITE 200 ELM GROVE WI 53122
13F HOLDINGS REPORT 028-15012 N
Naomi Ackley Chief Compliance Officer 262-786-6363 /s/ Naomi Ackley Elm Groove WI 01-19-2021 0 193 1021227 false
INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 221 1266 SH SOLE 0 0 1266 ABBOTT LABS COM 002824100 2834 25887 SH SOLE 0 0 25887 ABBVIE INC COM 00287Y109 12120 113117 SH SOLE 0 0 113117 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 325 1246 SH SOLE 0 0 1246 ADOBE SYSTEMS INCORPORATED COM 00724F101 3176 6350 SH SOLE 0 0 6350 ALLIANT ENERGY CORP COM 018802108 416 8064 SH SOLE 0 0 8064 ALLSTATE CORP COM 020002101 4658 42371 SH SOLE 0 0 42371 ALPHABET INC CAP STK CL A 02079K305 738 421 SH SOLE 0 0 421 ALPHABET INC CAP STK CL C 02079K107 434 248 SH SOLE 0 0 248 ALTRIA GROUP INC COM 02209S103 3783 92262 SH SOLE 0 0 92262 AMAZON COM INC COM 023135106 9116 2799 SH SOLE 0 0 2799 AMERICAN TOWER CORP NEW COM 03027X100 2495 11114 SH SOLE 0 0 11114 AMERISOURCEBERGEN CORP COM 03073E105 240 2455 SH SOLE 0 0 2455 AMGEN INC COM 031162100 2984 12980 SH SOLE 0 0 12980 APPLE INC COM 037833100 29973 225889 SH SOLE 0 0 225889 APPLIED MATLS INC COM 038222105 2778 32191 SH SOLE 0 0 32191 APTARGROUP INC COM 038336103 310 2265 SH SOLE 0 0 2265 ASSOCIATED BANC CORP COM 045487105 232 13604 SH SOLE 0 0 13604 ASSURANT INC COM 04621X108 2088 15327 SH SOLE 0 0 15327 AT&T INC COM 00206R102 1249 43420 SH SOLE 0 0 43420 BADGER METER INC COM 056525108 354 3760 SH SOLE 0 0 3760 BALCHEM CORP COM 057665200 702 6090 SH SOLE 0 0 6090 BANK FIRST CORP COM 06211J100 914 14099 SH SOLE 0 0 14099 BANK MONTREAL QUE COM 063671101 257 3384 SH SOLE 0 0 3384 BAXTER INTL INC COM 071813109 472 5885 SH SOLE 0 0 5885 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1063 4586 SH SOLE 0 0 4586 BK OF AMERICA CORP COM 060505104 2976 98194 SH SOLE 0 0 98194 BLACKSTONE GROUP INC COM CL A 09260D107 236 3638 SH SOLE 0 0 3638 BOEING CO COM 097023105 2835 13244 SH SOLE 0 0 13244 BOSTON BEER INC CL A 100557107 497 500 SH SOLE 0 0 500 BRISTOL-MYERS SQUIBB CO COM 110122108 3364 54237 SH SOLE 0 0 54237 BROADCOM INC COM 11135F101 215 492 SH SOLE 0 0 492 BRP INC COM SUN VTG 05577W200 294 4450 SH SOLE 0 0 4450 CATERPILLAR INC COM 149123101 248 1364 SH SOLE 0 0 1364 CHEVRON CORP NEW COM 166764100 4268 50545 SH SOLE 0 0 50545 CINTAS CORP COM 172908105 2637 7460 SH SOLE 0 0 7460 COCA COLA CO COM 191216100 367 6685 SH SOLE 0 0 6685 COLGATE PALMOLIVE CO COM 194162103 299 3499 SH SOLE 0 0 3499 COLONY CR REAL ESTATE INC COM CL A 19625T101 212 28319 SH SOLE 0 0 28319 COMCAST CORP NEW CL A 20030N101 3887 74171 SH SOLE 0 0 74171 COSTCO WHSL CORP NEW COM 22160K105 2590 6873 SH SOLE 0 0 6873 CROWN HLDGS INC COM 228368106 3394 33868 SH SOLE 0 0 33868 D R HORTON INC COM 23331A109 4073 59091 SH SOLE 0 0 59091 DIREXION SHS ETF TR DLY S&P500 BR 1X 25460E869 277 15055 SH SOLE 0 0 15055 DISNEY WALT CO COM 254687106 7313 40364 SH SOLE 0 0 40364 DOCUSIGN INC COM 256163106 1097 4935 SH SOLE 0 0 4935 DOVER CORP COM 260003108 2565 20315 SH SOLE 0 0 20315 EATON CORP PLC SHS G29183103 3831 31885 SH SOLE 0 0 31885 ECOLAB INC COM 278865100 336 1554 SH SOLE 0 0 1554 ENPHASE ENERGY INC COM 29355A107 1070 6100 SH SOLE 0 0 6100 EXACT SCIENCES CORP COM 30063P105 383 2889 SH SOLE 0 0 2889 EXXON MOBIL CORP COM 30231G102 454 11024 SH SOLE 0 0 11024 FACEBOOK INC CL A 30303M102 731 2676 SH SOLE 0 0 2676 FEDEX CORP COM 31428X106 227 873 SH SOLE 0 0 873 FIDELITY NATL INFORMATION SV COM 31620M106 1647 11641 SH SOLE 0 0 11641 FIRST MIDWEST BANCORP DEL COM 320867104 448 28116 SH SOLE 0 0 28116 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 286 3900 SH SOLE 0 0 3900 FISERV INC COM 337738108 2832 24877 SH SOLE 0 0 24877 FORD MTR CO DEL COM 345370860 277 31517 SH SOLE 0 0 31517 GENERAC HLDGS INC COM 368736104 281 1235 SH SOLE 0 0 1235 GENERAL ELECTRIC CO COM 369604103 194 18005 SH SOLE 0 0 18005 GLOBAL PMTS INC COM 37940X102 669 3105 SH SOLE 0 0 3105 GOLDMAN SACHS GROUP INC COM 38141G104 3804 14425 SH SOLE 0 0 14425 HANNON ARMSTRONG SUST INFR C COM 41068X100 1414 22298 SH SOLE 0 0 22298 HOME DEPOT INC COM 437076102 4697 17685 SH SOLE 0 0 17685 HONEYWELL INTL INC COM 438516106 6217 29228 SH SOLE 0 0 29228 ILLUMINA INC COM 452327109 3212 8682 SH SOLE 0 0 8682 INTEL CORP COM 458140100 467 9375 SH SOLE 0 0 9375 INTERNATIONAL BUSINESS MACHS COM 459200101 1703 13532 SH SOLE 0 0 13532 INVESCO EXCH TRADED FD TR II EMRNG MKT SVRG 46138E784 3345 115986 SH SOLE 0 0 115986 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 319 2500 SH SOLE 0 0 2500 INVESCO QQQ TR UNIT SER 1 46090E103 343 1093 SH SOLE 0 0 1093 ISHARES TR 1 3 YR TREAS BD 464287457 796 9214 SH SOLE 0 0 9214 ISHARES TR AGGRES ALLOC ETF 464289859 2075 32338 SH SOLE 0 0 32338 ISHARES TR CONSER ALLOC ETF 464289883 1229 31705 SH SOLE 0 0 31705 ISHARES TR CORE MSCI EAFE 46432F842 434 6282 SH SOLE 0 0 6282 ISHARES TR CORE S&P SCP ETF 464287804 27663 301011 SH SOLE 0 0 301011 ISHARES TR CORE S&P500 ETF 464287200 10677 28442 SH SOLE 0 0 28442 ISHARES TR FLTG RATE NT ETF 46429B655 207 4084 SH SOLE 0 0 4084 ISHARES TR GRWT ALLOCAT ETF 464289867 2055 39370 SH SOLE 0 0 39370 ISHARES TR INTL SEL DIV ETF 464288448 1963 66613 SH SOLE 0 0 66613 ISHARES TR MODERT ALLOC ETF 464289875 1832 42414 SH SOLE 0 0 42414 ISHARES TR MRNGSTR LG-CP GR 464287119 239 825 SH SOLE 0 0 825 ISHARES TR NATIONAL MUN ETF 464288414 318 2710 SH SOLE 0 0 2710 ISHARES TR PFD AND INCM SEC 464288687 6555 170208 SH SOLE 0 0 170208 ISHARES TR RUS 1000 ETF 464287622 219 1036 SH SOLE 0 0 1036 ISHARES TR RUS 1000 GRW ETF 464287614 2422 10043 SH SOLE 0 0 10043 ISHARES TR RUS 1000 VAL ETF 464287598 979 7163 SH SOLE 0 0 7163 ISHARES TR RUS 2000 VAL ETF 464287630 222 1683 SH SOLE 0 0 1683 ISHARES TR RUSSELL 2000 ETF 464287655 210 1070 SH SOLE 0 0 1070 ISHARES TR S&P 500 GRWT ETF 464287309 216 3392 SH SOLE 0 0 3392 ISHARES TR SHRT NAT MUN ETF 464288158 254 2354 SH SOLE 0 0 2354 ISHARES TR US HOME CONS ETF 464288752 611 10950 SH SOLE 0 0 10950 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 4883 95666 SH SOLE 0 0 95666 JOHNSON & JOHNSON COM 478160104 4093 26010 SH SOLE 0 0 26010 JPMORGAN CHASE & CO COM 46625H100 4871 38333 SH SOLE 0 0 38333 KIMBERLY-CLARK CORP COM 494368103 4623 34288 SH SOLE 0 0 34288 KOHLS CORP COM 500255104 1143 28087 SH SOLE 0 0 28087 KRAFT HEINZ CO COM 500754106 1673 48282 SH SOLE 0 0 48282 LAM RESEARCH CORP COM 512807108 586 1241 SH SOLE 0 0 1241 LAS VEGAS SANDS CORP COM 517834107 1238 20773 SH SOLE 0 0 20773 LENNAR CORP CL A 526057104 2864 37574 SH SOLE 0 0 37574 LILLY ELI & CO COM 532457108 354 2098 SH SOLE 0 0 2098 LOWES COS INC COM 548661107 247 1537 SH SOLE 0 0 1537 MARSH & MCLENNAN COS INC COM 571748102 1029 8799 SH SOLE 0 0 8799 MCDONALDS CORP COM 580135101 504 2350 SH SOLE 0 0 2350 MERCADOLIBRE INC COM 58733R102 923 551 SH SOLE 0 0 551 MERCK & CO. INC COM 58933Y105 3647 44583 SH SOLE 0 0 44583 MICRON TECHNOLOGY INC COM 595112103 1788 23783 SH SOLE 0 0 23783 MICROSOFT CORP COM 594918104 11903 53513 SH SOLE 0 0 53513 MONDELEZ INTL INC CL A 609207105 203 3478 SH SOLE 0 0 3478 NETFLIX INC COM 64110L106 1418 2623 SH SOLE 0 0 2623 NETGEAR INC COM 64111Q104 242 5950 SH SOLE 0 0 5950 NEXTERA ENERGY INC COM 65339F101 3154 40879 SH SOLE 0 0 40879 NIKE INC CL B 654106103 206 1454 SH SOLE 0 0 1454 NIO INC SPON ADS 62914V106 268 5500 SH SOLE 0 0 5500 NORTHROP GRUMMAN CORP COM 666807102 843 2767 SH SOLE 0 0 2767 NOVARTIS AG SPONSORED ADR 66987V109 1924 20380 SH SOLE 0 0 20380 NUVEEN SELECT TAX-FREE INCOM SH BEN INT 67062F100 326 18292 SH SOLE 0 0 18292 NVIDIA CORPORATION COM 67066G104 3772 7223 SH SOLE 0 0 7223 OREILLY AUTOMOTIVE INC COM 67103H107 2478 5476 SH SOLE 0 0 5476 PEPSICO INC COM 713448108 1007 6788 SH SOLE 0 0 6788 PFIZER INC COM 717081103 260 7070 SH SOLE 0 0 7070 PHILIP MORRIS INTL INC COM 718172109 633 7647 SH SOLE 0 0 7647 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 6044 59227 SH SOLE 0 0 59227 PROCTER AND GAMBLE CO COM 742718109 1267 9108 SH SOLE 0 0 9108 PROSHARES TR SHORT S&P 500 NE 74347B425 22068 1228030 SH SOLE 0 0 1228030 PULTE GROUP INC COM 745867101 2769 64206 SH SOLE 0 0 64206 PURPLE INNOVATION INC COM 74640Y106 204 6188 SH SOLE 0 0 6188 QUAD / GRAPHICS INC COM CL A 747301109 70 18431 SH SOLE 0 0 18431 QUALCOMM INC COM 747525103 5414 35538 SH SOLE 0 0 35538 RENEWABLE ENERGY GROUP INC COM NEW 75972A301 1270 17935 SH SOLE 0 0 17935 REPLIGEN CORP COM 759916109 671 3500 SH SOLE 0 0 3500 ROCKWELL AUTOMATION INC COM 773903109 228 908 SH SOLE 0 0 908 SALESFORCE COM INC COM 79466L302 2738 12302 SH SOLE 0 0 12302 SANFILIPPO JOHN B & SON INC COM 800422107 1165 14769 SH SOLE 0 0 14769 SCHWAB CHARLES CORP COM 808513105 3658 68975 SH SOLE 0 0 68975 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 929 30321 SH SOLE 0 0 30321 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 1076 29876 SH SOLE 0 0 29876 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 3379 37131 SH SOLE 0 0 37131 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 449 3493 SH SOLE 0 0 3493 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 217 3640 SH SOLE 0 0 3640 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 84250 742687 SH SOLE 0 0 742687 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 210 7140 SH SOLE 0 0 7140 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 238 1834 SH SOLE 0 0 1834 SIMPSON MANUFACTURING CO INC COM 829073105 773 8275 SH SOLE 0 0 8275 SMITH A O CORP COM 831865209 1064 19410 SH SOLE 0 0 19410 SOUTHWEST AIRLS CO COM 844741108 4520 96984 SH SOLE 0 0 96984 SPDR GOLD TR GOLD SHS 78463V107 5329 29876 SH SOLE 0 0 29876 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 3495 103546 SH SOLE 0 0 103546 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 1354 32117 SH SOLE 0 0 32117 SPDR S&P 500 ETF TR TR UNIT 78462F103 2588 6921 SH SOLE 0 0 6921 SPDR SER TR FTSE INT GVT ETF 78464A490 1149 19570 SH SOLE 0 0 19570 SPDR SER TR PORTFOLI S&P1500 78464A805 116578 2529359 SH SOLE 0 0 2529359 SPDR SER TR PORTFOLIO S&P500 78464A854 14503 329921 SH SOLE 0 0 329921 SPDR SER TR PORTFOLIO S&P600 78468R853 61590 1720384 SH SOLE 0 0 1720384 SPROUTS FMRS MKT INC COM 85208M102 526 26170 SH SOLE 0 0 26170 STARBUCKS CORP COM 855244109 4346 40620 SH SOLE 0 0 40620 STRYKER CORPORATION COM 863667101 335 1368 SH SOLE 0 0 1368 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 5272 48344 SH SOLE 0 0 48344 TARGET CORP COM 87612E106 4357 24680 SH SOLE 0 0 24680 TESLA INC COM 88160R101 893 1265 SH SOLE 0 0 1265 TEXAS INSTRS INC COM 882508104 1169 7123 SH SOLE 0 0 7123 THERMO FISHER SCIENTIFIC INC COM 883556102 5340 11464 SH SOLE 0 0 11464 TJX COS INC NEW COM 872540109 204 2981 SH SOLE 0 0 2981 UNION PAC CORP COM 907818108 2006 9635 SH SOLE 0 0 9635 UNITED MICROELECTRONICS CORP SPON ADR NEW 910873405 85 10100 SH SOLE 0 0 10100 UNITEDHEALTH GROUP INC COM 91324P102 2495 7113 SH SOLE 0 0 7113 US BANCORP DEL COM NEW 902973304 1040 22320 SH SOLE 0 0 22320 VALERO ENERGY CORP COM 91913Y100 2139 37820 SH SOLE 0 0 37820 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 1657 19992 SH SOLE 0 0 19992 VANGUARD INDEX FDS GROWTH ETF 922908736 487 1922 SH SOLE 0 0 1922 VANGUARD INDEX FDS LARGE CAP ETF 922908637 319 1815 SH SOLE 0 0 1815 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1272 14974 SH SOLE 0 0 14974 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 311 906 SH SOLE 0 0 906 VANGUARD INDEX FDS SMALL CP ETF 922908751 55976 287528 SH SOLE 0 0 287528 VANGUARD INDEX FDS TOTAL STK MKT 922908769 89020 457356 SH SOLE 0 0 457356 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2583 44264 SH SOLE 0 0 44264 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 495 9873 SH SOLE 0 0 9873 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 1188 21878 SH SOLE 0 0 21878 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 43403 307450 SH SOLE 0 0 307450 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 204 4319 SH SOLE 0 0 4319 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 529 5781 SH SOLE 0 0 5781 VANGUARD WORLD FDS INF TECH ETF 92204A702 111492 315135 SH SOLE 0 0 315135 VANGUARD WORLD FDS UTILITIES ETF 92204A876 1690 12316 SH SOLE 0 0 12316 VERIZON COMMUNICATIONS INC COM 92343V104 4184 71215 SH SOLE 0 0 71215 VIACOMCBS INC CL B 92556H206 1803 48395 SH SOLE 0 0 48395 VISA INC COM CL A 92826C839 8349 38172 SH SOLE 0 0 38172 WALMART INC COM 931142103 5728 39735 SH SOLE 0 0 39735 WEC ENERGY GROUP INC COM 92939U106 15652 170071 SH SOLE 0 0 170071 WEIBO CORP SPONSORED ADR 948596101 258 6300 SH SOLE 0 0 6300 WELBILT INC COM 949090104 208 15731 SH SOLE 0 0 15731 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 1913 5670 SH SOLE 0 0 5670