Compliance Assoc

0001570296-22-000009.txt : 20221109 0001570296-22-000009.hdr.sgml : 20221109 20221109111537 ACCESSION NUMBER: 0001570296-22-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221109 DATE AS OF CHANGE: 20221109 EFFECTIVENESS DATE: 20221109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Fernwood Investment Management, LLC CENTRAL INDEX KEY: 0001570296 IRS NUMBER: 300156397 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15739 FILM NUMBER: 221371224 BUSINESS ADDRESS: STREET 1: 400 CROWN COLONY STREET 2: SUITE 101 CITY: QUINCY STATE: MA ZIP: 02169 BUSINESS PHONE: 617-376-4750 MAIL ADDRESS: STREET 1: 400 CROWN COLONY STREET 2: SUITE 101 CITY: QUINCY STATE: MA ZIP: 02169 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001570296 XXXXXXXX 09-30-2022 09-30-2022 Fernwood Investment Management, LLC

400 CROWN COLONY SUITE 101 QUINCY MA 02169

13F HOLDINGS REPORT 028-15739 N Collette B Rajotte Compliance Assoc 617-376-4750 Collette B. Rajotte Quincy MA 09-30-2022 0 184 236543 false INFORMATION TABLE 2 13F20220931.xml 2022.09.30 13F AMAZON.COM INC Stock 023135106 4938 43703 SH SOLE 0 43703 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 644 5420 SH SOLE 0 5420 0 0 STARBUCKS CORP Stock 855244109 329 3905 SH SOLE 0 3905 0 0 GOLDMAN SACHS ACTIVEBETA INTERNATIONAL EQUITY ETF ETF 381430107 942 38061 SH SOLE 0 38061 0 0 JOHN HANCOCK MULTIFACTOR LARGE CAP ETF ETF 47804J107 417 9181 SH SOLE 0 9181 0 0 JOHNSON & JOHNSON COM Stock 478160104 3311 20270 SH SOLE 0 20269 0 0 ASPIRA WOMENS HEALTH INC COM Stock 04537Y109 4 10000 SH SOLE 0 10000 0 0 ISHARES MSCI EMERGING MARKETS ETF ETF 464287234 226 6476 SH SOLE 0 6476 0 0 GOLDMAN SACHS GROUP INC Stock 38141G104 384 1310 SH SOLE 0 1309 0 0 SCOTTS MIRACLE-GRO CO CL A Stock 810186106 216 5055 SH SOLE 0 5055 0 0 VERINT SYS INC COM Stock 92343X100 944 28100 SH SOLE 0 28100 0 0 YUM BRANDS INC COM Stock 988498101 1191 11200 SH SOLE 0 11200 0 0 BOSTON SCIENTIFIC CORP Stock 101137107 998 25764 SH SOLE 0 25764 0 0 DREYFUS HI YIELD STRATEGIC FD CEF 09660L105 35 16400 SH SOLE 0 16400 0 0 COCA COLA CO COM Stock 191216100 392 6996 SH SOLE 0 6995 0 0 UNITED PARCEL SERVICE INC CL B Stock 911312106 818 5063 SH SOLE 0 5063 0 0 VANGUARD REAL ESTATE ETF ETF 922908553 249 3106 SH SOLE 0 3105 0 0 ISHARES MSCI USA ESG SELECT ETF ETF 464288802 771 10152 SH SOLE 0 10152 0 0 BIOGEN IDEC INC Stock 09062X103 1290 4830 SH SOLE 0 4830 0 0 MEDTRONIC PLC SHS Stock G5960L103 1699 21046 SH SOLE 0 21046 0 0 NETFLIX COM INC Stock 64110L106 270 1146 SH SOLE 0 1146 0 0 QURATE RETAIL INC COM SER A Stock 74915M100 40 20000 SH SOLE 0 20000 0 0 WATERS CP Stock 941848103 546 2025 SH SOLE 0 2025 0 0 VAN KAMPEN SENIOR INCOME TRUST CEF 46131H107 67 18035 SH SOLE 0 18035 0 0 WELLS FARGO CO NEW PERP PFD CNV A Convertible Preferred 949746804 592 492 SH SOLE 0 492 0 0 SPDR S&P 500 ETF TRUST ETF 78462F103 717 2008 SH SOLE 0 2008 0 0 MASTERCARD INC Stock 57636Q104 307 1079 SH SOLE 0 1079 0 0 SBA COMMUNICATIONS CP REIT 78410G104 1530 5375 SH SOLE 0 5375 0 0 YUM CHINA HLDGS INC COM Stock 98850P109 1628 34400 SH SOLE 0 34400 0 0 SAFETY INSURANCE GROUP IN Stock 78648T100 1141 13993 SH SOLE 0 13993 0 0 ISHARES TIPS BOND ETF ETF 464287176 274 2612 SH SOLE 0 2612 0 0 JOUNCE THERAPEUTICS INC COM Stock 481116101 75 32259 SH SOLE 0 32259 0 0 MARVELL TECHNOLOGY INC COM Stock 573874104 2274 52987 SH SOLE 0 52986 0 0 HONEYWELL INTL INC COM Stock 438516106 414 2480 SH SOLE 0 2480 0 0 TRANE TECHNOLOGIES PLC SHS Stock G8994E103 335 2316 SH SOLE 0 2316 0 0 FORD MOTOR COMPANY Stock 345370860 199 17733 SH SOLE 0 17733 0 0 HOME DEPOT Stock 437076102 679 2459 SH SOLE 0 2459 0 0 DUPONT DE NEMOURS INC COM Stock 26614N102 303 6011 SH SOLE 0 6011 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 1499 12374 SH SOLE 0 12374 0 0 SPDR GOLD ETF ETF 78463V107 226 1460 SH SOLE 0 1460 0 0 AMERISOURCEBERGEN CORP COM Stock 03073E105 1597 11800 SH SOLE 0 11800 0 0 MONGODB INC CL A Stock 60937P106 4520 22764 SH SOLE 0 22763 0 0 ISHARES RUSSELL 1000 GROWTH ETF ETF 464287614 556 2642 SH SOLE 0 2642 0 0 IRIDIUM COMMUNICATIONS INC COM Stock 46269C102 2668 60122 SH SOLE 0 60122 0 0 SPDR PORTFOLIO S&P 400 MID CAP ETF ETF 78464A847 522 13532 SH SOLE 0 13532 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 893 3345 SH SOLE 0 3345 0 0 WEYERHAEUSER CO MTN BE COM NEW REIT 962166104 475 16620 SH SOLE 0 16620 0 0 ALPHABET INC CLASS A Stock 02079K305 4024 42070 SH SOLE 0 42070 0 0 O REILLY AUTOMOTIVE INC Stock 67103H107 1396 1985 SH SOLE 0 1985 0 0 CONSTELLATION BRANDS INC CL A Stock 21036P108 1924 8378 SH SOLE 0 8378 0 0 MICROSOFT Stock 594918104 1781 7647 SH SOLE 0 7646 0 0 CERIDIAN HCM HLDG INC COM Stock 15677J108 1486 26590 SH SOLE 0 26590 0 0 HEALTH CARE PPTY INVS INC REIT 42250P103 253 11026 SH SOLE 0 11026 0 0 CVS HEALTH CORP COM Stock 126650100 5185 54372 SH SOLE 0 54372 0 0 ARES CAPITAL CORP COM CEF 04010L103 4033 238897 SH SOLE 0 238896 0 0 BERKSHIRE HATHAWAY INC DEL CL A Stock 084670108 1219 3 SH SOLE 0 3 0 0 CBOE GLOBAL MKTS INC COM Stock 12503M108 1050 8950 SH SOLE 0 8950 0 0 ALIGN TECHNOLOGY INC Stock 016255101 215 1036 SH SOLE 0 1036 0 0 TESLA MOTORS INC Stock 88160R101 1767 6663 SH SOLE 0 6663 0 0 MSCI INC COM Stock 55354G100 3314 7856 SH SOLE 0 7856 0 0 NORFOLK SOUTHERN CRP Stock 655844108 210 1000 SH SOLE 0 1000 0 0 ALPS TRUST ETF ALERIAN MLP ETF 00162Q452 217 5941 SH SOLE 0 5941 0 0 HARLEY DAVIDSON INC COM Stock 412822108 614 17600 SH SOLE 0 17600 0 0 DOLLAR TREE STORES INC Stock 256746108 381 2800 SH SOLE 0 2800 0 0 DOW INC COM Stock 260557103 292 6643 SH SOLE 0 6643 0 0 CONAGRA BRANDS INC COM Stock 205887102 656 20116 SH SOLE 0 20116 0 0 LYONDELLBASELL Stock N53745100 390 5175 SH SOLE 0 5175 0 0 GLOBAL X CLOUD COMPUTING ETF ETF 37954Y442 918 57500 SH SOLE 0 57500 0 0 ILLUMINA INC Stock 452327109 868 4550 SH SOLE 0 4550 0 0 CORTEVA INC COM Stock 22052L104 670 11726 SH SOLE 0 11726 0 0 CROWDSTRIKE HLDGS INC CL A Stock 22788C105 1123 6815 SH SOLE 0 6815 0 0 BRIDGEBIO PHARMA INC COM Stock 10806X102 2033 204550 SH SOLE 0 204550 0 0 LILLY ELI & CO COM Stock 532457108 4597 14218 SH SOLE 0 14218 0 0 PELOTON INTERACTIVE INC CL A COM Stock 70614W100 202 29115 SH SOLE 0 29115 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 2483 15056 SH SOLE 0 15056 0 0 TWILIO INC CL A Stock 90138F102 218 3160 SH SOLE 0 3160 0 0 INVESCO SENIOR LOAN ETF ETF 46138G508 380 18800 SH SOLE 0 18800 0 0 ISHARES TR HIGH DIVID EQUITY FD ETF 46429B663 256 2801 SH SOLE 0 2801 0 0 CHIPOTLE MEXICAN GRILL INC COM Stock 169656105 1946 1295 SH SOLE 0 1295 0 0 MADISON SQUARE GRDN ENTERTNMNT CL A Stock 55826T102 641 14540 SH SOLE 0 14540 0 0 PLIANT THERAPEUTICS INC Stock 729139105 4653 222757 SH SOLE 0 222757 0 0 RELAY THERAPEUTICS INC COM Stock 75943R102 4140 185063 SH SOLE 0 185063 0 0 ISHARES DJ SELECT DIVIDEND ETF 464287168 1846 17213 SH SOLE 0 17213 0 0 ISHARES RUSSELL MIDCAP GROWTH ETF ETF 464287481 207 2640 SH SOLE 0 2640 0 0 FIRST TRUST CLOUD COMPUTING ETF ETF 33734X192 238 3945 SH SOLE 0 3944 0 0 PALANTIR TECHNOLOGIES INC CL A Stock 69608A108 119 14650 SH SOLE 0 14650 0 0 COGNYTE SOFTWARE LTD ORD SHS Stock M25133105 93 22950 SH SOLE 0 22950 0 0 CTRIP.COM INTL LTD AMERICAN DEP SHS ADR 89677Q107 275 10070 SH SOLE 0 10070 0 0 TRACTOR SUPPLY CO Stock 892356106 279 1500 SH SOLE 0 1500 0 0 IMMUNOGEN INC COM Stock 45253H101 711 148840 SH SOLE 0 148840 0 0 VISA INC Stock 92826C839 2476 13939 SH SOLE 0 13939 0 0 CERBERUS CYBER SENTINEL CORP COM Stock 15672X102 59 20000 SH SOLE 0 20000 0 0 HERSHEY CO COM Stock 427866108 711 3225 SH SOLE 0 3225 0 0 N-ABLE INC COMMON STOCK Stock 62878D100 139 15100 SH SOLE 0 15100 0 0 LEXINFINTECH HLDGS LTD ADR ADR 528877103 19 11500 SH SOLE 0 11500 0 0 JACKSON FINANCIAL INC COM CL A Stock 46817M107 244 8775 SH SOLE 0 8775 0 0 JASPER THERAPEURITC, INC. Stock 471871103 234 297080 SH SOLE 0 297080 0 0 KELLOGG CO COM Stock 487836108 1234 17721 SH SOLE 0 17720 0 0 ISHARES MSCI INDIA ETF ETF 46429B598 229 5615 SH SOLE 0 5615 0 0 CIVITAS RESOURCES INC COM NEW Stock 17888H103 428 7459 SH SOLE 0 7459 0 0 PHILLIPS 66 Stock 718546104 1423 17630 SH SOLE 0 17630 0 0 ISHARES CORE S&P TOTAL U.S. STOCK MARKET ETF ETF 464287150 216 2712 SH SOLE 0 2712 0 0 META PLATFORMS INC CL A Stock 30303M102 2969 21882 SH SOLE 0 21882 0 0 AMERICAN AIRLS GROUP INC COM Stock 02376R102 604 50204 SH SOLE 0 50204 0 0 FIRST TRUST NORTH AMERICAN ENERGY INFRASTRUCTURE FUND ETF 33738D101 1893 76070 SH SOLE 0 76070 0 0 Horizon Kinetics Inflation Beneficiaries ETF ETF 53656F623 564 20270 SH SOLE 0 20269 0 0 KAR AUCTION SVCS INC COM Stock 48238T109 455 40700 SH SOLE 0 40700 0 0 GENTHERM INC COM Stock 37253A103 556 11185 SH SOLE 0 11185 0 0 WORKDAY INC COM Stock 98138H101 340 2235 SH SOLE 0 2235 0 0 SL GREEN RLTY CORP COM REIT 78440X887 770 19167 SH SOLE 0 19166 0 0 ACCENTURE PLC IRELAND SHS CLASS A Stock G1151C101 1477 5741 SH SOLE 0 5741 0 0 NEOGENOMICS INC COM NEW Stock 64049M209 602 69900 SH SOLE 0 69900 0 0 SPDR BLOOMBERG INVESTMENT GRADE FLOATING RATE ETF ETF 78468R200 1212 40000 SH SOLE 0 40000 0 0 NVIDIA CORPORATION COM Stock 67066G104 830 6837 SH SOLE 0 6837 0 0 ISHARES SHORT TREASURY BOND ETF ETF 464288679 880 7999 SH SOLE 0 7999 0 0 ABBVIE INC COM Stock 00287Y109 1665 12404 SH SOLE 0 12403 0 0 ZOETIS INC COM CL A Stock 98978V103 200 1352 SH SOLE 0 1352 0 0 SPDR BLACKSTONE SENIOR LOAN ETF ETF 78467V608 253 6191 SH SOLE 0 6191 0 0 MCDONALDS CORP COM Stock 580135101 1314 5696 SH SOLE 0 5695 0 0 CISCO SYS INC Stock 17275R102 201 5015 SH SOLE 0 5015 0 0 CYTOKINETICS INC COM NEW Stock 23282W605 484 10000 SH SOLE 0 10000 0 0 ENERGY SELECT SECTOR SPDR ETF 81369Y506 867 12045 SH SOLE 0 12044 0 0 ISHARES DOW JONES US CONSUMER GOODS ETF 464287812 4982 27705 SH SOLE 0 27705 0 0 ISHARES BIOTECHNOLOGY ETF ETF 464287556 529 4526 SH SOLE 0 4526 0 0 ISHARES MSCI USA QUALITY FACTOR ETF ETF 46432F339 694 6673 SH SOLE 0 6673 0 0 UNIVERSAL DISPLAY CORP Stock 91347P105 813 8615 SH SOLE 0 8615 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 451 3163 SH SOLE 0 3163 0 0 SKYWORKS SOLUTIONS INC COM Stock 83088M102 859 10075 SH SOLE 0 10075 0 0 SPDR PORTFOLIO S&P 600 SMALL CAP ETF ETF 78468R853 303 8906 SH SOLE 0 8906 0 0 ISHARES S&P 500 GROWTH ETF ETF 464287309 559 9666 SH SOLE 0 9666 0 0 ISHARES S&P 500 INDEX ETF 464287200 7778 21686 SH SOLE 0 21686 0 0 TEXAS PACIFIC LAND CORPORATION COM Stock 88262P102 13784 7756 SH SOLE 0 7755 0 0 METTLER TOLEDO INTL INCF Stock 592688105 351 324 SH SOLE 0 324 0 0 UNION PAC CORP COM Stock 907818108 2833 14542 SH SOLE 0 14542 0 0 MCCORMICK & CO INC COM NON VTG Stock 579780206 745 10450 SH SOLE 0 10450 0 0 GOLAR LNG LTD SHS ISIN BMG9456A1009 Stock G9456A100 2096 84100 SH SOLE 0 84100 0 0 CHEVRON CORP NEW COM Stock 166764100 202 1406 SH SOLE 0 1406 0 0 ALPHATEC HLDGS INC COM NEW Stock 02081G201 924 105747 SH SOLE 0 105747 0 0 CONOCOPHILLIPS COM Stock 20825C104 1475 14411 SH SOLE 0 14411 0 0 DANAHER CORP Stock 235851102 890 3447 SH SOLE 0 3447 0 0 PIMCO ENHANCED LOW DURATION ACTIVE ETF ETF 72201R718 947 10000 SH SOLE 0 10000 0 0 HANCOCK JOHN TAX-ADVANTAGED DI COM CEF 41013V100 473 22563 SH SOLE 0 22562 0 0 SPDR PORTFOLIO S&P 1500 COMPOSITE STOCK MARKET ETF ETF 78464A805 1547 35061 SH SOLE 0 35060 0 0 WALMART INC COM Stock 931142103 298 2294 SH SOLE 0 2294 0 0 FIRST TRUST US EQUITY OPPORTUNITIES ETF ETF 336920103 1216 15011 SH SOLE 0 15010 0 0 RAYTHEON TECHNOLOGIES CORP COM Stock 75513E101 323 3948 SH SOLE 0 3948 0 0 VANGUARD HIGH DIVIDEND YIELD ETF 921946406 236 2487 SH SOLE 0 2487 0 0 PFIZER INC COM Stock 717081103 869 19848 SH SOLE 0 19848 0 0 COUPA SOFTWARE INC COM Stock 22266L106 294 5000 SH SOLE 0 5000 0 0 GILEAD SCIENCES INC Stock 375558103 1417 22967 SH SOLE 0 22967 0 0 CATERPILLAR INC COM Stock 149123101 459 2797 SH SOLE 0 2797 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 2044 21260 SH SOLE 0 21260 0 0 WISDOMTREE EMERGING MARKETS EQUITY INCOME ETF ETF 97717W315 427 13123 SH SOLE 0 13123 0 0 WILLIAMS COS INC COM Stock 969457100 611 21324 SH SOLE 0 21324 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 213 2211 SH SOLE 0 2211 0 0 ISHARES CORE DIVIDEND GROWTH ETF ETF 46434V621 3530 79390 SH SOLE 0 79389 0 0 TRUPANION INC COM Stock 898202106 594 10000 SH SOLE 0 10000 0 0 AXON ENTERPRISE INC COM Stock 05464C101 1592 13750 SH SOLE 0 13750 0 0 IPG PHOTONICS CORP COM Stock 44980X109 281 3335 SH SOLE 0 3335 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS ADR 01609W102 518 6476 SH SOLE 0 6475 0 0 SPDR PORTFOLIO S&P 500 GROWTH ETF ETF 78464A409 1209 24122 SH SOLE 0 24122 0 0 SPDR PORTFOLIO S&P 500 VALUE ETF ETF 78464A508 1012 29337 SH SOLE 0 29337 0 0 PHILIP MORRIS INTL INC Stock 718172109 2623 31599 SH SOLE 0 31598 0 0 NUCOR CORP COM Stock 670346105 301 2810 SH SOLE 0 2810 0 0 VANGUARD MEGA CAP GROWTH ETF ETF 921910816 5787 33206 SH SOLE 0 33206 0 0 EMQQ THE EMERGING MARKETS INTERNET & ECOMMERCE ETF ETF 301505889 1231 46182 SH SOLE 0 46182 0 0 WISDOMTREE EMERGING MARKETS EX-STATE-OWNED ENTERPRISES FUND ETF 97717X578 351 14243 SH SOLE 0 14243 0 0 ALTRIA GROUP INC COM Stock 02209S103 2689 66587 SH SOLE 0 66587 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 614 15279 SH SOLE 0 15279 0 0 EXXON MOBIL CORP COM Stock 30231G102 1753 20083 SH SOLE 0 20083 0 0 UNITEDHEALTH GROUP Stock 91324P102 675 1336 SH SOLE 0 1336 0 0 COLGATE PALMOLIVE CO COM Stock 194162103 225 3200 SH SOLE 0 3200 0 0 DEVON ENERGY CORP Stock 25179M103 228 3800 SH SOLE 0 3800 0 0 PAYPAL HLDGS INC COM Stock 70450Y103 593 6894 SH SOLE 0 6894 0 0 SPDR PORTFOLIO DEVELOPED WORLD EX-US ETF ETF 78463X889 424 16448 SH SOLE 0 16448 0 0 ISHARES CORE S&P MID-CAP ETF ETF 464287507 2525 11516 SH SOLE 0 11516 0 0 GLOBAL BLOOD THERAPEUTICS INC COM Stock 37890U108 11899 174724 SH SOLE 0 174724 0 0 ISHARES MSCI EAFE ETF ETF 464287465 374 6684 SH SOLE 0 6684 0 0 APPLE INC Stock 037833100 8924 64570 SH SOLE 0 64569 0 0 ABBOTT LABS COM Stock 002824100 500 5167 SH SOLE 0 5167 0 0 DISNEY WALT CO COM Stock 254687106 1208 12807 SH SOLE 0 12807 0 0 MADISON SQUARE GRDN SPRT CORP CL A Stock 55825T103 922 6750 SH SOLE 0 6750 0 0 ISHARES RUSSELL 1000 ETF ETF 464287622 2461 12473 SH SOLE 0 12473 0 0 SPDR SER TR LEHMAN 1-3 MONTH T-BILL ETF ETF 78468R663 1005 10974 SH SOLE 0 10974 0 0 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 421 3098 SH SOLE 0 3098 0 0