0001085146-18-002527.txt : 20181107 0001085146-18-002527.hdr.sgml : 20181107 20181107170414 ACCESSION NUMBER: 0001085146-18-002527 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181107 DATE AS OF CHANGE: 20181107 EFFECTIVENESS DATE: 20181107 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Dakota Wealth Management CENTRAL INDEX KEY: 0001631353 IRS NUMBER: 204893886 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16362 FILM NUMBER: 181167230 BUSINESS ADDRESS: STREET 1: 3001 PGA BLVD STREET 2: SUITE 102 CITY: PALM BEACH GARDENS STATE: FL ZIP: 33410 BUSINESS PHONE: 561-774-8029 MAIL ADDRESS: STREET 1: 3001 PGA BLVD STREET 2: SUITE 102 CITY: PALM BEACH GARDENS STATE: FL ZIP: 33410 FORMER COMPANY: FORMER CONFORMED NAME: Oakmont Partners LLC DATE OF NAME CHANGE: 20150121 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001631353 XXXXXXXX 09-30-2018 09-30-2018 false Dakota Wealth Management

3001 PGA BLVD SUITE 102 PALM BEACH GARDENS FL 33410

13F HOLDINGS REPORT 028-16362 N John DeSimone 617-227-3170 /s/ John DeSimone Peabody MA 11-07-2018 0 280 445039 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 468 2221 SH SOLE 341 0 1880 ABBVIE INC COM 00287Y109 1190 12578 SH SOLE 12578 0 0 ABERDEEN JAPAN EQUITY FD INC COM 00306J109 161 19130 SH SOLE 0 0 19130 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 348 2042 SH SOLE 575 0 1467 ADAMS DIVERSIFIED EQUITY FD COM 006212104 848 50857 SH SOLE 0 0 50857 ADOBE SYS INC COM 00724F101 2490 9224 SH SOLE 8064 0 1160 ALIGN TECHNOLOGY INC COM 016255101 237 605 SH SOLE 0 0 605 ALLERGAN PLC SHS G0177J108 472 2477 SH SOLE 2477 0 0 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 278 22400 SH SOLE 0 0 22400 ALLY FINL INC COM 02005N100 251 9498 SH SOLE 9498 0 0 ALPHABET INC CAP STK CL C 02079K107 2117 1774 SH SOLE 1482 0 292 ALPHABET INC CAP STK CL A 02079K305 3801 3149 SH SOLE 3018 0 131 ALTRIA GROUP INC COM 02209S103 407 6753 SH SOLE 3853 0 2900 AMAZON COM INC COM 023135106 7679 3834 SH SOLE 3820 0 14 AMGEN INC COM 031162100 4217 20344 SH SOLE 20344 0 0 APPLE INC COM 037833100 9644 42722 SH SOLE 42722 0 0 ASIA PAC FD INC COM 044901106 566 41970 SH SOLE 0 0 41970 AT&T INC COM 00206R102 262 7786 SH SOLE 7786 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 2766 18362 SH SOLE 16285 0 2077 BANK AMER CORP COM 060505104 1138 38644 SH SOLE 38644 0 0 BANK NEW YORK MELLON CORP COM 064058100 481 9431 SH SOLE 171 0 9260 BAXTER INTL INC COM 071813109 668 8671 SH SOLE 8671 0 0 BB&T CORP COM 054937107 509 10495 SH SOLE 10495 0 0 BECTON DICKINSON & CO COM 075887109 2376 9104 SH SOLE 9104 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 449 2096 SH SOLE 2096 0 0 BIOGEN INC COM 09062X103 921 2608 SH SOLE 2608 0 0 BLACKROCK CA MUNI 2018 TERM COM 09249C105 391 26213 SH SOLE 0 0 26213 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 124 10000 SH SOLE 0 0 10000 BLACKROCK CORE BD TR SHS BEN INT 09249E101 430 33639 SH SOLE 0 0 33639 BLACKROCK CR ALLCTN INC TR COM 092508100 652 53275 SH SOLE 0 0 53275 BLACKROCK FLA MUN 2020 TERM COM SHS 09250M109 145 10209 SH SOLE 0 0 10209 BLACKROCK INCOME TR INC COM 09247F100 795 139000 SH SOLE 0 0 139000 BLACKROCK INVT QUALITY MUN T COM 09247D105 277 20900 SH SOLE 0 0 20900 BLACKROCK MUNI 2018 TERM TR COM 09248C106 2318 154050 SH SOLE 0 0 154050 BLACKROCK MUNICIPL INC QLTY COM 092479104 788 61684 SH SOLE 0 0 61684 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 129 10821 SH SOLE 0 0 10821 BLACKROCK MUNIY QUALITY FD I COM 09254G108 198 16878 SH SOLE 0 0 16878 BLACKROCK MUNIYIELD CALI QLT COM 09254N103 611 47700 SH SOLE 0 0 47700 BLACKROCK MUNIYIELD QLTY FD COM 09254E103 540 44700 SH SOLE 0 0 44700 BLACKROCK MUNIYLD MICH QLTY COM 09254V105 407 32800 SH SOLE 0 0 32800 BLACKROCK N Y MUN INCOME TR SH BEN INT 09248L106 147 12117 SH SOLE 0 0 12117 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 317 8314 SH SOLE 8314 0 0 BOEING CO COM 097023105 3812 10250 SH SOLE 10250 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 359 5771 SH SOLE 5771 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 326 2473 SH SOLE 2473 0 0 BROOKLINE BANCORP INC DEL COM 11373M107 706 42293 SH SOLE 42293 0 0 CAMBRIA ETF TR SHSHLD YIELD ETF 132061201 404 10218 SH SOLE 10218 0 0 CAPITAL ONE FINL CORP COM 14040H105 377 3976 SH SOLE 116 0 3860 CATERPILLAR INC DEL COM 149123101 203 1331 SH SOLE 1331 0 0 CBS CORP NEW CL B 124857202 362 6293 SH SOLE 6293 0 0 CENTENE CORP DEL COM 15135B101 427 2948 SH SOLE 2948 0 0 CHEVRON CORP NEW COM 166764100 1969 16105 SH SOLE 16105 0 0 CHUBB LIMITED COM H1467J104 390 2915 SH SOLE 2915 0 0 CISCO SYS INC COM 17275R102 2130 43786 SH SOLE 32186 0 11600 CITIGROUP INC COM NEW 172967424 324 4506 SH SOLE 4506 0 0 CLEVELAND CLIFFS INC COM 185899101 317 25000 SH SOLE 25000 0 0 CLOROX CO DEL COM 189054109 1628 10826 SH SOLE 10826 0 0 CM SEVEN STAR ACQUISITION CO SHS G2345N102 359 35600 SH SOLE 0 0 35600 COCA COLA CO COM 191216100 426 9229 SH SOLE 3499 0 5730 COMCAST CORP NEW CL A 20030N101 673 19000 SH SOLE 12330 0 6670 CONOCOPHILLIPS COM 20825C104 774 10009 SH SOLE 10009 0 0 CORNERSTONE STRATEGIC VALUE COM 21924B302 379 27065 SH SOLE 0 0 27065 COSTCO WHSL CORP NEW COM 22160K105 1167 4968 SH SOLE 4968 0 0 CVS HEALTH CORP COM 126650100 3181 40420 SH SOLE 40420 0 0 DEERE & CO COM 244199105 1277 8493 SH SOLE 8493 0 0 DISNEY WALT CO COM DISNEY 254687106 6116 52304 SH SOLE 50124 0 2180 DOLLAR GEN CORP NEW COM 256677105 220 2015 SH SOLE 0 0 2015 DOWDUPONT INC COM 26078J100 2150 33430 SH SOLE 33430 0 0 DREYFUS MUN INCOME INC COM 26201R102 93 11914 SH SOLE 0 0 11914 DRIVE SHACK INC COM 262077100 119 20000 SH SOLE 20000 0 0 DTF TAX-FREE INCOME INC COM 23334J107 177 13736 SH SOLE 0 0 13736 DUFF & PHELPS UTIL CORP BD T COM 26432K108 489 58281 SH SOLE 0 0 58281 EATON CORP PLC SHS G29183103 751 8664 SH SOLE 8664 0 0 EATON VANCE CALIF MUN BD FD COM 27828A100 555 55710 SH SOLE 0 0 55710 EATON VANCE MUN BD FD COM 27827X101 3801 329640 SH SOLE 28552 0 301088 EATON VANCE MUN BD FD II COM 27827K109 994 85860 SH SOLE 0 0 85860 EATON VANCE NEW YORK MUN BD COM 27827Y109 292 26393 SH SOLE 0 0 26393 EMERSON ELEC CO COM 291011104 961 12548 SH SOLE 12548 0 0 ENBRIDGE INC COM 29250N105 387 12000 SH SOLE 12000 0 0 ESSEX PPTY TR INC COM 297178105 20230 82000 SH SOLE 82000 0 0 EXACT SCIENCES CORP COM 30063P105 237 3000 SH SOLE 3000 0 0 EXXON MOBIL CORP COM 30231G102 1267 14898 SH SOLE 11820 0 3078 FACEBOOK INC CL A 30303M102 727 4423 SH SOLE 3151 0 1272 FIDELITY CONSMR STAPLES 316092303 217 6666 SH SOLE 6666 0 0 FIDELITY MSCI INDL INDX 316092709 222 5515 SH SOLE 5515 0 0 FIRST REP BK SAN FRANCISCO C COM 33616C100 366 3814 SH SOLE 3814 0 0 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 182 18984 SH SOLE 0 0 18984 FORUM MERGER II CORP CL A 34986F103 1107 115900 SH SOLE 0 0 115900 GABELLI EQUITY TR INC COM 362397101 418 64493 SH SOLE 0 0 64493 GARTNER INC COM 366651107 252 1587 SH SOLE 0 0 1587 GENERAL DYNAMICS CORP COM 369550108 492 2405 SH SOLE 2405 0 0 GENERAL ELECTRIC CO COM 369604103 243 21528 SH SOLE 7798 0 13730 GENERAL MLS INC COM 370334104 219 5110 SH SOLE 0 0 5110 GENERAL MTRS CO COM 37045V100 550 16347 SH SOLE 16347 0 0 GIGCAPITAL INC COM 37518N106 232 23325 SH SOLE 0 0 23325 GLOBAL PMTS INC COM 37940X102 518 4069 SH SOLE 4069 0 0 HENRY JACK & ASSOC INC COM 426281101 1309 8175 SH SOLE 8175 0 0 HOME DEPOT INC COM 437076102 3661 17673 SH SOLE 17566 0 107 HONEYWELL INTL INC COM 438516106 827 4971 SH SOLE 2221 0 2750 HP INC COM 40434L105 770 29856 SH SOLE 29856 0 0 ILLINOIS TOOL WKS INC COM 452308109 1980 14032 SH SOLE 14032 0 0 ILLUMINA INC COM 452327109 866 2360 SH SOLE 2360 0 0 INDUSTREA ACQUISITION CORP CL A 45579J104 193 18950 SH SOLE 0 0 18950 INTEL CORP COM 458140100 636 13456 SH SOLE 5426 0 8030 INTERNATIONAL BUSINESS MACHS COM 459200101 3011 19917 SH SOLE 19917 0 0 INTUIT COM 461202103 340 1495 SH SOLE 1495 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 566 5304 SH SOLE 5304 0 0 INVESCO EXCHNG TRADED FD TR EMRNG MKT SVRG 46138E784 355 13167 SH SOLE 13167 0 0 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 11705 505193 SH SOLE 505193 0 0 INVESCO EXCHNG TRADED FD TR VRDO TAX FREE 46138G862 374 15000 SH SOLE 0 0 15000 INVESCO MUN OPPORTUNITY TR COM 46132C107 2053 179458 SH SOLE 3901 0 175557 INVESCO MUN TR COM 46131J103 148 12800 SH SOLE 0 0 12800 INVESCO PA VALUE MUN INCOME COM 46132K109 494 41515 SH SOLE 0 0 41515 INVESCO QQQ TR UNIT SER 1 46090E103 2544 13692 SH SOLE 13692 0 0 INVESCO QUALITY MUNI INC TRS COM 46133G107 174 15000 SH SOLE 0 0 15000 INVESCO TR INVT GRADE MUNS COM 46131M106 202 17000 SH SOLE 0 0 17000 INVESCO VALUE MUN INCOME TR COM 46132P108 1689 122052 SH SOLE 2977 0 119075 ISHARES INC MSCI CDA ETF 464286509 266 9239 SH SOLE 0 0 9239 ISHARES INC MSCI JPN ETF NEW 46434G822 292 4848 SH SOLE 258 0 4590 ISHARES TR TIPS BD ETF 464287176 922 8332 SH SOLE 8332 0 0 ISHARES TR CORE S&P500 ETF 464287200 1577 5389 SH SOLE 1374 0 4015 ISHARES TR CORE US AGGBD ET 464287226 471 4461 SH SOLE 4461 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 8159 190113 SH SOLE 188975 0 1137 ISHARES TR IBOXX INV CP ETF 464287242 3257 28336 SH SOLE 28336 0 0 ISHARES TR GLOBAL TECH ETF 464287291 522 2981 SH SOLE 2981 0 0 ISHARES TR S&P 500 VAL ETF 464287408 319 2753 SH SOLE 2753 0 0 ISHARES TR MSCI EAFE ETF 464287465 16004 235389 SH SOLE 235389 0 0 ISHARES TR RUS MID CAP ETF 464287499 1795 8141 SH SOLE 8141 0 0 ISHARES TR CORE S&P MCP ETF 464287507 202 1003 SH SOLE 1003 0 0 ISHARES TR NASDAQ BIOTECH 464287556 806 6607 SH SOLE 6607 0 0 ISHARES TR COHEN STEER REIT 464287564 4357 43540 SH SOLE 43540 0 0 ISHARES TR U.S. CNSM SV ETF 464287580 678 3204 SH SOLE 3204 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 716 5657 SH SOLE 5657 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 15332 98289 SH SOLE 98289 0 0 ISHARES TR RUS 1000 ETF 464287622 6010 37167 SH SOLE 37167 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 1148 8632 SH SOLE 8632 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 5058 23519 SH SOLE 23519 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 10036 59543 SH SOLE 59543 0 0 ISHARES TR CORE S&P SCP ETF 464287804 215 2470 SH SOLE 2470 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 230 2200 SH SOLE 0 0 2200 ISHARES TR MSCI ACWI EX US 464288240 584 12242 SH SOLE 1270 0 10972 ISHARES TR EAFE SML CP ETF 464288273 1153 18518 SH SOLE 18518 0 0 ISHARES TR IBOXX HI YD ETF 464288513 2873 33235 SH SOLE 33235 0 0 ISHARES TR INTRM TR CRP ETF 464288638 1706 32129 SH SOLE 32129 0 0 ISHARES TR SH TR CRPORT ETF 464288646 1566 30215 SH SOLE 30215 0 0 ISHARES TR S&P US PFD STK 464288687 9192 247580 SH SOLE 247580 0 0 ISHARES TR US HLTHCR PR ETF 464288828 418 2090 SH SOLE 2090 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 2506 49122 SH SOLE 49122 0 0 ISHARES TR MIN VOL USA ETF 46429B697 292 5117 SH SOLE 5117 0 0 ISHARES TR USA QUALITY FCTR 46432F339 260 2878 SH SOLE 2878 0 0 ISHARES TR USA MOMENTUM FCT 46432F396 738 6201 SH SOLE 6201 0 0 ISHARES TR CORE MSCI EAFE 46432F842 286 4471 SH SOLE 4471 0 0 ISHARES TR CORE MSCI EURO 46434V738 357 7450 SH SOLE 5650 0 1800 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 316 28505 SH SOLE 0 0 28505 JOHNSON & JOHNSON COM 478160104 4646 33629 SH SOLE 31009 0 2620 JOHNSON CTLS INTL PLC SHS G51502105 267 7646 SH SOLE 353 0 7293 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 2098 41827 SH SOLE 41827 0 0 JPMORGAN CHASE & CO COM 46625H100 5103 45226 SH SOLE 40786 0 4440 KIMBERLY CLARK CORP COM 494368103 268 2355 SH SOLE 2355 0 0 KINDER MORGAN INC DEL COM 49456B101 834 47036 SH SOLE 47036 0 0 KKR & CO INC CL A 48251W104 817 29963 SH SOLE 27963 0 2000 KROGER CO COM 501044101 281 9646 SH SOLE 96 0 9550 LAS VEGAS SANDS CORP COM 517834107 481 8103 SH SOLE 8103 0 0 LAZARD WORLD DIVID & INCOME COM 521076109 286 27435 SH SOLE 0 0 27435 LENNAR CORP CL A 526057104 290 6209 SH SOLE 6209 0 0 LILLY ELI & CO COM 532457108 712 6641 SH SOLE 6641 0 0 LOWES COS INC COM 548661107 1197 10422 SH SOLE 5352 0 5070 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 2032 19827 SH SOLE 19827 0 0 M & T BK CORP COM 55261F104 362 2197 SH SOLE 2197 0 0 MADISON CVRED CALL & EQ STR COM 557437100 222 28805 SH SOLE 0 0 28805 MADISON STRTG SECTOR PREM FD COM 558268108 277 23305 SH SOLE 0 0 23305 MASTERCARD INCORPORATED CL A 57636Q104 2093 9399 SH SOLE 8732 0 667 MEDTRONIC PLC SHS G5960L103 726 7379 SH SOLE 7379 0 0 MERCK & CO INC COM 58933Y105 2365 33335 SH SOLE 33335 0 0 METLIFE INC COM 59156R108 358 7668 SH SOLE 88 0 7580 MFS INTER INCOME TR SH BEN INT 55273C107 258 68675 SH SOLE 0 0 68675 MFS INVT GRADE MUN TR SH BEN INT 59318B108 341 38013 SH SOLE 0 0 38013 MICROSOFT CORP COM 594918104 7562 66121 SH SOLE 57843 0 8278 MODERN MEDIA ACQUISITION COM 60765P103 201 19875 SH SOLE 0 0 19875 MOHAWK INDS INC COM 608190104 430 2453 SH SOLE 2453 0 0 NEW GERMANY FD INC COM 644465106 494 27143 SH SOLE 6630 0 20513 NIKE INC CL B 654106103 1486 17537 SH SOLE 13754 0 3783 NORDSTROM INC COM 655664100 236 3950 SH SOLE 3950 0 0 NORFOLK SOUTHERN CORP COM 655844108 500 2771 SH SOLE 2771 0 0 NOVARTIS A G SPONSORED ADR 66987V109 406 4705 SH SOLE 195 0 4510 NUVEEN AMT FREE QLTY MUN INC COM 670657105 3192 252151 SH SOLE 25137 0 227014 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 175 13500 SH SOLE 0 0 13500 NUVEEN CALIFORNIA AMT QLT MU COM 670651108 187 14500 SH SOLE 0 0 14500 NUVEEN MUN 2021 TARGET TERM COM 670687102 194 20581 SH SOLE 0 0 20581 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 2202 185013 SH SOLE 811 0 184202 NUVEEN NEW YORK QLT MUN INC COM 67066X107 240 19525 SH SOLE 0 0 19525 NUVEEN QUALITY MUNCP INCOME COM 67066V101 4506 352313 SH SOLE 46017 0 306296 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063C106 156 11700 SH SOLE 0 0 11700 NVIDIA CORP COM 67066G104 831 2958 SH SOLE 2218 0 740 O REILLY AUTOMOTIVE INC NEW COM 67103H107 281 808 SH SOLE 0 0 808 OCCIDENTAL PETE CORP DEL COM 674599105 320 3890 SH SOLE 3890 0 0 ONEMAIN HLDGS INC COM 68268W103 252 7485 SH SOLE 7485 0 0 OPES ACQUISITION CORP COM 68373P100 192 19450 SH SOLE 0 0 19450 ORACLE CORP COM 68389X105 415 8060 SH SOLE 4402 0 3658 PAYPAL HLDGS INC COM 70450Y103 457 5199 SH SOLE 5199 0 0 PENSARE ACQUISITION CORP COM 70957E105 1615 162150 SH SOLE 0 0 162150 PEPSICO INC COM 713448108 663 5929 SH SOLE 4001 0 1928 PFIZER INC COM 717081103 3539 80307 SH SOLE 68687 0 11620 PHILIP MORRIS INTL INC COM 718172109 1320 16192 SH SOLE 13562 0 2630 PHILLIPS 66 COM 718546104 1600 14192 SH SOLE 11732 0 2460 PROCTER AND GAMBLE CO COM 742718109 1155 13880 SH SOLE 10520 0 3360 PROSHARES TR SHORT QQQ NEW 74347B714 460 15723 SH SOLE 15723 0 0 PROVIDENT BANCORP INC COM 74383X109 217 7500 SH SOLE 7500 0 0 PURE ACQUISITION CORP CL A 74621Q106 407 41900 SH SOLE 0 0 41900 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 1420 124354 SH SOLE 3220 0 121134 QUALCOMM INC COM 747525103 609 8459 SH SOLE 8459 0 0 RAYTHEON CO COM NEW 755111507 477 2309 SH SOLE 2309 0 0 ROYAL CARIBBEAN CRUISES LTD COM V7780T103 473 3642 SH SOLE 3642 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 548 7727 SH SOLE 7727 0 0 SALESFORCE COM INC COM 79466L302 3337 20982 SH SOLE 20982 0 0 SCHLUMBERGER LTD COM 806857108 298 4898 SH SOLE 498 0 4400 SCHWAB CHARLES CORP NEW COM 808513105 569 11586 SH SOLE 11586 0 0 SEARS HLDGS CORP COM 812350106 10 10135 SH SOLE 10135 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 202 2128 SH SOLE 2128 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 512 9485 SH SOLE 9485 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3904 51834 SH SOLE 51834 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 827 7334 SH SOLE 7334 0 0 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 6106 128367 SH SOLE 128367 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7023 24158 SH SOLE 21798 0 2360 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 20116 54743 SH SOLE 54743 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 7534 273061 SH SOLE 273061 0 0 SPDR SER TR SPDR BLOOMBERG 78468R663 304 3315 SH SOLE 3315 0 0 SPDR SER TR NUVEEN BLMBRG SR 78468R739 792 16609 SH SOLE 3509 0 13100 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 661 21906 SH SOLE 21906 0 0 SPDR SERIES TRUST S&P BK ETF 78464A797 395 8487 SH SOLE 8487 0 0 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 777 16403 SH SOLE 16403 0 0 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 795 16836 SH SOLE 16836 0 0 SSGA ACTIVE TR SPDR DBLELN SHRT 78470P200 383 7850 SH SOLE 7850 0 0 STARBUCKS CORP COM 855244109 357 6291 SH SOLE 1072 0 5219 STRYKER CORP COM 863667101 736 4145 SH SOLE 4145 0 0 SWISS HELVETIA FD INC COM 870875101 220 25825 SH SOLE 0 0 25825 TEXAS INSTRS INC COM 882508104 774 7213 SH SOLE 7213 0 0 THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 139 14275 SH SOLE 0 0 14275 TOTAL S A SPONSORED ADR 89151E109 259 4015 SH SOLE 4015 0 0 TOTAL SYS SVCS INC COM 891906109 574 5811 SH SOLE 5811 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 438 44625 SH SOLE 0 0 44625 TRINITY MERGER CORP COM CL A 89653L106 997 101400 SH SOLE 0 0 101400 TWELVE SEAS INVESTMENT COMPA SHS G9145A107 279 29150 SH SOLE 0 0 29150 TWENTY FIRST CENTY FOX INC CL A 90130A101 354 7640 SH SOLE 0 0 7640 UNION ACQUISITION CORP SHS G9366W101 124 12700 SH SOLE 0 0 12700 UNION PAC CORP COM 907818108 457 2805 SH SOLE 2805 0 0 UNITED PARCEL SERVICE INC CL B 911312106 357 3059 SH SOLE 989 0 2070 UNITED TECHNOLOGIES CORP COM 913017109 1516 10841 SH SOLE 10841 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1856 6977 SH SOLE 6906 0 71 VALERO ENERGY CORP NEW COM 91913Y100 1630 14328 SH SOLE 14328 0 0 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189F361 1378 44268 SH SOLE 44268 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 3701 13859 SH SOLE 1345 0 12514 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 763 9463 SH SOLE 9463 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 2266 14071 SH SOLE 14071 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 208 1883 SH SOLE 1883 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 2177 13393 SH SOLE 6820 0 6573 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2963 19795 SH SOLE 2930 0 16865 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 5397 103701 SH SOLE 62602 0 41099 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1911 46614 SH SOLE 33935 0 12679 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 571 8036 SH SOLE 0 0 8036 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 3557 63269 SH SOLE 34256 0 29013 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 299 5000 SH SOLE 5000 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 7776 99489 SH SOLE 99039 0 450 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1123 13448 SH SOLE 12748 0 700 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 365 8432 SH SOLE 4718 0 3714 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 5609 64400 SH SOLE 64400 0 0 VECTOIQ ACQUISITION CORP COM 92243N103 297 31000 SH SOLE 0 0 31000 VERIZON COMMUNICATIONS INC COM 92343V104 5398 101097 SH SOLE 93887 0 7210 VERTEX PHARMACEUTICALS INC COM 92532F100 385 2000 SH SOLE 2000 0 0 VISA INC COM CL A 92826C839 5669 37772 SH SOLE 35340 0 2432 WALGREENS BOOTS ALLIANCE INC COM 931427108 343 4710 SH SOLE 60 0 4650 WALMART INC COM 931142103 2635 28055 SH SOLE 28055 0 0 WELLS FARGO CO NEW COM 949746101 347 6599 SH SOLE 6599 0 0 WESTERN ASSET MUN HI INCM FD COM 95766N103 101 14224 SH SOLE 0 0 14224 WESTERN ASST MN PRT FD INC COM 95766P108 268 19483 SH SOLE 0 0 19483 WESTERN AST INFL LKD OPP & I COM 95766R104 466 43020 SH SOLE 0 0 43020 WHIRLPOOL CORP COM 963320106 1454 12246 SH SOLE 12246 0 0 WISDOMTREE TR INDIA ERNGS FD 97717W422 224 9289 SH SOLE 9289 0 0 WISDOMTREE TR US SMALLCAP DIVD 97717W604 1181 39752 SH SOLE 39752 0 0 ZOETIS INC CL A 98978V103 780 8518 SH SOLE 5885 0 2633